Proposal for a COUNCIL DECISION on the position to be taken on behalf of the European Union at the 13th meeting of the Committee of Technical Experts of the Intergovernmental Organisation for International Carriage by Rail (OTIF) for the adoption of modifications to UTP locomotives and passenger rolling stock, UTP rolling stock – freight wagons, UTP concerning accessibility of the rail system for persons with disabilities and persons with reduced mobility, the adoption of the UTP applicable to train composition and route compatibility checks and the UTP applicable to the subsystem infrastructure, the upgrade of the references to the Technical Documents of TAF TSI listed in Appendix I of UTP TAF, and for the revision of ATMF with regard to Entities in Charge of Maintenance (ECM)
Date: 2021-04-15
Institutions: Directorate-General for Mobility and Transport, European Commission
Subjects: carriage of goods, carriage of passengers, disabled person, international convention, international organisation, international transport, revision of an agreement, technical specification, technical standard, vehicle on rails

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   EUROPEAN COMMISSION  Brussels, 15.4.2021 COM(2021) 178 final 2021/0095 (NLE)  Proposal for a COUNCIL DECISION on the position to be taken on behalf of the European Union at the 13th meeting of the Committee of Technical Experts of the Intergovernmental Organisation for International Carriage by Rail (OTIF) for the adoption of modifications to UTP locomotives and passenger rolling stock, UTP rolling stock – freight wagons, UTP concerning accessibility of the rail system for persons with disabilities and persons with reduced mobility, the adoption of the UTP applicable to train composition and route compatibility checks and the UTP applicable to the subsystem infrastructure, the upgrade of the references to the Technical Documents of TAF TSI listed in Appendix I of UTP TAF, and for the revision of ATMF with regard to Entities in Charge of Maintenance (ECM)  
 
EXPLANATORY MEMORANDUM 

SUBJECT MATTER OF THE PROPOSAL 

1. 
The  13th  session  of  the  Committee  of  Technical  Experts  (CTE)  of  the  Intergovernmental 
Organisation  for  International  Carriage  by  Rail  (OTIF)  will  take  place  in  Bern  on  22  June 
2021. The agenda of the meeting includes: 

– 

– 

– 

– 

– 

– 

– 

A  proposal  for  modification  of  the  UTP  concerning  locomotives  and  passenger 
rolling stock;  

A proposal for modification of the UTP concerning rolling stock – freight wagons; 

A  proposal  for  modification  of  the  UTP  concerning  accessibility  of  the  rail  system 
for persons with disabilities and persons with reduced mobility; 

A  proposal  for  adoption  of  the  UTP  applicable  to  train  composition  and  route 
compatibility checks; 

A proposal for adoption of the UTP applicable to the subsystem infrastructure; 

A proposal for revision of ATMF with regard to Entities in Charge of Maintenance 
(ECM); 

A proposal to update the references to the Technical Documents of TAF TSI listed in 
Appendix I of UTP TAF. 

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 Convention concerning International Carriage by Rail of 9 May 1980, as amended by the 
Vilnius  Protocol  of  3  June  1999  (‘COTIF’),  is  an  international  agreement  where  both  the 
Union and 25 Member States are Contracting Parties (only Cyprus and Malta are not).  

The European Union acceded to the COTIF by means of Council Decision 2013/103/EU of 
16  June  20111.  Annex  III  to  that  Decision  established  the  internal  arrangement  for  the 
Council,  the  Member  States  and  the  Commission  in  proceedings  under  OTIF.  According  to 
point  3.1  of  this  Annex  III,  where  an  agenda  item  deals  with  matters  of  exclusive  Union 
competence, the Commission will vote for the Union.  

According to Article 2(1) of the COTIF, OTIF aims at promoting, improving and facilitating, 
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.  

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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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COTIF therefore deals  with  rail  legislation on a number of different  legal  and technical  rail 
matters  that  are  divided  in  two  parts:  the  Convention  itself,  which  governs  the  running  of 
OTIF, and the eight Appendices that establish uniform railway law: 

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– 

– 

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 Uniform Technical Prescriptions (UTPs) 
for technical interoperability. The UTPs in the framework of COTIF have the same purpose as 
the  EU  technical  specifications  for  interoperability  (TSIs)  for  admission  to  international 
traffic. 

42 out of the 47 States that are Party to the COTIF, including the already mentioned 25 EU 
Member States, apply Appendix F and G. 

2.2. 

The OTIF Committee of Technical Experts (CTE) 

The  CTE  is  set  up  by  Article  13  (1)  (f)  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. 

Pursuant to Article 20(1) (b) of the COTIF, and in accordance with Article 6 of Appendix F 
(APTU),  the  CTE  is  competent  to  adopt  or  to  amend  the  UTPs.  In  accordance  with 
Article 15(2) of ATMF, the CTE is competent to propose amendments to ATMF with regard 
to Entities in Charge of Maintenance (ECMs). 

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2.3. 

The adoption of acts by the CTE 

According to Article 6 of APTU, the CTE shall decide whether to adopt a UTP or a provision 
amending it in accordance with the procedure laid down in Articles 16, 20 and 33 § 6 of the 
Convention. The usual adoption process for UTPs may take about one and a half years.  

2.4. 

The envisaged acts to be adopted by the CTE during the session on 22 June 2021 

2.4.1.  Modification  of  the  UTP  concerning  locomotives  and  passenger  rolling  stock,  the 
UTP concerning rolling stock freight wagons and the UTP concerning accessibility 
of the rail system for persons with disabilities and persons with reduced mobility 

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. The UTPs in OTIF have the same purpose as the EU technical specifications 
for interoperability (TSIs).  

In order to ensure the equivalence of vehicles authorised in accordance with European Union 
law and vehicles admitted to international operation in accordance with Article 3a of ATMF, 
it is necessary that the European Union TSIs and COTIF UTPs remain aligned.  

The  modifications  proposed  for  adoption  by  CTE  will  ensure  continued  full  equivalence  as 
defined by ATMF between the European Union and COTIF provisions. 

 

UTP concerning locomotives and passenger rolling stock (LOC&PAS) 

This UTP is a specification by which a particular subsystem is addressed in order to meet the 
essential  requirements  and  ensure  the  interoperability  of  the  technical  systems  and 
components  necessary  in  international  rail  traffic.  The  current  UTP  LOC&PAS  was 
developed on the basis of the  European Union Commission Regulation  (EU) No 1302/2014 
(LOC&PAS TSI)2. 

The aim of this proposal to  modify the UTP  LOC&PAS  is  to incorporate the new elements 
brought about  by  the  revision of the  APTU Uniform  Rules of 1 March  2019 and to keep it 
aligned with the European Union LOC&PAS TSI as amended by the EU on 16 May 2019 by 
Commission Implementing Regulation (EU) 2019/7763 and on 9 March 2020 by Commission 
Implementing Regulation (EU) 2020/3874. 

In order to ensure the continued mutual recognition of vehicles authorised in accordance with 
European  Union  law  and  vehicles  admitted  to  international  operation  in  accordance  with 
Article 3a of ATMF, the European Union TSIs and COTIF UTPs must remain aligned. 

In  addition,  following  Brexit, the specific cases  for the Great  Britain network of the United 
Kingdom of Great Britain and Northern Ireland should be listed in the UTP as consequence of 
their elimination in the TSI. 

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Commission Regulation (EU) No 1302/2014 of 18 November 2014 concerning a technical specification 
for interoperability relating to the ‘rolling stock — locomotives and passenger rolling stock’ subsystem 
of the rail system in the European Union (OJ L 356, 12.12.2014, p. 228) 
Commission  Implementing  Regulation  (EU)  2019/776  of  16  May  2019  amending  Commission 
Regulations (EU) No 321/2013, (EU) No 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) 
No  1303/2014  and  (EU)  2016/919  and  Commission  Implementing  Decision  2011/665/EU  as  regards 
the  alignment  with  Directive  (EU)  2016/797  of  the  European  Parliament  and  of  the  Council  and  the 
implementation of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (OJ L 
139I , 27.5.2019, p. 108) 
Commission Implementing Regulation (EU) 2020/387 of 9 March 2020 amending Regulations (EU) No 
321/2013,  (EU)  No  1302/2014  and  (EU)  2016/919  as  regards  the  extension  of  the  area  of  use  and 
transition phases (OJ L 73, 10.3.2020, p. 6) 

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Conclusion: the European Union can vote in favour of the UTP rolling stock locomotives and 
passenger amendment as proposed by OTIF.  

 

UTP concerning rolling stock – freight wagons (UTP WAG) 

The UTP freight wagons lays down requirements with regard to the vehicles designed to carry 
lorries.  They  are  currently  equivalent  to  the  WAG  TSI  modified  by  European  Union 
Commission Implementing Regulation (EU) No 2019/776 of 16 May 2019. 

The aim of this proposal to modify the UTP WAG is to incorporate the new elements brought 
about  by  the  revision  of  the  APTU  Uniform  Rules  of  1  March  2019  and  to  keep  it  aligned 
with legal developments in the European Union. 

The  European  Union  published  Commission  Implementing  Regulation  (EU)  2020/387  of 
9 March  2020,  which  newly  amended  the  WAG  TSI.  As  a  result,  the  UTP  WAG  has  to  be 
modified again in order to ensure continued equivalence between UTP and TSI. 

In  addition,  following  Brexit, the specific cases  for the Great  Britain network of the United 
Kingdom of Great Britain and Northern Ireland should be listed in the UTP as consequence of 
their elimination in the TSI. 

Conclusion: the European Union can vote in favour of the UTP Freight Wagons amendment 
as proposed by OTIF.  

 

UTP concerning persons with disabilities (UTP PRM) 

The  UTP  PRM  lays  down  harmonized  requirements  for  accessibility  for  persons  with 
disabilities  and  persons  with  reduced  mobility  applicable  to  vehicles  used  in  international 
traffic. The current UTP PRM was developed on the basis of the European Union PRM TSI of 
2014. 
This EU TSI has been amended by Commission Implementing Regulation (EU) 2019/772  5of 
16  May  2019  as  regards  the  inventory  of  assets  with  a  view  to  identifying  barriers  to 
accessibility,  providing  users  with  information  and  monitoring  and  evaluating  progress  on 
accessibility. 

In order to ensure the continued mutual recognition of vehicles authorised in accordance with 
European  Union  law  and  vehicles  admitted  to  international  operation  in  accordance  with 
Article 3a of ATMF, the European Union TSIs and COTIF UTPs must remain aligned. 

The proposed modifications will align the UTP  PRM with  the latest  version  of the TSI  and 
will ensure continued full equivalence in the meaning of ATMF of the PRM rules for vehicles 
used in international traffic by rail. 

In  addition,  following  Brexit, the specific cases  for the Great  Britain network of the United 
Kingdom of Great Britain and Northern Ireland should be listed in the UTP as consequence of 
their elimination in the TSI. 

Conclusion: the European Union can vote in favour of the UTP PRM amendment as proposed 
by OTIF. 

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Commission Implementing Regulation (EU) 2019/772 of 16 May 2019 amending Regulation (EU) No 
1300/2014 as regards inventory of assets with a view to identifying barriers to accessibility, providing 
information  to  users  and  monitoring  and  evaluating  progress  on  accessibility  (OJ  L  139I,  27.5.2019, 
p.1)  

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2.4.2.  Adoption of the UTP applicable to train composition and route compatibility checks, 

and subsystem infrastructure 

 

UTP applicable to train composition and route compatibility checks (UTP TCRC) 

This  UTP  lays  down  detailed  provisions  concerning  the  responsibilities  of  railway 
undertakings on composition of trains for use in international traffic and the responsibilities of 
infrastructure  managers  on  checking  compatibility  between  trains  and  the  routes  on  which 
they are intended to be used. 

The  proposed  UTP  TCRC  combines  a  select  number  of  parameters  from  two  different  EU 
legal texts, namely the Technical Specifications for Interoperability concerning operation and 
traffic management (OPE TSI) and the specifications for the register of infrastructure (RINF). 

The UTP WAG and the UTP LOC&PAS contain references to route compatibility checks, in 
which railway undertakings check all relevant parameters of vehicles or trains to ensure their 
compatibility with the route on which they will be used. The provisions of the proposed UTP 
TCRC are intended to replace both Appendix I to the UTP WAG and Appendix K to the UTP 
LOC&PAS. 

Consequently,  Appendix  I  to  the  UTP  WAG  in  the  version  adopted  by  the  Committee  of 
Technical Experts on 30 September 2020, with a date of entry into force of 1 April 2021, and 
Appendix  K  to  the  UTP  LOC&PAS  of  1  January  2015  should  be  repealed  upon  entry  into 
force of the UTP TCRC. 

Conclusion: the European Union can vote in favour of the UTP TCRC adoption as proposed 
by OTIF. 

 

UTP applicable to the subsystem infrastructure (UTP INF) 

This  UTP  sets  out  the  railway  infrastructure  parameters  that  are  relevant  in  terms  of 
compatibility with vehicles and specific methods to check these parameters.  

The Committee of Technical Experts analysed the legal basis in detail and formulated guiding 
principles and aims for the development of the UTP INF. 

The UPT INF was drafted following the view of WG TECH, and is based on the INF TSI as 
last amended by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019. 

Conclusion: the European Union can vote in favour of the UTP INF adoption as proposed by 
OTIF. 

2.4.3.  Revision of ATMF with regard to Entities in Charge of Maintenance (ECM). 

In  order  to  ensure  continued  equivalence  as  defined  by  ATMF  Article  3a  §  5  between 
European Union rules and COTIF rules, the COTIF rules should be modified.  

The main objective of the new text is to extend the scope of certification beyond its previous 
one,  which  was  limited  to  the  certification  of  ECMs  for  freight  wagons,  to  all  types  of 
vehicles.  

As a consequence, and irrespective of the question of whether certification is mandatory for a 
particular  ECM,  every  ECM,  including  those  not  certified  by  external  certification  bodies, 
must  comply  with  the  general  requirements  and  criteria  ensuring  minimum  levels  of 
maintenance, as set out in Annex II of the UTP proposal.  

The ATMF Uniform Rules (Appendix G to COTIF and further referred to as ATMF) set out 
general rules concerning entities in charge of maintenance (ECMs). 

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In summary, there are two reasons for modifying the current texts:  

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– 

The scope of certification of ECMs in the new Annex A to ATMF extends beyond 
freight wagons. This should be reflected, particularly in Article 15 of ATMF, which 
currently mandates the certification of ECMs for freight wagons only. 

ATMF  makes  reference  in  Article  3a  to  EU  legislation  that  is  no  longer  in  force 
(Directive  2004/49/EC  6has  been  repealed  and  replaced  by  Directive  (EU) 
2016/7987). 

Conclusion:  the  European  Union  can  vote  in  favour  of  the  full  revision  of  the  Entities  in 
Charge of Maintenance (ECM) specifications as proposed by OTIF. 

2.4.4.  Upgrade references to the Technical Documents of TAF TSI listed in Appendix I of 

UTP TAF 

The UTP TAF makes reference to the TSI TAF technical documents8 that are published and 
regularly  updated  on  the  website  of  the  EU  Agency  for  Railways  (ERA).  Such  a  reference 
was included in the UTP so that the IT provisions are enshrined in COTIF, but managed by 
ERA. As modification of these references formally constitutes modification of the UTP TAF, 
it  must  be  subject  to  a  decision  by  the  Committee  of  Technical  Experts  in  accordance  with 
Article 20 § 1 b) COTIF and Articles 6 and 8a APTU. 

As a consequence, modifications of the technical documents referred to in Appendix I of the 
UTP TAF are necessary in order to correct errors, take feedback into account, keep up with 
technical progress and maintain equivalence with the specifications applied in the EU. 

Conclusion: the European Union can vote in favour of the proposal to update the references to 
the Technical Documents of TAF TSI made by OTIF. 

2.5. 

Union competence and voting rights  

to  Article  6  of 

the 
Pursuant 
Intergovernmental  Organisation  for  International  Carriage  by  Rail  on  the  Accession  of  the 
European Union to the COTIF approved by Council Decision of 16 June 2011: 

the  European  Union  and 

the  Agreement  between 

"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.  

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.  

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Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 on safety on the 
Community's  railways  and  amending  Council  Directive  95/18/EC  on  the  licensing  of  railway 
undertakings  and  Directive  2001/14/EC  on  the  allocation  of  railway  infrastructure  capacity  and  the 
levying  of  charges  for  the  use  of  railway  infrastructure  and  safety  certification  (Railway  Safety 
Directive) 
Directive  (EU)  2016/798  of  the  European  Parliament  and  of  the  Council  of  11  May  2016  on  railway 
safety (OJ L 138, 26.5.2016, p. 102) 
Commission Implementing Regulation (EU) 2019/778 of 16 May 2019 amending Regulation (EU) No 
1305/2014 as regards Change Control Management (OJ L 139I , 27.5.2019, p. 356) 

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The objective of the proposed decisions is to: 

 

 

 

 

 

 

align the UTP locomotives and passenger rolling stock and the UTP rolling stock  – 
freight wagons with Commission Implementing Regulation (EU) 2020/3879,  

align the UTP concerning accessibility of the rail system for persons with disabilities 
and persons with reduced mobility with Commission Implementing Regulation (EU) 
2019/77210,  

adopt a new UTP applicable to train composition and route compatibility checks in 
line with Commission Implementing Regulation (EU) 2019/77311, 

adopt a new UTP applicable to the subsystem infrastructure in line with Commission 
Regulation  (EU)  No  1299/201412  as  amended  by  Commission  Implementing 
Regulation (EU) 2019/77613, 

propose  to  the  revision  committee  of  OTIF  a  revision  of  ATMF  with  regard  to 
Entities in Charge of Maintenance (ECM) to align with Directive (EU) 2016/79814, 

align the references to the Technical Documents of TAF TSI listed in Appendix I of 
UTP TAF15. 

Union rules will be clearly affected by the adoption of these decisions.  

The Union, represented by the Commission, shall exercise the voting rights with respect to the 
adoption of these decisions.  

3. 

POSITION TO BE TAKEN ON THE UNION'S BEHALF 

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

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Commission  Implementing  Regulation  (EU)  2020/387  of  9  March  2020  amending  Regulations  (EU) 
No 321/2013, (EU) No 1302/2014 and (EU) 2016/919 as regards the extension of the area of use and 
transition phases (OJ L 73, 10.3.2020, p.6) 
Commission  Implementing  Regulation  (EU)  2019/772  of  16  May  2019  amending  Regulation  (EU) 
No 1300/2014  as  regards  inventory  of  assets  with  a  view  to  identifying  barriers  to  accessibility, 
providing  information  to  users  and  monitoring  and  evaluating  progress  on  accessibility  (OJ  L  139I, 
27.5.2019, p. 1)  
Commission  Implementing  Regulation  (EU)  2019/773 of  16  May  2019  on  the  technical  specification 
for interoperability relating to the operation and traffic management subsystem of the rail system within 
the European Union and repealing Decision 2012/757/EU (OJ L 139I , 27.5.2019, p. 5) 
Commission Regulation (EU) No 1299/2014 of 18 November 2014 on the technical specifications for 
interoperability  relating  to  the  ‘infrastructure’  subsystem  of  the  rail  system  in  the  European  Union 
(OJ L 356, 12.12.2014, p. 1) 
Commission  Implementing  Regulation  (EU)  2019/776  of  16  May  2019  amending  Commission 
Regulations (EU) No 321/2013, (EU) No 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) 
No  1303/2014  and  (EU)  2016/919  and  Commission  Implementing  Decision  2011/665/EU  as  regards 
the  alignment  with  Directive  (EU)  2016/797  of  the  European  Parliament  and  of  the  Council  and  the 
implementation  of  specific  objectives  set  out  in  Commission  Delegated  Decision  (EU)  2017/1474 
(OJ L 139I , 27.5.2019, p. 108) 
Directive  (EU)  2016/798  of  the  European  Parliament  and  of  the  Council  of  11  May  2016  on  railway 
safety (OJ L 138, 26.5.2016, p. 102) 
Commission  Implementing  Regulation  (EU)  2019/778  of  16  May  2019  amending  Regulation  (EU) 
No 1305/2014 as regards Change Control Management (OJ L 139I , 27.5.2019, p. 356) 

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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 agreement16. 

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’17. 

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, ECM regulation and Vehicle Register specifications with 
the respective EU implementing regulations 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 
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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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, 

9 

  EN 

                                                 
2021/0095 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the position to be taken on behalf of the European Union at the 13th meeting of the 
Committee of Technical Experts of the Intergovernmental Organisation for 
International Carriage by Rail (OTIF) for the adoption of modifications to UTP 
locomotives and passenger rolling stock, UTP rolling stock – freight wagons, UTP 
concerning accessibility of the rail system for persons with disabilities and persons with 
reduced mobility, the adoption of the UTP applicable to train composition and route 
compatibility checks and the UTP applicable to the subsystem infrastructure, the 
upgrade of the references to the Technical Documents of TAF TSI listed in Appendix I 
of UTP TAF, and for the revision of ATMF with regard to Entities in Charge of 
Maintenance (ECM) 

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) 

The  Union  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/EU18.  

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

Pursuant  to  Article  13(1)  (f)  of  the  COTIF,  the  Committee  of  Technical  Experts 
('CTE')  of  the  Intergovernmental  Organisation  for  International  Carriage  by  Rail 
(OTIF) was set up.  

Pursuant  to  Article  20(1)  (b)  of  the  COTIF,  and  in  accordance  with  Article  6  of 
Appendix  F  (APTU),  the  CTE  is  competent  to  adopt  or  to  amend,  inter  alia,  the 
Uniform  Technical  Prescriptions  (UTP)  concerning  locomotives  and  passengers 
rolling stock (UTP Loc&Pas), freight wagons (UTP Wagons), accessibility of the rail 
system  for  persons  with  disabilities  and  persons  with  reduced  mobility  (UTP  PRM), 
the technical documents referred to in Appendix I of telematics application for freight 
(UTP  TAF), the UTP applicable to  train  composition  and route compatibility  checks 
and the UTP applicable to the subsystem infrastructure. 

(5) 

Finally, in accordance with Article 15 (2) of ATMF, the CTE is competent to propose 
the revision of ATMF with regard to Entities in Charge of Maintenance (ECM). 

18 

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) 

EN 

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(6) 

(7) 

(8) 

The CTE has included in the agenda of its 13th session that will take place on 22 June 
2021,  a  proposal  for  decisions  to  amend  the  UTP  locomotives  and  passenger  rolling 
stock, the UTP rolling stock – freight wagons, the UTP concerning accessibility of the 
rail system for persons with disabilities and persons with reduced mobility, and for the 
adoption  of  the  UTP  applicable  to  train  composition  and  route  compatibility  checks 
and the UTP applicable to the subsystem infrastructure, the upgrade of the references 
to  the  Technical  Documents  of  TAF  TSI  listed  in  Appendix  I  of  UTP  TAF,  and  the 
revision of ATMF with regard to Entities in Charge of Maintenance (ECM). 

It is appropriate to establish the position to be taken on the Union's behalf in the CTE 
and,  as  regards  the  revision  of  ATMF,  the  Revision  Committee  of  OTIF,  as  the 
proposed decisions will be binding on the Union.  

Implementing  Regulation 

The  objectives  of  those  decisions  are  to  align  the  UTP  locomotives  and  passenger 
rolling  stock,  the  UTP  rolling  stock  –  freight  wagons,  the  UTP  concerning 
accessibility of the rail system for persons with disabilities and persons with reduced 
(EU)  2020/38719  and 
mobility,  with  Commission 
Commission  Implementing Regulation  (EU) 2019/77220 respectively, to  adopt  a new 
UTP  applicable  to  train  composition  and  route  compatibility  checks  and  a  new  UTP 
applicable  to  the  subsystem  infrastructure  in  line  with  Commission  Implementing 
Regulation  (EU)  2019/773  21  and  Commission  Regulation  (EU)  No  1299/201422  as 
amended by Commission Implementing Regulation (EU) 2019/77623 and to propose to 
the  Revision  Committee  of  OTIF  a  revision  of  ATMF  with  regard  to  Entities  in 
Charge of Maintenance (ECM) to align it with Directive (EU) 2016/79824. 

(9) 

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

HAS ADOPTED THIS DECISION: 

Article 1 
The  position  to  be  taken  on  the  Union's  behalf  during  the  13th  session  of  the  Committee  of 
Technical Experts of the Convention concerning International Carriage by Rail of 9 May 1980 

19 

20 

21 

22 

23 

24 

Commission Implementing Regulation (EU) 2020/387 of 9 March 2020 amending Regulations (EU) No 
321/2013,  (EU)  No  1302/2014  and  (EU)  2016/919  as  regards  the  extension  of  the  area  of  use  and 
transition phases (OJ L 73, 10.3.2020, p. 6)  
Commission  Implementing  Regulation  (EU)  2019/772  of  16  May  2019  amending  Regulation  (EU) 
No 1300/2014  as  regards  inventory  of  assets  with  a  view  to  identifying  barriers  to  accessibility, 
providing  information  to  users  and  monitoring  and  evaluating  progress  on  accessibility  (OJ  L  139I  , 
27.5.2019, p. 1)  
Commission  Implementing  Regulation  (EU)  2019/773 of  16  May  2019  on  the  technical  specification 
for interoperability relating to the operation and traffic management subsystem of the rail system within 
the European Union and repealing Decision 2012/757/EU (OJ L 139I , 27.5.2019, p. 5) 
Commission Regulation (EU) No 1299/2014 of 18 November 2014 on the technical specifications for 
interoperability  relating  to  the  ‘infrastructure’  subsystem  of  the  rail  system  in  the  European  Union 
(OJ L 356, 12.12.2014, p. 1) 
Commission  Implementing  Regulation  (EU)  2019/776  of  16  May  2019  amending  Commission 
Regulations (EU) No 321/2013, (EU) No 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) 
No  1303/2014  and  (EU)  2016/919  and  Commission  Implementing  Decision  2011/665/EU  as  regards 
the  alignment  with  Directive  (EU)  2016/797  of  the  European  Parliament  and  of  the  Council  and  the 
implementation  of  specific  objectives  set  out  in  Commission  Delegated  Decision  (EU)  2017/1474 
(OJ L 139I , 27.5.2019, p. 108) 
Directive  (EU)  2016/798  of  the  European  Parliament  and  of  the  Council  of  11  May  2016  on  railway 
safety (OJ L 138, 26.5.2016, p. 102) 

EN 

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on  the  modifications  to  the  UTP  locomotives  and  passengers  rolling  stock,  UTP  freight 
wagons,  UTP  concerning  accessibility  of  the  rail  system  for  persons  with  disabilities  and 
persons  with  reduced  mobility,  on  the  adoption  of  the  UTP  applicable  to  train  composition 
and route compatibility checks and the UTP applicable to the subsystem infrastructure, on the 
upgrade  of  the  references  to  the  Technical  Documents  of  TAF  TSI  listed  in  Appendix  I  of 
UTP  TAF,  and  on  the  revision  of  ATMF  with  regard  to  Entities  in  Charge  of  Maintenance 
(ECM) shall be the following:  

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

to  vote  in  favour  of  the  CTE  proposed  amendments  to  UTP  locomotives  and 
passenger  rolling  stock,  as  found  in  the  CTE  Working  Document  TECH-20041-
CTE13-UTP LOC PAS annex and TECH-20041 LOC PAS decision;  

to  vote  in  favour  of  the  CTE  proposed  amendments  to  UTP  rolling  stock  –  freight 
wagons, as found in the CTE Working Document TECH-20042-CTE13 WAG draft 
amendments and TECH-20042 WAG decision; 

to vote in favour of the CTE proposed amendments to UTP concerning accessibility 
of the rail system for persons with disabilities and persons with reduced mobility, as 
found  in  the  CTE  Working  Document  TECH-20043-CTE  UTP  PRM  draft 
amendments and TECH-20043 PRM decision; 

to  vote  in  favour  of  the  CTE  proposed  adoption  of  the  UTP  applicable  to  train 
composition and route compatibility checks as found in the CTE Working Document 
TECH-20039 UTP TCRC and TECH-20039 TCRC decision; 

to  vote  in  favour  of  the  CTE  proposed  adoption  of  the  UTP  applicable  to  the 
subsystem infrastructure as found in the CTE Working Document TECH-20040-UTP 
INF draft and TECH-20040 INF decision; 

to  vote  in  favour  of  the  CTE  proposal  to  update  the  references  to  the  Technical 
Documents  of  TAF  TSI  listed  in  Appendix  I  of  UTP  TAF,  as  found  in  the  CTE 
Working Document TECH-21009-CTE UTP TAF decision. 

to vote in favour of the for the revision of ATMF with regard to Entities in Charge of 
Maintenance (ECM), as found in the CTE Working Document TECH-20045 ATMF 
Decision;  

Once adopted, the decisions 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 2 

This Decision is addressed to the Commission. 

Done at Brussels, 

For the Council 
The President 

EN 

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