Proposal for a COUNCIL DECISION on the position to be taken on behalf of the European Union in the written procedure to be launched by the Committee of Technical Experts of the Intergovernmental Organisation for International Carriage by Rail (OTIF) for the adoption of modifications to NVR and UTP TAF
Date: 2019-07-09
Institutions: Directorate-General for Mobility and Transport, European Commission
Subjects: carriage of goods, international convention, international transport, rail network, revision of an agreement, technical specification, telematics, vehicle on rails, vehicle registration, world organisation

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   EUROPEAN COMMISSION  Brussels, 9.7.2019 COM(2019) 298 final 2019/0143 (NLE)  Proposal for a COUNCIL DECISION on the position to be taken on behalf of the European Union in the written procedure to be launched by the Committee of Technical Experts of the Intergovernmental Organisation for International Carriage by Rail (OTIF) for the adoption of modifications to NVR and UTP TAF  
 
 
EXPLANATORY MEMORANDUM 

SUBJECT MATTER OF THE PROPOSAL 

1. 
The  12th  session  of  the  Committee  of  Technical  Experts  (CTE)  of  the  Intergovernmental 
Organisation  for  International  Carriage  by  Rail  (OTIF)  will  take  place  in  Bern  on  12  – 
13 June 2019. The agenda of the meeting includes: 

A  proposal  for  a  decision  to  modify  the  OTIF  Register  system  –  Rolling  Stock 
National Vehicle Registers (NVR); and 

A  proposal  for  a  decision  to  modify  Annex  1  to  the  OTIF  Uniform  Technical 
Prescriptions - Telematics applications for freight services (UTP TAF). 

The current NVR specifications applicable under OTIF rules are equivalent to those 
provided for in Commission Decision 2007/756/EC1. 

In  the  framework  of  the  fourth  railway  package,  the  Commission  adopted  the 
Commission  Implementing  Decision  (EU)  2018/16142  that  provides  for  updated 
specifications  of  EU  national  vehicle  registers  and  specifications  of  the  European 
Vehicle Register (EVR), which will replace EU national vehicle registers from 2021, 
and repeals Commission Decision 2007/756/EC.  

The  purpose  of  the  CTE  decision  is  to  modify  the  NVR  and  to  maintain  its 
equivalence with Commission Implementing Decision (EU) 2018/1614. 

The  OTIF  Uniform  Technical  Prescriptions  (UTPs)  are  a  set  of  technical 
specifications deriving from the principles, objectives and procedures of COTIF for 
the construction and operation of railway material,  with  the overriding objective of 
achieving maximum interoperability. In this way, the UTPs in OTIF are equivalent to 
the EU technical specifications for interoperability (TSIs).  

The  UTP  TAF  lays  down  basic  and  additional  requirements  with  regard  to  the 
communication  process  between  railway  undertakings  and  infrastructure  managers, 
databases intended to be used to track trains and wagon movements and information 
to  be  delivered  to  freight  customers,  without  which  the  TAF  subsystem  cannot 
function.  They  are  currently  equivalent  to  the  TAF  TSI  specified  in  Commission 
Regulation  (EU)  No  1305/20143  and  Commission  Implementing  Regulation 
(EU) 2018/2784.  

The  Commission  has  adopted  a  modification  of  Commission  Regulation  (EU) 
No 1305/2014 on 27 May 2019 5. 

Commission  Decision  2007/756/EC  of  9  November  2007  adopting  a  common  specification  of  the 
national  vehicle  register  provided  for  under  Articles  14(4)  and  (5)  of  Directives  96/48/EC  and 
2001/16/EC (OJ L 305, 23.11.2007, p. 30). 
Commission  Implementing  Decision  (EU)  2018/1614  of  25  October  2018,  amending  and  repealing 
Commission Decision 2007/756/EC (OJ L 268, 26.10.2018, p. 53). 
Commission  Regulation  (EU)  No  1305/2014  of  11  December  2014  on  the  technical  specification  for 
interoperability  relating  to  the  telematics  applications  for  freight  subsystem  of  the  rail  system  in  the 
European Union (OJ L356, 12.12.2014, p. 438). 
Commission  Implementing  Regulation  (EU)  2018/278  of  23  February  2018  amending  the  Annex  to 
Regulation  (EU)  No  1305/2014  as  regards  the  structure  of  the  messages,  data  and  message  model, 
Wagon  and  Intermodal  Unit  Operating  Database,  and  to  adopt  an  IT  standard  for  the  communication 
layer of the Common Interface (OJ L 54, 24.2.2018) 
Commission Implementing Regulation (EU) 2019/778 of 16 May 2019 amending the Annex to 

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Regulation (EU) No 1305/2014 as regards Change Control Management (OJ L 139I , 27.5.2019, p. 356–359) 

– 

– 

(a) 

(b) 

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The purpose of the decision to modify the UTP TAF is to maintain its equivalence 
with the Commission Regulation (EU) No 1305/2014 as recently modified. 

The position to be taken on the Union's behalf on the abovementioned decisions to be 
adopted  by  CTE  has  to  be  established    by  a  Council  Decision  on  the  basis  of 
Article 218 (9) TFEU.  

2. 

CONTEXT OF THE PROPOSAL 

2.1. 

The Convention concerning International Carriage by Rail (COTIF) 

The COTIF Convention is OTIF’s founding legal text. Under Article 2(1) of the COTIF, its 
aim  is  to  promote,  improve  and  facilitate,  in  all  respects,  international  traffic  by  rail,  in 
particular  by  establishing  systems  of  uniform  law  in  various  fields  of  law  relating  to 
international  traffic  by  rail.  The  COTIF  also  governs  the  running  of  the  Organisation,  its 
objectives, attributions, relations with the Contracting States and its activities in general.  

COTIF therefore deals  with  rail legislation on a number of different  legal  and technical  rail 
matters which are divided in two parts: the Convention itself, which governs the running of 
OTIF  and  the  eight  Appendices  (including  a  new  appendix  H  to  be  adopted  during  the 
upcoming 13th General Assembly of OTIF) that establish uniform railway law. 

– 

– 

– 

– 

– 

– 

– 

– 

Appendix A – Contract of International Carriage of Passengers by Rail (CIV) 

Appendix B – Contract of International Carriage of Goods by Rail (CIM) 

Appendix C –International Carriage of Dangerous Goods by Rail (RID) 

Appendix D – Contract of use of vehicles in international rail traffic (CUV) 

Appendix E – Contract of use of infrastructure in international rail traffic (CUI) 

Appendix F – Uniform Rules concerning the Validation of Technical Standards and 
the  Adoption  of  Uniform  Technical  Prescriptions  applicable  to  Railway  Material 
intended to be used in International Traffic (APTU UR) 

Appendix  G  –  Uniform  Rules  concerning  the  Technical  Admission  of  Railway 
Material used in International Traffic (ATMF UR) 

Appendix H – Uniform Rules concerning the safe operation of trains in  international 
traffic (EST UR) 

Based on Appendix F and G to COTIF there are 12 UTPs for technical interoperability.  

The  COTIF  applies  to  46  states,  including  26  EU  Member  States  (all  except  Malta  and 
Cyprus). 

2.2. 

The  agreement  between  the  European  Union  and  the  Intergovernmental 
Organisation Convention for International Carriage by Rail (OTIF) 

On  16  June  2011,  the  Council  adopted  Council  Decision  2013/103/EU6  signing  and 
concluding  the  Agreement  between  the  European  Union  and  OTIF  on  the  Accession  of  the 
European  Union  to  the  Convention  concerning  International  Carriage  by  Rail  (COTIF)  of 

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Council  Decision  2013/103/EU  of  16  June  2011  on  the  signing  and  conclusion  of  the  Agreement 
between the European Union and the Intergovernmental Organisation for International Carriage by Rail 
on the Accession of the European Union to the Convention concerning International Carriage by Rail 
(COTIF) of 9 May 1980, as amended by the Vilnius Protocol of 3 June 1999 (OJ L 51, 23.2.2013, p. 1). 

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9 May 1980, as amended by the Vilnius Protocol of 3 June 1999. The Agreement entered into 
force on 1st July 2011.  

The Union is a party to the Agreement as well as all Member States except Cyprus and Malta. 
Council  Decision  2013/103/EU  specifies  that  the  Commission  shall  represent  the  Union  at 
OTIF  meetings.  It  also  contains  a  Declaration  by  the  Union  concerning  the  exercise  of 
competence  (Annex  I)  and  provides  for  internal  arrangements  for  the  Council,  the  Member 
States and the Commission in proceedings under OTIF (Annex III).  

2.3. 

The OTIF Committee of Technical Experts 

The CTE is an organ of OTIF set up by Article 8 of the COTIF. It is made up of the OTIF 
Member States that apply Appendices F and G (APTU, ATMF) to COTIF.  

The  CTE  has  competence  in  matters  of  interoperability  and  technical  harmonisation  in  the 
railway  field  and  technical  approval  procedures.  It  develops  the  APTU  and  ATMF 
Appendices  and  its  Uniform  Rules,  which  apply  to  railway  material  intended  for  use  in 
international traffic, which concern in particular: 

 

 

 

 

 

 

the  adoption  of  technical  prescriptions  for  vehicles  and  infrastructure  and  the 
validation of standards; 

procedures concerning the assessment of conformity of vehicles; 

provisions concerning the maintenance of vehicles; 

responsibilities for train composition and the safe use of vehicles; 

provisions concerning risk evaluation and assessment; 

specifications for registers. 

The  CTE  currently  has  a  standing  working  group  (WG  TECH)  which  is  responsible  for 
preparing the former’s decisions. 

2.4. 

The adoption of acts by the CTE 

The usual adoption process for UTPs is prescribed in Articles 6 and 8 of APTU and may take 
about one and a half years.  

2.5. 

The envisaged acts to be adopted by written procedure by the CTE of OTIF 

The CTE put the following modifications up for decision to be adopted by written procedure: 

– 

– 

A proposal for a decision to modify the NVR; and 

A proposal for a decision to modify Annex 1 to the UTP TAF. 

2.5.1.  Modification of the NVR specifications 

The purpose of the decision to modify the NVR specifications is to maintain its equivalence 
with Commission implementing Decision (EU) 2018/1614.  

To  this  purpose,  the  modifications  concern  the  procedures  related  to  the  registers  and  the 
registrations. They do not concern the NVR software or functioning.  

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In summary, the modifications include the following: 

 

 

 

 

 

 

 

Introduction  of  the  new  requirement  according  to  which  the  non-EU  Contracting 
States  shall  inform  the  Secretary  General  of  OTIF  about  the  contact  details  of  the 
Registration  Entities,  which  would  then  be  published  by  the  Secretary  General  of 
OTIF (a newly added point 2.3); 

Introduction of a deadline (20 working days) to register the changes in the NVR (in 
point 3.2.3); 

Further  clarification  of  the  process  of  additional  registration  for  those  vehicles  that 
have  not  been  registered  in  the  NVR  and  connected  to  the  European  Centralised 
Virtual Vehicle Register (ECVVR) (3.2.5); 

Further clarification of how to transfer the registration between the NVRs and how to 
change European vehicle number (EVN) (3.2.6); 

Updating  the  tables  with  access  rights  (3.3)  and  the  list  of  harmonised  restriction 
codes (Appendix 1 – Restriction coding); 

Updating  the  structure  and  content  of  the  European  Identification  Number  (EIN) 
[Appendix 2: country code (field 1) and type of document (field 2)]; 

Editorial modifications throughout the text. 

In  accordance  with  Article  20  §  1  e)  of  COTIF  and  Article  13  §§  1,  4  and  5  of  the  ATMF 
Uniform Rules, the CTE is competent to take decisions concerning these amendments. 

2.5.2.  Modification of the UTP TAF 

The purpose of the decision to modify the UTP TAF is to maintain its equivalence with the 
TAF TSI included in Commission Regulation (EU) No 1305/2014 as recently modified. 

Like the TAF TSI, the UTP TAF makes reference to technical documents that are published 
and regularly updated on the website of the European Union Agency for Railways (usually at 
least  once  a  year).  The  latest  updates  to  these  technical  documents  are  minor  adaptations 
related  specifically  to  the  data  and  message  format  for  exchange  of  information  between 
railway undertakings and infrastructure managers. 

As  modification  of  these  references  formally  constitutes  a  modification  of  the  UTP  TAF,  it 
must  be  subject  to  a  decision  by  the  CTE  in  accordance  with  Article  20  §  1  b)  COTIF  and 
Article 6 APTU. 

The  envisaged  acts  will  be  legally  binding  on  the  OTIF  Member  States  and  the  regional 
economic integration organisations which have acceded to COTIF, in particular the European 
Union.  

2.6. 

Union competence and voting rights  

Pursuant to Article 6 of the EU-OTIF Agreement: 

"1.  For  decisions  in  matters  where  the  Union  has  exclusive  competence,  the  Union  shall 
exercise the voting rights of its Member States under the Convention.  

2. For decisions in matters where the Union shares competence with its Member States, either 
the Union or its Member States shall vote.  

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3. Subject  to  Article 26, paragraph  7, of  the Convention, the Union shall  have a number of 
votes  equal  to  that  of  its  Member  States  who  are  also  Parties  to  the  Convention.  When  the 
Union votes, its Member States shall not vote." 

Under  Union  law,  the  Union  has  acquired  exclusive  competence  in  matters  of  rail  transport 
where the COTIF or legal instruments adopted pursuant to it may affect or alter the scope of 
these  existing  Union  rules.  Union  rules  will  be  clearly  affected  by  the  adoption  of  such 
modifications  since  the  objective  of  the  measure  is  to  align  the  NVR  and  UTP  TAF  with 
respectively,  Commission  Implementing  Decision  (EU)  2018/1614  and  Commission 
Regulation (EU) No 1305/2014 as recently modified. 

Since  the  Union  has  exclusive  competence  on  the  matters  covered  by  the  two-
abovementioned CTE decisions, the Union, represented by the Commission, shall exercise the 
voting rights with respect to the adoption of these two decisions. 

3. 

POSITION TO BE TAKEN ON THE UNION'S BEHALF 

The Union should for all the above mentioned reasons vote in favour.  

4. 

LEGAL BASIS 

4.1. 

Procedural legal basis 

4.1.1.  Principles 

Article 218(9) of the Treaty on the Functioning of the European Union (TFEU) provides for 
decisions establishing ‘the positions to be adopted on the Union’s behalf in a body set up by 
an  agreement,  when  that  body  is  called  upon  to  adopt  acts  having  legal  effects,  with  the 
exception of acts supplementing or amending the institutional framework of the agreement.’ 

Article 218(9) TFEU applies regardless of whether the Union is a member of the body or a 
party to the agreement7. 

The concept of ‘acts having legal effects’ includes acts that have legal effects by virtue of the 
rules of international law governing the body in question. It also includes instruments that do 
not  have  a  binding  effect  under  international  law,  but  that  are  ‘capable  of  decisively 
influencing the content of the legislation adopted by the EU legislature’8. 

4.1.2.  Application to the present case 

The  acts  which  the  CTE  is  called  upon  to  adopt  constitute  acts  having  legal  effects.  The 
envisaged acts have legal effects because they modify the OTIF legal framework by aligning 
the COTIF UTPs with the EU TSIs regarding Subsystems and are binding upon the Union.  

Therefore, the procedural legal basis for the proposed decision is Article 218(9) TFEU. 

4.2. 

Substantive legal basis 

4.2.1.  Principles 

The  substantive  legal  basis  for  a  decision  under  Article  218(9)  TFEU  depends  primarily  on 
the  objective  and  content  of  the  envisaged  act  in  respect  of  which  a  position  is  adopted  on 

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Judgment  of 
ECLI:EU:C:2014:2258, paragraph 64.  
Judgment  of 
ECLI:EU:C:2014:2258, paragraphs 61 to 64.  

the  Court  of  Justice  of  7  October  2014,  Germany  v  Council,  C-399/12, 

the  Court  of  Justice  of  7  October  2014,  Germany  v  Council,  C-399/12, 

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behalf of the Union. If the envisaged act pursues two aims or has two components and if one 
of  those  aims  or  components  is  identifiable  as  the  main  one,  whereas  the  other  is  merely 
incidental, the decision under Article 218(9) TFEU must be founded on a single substantive 
legal basis, namely that required by the main or predominant aim or component. 

4.2.2.  Application to the present case 

The main objective and content of the envisaged act relate to rail transport. 

The substantive legal basis of the proposed decision, therefore, is Article 91 TFEU. 

4.3. 

Conclusion 

The  legal  basis  of  the  proposed  decision  should  be  Article  91  TFEU,  in  conjunction  with 
Article 218(9) TFEU. 

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2019/0143 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the position to be taken on behalf of the European Union in the written procedure to 
be launched by the Committee of Technical Experts of the Intergovernmental 
Organisation for International Carriage by Rail (OTIF) for the adoption of 
modifications to NVR and UTP TAF 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 91, in conjunction with Article 218(9) thereof, 

Having regard to the proposal from the European Commission, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

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The Union has acceded to the Convention concerning International Carriage by Rail of 
9  May  1980,  as  amended  by  the  Vilnius  Protocol  of  3  June  1999  (the  ‘COTIF'),  in 
accordance with Council Decision 2013/103/EU9.   

All Member States, with the exception of Cyprus and Malta, are parties to the COTIF. 

Pursuant to Article 8 of the COTIF, the Committee of Technical Experts ('CTE') of the 
Intergovernmental Organisation for International Carriage by Rail (OTIF) was set up. 
In  accordance  with  Article  20(1)(e)  of  the  COTIF  and  Articles  13(1),  (4)  and  (5)  of 
Appendix  G  (ATMF),  the  CTE  is  competent  to  take  decisions  on  the  adoption  or 
modification of the OTIF Register system – Rolling Stock National Vehicle Registers 
(NVR). In accordance with Article 20(1)(b) of the COTIF and Article 6 of Appendix F 
(APTU), the CTE is competent to take decisions on the adoption of Uniform Technical 
Prescriptions  Telematics  applications  for  freight  services  (UTP  TAF)  or  a  provision 
amending  a  UTP  based  on  Appendix  F  (APTU)  and  Appendix  G  (ATMF)  to  the 
COTIF Convention.  

The  CTE  will  adopt  by  written  procedure,  a  proposal  for  a  decision  to  modify  the 
NVR specifications and a proposal for a decision to modify Annex 1 to the UTP TAF.  

It is appropriate to establish the position to be taken on the Union's behalf in the CTE, 
as the proposed modifications will be binding on the Union.  

The  objective  of  these  amendments  is  to  align  the  NVR  and  UTP  TAF  with 
respectively Commission Implementing Decision (EU) 2018/161410 and Commission 
Implementing Regulation (EU) No 2019/77811. 

Council  Decision  2013/103/EU  of  16  June  2011  on  the  signing  and  conclusion  of  the  Agreement 
between the European Union and the Intergovernmental Organisation for International Carriage by Rail 
on the Accession of the European Union to the Convention concerning International Carriage by Rail 
(COTIF) of 9 May 1980, as amended by the Vilnius Protocol of 3 June 1999 (OJ L 51, 23.2.2013, p. 1). 
Commission  Implementing  Decision  (EU)  2018/1614  of  25  October  2018,  amending  and  repealing 
Commission Decision 2007/756/EC (OJ L 268, 26.10.2018, p. 53). 

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(7) 

The proposed amendments are in line with the law and the strategic objectives of  the 
Union by contributing to the alignment of OTIF legislation with the Union equivalent 
provisions, and should therefore be supported by the Union, 

HAS ADOPTED THIS DECISION: 

Article 1 

The position to be taken on the Union's behalf in the written procedure to be launched by the 
Committee of Technical Experts of the Convention concerning International Carriage by Rail 
of 9 May 1980 on the modifications to the NVR and to the Annex 1 to the UTP TAF shall be 
the following:  

1. 

2. 

To vote in  favour of the CTE proposed amendments  to  NVR, as found in the CTE 
Working Document TECH-19001-CTE12-5.1. 

To  vote  in  favour  on  the  CTE  proposed  amendment  to  UTP  TAF,  as  found  in  the 
CTE Documents TECH-18037-CTE12-5.2. 

After  its  adoption,  the  act  of  the  Committee  of  Technical  Experts  shall  be  published  in  the 
Official Journal of the European Union, indicating the date of their entry into force. 

Article 3 

This Decision is addressed to the Commission. 

Done at Brussels, 

For the Council 
The President 

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Commission  Implementing  Regulation  (EU)  No  2019/778  of  16  May  2019  amending  the  Annex  to 
Regulation (EU) No 1305/2014 as regards Change Control Management OJ L 139I, 27.5.2019, p. 356–
359. 

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