Explanatory Memorandum to COM(2002)22 - Amendment of Council Directive 96/48/EC and Directive 2001/16/EC on the interoperability of the trans-European rail system - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2002)22 - Amendment of Council Directive 96/48/EC and Directive 2001/16/EC on the interoperability of the trans-European rail system. |
|---|---|
| source | COM(2002)22  |
| date | 23-01-2002 |
Contents
- Interoperability of the trans-European high-speed rail system
- Interoperability of the trans-European conventional rail system
- Why amend the interoperability directives*
- Benefiting from experience
- Proposals for an Agency and for a directive on rail safety
- Comments on the articles
- Article 1(3)
- Article 1(4)
- Article 1(5)
- Article 1(6)
- Article 1(7)
- Article 1(8)
- Article 1(13)
- Article 1(16)
- Article 1(19)
- Article 2(3)
- Article 2(4)
- Article 2(5)
- Article 2(6)
- Article 2(7)
- Article 2(8)
- Article 2(11)
- Article 2(12)
- Article 2(13)
- Article 3
Under the EC Treaty (Articles 154 and 155), the Community has the task of contributing to the establishment and development of trans-European networks in the area of transport. In order to achieve these objectives, the Community must take any measures necessary to ensure the interoperability of the networks, particularly in the field of technical standardisation.
An initial measure was taken in the rail sector by the Council on 23 July 1996 when it adopted Directive 96/48/EC on the interoperability of the trans-European high-speed rail system.
In order to achieve the objectives of that directive, technical specifications for interoperability (TSIs) are drawn up by the European Association for Railway Interoperability (AEIF), which acts as the joint representative body defined in the directive, bringing together representatives of the infrastructure managers, railway companies and industry.
A number of tools and methodologies had to be developed in order to prepare the TSIs. Pending the adoption of TSIs, and in order to guide the technical choices made in the projects in progress in several Member States, the Commission adopted two instruments: Decision 2001/260/EC on the characteristics of the ERTMS i system and Recommendation 2001/290/EC on the basic parameters of the trans-European high-speed rail system.
A programme to develop the corresponding European standards was launched in 1998 and is regularly updated to reflect the work on TSIs.
The vast majority of Member States have notified national measures transposing the directive in national law as well as the independent bodies responsible for assessing the conformity and/or suitability for use of the interoperability constituents and for EC verification of subsystems.
The Commission is making considerable efforts to adopt a decision on the TSIs at the beginning of 2002 in order to ensure that, from 2002 onwards, new high-speed lines and upgraded lines can be built to the new interoperable standard.
Directive 2001/16/EC on the interoperability of the conventional rail system adopted on 19 March 2001, like that on the high-speed system, introduces Community procedures for the preparation and adoption of TSIs and common rules for assessing conformity to these specifications.
The directive requires a first group of priority TSIs to be adopted within three years, i.e. in 2004, in the following areas: control/command and signalling; telematics applications for freight services; traffic operation and management (including staff qualifications for cross-border services); freight wagons; and noise problems deriving from rolling stock and infrastructure.
Six months after the directive was published, the Commission has already obtained formal agreement from the Regulatory Committee on the first work programme, on the designation of the AEIF as the joint representative body and on the AEIF's mandate to develop the first group of TSIs.
Requests from the European Parliament
On 10 September 1999, the Commission adopted the report on the implementation and effects of Directive 96/48/EC [COM(1999) 414]. This report to the Council and the European Parliament was drawn up in conformity with Article 24 of Directive 96/48/EC and gave a first assessment of progress made in achieving the interoperability of the trans-European high-speed rail system.
In its resolution of 17 May 2000, the European Parliament 'calls on the Commission in its next report on the implementation and effects of Directive 96/48/EC to present proposals for revision of the Directive along the lines adopted for the future directive on interoperability of the conventional railway system, particularly as regards setting an order of priorities and a calendar and laying down social provisions'.
A number of lessons have been learned from the work on developing TSIs in the high-speed sector, the application of the directive to specific projects and the work of the Committee set up under Article 21 of Directive 96/48/EC, which have led the Commission to propose changes to the two rail interoperability directives.
They mainly concern the following points: precise objectives of the directive, geographical scope, technical scope, how the European specifications should be used, coordination of the notified bodies, application of the directive and of the TSIs in the case of upgrading, renewal and maintenance work, implementation strategy to be specified in the TSIs, verifications after placing in service, TSIs not covering all the essential requirements, need for registers of infrastructure and rolling stock and independence of the notified bodies.
The establishment of an Agency and the adoption of a directive on safety, as proposed jointly with this proposal, mean that some provisions of the two rail interoperability directives need to be reformulated.
In particular, the mandates for developing and reviewing the TSIs would no longer be addressed to the joint representative body, but to the Agency, which would assume responsibility for the draft TSI while relying on the joint working groups proposed by the JRB. The relationship between the Agency and the JRB is defined in the proposal for a regulation setting up the Agency. This regulation also provides that the Agency will be responsible for consulting the social partners and the organisations representing clients.
Adoption of the 'infrastructure package' (Directives 2001/12, 13 and 14)
The entry into force of these new directives also has an impact on the implementation of interoperability.
In particular, the complete opening up of the rail network to international freight services, scheduled for 2008 by Directive 2001/12/EC, implies the need to implement interoperability on the whole network. It is therefore necessary to extend the geographical scope, in particular since the related proposal to amend Directive 91/440/EEC provides for opening up the network sooner.
Nevertheless, this extension of scope does not imply total, forced harmonisation of the system. In reality, the interoperability process has several facets:
- application of a homogeneous legal framework. There is no boundary between the conventional trans-European network and the rest of the network: all trains must be able to operate safely and without interruption on the whole network. The application of identical essential requirements is the lowest common denominator desirable;
- application of an identical procedure for placing in service. It would be discriminatory to apply different procedures to trains intended to operate on the same infrastructure;
- search for the level of technical compatibility that is necessary and adequate to allow circulation of heterogeneous rolling stock through subsystem conformity with the TSIs. It goes without saying that the same TSI cannot be imposed on all rolling stock irrespective of the purpose for which the equipment is used, e.g. local, regional, national or Community transport. Proper use must therefore be made of the provisions of Article 5(3)(a) and (c), Article 23 and Annex I to Directive 2001/16/EC, which specify that TSIs should be drafted according to priorities, that priority should be given to rolling stock used in international transport, that rolling stock should be subdivided into several categories and that the TSI specifications may differ depending on the category of rolling stock;
- search for a level of technical harmonisation contributing to the gradual implementation of the internal market in equipment and services for the construction, renewal, upgrading and operation of the rail system. This would also require the development of harmonised standards, the application of which would not be obligatory.
Article 1 i and (2)
Articles 1 and 2 of Directive 96/48/EC must be made consistent with the text of Directive 2001/16/EC. This will also be an occasion to specify that upgrading and renewal work, too, is subject to interoperability conditions.
Article 3 of Directive 96/48/EC must be made consistent with Directive 2001/16/EC.
In the first paragraph, examples of supplementary TSIs are given.
In addition, a new paragraph has been added to take account of experience in developing TSIs in the high-speed sector as regards the relationship between the essential requirements of the directive and the TSIs on the one hand, and the European standards and other documents of a normative nature on the other. In particular, a distinction must be made between the standards or parts of standards which it is essential to make mandatory in order to achieve the objective of the directive, and 'harmonised' standards developed in the spirit of the new approach to technical harmonisation i.
The Agency will be responsible for developing, where appropriate, new TSIs and for reviewing those already adopted.
In addition, Article 6 of Directive 96/48/EC must be made consistent with Directive 2001/16/EC, particularly as regards taking account of the opinion of users and the social partners on draft TSIs.
Article 9 of Directive 96/48/EC must be made consistent with Directive 2001/16/EC.
The TSI specifies all the conditions to which an interoperability constituent must conform, and the procedure to be followed in assessing conformity.
Paragraphs 3 to 5 have become superfluous, as Article 5 of Directive 96/48/EC specifies the relationship between TSIs and standards. On the other hand, it is necessary to specify that every constituent has to be assessed as to its conformity and suitability for the use indicated in the TSIs and must have the corresponding certificate.
Clarification concerning the relationship between TSIs and standards, and alignment on Directive 2001/16/EC.
Article 14 of Directive 96/48/EC must be made consistent with Directive 2001/16/EC.
In addition, a provision has been added requiring 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 consultation by all Member States and by certain EU economic players. They must be consistent as regards the data format. The registers must therefore be covered by common operational and technical specifications. It is proposed that the Agency should be responsible for these specifications.
Article 1 i, (10) and (11)
Articles 15 to 18 of Directive 96/48/EC must be made consistent with Directive 2001/16/EC.
In addition, in view of the experience acquired by the Commission and the Committee while developing the 'rolling stock' TSI, it is proposed to specify the procedure that must be followed in the case of essential requirements applicable to a subsystem which have not yet been covered by exhaustive specifications in the corresponding TSI.
In such a case, it is proposed:
- to identify these aspects in an annex to the TSI;
- to require each Member State to communicate to the other Member States and to the Commission the list of its national technical regulations for the purposes of applying the essential requirements in respect of these aspects, the conformity assessment and verification procedures to be applied and the bodies it has designated to carry out the conformity assessment and verification procedures, given that the directive remains applicable.
Article 20 i of Directive 96/48/EC needs to be updated in the light of experience with coordination of the notified bodies.
Article 1 i and (15)
Updating of Directive 96/48/EC with regard to comitology, and alignment on Directive 2001/16/EC.
A provision similar to that in Directive 2001/12/EC is proposed, in order to authorise the Committee to examine the practical aspects of implementing certain provisions of Directive 96/48/EC without having to resort to cumbersome procedures such as amendment of the directive. In most cases, this concerns concepts not explicitly dealt with in the directive because of their high level of technical detail, but which it is nevertheless important to deal with in a consistent manner throughout the network, failing which the objective of the directive may not be fully achieved.
The text of Directive 96/48/EC must be made consistent with that of Directive 2001/16/EC as regards the registers of infrastructure and rolling stock.
Article 1 i and (18)
Annexes I and II have been made consistent with Directive 2001/16/EC.
In Annex I, the definition of rolling stock has been clarified: Directive 96/48/EC also covers rolling stock designed to be used only on track upgraded for high-speed operation, at speeds of the order of 200 km/h. This requires the rolling stock TSI to be reviewed, which the joint representative body drafted with a restrictive interpretation of the current directive, as if the directive applied only to rolling stock designed to operate at speeds equal to or greater than 250 km/h on lines specially built for high-speed operation and, secondarily, to speeds of the order of 200 km/h on upgraded lines.
In Annex VII, it is important to specify the concept of independence of a notified body in order to ensure consistency with the provisions of the directive on railway safety submitted jointly with this proposal.
Article 2 i and (2)
The publication on 15 March 2001 of the 'infrastructure package' has an impact on the implementation of interoperability. In particular, the complete opening up of the railway network to international freight services, scheduled in 2008 by Directive 2001/12/EC, implies the need to make the whole network interoperable.
Some definitions of Directive 2001/16/EC must be revised in the light of recent work to adopt TSIs in the high-speed sector; it is important that any given concept should be defined in the same way in both areas (high speed and conventional rail).
A new paragraph has been added to take account of experience in developing TSIs in the high-speed sector with regard to the relationship between the essential requirements of the directive and the TSIs on the one hand, and the European standards and other documents of a normative nature on the other. In particular, a distinction must be made between the standards or parts of standards which it is essential to make mandatory in order to achieve the objective of the directive, and 'harmonised' standards developed in the spirit of the new approach to technical harmonisation i.
The Agency will be responsible for developing, where appropriate, new TSIs and for reviewing those already adopted.
The TSI specifies all the conditions to which an interoperability constituent must conform, and the procedure to be followed in assessing conformity.
Paragraphs 3 to 5 have become superfluous, as Article 5 of Directive 2001/16/EC specifies the relationship between TSIs and standards. On the other hand, it is necessary to specify that every constituent must be assessed as to its conformity and suitability for the use indicated in the TSIs and have the corresponding certificate.
Amendment to Article 11 of Directive 2001/16/EC concerning the relationship between TSIs and standards.
As in the case of the amendment of Directive 96/48/EC, a provision has been added to Article 14 of Directive 2001/16/EC requiring Member States to assign an identification code to each vehicle put into service. The vehicle is then entered in a national vehicle register. The national registers must be open to consultation by all Member States and by certain EU economic players. They must be consistent as regards the data format. The registers must therefore be covered by common operational and technical specifications. It is proposed that the Agency should be responsible for these specifications.
Article 2 i and (10)
In view of the experience acquired by the Commission and the Committee while developing the 'rolling stock' TSI, it is proposed to specify, in Articles 16 i and 17 of Directive 2001/16/EC, the procedure that must be followed in the case of essential requirements applicable to a subsystem which have not yet been covered by exhaustive specifications in the corresponding TSI.
Article 20 i of Directive 2001/16/EC needs to be updated in the light of experience with coordination of the notified bodies.
A provision similar to that in Directive 2001/12/EC is proposed, in order to authorise the Committee to examine the practical aspects of implementing certain provisions of Directive 2001/16/EC without having to resort to cumbersome procedures such as amendment of the directive.
In Annex VII, it is important to specify the concept of independence of a notified body in order to ensure consistency with the provisions of the directive on railway safety submitted jointly with this proposal.
It is important to take all necessary measures to ensure that the application of the provisions of this Directive preserve as far as possible:
- the work already mandated in the framework of Directives 96/48/EC and 2001/16/EC. For example, the development by the AEIF of priority TSIs in the framework of Directive 2001/16/EC must not be affected by the entry into force of the amendments to Directive 2001/16/EC;
- the application of these Directives by Member States in the framework of projects that are at an advanced stage of development when this Directive enters into force.