Proposal for a Directive of the European Parliament and of the Council amending Council Directive 96/48/EC and Directive 2001/16/EC on the interoperability of the trans-European rail system
Date: 2002-01-23
Institutions: European Commission
Subjects: harmonisation of standards, rail network, technical standard, trans-European network

C 126 E/312

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Official Journal of the European Communities

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Proposal for a Directive of the European Parliament and of the Council amending Council
Directive 96/48/EC and Directive 2001/16/EC on the interoperability of the trans-European rail
system

(2002/C 126 E/07)

(Text with EEA relevance)

COM(2002) 22 final — 2002/0023(COD)

(Submitted by the Commission on 24 January 2002)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Articles 71 and 156 thereof,

Having regard to the Commission proposal,

Having regard to the opinion of the Economic and Social
Committee,

Having regard to the opinion of the Committee of the Regions,

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

Whereas:

the Treaty,

(1) Under Articles 154 and 155 of

the
Community must contribute to the establishment and
development
the
trans-European
transport sector. In order to achieve these objectives, the
Community must take any action necessary to ensure the
interoperability of the networks, particularly in the field of
technical standardisation.

networks

of

in

(2) An initial measure was taken in the rail sector with the
adoption of Council Directive 96/48/EC of 23 July 1996
on the interoperability of the trans-European high-speed
rail system (1). In order to implement the objectives of
that Directive, technical specifications for interoperability
(TSIs) are drafted by the European Association for Railway
Interoperability (AEIF) which was designated as the joint
representative body in the framework of the Directive.

(3) On 10 September 1999 the Commission adopted a report
to the Council and the European Parliament (2) which
gave
in
implementing the interoperability of the trans-European
In its resolution of 17 May
high-speed rail

assessment of progress made

an initial

system.

(1) OJ L 235, 17.9.1996, p. 6.
(2) Report COM(1999) 414 final.

2000, the European Parliament called on the Commission
to present proposals for amending Directive 96/48/EC on
the basis of the model used for the Directive on the inter-
operability of the conventional rail system.

(4) Directive 2001/16/EC of

on

rail

conventional

the Parliament and of

the
Council of 19 March 2001 on the interoperability of
system (3)
the
introduces,
the
Directive
system, Community
high-speed
procedures for the preparation and adoption of TSIs,
and common rules for assessing conformity with the spec-
ifications. A mandate for the development of the first
group of TSIs has been given to the AEIF, also designated
as the Joint Representative Body.

like

the

(5) A number of lessons have been learned from the work on
developing TSIs in the high-speed sector, the application
of Directive 96/48/EC to specific projects and the work of
the committee set up under that Directive, which have led
the Commission to propose changes to the two Directives
on railway interoperability.

(6) The adoption of Regulation . . . setting up a European
Railway Agency responsible for safety and interoperability
and of Directive . . . on railway safety mean that certain
provisions of the two Directives on railway interoper-
ability need to be recast. In particular, once the Agency
is established, the task of drafting any new or revised TSIs
will be entrusted to it by the Commission.

(7) The

interoperability.

entry into force of Directives 2001/12/EC (4),
2001/13/EC (5) and 2001/14/EC (6) has an impact on
the implementation of
In particular,
Directive 2001/12/EC provides for complete opening up
freight services in
of the rail network to international
2008. As in the case of other transport modes,
the
extension of access rights must be accompanied by the
requisite harmonisation measures. It is therefore necessary
to implement interoperability on the whole network by
extending
of Directive
scope
is also necessary to extend the legal
2001/16/EC.
basis of Directive 2001/16/EC to Article 71 of
the
Treaty, on which Directive 2001/12/EC is founded.

geographical

the
It

(3) OJ L 110, 20.4.2001, p. 1.
(4) OJ L 75, 15.3.2001, p. 1.
(5) OJ L 75, 15.3.2001, p. 26.
(6) OJ L 75, 15.3.2001, p. 29.

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(8) The White Paper on European transport policy announces
this Directive, which is part of the Commission's strategy
to revitalise rail transport and, consequently, to shift the
balance between transport modes, with the ultimate
objective of reducing congestion on Europe's roads.

is
be followed in assessing conformity.
necessary to specify that every constituent must undergo
the procedure for assessing conformity and suitability for
the use indicated in the TSIs and have the corresponding
certificate.

In addition,

it

infrastructure

(9) The TSIs developed in the framework of Directive
explicitly concern the work on
96/48/EC do not
renewing
nor
rolling
replacements in the context of preventive maintenance.
This is the case, however, under Directive 2001/16/EC
on the conventional rail system, and the two Directives
should be harmonised on this point.

stock,

and

(10) The development of TSIs in the high-speed sector has
shown the need to clarify the relationship between the
essential
requirements of Directive 96/48/EC and the
TSIs on the one hand, and the European standards and
other documents of a normative nature on the other. In
particular, a clear distinction must be made between the
standards or parts of standards which must be made
mandatory in order to achieve the objectives of
the
Directive, and the ‘harmonised’ standards that have been
developed in the spirit of the new approach to technical
harmonisation (1).

(11) As a rule, the European specifications are developed in the
spirit of the new approach to technical harmonisation and
standardisation. They enable a presumption to be made of
conformity with certain essential requirements of
the
Directive, particularly in the case of
interoperability
constituents and interfaces. These European specifications
(or
the applicable parts) are not mandatory and no
explicit reference may be made in the TSIs. References
to these European specifications are published in the
Official Journal of the European Communities, and Member
States publish the references to the national standards
transposing the European standards.

(12) TSIs may in certain cases make an explicit reference to
European standards or specifications where this is strictly
necessary in order
this
Directive. Such explicit
consequences
which must be made clear; in particular, these European
standards and specifications become mandatory from the
moment the TSI is applicable.

to achieve the objectives of

reference has

(13) The TSI sets all the conditions to which an interoper-
ability constituent must conform, and the procedure to

(1) The principles of the new approach to technical harmonisation and
standardisation were adopted in 1985 (OJ C 136, 4.6.1985).
According to this
essential
requirements which products must meet when they are placed on
the market, but they do not specify the technical means to be used
in order to meet these requirements.

approach, directives define

the

(14) It is necessary for safety reasons to require Member States
to assign an identification code to each vehicle placed in
service. The vehicle is then entered in a national vehicle
register. The national registers must be open to consul-
tation by all Member States and by certain Community
economic players. The registers must be consistent as
regards the data format. They must therefore be covered
by common operational and technical specifications.

(15) The procedure to be followed in the case of essential
requirements applicable to a subsystem which have not
yet been covered by detailed specifications in the corre-
sponding TSI must be specified. In such case, the bodies
responsible for the conformity assessment and verification
procedures should be those already notified under Article
20 of Directives 96/48/EC and 2001/16/EC.

(16) The necessary measures must be adopted to implement
this Directive
in conformity with Council Decision
1999/468/EC of 28 June 1999 laying down the
procedures
implementing powers
the exercise of
conferred on the Commission (2).

for

(17) The definition of rolling stock in Annex I to Directive
96/48/EC needs to be clarified. The Directive must also
concern rolling stock designed to operate only on track
upgraded for high speeds, at speeds of
the order of
200 km/h.

(18) The application of this Directive must, as far as possible,
preserve the work already undertaken in the framework of
Directives 96/48/EC and 2001/16/EC and the application
of these Directives by Member States in the framework of
projects which are at an advanced stage of development
when the Directive enters into force.

the trans-European rail

(19) As the objective of the planned action, i.e. the interoper-
ability of
system, cannot be
adequately achieved by the Member States and can
therefore, given its trans-European character as recognised
by the Treaty, be achieved better at the Community level,
the Community can take action in conformity with the
subsidiarity principle enshrined in Article 5 of the Treaty.
In keeping with the proportionality principle set out in
that Article, this Directive does not go beyond what is
required to achieve that objective.

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

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(20) It is therefore necessary to amend Directives 96/48/EC

and 2001/16/EC,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Directive 96/48/EC is amended as follows:

1. Article 1 is replaced by the following:

‘Article 1

The aim of

1.
to establish the
this Directive
conditions to be met to achieve interoperability within
Community territory of
the trans-European high-speed
rail system as described in Annex I.

is

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
qualifications and health and safety conditions of the staff
who contribute to its operation.

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

(a)

improve

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

and develop international

(b) contribute to the gradual creation of

the internal
market in equipment and services for the construction,
renewal, upgrading and operation of
trans-
European high-speed rail system;

the

(l) “upgrading” means any major modification work on a
the

subsystem which

changes

subsystem or
performance of the subsystem;

part

(m) “substitution in the framework of maintenance” means any
replacement of components by parts of identical function
and performance in the framework of preventive or
corrective maintenance;

(n) “renewal” means any major

substitution work on a
subsystem or part subsystem which does not change the
performance of the subsystem;

(o) “existing rail system” means the structure composed of the
railway infrastructures, comprising lines and fixed instal-
lations of the existing rail system plus the existing rolling
stock of all categories and origin travelling on that infra-
structure;

(p) “putting into or placing in service” means all

the
operations by which a subsystem is put into its design
operating state.’

3. Article 5 is amended as follows:

(a) paragraph 1 is replaced by the following:

‘1.
Each of the subsystems shall be covered by one
or more TSIs. In the case of subsystems concerning the
environment or users, TSIs will be drawn up only to
the extent necessary. A supplementary TSI may prove
the
necessary,
high-speed rail
carriage of high
value-added goods or for applications necessary in
order to interconnect the high-speed rail system with
airports.’

in particular to promote the use of

system for

the

(c) contribute to the interoperability of the high-speed rail

system.’

(b) Paragraph 3 is replaced by the following:

2. The following points are inserted in Article 2:

— point (f) is replaced by the following:

‘(j)

“basic parameter” means any regulatory, technical or
operational condition which is critical to interoper-
ability and requires a decision or recommendation
in accordance with the procedure laid down in
Article 21(2) before any development of complete
draft TSIs;

(k) “specific case” means any part of

the trans-European
high-speed rail system which needs special provisions in
temporary or definitive, because of
the TSIs, either
environment
geographical,
topographical
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;

isolated from the

and networks

rest of

urban

or

‘(f) state, in each case under consideration, which
procedures are to be used in order to assess
the conformity or the suitability for
either
use of the interoperability constituents, or the
“EC” verification of
the subsystems. These
procedures shall be based on the modules
defined in Decision 93/465/EEC;’

— The following points (g) et (h) are inserted:

‘(g)

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

situation

the

to

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(h) indicate,

for

the staff concerned,

the professional
qualifications and health and safety conditions at
work required for the operation and maintenance of
the above subsystem, as well as for the implemen-
tation of the TSIs.’

(c) The following paragraph 6 is inserted:

‘6.
TSIs may make an explicit reference to European
standards or specifications where this is strictly necessary
in order to achieve the objectives of this Directive. In such
case, these European standards or specifications (or the
relevant parts) shall be regarded as annexes to the TSI
from the
concerned and shall become mandatory
moment
absence of
applicable.
is
European specifications and pending their development,
reference may be made to other normative documents;
in such case, this shall concern documents that are easily
accessible and in the public domain.’

the TSI

In the

4. Article 6 is replaced by the following:

‘Article 6

Draft TSIs shall be drawn up under a mandate from
1.
the Commission by the European Railway Agency, here-
inafter referred to as the “Agency”, in accordance with the
procedure set out in Article 21(2).

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

Journal

of

2.
The Agency shall be responsible for preparing the
review and updating of TSIs and making any recommen-
dations to the Committee referred to in Article 21 in order
to take account of developments in technology or social
requirements.

the TSIs shall

The adoption and review of

take
6.
account of the opinion of users, as regards the charac-
teristics which have a direct impact on the conditions in
which they use the subsystems. To that end the Agency
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 to review the TSIs and may be
re-examined and updated at
the request of a Member
State or the Commission.

the TSIs shall

The adoption and review of

7.
take
account of the opinion of the social partners as regards
the conditions referred to in Article 5(3)(g). To that end,
the social partners shall be consulted before the draft TSI is
submitted,
to the Committee
referred to in Article 21. The social partners shall be
consulted in the
sectoral dialogue
the
set up in accordance with Commission
committee
Decision 98/500/EC (*). The social partners shall
issue
their opinion within three months.

for adoption or review,

context of

___________
(*) OJ L 255, 12.8.1998, p. 27.’

5. The following subparagraph is inserted in Article 9:

‘In particular, they may not require checks which have
already been carried out as part of the procedure leading
to the “EC” declaration of conformity or suitability for use.’

6. Article 10 is amended as follows:

(a) Paragraph 2 is replaced by the following:

All constituents shall be subject to the procedure
‘2.
for assessing conformity and suitability for the use
indicated in the respective TSI and be accompanied
by the corresponding certificate.’

The preparation, adoption and review of TSIs shall
3.
take account of the estimated cost of technical solutions
by which they may be met, with a view to defining and
implementing the most viable solutions. To that end, the
Agency shall attach to each draft TSI an assessment of the
estimated costs and benefits of those technical solutions
for all the economic operators and agents concerned.

(b) Paragraphs 3, 4 and 5 are deleted.

7. Article 11 is replaced by the following:

‘Article 11

The Committee referred to in Article 21 shall be kept
4.
regularly informed of the preparatory work on the TSIs by
the Agency. The Committee may give the Agency any
useful recommendation or brief regarding the design of
the TSIs, on the basis of the essential requirements or
regarding the cost assessment.

5. When each TSI is adopted, the date of its entry into
force shall be laid down in accordance with the procedure
referred to in Article 21(2).

Where it appears to a Member State or the Commission
that European specifications used directly or indirectly for
the purposes of this Directive do not meet the essential
requirements, partial or total withdrawal of the specifi-
cations
containing
them, or their amendment, may be decided upon in
accordance with the procedure set out in Article 21(2)
after
set up under
consultation of
Council Directive 98/34/EC (*).

concerned from the publications

the Committee

___________
(*) OJ L 217, 5.8.1998, p. 18.’

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8. Article 14 is replaced by the following:

‘Article 14

it shall also be accessible,

for any
railway safety;
to the authorities designated in
legitimate request,
Article 30 of Directive 2001/14/EC (**),
to the
Agency, to the railway companies and to the infra-
structure managers.

Each Member State shall authorise the putting into
1.
service of
those structural subsystems constituting the
trans-European high-speed 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 that they do not compromise satisfaction of the
essential requirements concerning them when integrated
into the trans-European high-speed rail system.

5.
The common specifications for the vehicle register
shall be adopted in accordance with the procedure set
out in Article 21(2), on the basis of a draft prepared by
the
the Agency. The register
following information:

shall contain at

least

(a) references of the “EC” declaration of verification and

the issuing body;

(b) references of the register of rolling stock mentioned in

Article 22a;

In particular, they shall check the compatibility of these
subsystems with the system into which they are being
integrated.

(c)

identification of the owner of the vehicle and of the
railway company that uses it;

2.
Each Member State shall check, when the subsystems
are put into service and at regular intervals thereafter, that
they are operated and maintained in accordance with the
essential requirements concerning them. To that end, the
assessment and verification procedures laid down in the
respective structural and functional TSIs shall be used.

In the event of renewal or upgrading, the manager of
3.
the 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.

Such new authorisation for putting into service shall be
required each time the safety level may be affected by the
works envisaged.

4. Where Member States authorise the putting into
service of rolling stock, they shall assign to each vehicle
an alphanumeric identification code. This code must be
marked on each vehicle and figure in a national vehicle
register that meets the following criteria:

(a) the national vehicle register shall comply with the

common specifications defined in paragraph 5;

(b) the national vehicle register shall be kept up-to-date by
the infra-

the manager of

a body independent of
structure or of any railway company;

(d) any restrictions on how the vehicle may be used;

(e) data relating to the state of maintenance of the vehicle.

___________
(*) OJ L . . .
(**) OJ L 75, 15.3.2001, p. 29.’

9. The following subparagraph is inserted in Article 15:

‘In particular, they may not require checks which have
already been carried out as part of the procedure leading
to the “EC” declaration of verification.’

10. The following subparagraph is inserted in Article 16(3):

‘On that occasion, Member States shall also designate the
bodies responsible for carrying out, in the case of these
technical
assessing
for
conformity or
the use referred to in
Article 13 and the verification procedure referred to in
Article 18.’

suitability for

regulations,

procedures

the

11. The following subparagraph is inserted in Article 17:

‘In such a case, the TSIs shall be reviewed in accordance
with Article 6(2). If certain technical aspects corresponding
to the essential requirements cannot be immediately and
explicitly covered in a TSI, they shall be clearly identified
in an annex to the TSI. Article 16(3) shall apply to these
aspects.’

12. The following subparagraph is inserted in Article 18(2):

(c) the national vehicle register shall be accessible to the
authorities designated in Articles 12 and 18 of
Directive . . ./. . ./EC of the European Parliament and
of the Council (*) in respect of information concerning

‘They shall also cover verification of the interfaces of the
subsystem in question in relation to the system in which it
is integrated, based on the information available in the
respective TSI and the registers defined in Article 22a.’

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13. Article 20(5) is replaced by the following:

The Commission shall set up a notified bodies coor-
‘5.
dination group (hereinafter
the “coordination group”)
which shall discuss any matter related to the application
of the procedures for assessing conformity or suitability
for the use referred to in Article 13 and the verification
procedure referred to in Article 18, or to application of
the relevant TSIs.

The Commission shall inform the committee referred to in
Article 21(1) of the work carried out in the framework of
this coordination group. Member States' representatives
may take part in the work of the coordination group as
observers.’

14. Article 21 is replaced by the following (1):

‘Article 21

The Commission shall be assisted by a committee
1.
composed of representatives of the Member States and
chaired by the representative of the Commission (here-
inafter referred to as “the Committee”).

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

procedure set out in Article 21(2), to draft a TSI for an
additional
it concerns a
to the extent
subsystem referred to in Annex II.

subject,

that

In accordance with the procedure laid down in
a work
this
of

2.
Article 21(2),
programme
to the
Directive and Directive 2001/16/EC.

adopt
objectives

the Committee

conforming

shall

Article 21c

The Annexes may be amended by the procedure set out in
Article 21(2).’

16. The following Article 22a is inserted:

‘Article 22a

1. Member States shall ensure that a register of infra-
structure and a register of rolling stock respectively are
published and updated annually. These 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 precisely which
information must be included in the registers of infra-
structure and of rolling stock.

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

A copy of those registers shall be sent to the Member
2.
States concerned and to the Agency and shall be made
available for consultation by the public.’

3.

The Committee shall adopt its rules of procedure.’

15. The following Articles 21a, 21b and 21c are inserted:

‘Article 21a

The Committee may discuss any matter relating to
1.
the interoperability of
the trans-European rail system,
including questions relating to interoperability between
the trans-European rail system and the rail system of
third countries.

The Committee may discuss any matter relating to
2.
the implementation of
the
this Directive.
Commission shall adopt an implementing recommen-
dation in accordance with the procedure set out
in
Article 21(2).

If necessary,

Article 21b

The Commission may decide, on its own initiative or
1.
at the request of a Member State, in accordance with the

(1) Paragraphs 1 to 3 of this Article are to be deleted in the event that
the SG proposal for streamlining all committees is adopted before
this proposal.

17. Annex I
Directive.

18. Annex II
Directive.

is replaced by the text

in Annex I

to this

is replaced by the text

in Annex II

to this

19. The following subparagraph is inserted in Annex VII,

point 2:

‘In particular, the body and the staff responsible for the
checks must be contractually, hierarchically and func-
the authorities designated to
tionally independent of
in the
issue authorisations
framework of this Directive,
licences in the framework
of Directive 2000/13/EC and safety certificates in the
framework of Directive . . . on rail safety, and of
the
bodies in charge of inspections in the event of accidents.’

for putting into service

Article 2

Directive 2001/16/EC is amended as follows:

1. The

is

replaced by

‘Directive
title
2001/16/EC of
the
Council on the interoperability of the conventional rail
system’.

the European Parliament and of

following:

the

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2. The following paragraph 3 is inserted in Article 1:

5. Article 6 is replaced by the following:

‘3. With effect from 1 January 2008, the scope of this
Directive shall be extended to the whole rail system, except
for infrastructure and rolling stock reserved for a strictly
local, historical or touristic use and isolated from the rest
of the rail system.’

3. Article 2 is amended as follows:

(a) Points (l) and (m) are replaced by the following:

‘(l)

“upgrading” means any major modification work
on a subsystem or part subsystem which changes
the performance of the subsystem;

(m) “renewal” means any major substitution work on a
subsystem or part subsystem which does not change
the performance of the subsystem;’

(b) The following points (o) and (p) are inserted:

‘(o) “substitution in the framework of maintenance” means
any replacement of components by parts of identical
function and performance
framework of
in the
preventive or corrective maintenance;

(p) “putting into or placing in service” means all

the
operations by which a subsystem is put into its design
operating state.’

4. Article 5 is amended as follows:

(a) Point (e) in paragraph 3 is replaced by the following:

‘(e) state,

in each case under consideration, which
procedures are to be used in order
to assess
either the conformity or the suitability for use of
the interoperability constituents, or the EC verifi-
cation of the subsystems. These procedures shall be
based on the modules defined in Decision
93/465/EEC;’

(b) The following paragraph 7 is added:

‘7.
TSIs may make an explicit reference to European
standards or specifications where this is strictly necessary
in order to achieve the objectives of this Directive. In such
case, these European standards or specifications (or the
relevant parts) shall be regarded as annexes to the TSI
from the
concerned and shall become mandatory
moment
absence of
applicable.
is
European specifications and pending their development,
reference may be made to other normative documents;
in such case,
this shall concern documents that are
easily accessible and in the public domain.’

the TSI

In the

‘Article 6

Draft TSIs shall be drawn up by the Agency under a
1.
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 Agency shall be responsible for preparing the
review and updating of TSIs and making any recommen-
dations to the Committee referred to in Article 21 in order
to take account of developments in technology or social
requirements.

3.

Each draft TSI shall be drawn up in two stages.

First of all,

4.
identify the basic
the Agency shall
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 accom-
panied by technical and economic justification shall be
put forward for each of these parameters and interfaces.
taken in accordance with the
A decision shall be
if necessary, specific
procedure set out in Article 21(2);
cases shall be cited.

The Agency shall then draw up the draft TSI on the basis
of these basic parameters. Where appropriate, the Agency
shall take account of technical progress, of standardisation
work already carried out, of working parties already in
place and of acknowledged research work. An overall
assessment 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.

the estimated costs and benefits 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.

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
In
the request of a
particular,
Member State,
solutions be
the cost and
examined and that
benefits of these alternative solutions be set out in the
report annexed to the draft TSI.

the TSIs and the cost-benefit analysis.
the Committee may, at

alternative
the assessment of

require

that

On the adoption of each TSI, the date of entry into
7.
force 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.

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the TSIs shall

The drafting and review of

take
8.
account of the opinions of the users, as regards the charac-
teristics which have a direct impact on the conditions in
which they use the subsystems. To that end the Agency
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
the first TSI and may be
adopting the mandate of
re-examined and updated at
the request of a Member
State or the Commission.

The drafting and review of

9.
take
account of the opinion of the social partners as regards
the conditions referred to in Article 5(3)(g).

the TSIs shall

To this end, the social partners shall be consulted before
the draft TSI is submitted, for adoption or review, to the
Committee 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 issue their opinion within three months.’

6. Article 10 is amended as follows:

(a) Paragraph 2 is replaced by the following:

‘2.
All constituents shall be subject to the procedure
for assessing conformity and suitability for the use
indicated in the respective TSI and shall be accom-
panied by the corresponding certificate.’

(b) Paragraphs 4, 5 and 6 are deleted.

7. Article 11 is replaced by the following:

‘Article 11

Where it appears to a Member State or the Commission
that European specifications used directly or indirectly to
achieve the objectives of this Directive do not meet the
essential requirements, partial or total withdrawal of the
specifications concerned 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 of the committee set up under
Council Directive 98/34/EC (*).
___________
(*) OJ L 204, 21.7.1998, p. 37.’

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

8. Article 14 is amended as follows:

(a) The following subparagraph is inserted in paragraph 2:

that

end,

‘To
verification
procedures laid down in the respective structural and
functional TSIs shall be used.’

assessment

and

the

(b) The following paragraphs 4 and 5 are inserted:

‘4. Where Member States authorise the putting into
they shall assign to each
service of rolling stock,
vehicle an alphanumeric identification code. This
code must be marked on each vehicle and figure in
a national vehicle register that meets the following
criteria:

(a) the national vehicle register shall comply with the
common specifications defined in paragraph 5;

kept
(b) the national
up-to-date
the
manager of the infrastructure or of any railway
company;

shall be
of

vehicle
a

independent

register

body

by

(c) the national vehicle register shall be accessible to
the authorities designated in Articles 12 and 18 of
Directive . . . [of the European Parliament and of
information
the Council?] (*)
concerning
also be
safety.
accessible, for any legitimate request, to the auth-
orities designated in Article 30 of Directive
2001/14/EC (**),
to the railway
to the Agency,
companies and to the infrastructure managers.

respect
It

of
shall

railway

in

The

common specifications

the vehicle
5.
register
shall be adopted in accordance with the
procedure laid down in Article 21(2), on the basis of
a draft prepared by the Agency. The register shall
contain at least the following information:

for

(a) references of the EC declaration of verification and

the issuing body;

(b) references

of
mentioned in Article 24;

the

register

of

rolling

stock

(c)

identification of the owner of the vehicle and of
the railway company that uses it;

(d) any restrictions on how the vehicle may be used;

(e) data relating to the state of maintenance of the

vehicle.
___________
(*) OJ L . . .
(**) OJ L 75, 15.3.2001, p. 29.’

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9. The following subparagraph is inserted in Article 16(3):

13. The following subparagraph is inserted in Annex VII,

point 2:

‘On that occasion, Member States shall also designate the
bodies responsible for carrying out, in the case of these
assessing
for
technical
conformity or
the use referred to in
Article 13 and the verification procedure referred to in
Article 18.’

suitability for

regulations,

procedures

the

10. The following subparagraph is inserted in Article 17:

‘In such a case, the TSIs shall be reviewed in accordance
with the procedure referred to in Article 6(2). If certain
technical
essential
corresponding
requirements cannot be explicitly covered in a TSI, they
shall be clearly identified in an annex to the TSI.

aspects

the

to

Article 16(3) shall apply to these aspects.’

11. Article 20(5) is replaced by the following:

‘5.
The Commission shall set up a notified bodies coor-
dination group which shall discuss any matter related to
the application of the procedures for assessing conformity
or suitability for the use referred to in Article 13 and the
verification procedure referred to in Article 18, or to
application of the relevant TSIs. The Commission shall
inform the Committee referred to in Article 21(1) of the
work carried out in the framework of this coordination
group. Member States' representatives may take part in the
work of the coordination group as observers.’

12. The following Articles 21a and 21b are inserted:

‘Article 21a

The Commission may submit
to the Committee any
matter relating to the implementation of this Directive. If
necessary, the Commission shall adopt an implementing
recommendation in accordance with the procedure set out
in Article 21(2).

Article 21b

‘In particular, the body and the staff responsible for the
checks must be contractually, hierarchically and func-
the authorities designated to
tionally independent of
issue authorisations
in the
framework of this Directive,
licences in the framework
of Directive 2000/13/EC and safety certificates in the
framework of Directive . . . on rail safety, and of
the
bodies in charge of inspections in the event of accidents.’

for putting into service

14. Annex VIII is deleted.

Article 3

The Commission shall take all necessary measures to ensure
that the application of the provisions of this Directive preserve
as far as possible the TSI development work already mandated
in the framework of Directives 96/48/EC and 2001/16/EC, and
the application of these Directives by Member States in the
framework of projects that are at an advanced stage of devel-
opment when this Directive enters into force.

Article 4

Member States shall bring into force the laws, regulations and
administrative provisions needed to comply with this Directive
no later
forthwith inform the
Commission thereof.

than [. . .] (1). They shall

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 5

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

The Annexes may be amended by the procedure set out in
Article 21(2).’

Article 6

This Directive is addressed to the Member States.

(1) 24 months after the date of entry into force of this Directive.

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ANNEX I

THE TRANS-EUROPEAN HIGH-SPEED RAIL SYSTEM

1. The infrastructure

The infrastructure of the trans-European high-speed rail system shall be that of 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.

The high-speed lines shall comprise:

— specially built high-speed lines equipped for speeds generally equal to or greater than 250 km/h,

— specially upgraded high-speed lines equipped for speeds of the order of 200 km/h,

— specially upgraded high-speed lines which have special features as a result of topographical, relief or town-planning

constraints, on which the speed must be adapted to each case.

installations for data
This infrastructure includes traffic management,
processing and telecommunications intended for passenger services on these lines in order to guarantee the safe and
harmonious operation of the network and efficient traffic management.

tracking and navigation systems:

technical

2. The rolling stock

The rolling stock referred to in this Directive shall comprise trains designed to operate:

— either at speeds of at least 250 km/h on lines specially built for high speeds, while enabling operation at speeds

exceeding 300 km/h in appropriate circumstances,

— or at speeds of the order of 200 km/h, on existing lines specially upgraded for high-speed operation.

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.

ANNEX II

SUBSYSTEMS

1. List of subsystems

For the purposes of this Directive, the system constituting the trans-European high-speed rail system may be broken
down into the following subsystems:

(a) either structural areas:

— infrastructure;

— energy;

— control and command and signalling;

— traffic operation and management;

— rolling stock;

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(b) or operational areas:

— maintenance;

— telematics applications for passenger and freight services.

2. Areas to be covered

For each subsystem, the list of aspects relating to interoperability is indicated in the mandates for drawing up TSIs given
to the Agency.

Under the provisions of Article 6(1), these mandates shall be established in accordance with the procedure laid down in
Article 21(2).

Where necessary, the list of aspects relating to interoperability indicated in the mandates is specified by the Agency in
accordance with the provisions of Article 5(3)(c).

3. Basic parameters

Within the meaning of Article 5(3)(b), the following in particular are regarded as basic parameters for achieving
interoperability (1):

— Minimum infrastructure gauges

— Minimum radius of curvature

— Track gauge

— Maximum track stressing

— Minimum platform length

— Platform height

— Power-supply voltage

— Catenary geometry

— ERTMS characteristics (2)

— Axle loading

— Maximum train length

— Gauge of rolling stock

— Minimum braking characteristics

— Boundary electrical characteristics of rolling stock

— Boundary mechanical characteristics of rolling stock

— Operating characteristics linked to train safety

— Boundary characteristics linked to outside noise

— Boundary characteristics linked to outside vibrations

— Boundary characteristics linked to outside electromagnetic interference

— Boundary characteristics linked to inside noise

— Boundary characteristics linked to air conditioning

— Characteristics linked to the carriage of disabled persons.

(1) Cf. Commission recommendation 2001/290/EC.
(2) European Rail Traffic Management System: cf. Commission Decisions 1999/569/EC and 2001/260/EC.