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| dossier | COM(2023)443 - Gebruik van spoorweginfrastructuurcapaciteit in de gemeenschappelijke Europese spoorwegruimte. |
|---|---|
| document | COM(2023)443  |
| datum | 11 juli 2023 |
CEF funds will cover only part the costs of activities (1) and (2) described in box 1.5.5. above (co-financing), as the proposed Regulation requires stakeholders to provide a significant part of the funding necessary to cover the costs of these activities.
The control strategy for procurements and grants in DG MOVE includes specific ex-ante legal, operational and financial controls on the procedures as well as on the signature of contracts and agreements. In addition, expenditure made to procure goods and services is subject to ex ante and, when necessary, ex post financial controls.
2.2.2.Information concerning the risks identified and the internal control system(s) set up to mitigate them
The pre-identified recipients of CEF technical assistance grants (see point 1.5.5. above) are regarded as low-risk beneficiaries. Potential risks would therefore be covered by the existing mechanisms of the Financial Regulation and mitigated by the set of internal controls of DG MOVE (systematic ex ante legal and financial controls, ex post audits of expenditure as defined in the yearly audit work plans).
Appropriate controls will also be put in place to mitigate the potential risk of conflict of interest, in particular concerning the respect by the beneficiaries of the obligations imposed on them and concerning the rules determining the functioning of the Performance Review Body.
2.2.3.Estimation and justification of the cost-effectiveness of the controls (ratio of "control costs ÷ value of the related funds managed"), and assessment of the expected levels of risk of error (at payment & at closure)
Considering the limited scope and amount of EU funding to be granted, and since beneficiaries of EU funds are regarded as low-risk, it is expected that this initiative will not cause control costs to go beyond the existing cost of controls of DG MOVE. The risk of error at payment and at closure is expected to remain under 2%.
2.3.Measures to prevent fraud and irregularities
Specify existing or envisaged prevention and protection measures, e.g. from the Anti-Fraud Strategy.
The regular Commission prevention and protection measures would apply, specifically:
- Payments for any services are checked by the Commission staff prior to payment, taking into account any contractual obligations, economic principles and good financial or management practice. Anti-fraud provisions (supervision, reporting requirements, etc.) will be included in all grant agreements and contracts concluded between the Commission and recipients of any payments.
- To combat fraud, corruption and other unlawful activities the provisions of Regulation (EU, Euratom) No 883/2013 concerning investigations conducted by the European Anti-fraud Office (OLAF) shall apply without restriction.
DG MOVE adopted a revised Anti-fraud Strategy (AFS) in 2020. The MOVE AFS is based on the Commission Anti-fraud Strategy and a specific risk assessment carried out internally to identify the areas most vulnerable to fraud, the controls already in place and the actions necessary to improve DG MOVE’s capacity to prevent, detect and correct fraud.
3.ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE
3.1.Heading(s) of the multiannual financial framework and expenditure budget line(s) affected
·Existing budget lines
In order of multiannual financial framework headings and budget lines.
| Heading of multiannual financial framework | Budget line | Type of expenditure | Contribution | |||
| Number | Diff./Non-diff. 26 | from EFTA countries 27 | from candidate countries and potential candidates 28 | fromother third countries | other assigned revenue | |
| 1 | 02 03 01 00 - CEF Transport. | Diff. | NO | YES | NO | NO |
3.2.Estimated financial impact of the proposal on appropriations
3.2.1.Summary of estimated impact on operational appropriations
– The proposal/initiative does not require the use of operational appropriations
– The proposal/initiative requires the use of operational appropriations, as explained below:
EUR million (to three decimal places)
| Heading of multiannual financial framework | 01 | Single Market, Innovation and Digital |
| DG: MOVE | Year 2025 29 | Year 2026 | Year 2027 | Year 2028+ 30 | TOTAL (2025 – 2027) | ||
| Operational appropriations | |||||||
| Budget line 31 : 02 03 01 00 (CEF Transport) | Commitments | (1a) | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 |
| Payments | (2a) | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 | |
| TOTAL appropriations for DG MOVE | Commitments | =1a | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 |
| Payments | =2a | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 |
| TOTAL operational appropriations | Commitments | (4) | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 |
| Payments | (5) | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 | |
| TOTAL appropriations under HEADING 1 of the multiannual financial framework | Commitments | =4 | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 |
| Payments | =5 | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 |
Heading of multiannual financial framework | 7 | ‘Administrative expenditure’ |
This section should be filled in using the 'budget data of an administrative nature' to be firstly introduced in the Annex to the Legislative Financial Statement (Annex 5 to the Commission decision on the internal rules for the implementation of the Commission section of the general budget of the European Union), which is uploaded to DECIDE for interservice consultation purposes.
EUR million (to three decimal places)
| Year N | Year N+1 | Year N+2 | Year N+3 | Year N+X | TOTAL | ||||
| DG: <…….> | |||||||||
| ·Human resources | |||||||||
| ·Other administrative expenditure | |||||||||
| TOTAL DG <…….> | Appropriations |
| TOTAL appropriations under HEADING 7 of the multiannual financial framework | (Total commitments = Total payments) |
EUR million (to three decimal places)
| Year 2025 32 | Year 2026 | Year 2027 | Year 2028+ 33 | TOTAL (2025 – 2027) | |||
| TOTAL appropriations under HEADINGS 1 to 7 of the multiannual financial framework | Commitments | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 | |
| Payments | 5.5 | 5.5 | 5.5 | 5.5 | 16.5 |
3.2.2.Estimated output funded with operational appropriations
Commitment appropriations in EUR million (to three decimal places)
| Indicate objectives and outputs | Year 2025 | Year 2026 | Year 2027 | Year 2028+ | TOTAL (2025 - 2027) | |||||||||||
| OUTPUTS | ||||||||||||||||
| Type | Avg. cost | No | Cost | No | Cost | No | Cost | No | Cost | Total No | Total cost | |||||
| Support for the coordination of infrastructure managers 34 | ||||||||||||||||
| Output | Nbr of ‘coordinated’ border crossings | 0.013 35 | 73 | 0.941 | 73 | 0.941 | 73 | 0.941 | 73 | 0.941 | 219 | 2.823 | ||||
| Subtotal for activity No 1 | 73 | 0.941 | 73 | 0.941 | 73 | 0.941 | 73 | 0.941 | 219 | 2.823 | ||||||
| Support for the coordination of rail regulatory bodies | ||||||||||||||||
| Output | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||
| Subtotal for activity No 2 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | ||||||
| Performance Review Body | ||||||||||||||||
| Output | Number of members | 0.009 36 | 11 | 0.099 | 11 | 0.099 | 11 | 0.099 | 11 | 0.099 | 33 | 0.297 | ||||
| Subtotal for activity No 3 | 11 | 0.099 | 11 | 0.099 | 11 | 0.099 | 11 | 0.099 | 33 | 0.297 | ||||||
| TOTALS 37 | 84 | 1.040 | 84 | 1.040 | 84 | 1.040 | 84 | 1.040 | 252 | 3.120 |
3.2.3.Summary of estimated impact on administrative appropriations
– The proposal/initiative does not require the use of appropriations of an administrative nature
– The proposal/initiative requires the use of appropriations of an administrative nature, as explained below:
EUR million (to three decimal places)
| Year N 38 | Year N+1 | Year N+2 | Year N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | TOTAL |
| HEADING 7 of the multiannual financial framework | ||||||||
| Human resources | ||||||||
| Other administrative expenditure | ||||||||
| Subtotal HEADING 7 of the multiannual financial framework |
| Outside HEADING 7 39 of the multiannual financial framework | ||||||||
| Human resources | ||||||||
| Other expenditure of an administrative nature | ||||||||
| Subtotal outside HEADING 7 of the multiannual financial framework |
| TOTAL |
The appropriations required for human resources and other expenditure of an administrative nature will be met by appropriations from the DG that are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.
3.2.3.1.Estimated requirements of human resources
– The proposal/initiative does not require the use of human resources.
– The proposal/initiative requires the use of human resources, as explained below:
Estimate to be expressed in full time equivalent units
| Year N | Year N+1 | Year N+2 | Year N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | ||||
| ·Establishment plan posts (officials and temporary staff) | ||||||||
| 20 01 02 01 (Headquarters and Commission’s Representation Offices) | ||||||||
| 20 01 02 03 (Delegations) | ||||||||
| 01 01 01 01 (Indirect research) | ||||||||
| 01 01 01 11 (Direct research) | ||||||||
| Other budget lines (specify) | ||||||||
| ·External staff (in Full Time Equivalent unit: FTE) 40 | ||||||||
| 20 02 01 (AC, END, INT from the ‘global envelope’) | ||||||||
| 20 02 03 (AC, AL, END, INT and JPD in the delegations) | ||||||||
| XX 01 xx yy zz 41 | - at Headquarters | |||||||
| - in Delegations | ||||||||
| 01 01 01 02 (AC, END, INT - Indirect research) | ||||||||
| 01 01 01 12 (AC, END, INT - Direct research) | ||||||||
| Other budget lines (specify) | ||||||||
| TOTAL |
XX is the policy area or budget title concerned.
The human resources required will be met by staff from the DG who are already assigned to management of the action and/or have been redeployed within the DG, together if necessary with any additional allocation which may be granted to the managing DG under the annual allocation procedure and in the light of budgetary constraints.
Description of tasks to be carried out:
| Officials and temporary staff | |
| External staff |
3.2.4.Compatibility with the current multiannual financial framework
The proposal/initiative:
– can be fully financed through redeployment within the relevant heading of the Multiannual Financial Framework (MFF).
The activities referred to in box 1.5.5. will use existing CEF Technical Assistance funds (budget line 02 03 01 00) which are currently planned for allocation to infrastructure managers in the period 2025 -2027 in the ongoing amendment of the CEF multi-annual work programme.
– requires use of the unallocated margin under the relevant heading of the MFF and/or use of the special instruments as defined in the MFF Regulation.
– requires a revision of the MFF.
3.2.5.Third-party contributions
The proposal/initiative:
– does not provide for co-financing by third parties
– provides for the co-financing by third parties estimated below 42 :
Appropriations in EUR million (to three decimal places)
| Year 2025 43 | Year 2026 | Year 2027 | Year 2028+ | TOTAL (2025 – 2050) | |
| Infrastructure managers 44 | 13.667 | 5.312 | 5.312 | 5.312 | 32.606 |
| National regulatory bodies 45 | 3.558 | 0.180 | 0.185 | 0.190 | 9.401 |
| TOTAL appropriations co-financed | 17.226 | 5.492 | 5.496 | 5.501 | 42.007 |
3.3.Estimated impact on revenue
– The proposal/initiative has no financial impact on revenue.
– The proposal/initiative has the following financial impact:
– on own resources
– on other revenue
–please indicate, if the revenue is assigned to expenditure lines
EUR million (to three decimal places)
| Budget revenue line: | Appropriations available for the current financial year | Impact of the proposal/initiative 46 | ||||||
| Year N | Year N+1 | Year N+2 | Year N+3 | Enter as many years as necessary to show the duration of the impact (see point 1.6) | ||||
| Article …………. |
For assigned revenue, specify the budget expenditure line(s) affected.
/
Other remarks (e.g. method/formula used for calculating the impact on revenue or any other information).
(1) In particular section 3 of Chapter IV of Directive 2012/34/EU.
(2) COM(2018) 189 final of 16 April 2018. The report was preceded by a European Court of Auditors’ report (European Court of Auditors, Rail freight transport in the EU: still not on the right track, Special Report No 8, Luxembourg, Publications Office of the European Union, 2016).
(3) SWD(2021) 134 final of 2 June 2021.
(4) International freight and passenger transport – increasing the share of rail traffic (europa.eu)
(5) International freight and passenger transport – increasing the share of rail traffic (europa.eu)
(6) Platform of Rail Infrastructure Managers in Europe (PRIME) for cooperation between infrastructure managers and the Commission services.
(7) A forum for rail undertakings, involving the Commission services and the European Union Agency for Railways.
(8) SWD(2023) 443.
(9) SEC(2023) 443.
(10) However, a focus on the most strategic lines will be maintained to avoid overregulation on lines with regional importance and/or low traffic density.
(11) OJ C , , p. .
(12) OJ C , , p. .
(13) Communication from the Commission to the European Parliament, the European Council, the Council, the European Economic and Social Committee and the Committee of the Regions ‘The European Green Deal’, COM(2019)640 final of 11 December 2019.
(14) Commission Communication ‘Pathway to a Healthy Planet for All EU Action Plan: “Towards Zero Pollution for Air, Water and Soil”’, COM(2021) 400 final of 12 May 2021.
(15) Communication from the Commission to the European Parliament, the Council, the European Economic And Social Committee and the Committee of the Regions ‘Sustainable and Smart Mobility Strategy – putting European transport on track for the future’, COM(2020) 789 final of 9 December 2020.
(16) Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area the rules applicable to the management of railway infrastructure (OJ L 343 14.12.2012, p. 32).
(17) Regulation (EU) No 913/2010 of the European Parliament and of the Council of 22 September 2010 concerning a European rail network for competitive freight (OJ L 276, 20.10.2010, p. 22).
(18) OJ L 123, 12.5.2016, p. 1.
(19) Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
(20)
SWD(2021) 134 final of 2 June 2021
(21) Directive (EU) 2016/797 of the European Parliament and of the Council of 11 May 2016 on the interoperability of the rail system within the European Union (OJ L 138, 26.5.2016, p. 44).
(22) Commission Implementing Regulation (EU) 2017/2177 of 22 November 2017 on access to service facilities and rail-related services (OJ L 307, 23.11.2017, p. 1).
(23) Commission Implementing Regulation (EU) 2015/1100 of 7 July 2015 on the reporting obligations of the Member States in the framework of rail market monitoring (OJ L 181, 9.7.2015, p. 1).
(24) As referred to in Article 58(2)(a) or (b) of the Financial Regulation.
(25) Details of budget implementation methods and references to the Financial Regulation may be found on the BUDGpedia site: https://myintracomm.ec.europa.eu/corp/budget/financial-rules/budget-implementation/Pages/implementation-methods.aspx
(26) Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations.
(27) EFTA: European Free Trade Association.
(28) Candidate countries and, where applicable, potential candidates from the Western Balkans.
(29) Year 2025 is the year in which implementation of the proposal/initiative starts. For the 2025 – 2027 period, expenses will be covered using CEF Transport technical assistance funds.
(30) Amounts indicated for the period post 2028 are purely indicative and will depend on the next Multi-annual Financial Framework discussions and final agreement.
(31) According to the official budget nomenclature.
(32) Year 2025 is the year in which implementation of the proposal/initiative starts.
(33) Amounts indicated for the period post 2028 are purely indicative and will depend on the next Multi-annual Financial Framework discussions and final agreement.
(34) As described in point 1.5.5. ‘Assessment of the different available financing options…’
(35) Annual costs incurred by ENIM / the Network Coordinator for ensuring alignment between IMs at border crossings (staff costs).
(36) Annual costs covering the expenses incurred by members of the performance review body (per diem).
(37) Note that the totals here show the sum of costs only for the outputs shown in the table and do not amount to the total costs of activities 1 to 3 covered by EU funding.
(38) Year N is the year in which implementation of the proposal/initiative starts. Please replace "N" by the expected first year of implementation (for instance: 2021). The same for the following years.
(39) Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research.
(40) AC= Contract Staff; AL = Local Staff; END= Seconded National Expert; INT = agency staff; JPD= Junior Professionals in Delegations.
(41) Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines).
(42) Third party calculations were calculated as the difference between the sum of estimated costs of associated with measures from the proposal borne by the relevant beneficiary (see box 1.5.5. above) and the share of EU co-funding provided to said beneficiary. Estimated costs were directly derived from the calculations made for the impact assessment of the proposal.
(43) Year 2025 is the year in which implementation of the proposal/initiative starts.
(44) Financing of the Network Coordinator, see point (1) in box 1.5.5. above.
(45) To cover the costs of establishing a secretariat for ENRRB, see point (2) in box 1.5.5. above.
(46) As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net amounts, i.e. gross amounts after deduction of 20 % for collection costs.
Top
EUROPEAN COMMISSION
Strasbourg, 11.7.2023
COM(2023) 443 final
ANNEXES
to the
Proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on the use of railway infrastructure capacity in the single European railway area, amending Directive 2012/34/EU and repealing Regulation (EU) No 913/2010
{SEC(2023) 443 final} - {SWD(2023) 443 final} - {SWD(2023) 444 final}
ANNEX I
DELIVERABLES AND SCHEDULE FOR CAPACITY MANAGEMENT
REFERRED TO IN ARTICLES 11, 16, 18 AND 38
1.Deliverables to be prepared by infrastructure managers in strategic capacity planning referred to in articles 11, 16, 17 and 18
| Deliverable | Contents |
| Capacity strategy (Article 16) | –Planned development of physical infrastructure, including new construction, upgrades, renewals and closures /decommissioning; –Forecasted development of demand for rail transport services; –Strategic guidance on capacity utilisation by Member States, including an outlook on the evolution on public service obligations; –Capacity allocated in framework agreements and capacity required to provide transport services under public service contracts; –Infrastructure declared highly utilised or congested; –Major capacity restrictions resulting from infrastructure works. |
| Capacity model (Article 17) | –All information included in the capacity strategy, where relevant updated and further detailed –Volume of capacity available to applicants by rail transport market segment and/or by allocation process –Volume of capacity required for infrastructure works by impact on traffic (categories) –Geographical scope: at least the lines included in the TEN-T core and extended core network –Geographical detail: breakdown in appropriate planning sections reflecting infrastructure and demand characteristics –Temporal scope: one working timetable period –Temporal detail: at least annual overview (capacity restrictions) and one or more representative day/days (capacity available for requests) |
| Capacity supply plan (Article 18) | –All information included in the capacity model, where relevant updated further detailed –Prep-planned capacity available for requests, defined in the form of capacity objects –Capacity restrictions, defined in the form of capacity objects –Alternative capacity available during capacity restrictions –Alternative capacity available in the event of network disruptions |
2.Schedule for strategic capacity management referred to in articles 11, 16, 17 and 18
1.When preparing the deliverables of strategic capacity planning for a given working timetable period, infrastructure managers shall respect the schedule set out in this section.
Infrastructure managers may define earlier deadlines. Such deadlines shall be harmonised at EU level and included in the European framework for capacity management referred to in Article 6.
The consultation of stakeholders shall be carried out in accordance with Article 54 and shall involve at least railway undertakings and other applicants, operational stakeholders and public authorities. Infrastructure managers shall coordinate the deliverables on a continuous basis when coordinating in accordance with Article 53.
| Deliverable | Milestone | Deadline (at latest) |
| Capacity strategy (Article 16) | Publication of the first elements of the capacity strategy | X–60 |
| First consultation of stakeholders | X–58 | |
| Publication of the draft strategy and second consultation of stakeholders | X–38 | |
| Publication of final capacity strategy following final coordination between infrastructure managers | X–36 | |
| Capacity model (Article 17) | Start of preparation | X–36 |
| Consultation of applicants and operational stakeholders | X–24 | |
| Publication of draft capacity model | X–21 | |
| Coordination with applicants and operational stakeholders | X–19 | |
| Publication of final capacity model following final coordination between infrastructure managers | X–18 | |
| Capacity supply plan (Article 18) | Start of preparation | X–18 |
| Consultation of applicants and operational stakeholders | X–14 | |
| Publication of capacity restrictions referred to in point (1) of section (3) of this Annex | X–12 | |
| Publication of final capacity supply plan following final coordination between infrastructure managers | X–11 | |
| Publication of capacity restrictions referred to in point (5) of section (3) of this Annex | X–4 | |
| Re-purposing of capacity reserved for allocation through the working timetable for other allocation processes | X–2 | |
| Update of capacity supply plan to reflect any changes to pre-planned or allocated capacity | Until X+12 without delay | |
| Note: (1) ‘X–m’ means ‘m’ months before the date of entry into force of the working timetable (‘X’), in accordance with section 4. |
2.By way of derogation to point 1, the following simplified and shortened schedule applies to the deliverable ‘Capacity strategy’ in relation to the working timetable periods starting in December 2029 and December 2030:
| Capacity strategy (Article 16) | Publication of the draft strategy and consultation of stakeholders | X–38 |
| Publication of final capacity strategy following final coordination between infrastructure managers | X–36 |
3.Schedule for coordination, consultation and publication of capacity restrictions resulting from infrastructure works referred to in Articles 10 and 35
1.As regards temporary restrictions of the capacity of railway lines, for reasons such as infrastructure works, including associated speed restrictions, axle load, train length, traction, or structure gauge (‘capacity restrictions’), of a duration of more than 7 consecutive days and for which more than 30 % of the estimated traffic volume on a railway line per day is cancelled, re-routed or replaced by other modes of transport, the infrastructure managers concerned shall publish all capacity restrictions and the preliminary results of a consultation with the applicants for a first time at least 24 months and, in an updated form, for a second time at least 12 months before the change of the working timetable concerned. These infrastructure restrictions shall be included in the capacity supply plan referred to in Article 18.
2.As part of the coordination between infrastructure managers in accordance with Article 53, the entities designated in paragraph 5 of that Article shall also jointly discuss those capacity restrictions, if the impact of the capacity restrictions is not limited to one network, with interested applicants and the main operators of service facilities concerned when they are published for the first time.
3.When publishing capacity restrictions in accordance with point (1) for a first time, the infrastructure manager shall launch a consultation with the applicants and the main operators of services facilities concerned on the capacity restrictions. Where a coordination in accordance with point (4) is required between the first and second publication of capacity restrictions, the entities designated in accordance with Article 53(5) shall consult with applicants and the main operators of service facilities concerned a second time between the end of that coordination and the second publication of the capacity restriction.
4.Before publishing capacity restrictions in accordance with point (1), if the impact of the capacity restrictions is not limited to one network, the entities designated in accordance with Article 53(5), including infrastructure managers that might be impacted by the rerouting of trains, shall coordinate between themselves capacity restrictions that could involve a cancellation, re-routing of a train path or a replacement by other modes.
The coordination before the second publication shall be completed:
(a)no later than 18 months before the change of the working timetable if more than 50% of the estimated traffic volume on a railway line per day is cancelled, re-routed or replaced by other modes of transport for a duration of more than 30 consecutive days.
(b)no later than 13 months and 15 days before the change of the working timetable period if more than 30% of the estimated traffic volume on a railway line per day is cancelled, re-routed or replaced by other modes of transport for a duration of more than 7 consecutive days.
(c)no later than 13 months and 15 days before the change of the working timetable period if more than 50% of the estimated traffic volume on a railway line per day is cancelled, re-routed or replaced by other modes of transport for a duration of 7 consecutive days or less.
The entities performing the coordination between infrastructure managers in accordance with Article 53(5) shall, if necessary, invite the applicants active on the lines concerned and the main operators of service facilities concerned to get involved in that coordination.
5.As regards capacity restrictions of a duration of 7 consecutive days or less that need not be published in accordance with point (1) and for which more than 10% of the estimated traffic volume on a railway line per day is cancelled, re-routed or replaced by other modes, that occur during the following timetable period and that the infrastructure manager becomes aware of no later than 6 months and 15 days before the change of the working timetable, the infrastructure manager shall consult the applicants concerned on the envisaged capacity restrictions and communicate the updated capacity restrictions at least four months before the change of the working timetable. The infrastructure manager shall provide details on the offered train paths for passenger trains no later than four months and for freight trains no later than one month before the beginning of the capacity restriction, unless the infrastructure manager and the concerned applicants agree on a shorter lead time.
6.Infrastructure managers may decide to apply more stringent thresholds for capacity restrictions based on lower percentages of estimated traffic volumes or shorter durations than indicated in section 3 of this Annex or to apply criteria in addition to the ones mentioned in this Annex, pursuant to a consultation with applicants and facility operators. They shall publish the thresholds and criteria for clustering capacity restrictions in their network statements under point 3 of Annex IV of Directive 2012/34/EU.
7.Without prejudice to Article 40, the infrastructure manager may decide not to apply the periods laid down in points (1) to (5), if the capacity restriction is necessary to re-establish safe train operations, the timing of the restrictions is beyond the control of the infrastructure manager, the application of those periods would be cost ineffective or unnecessarily damaging in respect of asset life or condition, or if all concerned applicants agree. In those cases and in case of any other capacity restrictions that are not subject to consultation in accordance with other provisions of this Annex, the infrastructure manager shall consult the applicants and the main operators of service facilities concerned forthwith.
8.The information to be provided by the infrastructure manager when acting in accordance with points (1), (5) or (7) shall include:
(a) the planned day;
(b) time of day, and, as soon as it can be set, the hour of the beginning and of the end of the capacity restriction;
(c) the section of line affected by the restriction;
(d) where applicable, the capacity of diversionary lines.
The infrastructure manager shall publish that information, or a link where it can be found, in its network statement as referred to in point (3) of Annex IV of Directive 2012/34/EU. The infrastructure manager shall keep this information updated. In addition, infrastructure managers shall publish this information in digital format in accordance with Article 9 and 62.
9.As regards the capacity restrictions of a duration of at least 30 consecutive days and affecting more than 50% of the estimated traffic volume on a railway line, the infra-structure manager shall provide the applicants upon their request during the first round of consultation with a comparison of the conditions to be encountered under at least two alternatives of capacity restrictions. The infrastructure manager shall design those alter-natives on the basis of the input provided by the applicants at the time of their requests and jointly with them.
The comparison shall, for each alternative, include at least:
(a)the duration of the capacity restriction,
(b)the expected indicative infrastructure charges due,
(c)the capacity available on diversionary lines,
(d)the available alternative routes, and
(e)the indicative travel times.
Before making a choice between the alternatives of capacity restrictions, the infrastructure manager shall consult the interested applicants and take into account the impacts of the different alternatives on those applicants and on the users of the services.
The analysis of alternative capacity restrictions shall include situations concerning more than one infrastructure manager. In this case, the infrastructure managers shall coordinate the planning of alternative of the capacity restriction in accordance with Article 53.
10.As regards the capacity restrictions of a duration of more than 30 consecutive days and affecting more than 50 % of the estimated traffic volume on a railway line, the infrastructure manager shall establish criteria for which trains of each type of service should be re-routed, taking into account the applicant's commercial and operational constraints, unless those operational constraints result from managerial or organisational decisions of the applicant, and without prejudice to the aim of reducing costs of the infrastructure manager in accordance with Article 30(1) of Directive 2012/34/EU. The infrastructure manager shall publish in the network statement those criteria.
11.ENIM shall publish the information required under point (8) on its website.
12.The Commission shall review the implementation of section 3 of this Annex until 31 December 2024 and propose a legislative proposal if necessary.
4.Schedule for capacity allocation through the annual allocation process referred to in Articles 32 and 38
1.The infrastructure manager and the applicants shall comply with the following schedule:
| Milestone or time period | Deadline or duration(1) |
| Period of validity of the working timetable (‘working timetable period’) | One year |
| Entry into force of the working timetable | Midnight on the second Saturday in December |
| Publication of capacity supply plan | In accordance with section 2 of this Annex |
| Publication of capacity restrictions resulting from infrastructure works | In accordance with sections 2 and 3 of this Annex |
| Deadline for applicants to submit requests for capacity rights | X–8.5 |
| Preparation of draft working timetable Deadline for infrastructure manager(s) to submit draft capacity offer to applicants | X–6.5 |
| Finalisation of coordination with applicants | X–6 |
| Deadline for infrastructure manager(s) to submit final capacity offer to applicants | X–5.5 |
| Publication of final working timetable Deadline for infrastructure manager to allocate capacity rights to applicants | X–5.25 |
| Conversion of capacity specifications in train paths | To be specified in the European framework for capacity management referred to in Article 6 |
| Note: (1) ‘X–m’ means ‘m’ months before the date of entry into force of the working timetable (‘X’) |
2.Infrastructure managers shall allocate capacity requests received in accordance with Article 32(8) on the basis of the first come, first served principle.
3.The deadline for applicants to submit requests for capacity rights laid down in the table under point 1 shall be the deadline for requests for infrastructure capacity referred to in Article 27(4) of Directive 2012/34/EU.
5.Schedule for capacity allocation through framework agreements referred to in Articles 31 and 38
1.The infrastructure manager shall comply with the following schedule:
| Time period | Duration(1) |
| Standard period of validity of framework agreements | 5 years |
| Conversion of capacity specifications in train paths | Between X–8.5 and X–6.5 (jointly with coordination under the annual allocation process referred to in section 4) |
| Note: (1) ‘X–m’ means ‘m’ months before the date of entry into force of the working timetable (‘X’) in accordance with section 4 |
6.Schedule for the rolling planning capacity allocation process referred to in Articles 33 and 38
1.The infrastructure manager and the applicants shall comply with the following schedule during the rolling planning process,:
| Milestone or time period | Deadline or duration(1) |
| Earliest point in time for applicants to submit capacity requests under the rolling planning allocation process | 4 months before the first train run |
| Latest point in time for applicants to submit capacity to requests under the rolling planning allocation process | 1 month before the first train run |
| Maximum duration of capacity rights granted under the rolling planning allocation process | 36 months starting from the first train run |
| Conversion of capacity specifications in train paths for capacity rights granted in accordance with paragraph 2, point (a) of Article 33 | Between X–8.5 and X–6.5 (jointly with coordination under the annual allocation process referred to in section 4) |
| Conversion of capacity specifications in train paths for capacity rights granted in accordance with paragraph 2, point (b) of Article 33 | To be specified by the infrastructure managers taking into account the European framework for capacity management referred to in Article 6 |
| Note: (1) ‘X–m’ means ‘m’ months before the date of entry into force of the working timetable (‘X’) in accordance with section 4 |
2.Infrastructure managers shall allocate capacity through the rolling planning process based on the first come, first served principle.
7.Schedule for capacity allocation through the ad hoc process referred to in Articles 34 and 38
When allocating infrastructure capacity through the ad hoc process, the infrastructure manager shall comply with the following schedule:
| Time period | Duration |
| Maximum period for infrastructure managers to prepare an offer of capacity rights concerning a single network | 1 day |
| Maximum period for infrastructure managers to prepare an offer of multi-network capacity rights | 5 days |
8.Schedule for changes to capacity allocated referred to in Article 39
When changing infrastructure capacity rights, the infrastructure manager shall comply with the following schedule:
| Milestone or time period | Deadline or duration |
| Maximum time for the infrastructure manager to offer an alternative capacity right involving a single network | 24 hours |
| Maximum time for infrastructure managers concerned to offer an alternative multi-network capacity right | 5 days |
ANNEX II
Highly utilized and congested infrastructure
referred to in Article 20
1.Thresholds for the declaration of highly utilised and congested infrastructure
| Utilisation | Classification | Capacity utilisation | Reference period |
| Heterogenous traffic | Highly utilised | > 65% of theoretical capacity | More than 4 hours for more than 200 days per year |
| Heterogenous traffic | Congested | > 95% of theoretical capacity | More than 4 hours for more than 250 days per year |
| Homogeneous traffic | Highly utilised | > 80% of theoretical capacity | More than 4 hours for more than 200 days per year |
| Homogenous traffic | Congested | > 95% of theoretical capacity | More than 4 hours for more than 250 days per year |
Capacity utilisation means the ratio between capacity allocated, or for previous timetable periods, the actual number of trains running and the theoretical capacity available on an element of infrastructure on the basis of the methodology referred to in section 2.
‘Homogenous traffic’ means that trains on the section concerned generally have similar characteristics relevant for capacity utilisation, in particular speed, stopping pattern and acceleration.
‘Heterogenous traffic’ means that trains on the section concerned differ in characteristics relevant for capacity utilisation, in particular speed, stopping pattern and acceleration.
2.Procedures and methods to calculate the degree of capacity utilisation
Infrastructure managers shall assess the degree of capacity utilisation on the basis of objective, transparent and appropriate procedures and methods.
Infrastructure managers may continue to use existing procedure and methods that meet these criteria. At the latest 3 years of the entry into force of this Regulation, ENIM shall prepare a recommendation on the use of a harmonised EU procedure and method to assess the utilisation of rail infrastructure capacity.
Alternatively, capacity utilisation can be assessed as the ratio between the demand for capacity (observed / past or estimate of future demand) and capacity available in the capacity utilisation plan in accordance with Article 18.
ANNEX III
CONTENTS OF THE EUROPEAN FRAMEWORK FOR CAPACITY MANAGEMENT
REFERRED TO IN ARTICLE 6
The European framework for capacity management referred to in Article 6 shall contain at least the following elements:
| Element | Reference(s) |
| Procedures and methodologies to manage and allocate scarce infrastructure capacity on the basis of socio-economic and environmental criteria. | Article 8(5), Article 8(6) |
| Types and description of rail transport services to be used for the purposes of strategic planning of rail infrastructure capacity. | Article 12(2) |
| Common principles, procedures and methodologies for strategic capacity planning, including for the coordination between infrastructure managers and the consultation of stakeholders. | Article 12(9), Article 13, Article 14 |
| Means for publication of the capacity supply plan and process for consultation of applicants | Article 18(10) |
| Rules and procedures for the allocation of pre-planned capacity included in the capacity supply plan. | Article 20(3) |
| Characteristics of capacity specifications | Article 26(1) |
| Ranges for threshold quotas applicable to the cancelation of unused capacity rights | Article 27(6) |
| Procedures and methods to coordinate the allocation of multi-network capacity rights, including minimum quality requirements. | Article 28(5) |
| Guidelines on the limits regarding the differences between capacity requests by applicants and infrastructure capacity proposed by infrastructure managers in the consensual conflict resolution process. | Article 36(2) |
| Procedures to manage changes to capacity rights after allocation. | Article 39(8) |
| Conditions giving rise to compensation for changes to capacity rights. | Article 40(3) |
| Principles, rules and procedures to manage and allocate infrastructure capacity in the event of a network disruption. | Article 41(2) |
ANNEX IV
Contents of the Network Statement referred to in Article 27 of Directive 2012/34/EU – section on capacity management and traffic management
The network statement referred to in Article 27 of Directive 2012/34/EU shall contain:
(1)A section setting out the nature of the infrastructure, which is available to railway undertakings and the conditions of access to it. This section shall refer to information available in the register of infrastructure referred to in Article 49 of Directive (EU) 2016/797.
(2)A section on the principles and criteria for capacity management. This shall set out the general capacity characteristics of the infrastructure, which is available to railway undertakings and any restrictions relating to its use, including likely capacity requirements for maintenance. It shall also specify the procedures and deadlines which relate to the capacity management process. It shall contain specific criteria, which are employed during that process, in particular:
(a)the procedures according to which applicants are consulted on strategic capacity planning;
(b)the procedures according to which applicants may request capacity from the infrastructure manager;
(c)the requirements governing applicants;
(d)the schedule for strategic capacity planning, for application, allocation, adaptation and rescheduling processes and the procedures which shall be followed to request information on the scheduling and the procedures for scheduling planned and unforeseen maintenance work;
(e)the principles governing the consensual conflict resolution mechanism referred to in Article 36, including the dispute resolution system made available as part of this process, and the formal conflict resolution mechanism referred to in Article 37;
(f)the structure and level of compensations for changes to capacity rights;
(g)the procedures which shall be followed and criteria used where infrastructure is highly utilised or congested;
(h)details of restrictions on the use of infrastructure;
(i)an explanation for any deviations from the European framework referred to in Article 6.
(3)A section on operations, including on traffic management, disruption management and crisis management. This shall set out the implementation of requirements laid out in this Regulation and in Directive (EU) 2016/797, Directive (EU) 2016/798 and Directive 2007/59/EC, including:
(a)operational rules, including priority rules or priority principles for traffic management, a list of or references to technical, operational and safety rules and to rules relating to operational staff;
(b)operational measures, including rules and procedures for disruption management and crisis management, operational communication and data exchange with railway undertakings and other operational stakeholders;
(c)a list of and references to information systems used in operations;
(d)an explanation for any deviations from the European framework referred to in Article 44.
(4)A section on the key elements of performance management, including in particular:
(a)references to performance objectives set out in the business plan referred to in Article 8(2) of Directive 2012/34/EU and in the contractual agreement referred to in Article 30 of that Directive;
(b)procedures to monitor and report on progress towards the achievement of the targets, to identify the causes of performance deficiencies with operational stakeholders and to design and implement remedial measures to improve performance;
(c)an explanation for any deviations from the European framework referred to in Article 50.
ANNEX V
CONTENTS OF THE EUROPEAN FRAMEWORK FOR THE CROSS-BORDER COORDINATION OF TRAFFIC MANAGEMENT, DISRUPTION MANAGEMENT AND CRISIS MANAGEMENT
REFERRED TO IN ARTICLE 44
The European framework for the coordination of cross-border traffic, disruption and crisis management shall contain at least the following elements:
| Element | Reference(s) |
| Common principles for traffic management, disruption management and crisis management to be taken into account by infrastructure managers when setting out rules and procedures for traffic management. | Article 43 |
| Common rules and procedures for the coordination of traffic management, disruption management and crisis management between infrastructure managers and with operational stakeholders. | Article 42, Article 43, Article 45, Article 46, Article 47, Article 48 |
| Common rules and procedures for managing and allocating capacity in the event of network disruptions and crisis situations. | Article 41(1) |
| Definition of responsibilities of operational stakeholders involved in the management of cross-border traffic, based on a set of agreed operational procedures, milestones and interfaces. | Article 45 |
| Procedures, rules, tools and interfaces for communication and the exchange of information, including harmonised digital tools and interfaces, between infrastructure managers, operational stakeholders and other stakeholders concerned, in particular public authorities. | Article 45, Article 48, Article 62 |
| Principles to establish dedicated coordination groups in relation to traffic management, disruption management and crisis management. | Article 53(2) |
| Arrangements for simulation and training, in particular in relation to network disruptions and crisis situations. | Article 42, Article 46, Article 47 |
| Arrangements to review the performance of traffic management, disruption management and crisis management, including the coordination between operational stakeholders. | Article 50, Article 51 |
ANNEX VI
Network Disruptions
referred to in Article 46
| Type of incident | Estimated likely duration | Estimated likely impact |
| Network disruption | The return to pre-incident levels of available capacity for train utilisation requires 3 or more days | –50% or more of the trains on the affected section operating on a single network need an operational treatment –Less than 50% of trains on the affected section that operate on more than one network need or are expected to need an operational treatment |
| Multi-network disruption | The return to pre-incident levels of available capacity for train utilisation requires 3 or more days | –50% or more of trains on the affected section that operate on more than one network need or are expected to need an operational treatment |
The conditions on duration and the likely impact on traffic are cumulative.
ANNEX VII
Performance areas subject to performance review
referred to in Article 50
| Performance area | Relevant issues (indicative) |
| Infrastructure and equipment | –Capacity and capabilities of the physical infrastructure and its equipment, including deployment of TEN-T standards –Reductions in infrastructure capacity or capability due to deferred infrastructure renewal, maintenance or repair |
| Infrastructure capacity | –Capacity offer in terms of quantity and quality –Capacity utilisation, spare capacity to accommodate traffic growth –Consistency between available capacity (planned or unplanned) and market needs –Stability of the capacity offer, in particular in connection with infrastructure works –Congested infrastructure –Planned dwelling times of trains at border stations |
| Traffic management | –Punctuality / delays of different types of rail services, at origin, intermediate stops and destination and at operationally important locations –Train cancellations –Actual dwelling times of trains at border stations |
| Disruption management and crisis management | –Share of traffic that could be re-routed or re-scheduled during the disruption or crisis –Impact of disruptions on rail traffic in terms of delays and cancellations –Impact of disruptions on operators of rail services and their customers –Specific issues encountered (qualitative) |
| Deployment and performance of digital services, tools and interfaces | –Support of the processes related to capacity management, traffic management and disruption management –Completeness and quality of the information and data provided –Alignment with European architecture developed in ERJU and with the relevant technical specifications in accordance with Directive (EU) 2016/797 |
| Compliance with regulation; regulatory oversight | –Process indicators monitoring compliance with rules and procedures –Complaints lodged with regulatory bodies and ENRRB |
ANNEX VIII
Information to be provided to operational stakeholders
referred to in Article 48
The following information provided in accordance with Directive (EU) 2016/797 and relevant implementing acts under that Regulation shall be in the scope of Article 48:
·Train running number
·Train reporting
·Consignment Note data
·Path Request and path allocation
·Train Preparation
·Train Running Information and Train Running Forecast
·Service Disruption Information
·Shipment Estimated Time of Departure (ETD), Estimated Time of Interchange (ETI), Estimated Time of Arrival (ETA)
·Wagon Movement
·Data Exchange for Quality Improvement
ANNEX IX
List of issues for coordination between infrastructure managers
referred to in Article 53
| Issues for coordination | Provisions to be covered by coordination |
| Strategic capacity planning | Section 1 of Chapter II, in particular: –Article 10 Section 2 of Chapter II, in particular: –Article 11 –Article 13 –Article 14 –Article 15 –Article 16 –Article 17 –Article 18 –Article 19 –Article 21 –Article 22 –Article 25 |
| Scheduling, capacity allocation and rescheduling | Section 3 of Chapter II, in particular: –Article 27 –Article 28 –Article 31 –Article 32 –Article 33 –Article 34 –Article 35 –Article 36 –Article 37 Section 4 of Chapter II –Article 39 –Article 40 –Article 41 |
| Traffic management, disruption management and crisis management | Chapter III, in particular: –Article 45 –Article 46 –Article 47 |
| Performance review | Chapter IV, in particular: –Article 51 |
| Deployment of digital services, tools and interfaces; contribution to development of technical specifications | –Article 9(2) –Article 20(4) –Article 27(4) –Article 29(5), Article 29(6) –Article 42(3), point (c) –Article 45, point (c) –Article 48(2), Article 48(3) –Article 62 |
ANNEX X
Correlation Tables
1.Correlation table for the provisions deleted in Directive 2012/34/EU
| Directive 2012/34/EU | This Regulation |
| Article 2(6) | Article 36(2) |
| Article 3, point 20 | Article 21 |
| Article 3, point 22 | Article 36 |
| Article 3, point 23 | Article 31 |
| Article 3, point 27 | Article 4, point 8 |
| Article 3, point 28 | Article 4, point 13 |
| Article 7b(1) | Article 3(1) |
| Article 7b(2) | Article 3(2) |
| Article 7b(3) | Article 3(3) and Article 2(3), point b |
| Article 36 | Article 40 |
| Article 38(1) | Article 26(1), second subparagraph and Article 26(6) |
| Article 38(2) | Article 26(3) |
| Article 38(3) | Article 26(4) |
| Article 38(4) | Article 26(5) |
| Article 39(1) | Article 11(3) |
| Article 39(2) | Article 27(3) |
| Article 40(1) | Article 14(2), (3) and Article 28 |
| Article 40(2) | Article 55(7), Article 57(2), Article 63(1), (4), Article 64(1) and (7) |
| Article 40(3) | Article 55 (2), (5) and (7) |
| Article 40(4) | Article 57(1) |
| Article 40(5) | |
| Article 41(1) | Article 7(1) |
| Article 41(2) | Article 7 (2) |
| Article 41(3) | Article 7(3) |
| Article 42(1) | Article 31(1) |
| Article 42(2) | Article 31(4) |
| Article 42(3) | Article 31(5) |
| Article 42(4) | Article 31(5) and (6) |
| Article 42(5) | Article 31(7) and Annex I, section 5 |
| Article 42(6) | Article 31(8) |
| Article 42(7) | Article 31(10) |
| Article 42(8) | Article 31(11) |
| Article 43(1) | Article 38(1), Article 32(6), (7), (8) and Article 33(1) and (2) |
| Article 43(2) | Article 10(8), Article 11(2), Article 21(9), Article 38(3), and Article 39(9) |
| Article 43(3) | n/a |
| Article 44(1) | Article 26(1) |
| Article 44(2) | Article 32(7) and 32(8) |
| Article 44(3) | Article 31(2) |
| Article 44(4) | Article 28 |
| Article 45(1) | Article 32(2) |
| Article 45(2) | Article 32(4) |
| Article 45(3) | Article 32(10) |
| Article 45(4) | Article 32(11) |
| Article 46(1) | Article 8(3) Article 20(3) Article 32(3) |
| Article 46(2) | Article 36(2) |
| Article 46(3) | Article 36(3) |
| Article 46(4) | Article 36(4) |
| Article 46(5) | Article 36(5) |
| Article 46(6) | Article 36(6) |
| Article 47(1) | Article 21(1) |
| Article 47(2) | Article 21(4) |
| Article 47(3) | Article 21(5), Article 25(1) |
| Article 47(4) | Article 8(1), (2), (4) and Article 11(3) |
| Article 47(5) | Article 8(1) and (4) |
| Article 47(6) | Article 21(6) |
| Article 48(1) | Article 34(1) |
| Article 48(2) | Article 18(4) |
| Article 49(1) | Article 24(1) |
| Article 49(2) | Article 24(2) |
| Article 49(3) | Article 24(3) |
| Article 50(1) | Article 22(1) |
| Article 50(2) | Article 22(2) |
| Article 50(3) | Article 22(1) |
| Article 51(1) | Article 23(1) |
| Article 51(2) | Article 23(1) and (2) |
| Article 51(3) | Article 23(4) |
| Article 51(4) | Article 23(5) |
| Article 52(1) | Article 12(8) |
| Article 52(2) | Article 27(6) |
| Article 53(1) | Article 35(1) |
| Article 53(2) | Article 10(2), (4) and Article 35(4) |
| Article 53(3) | Article 9(1) |
| Article 54(1) | Article 43(3) |
| Article 54(2) | Article 43(5) |
| Article 54(3) | Article 43(6) |
2.Correlation table for Regulation (EU) No 913/2010
| Regulation (EU) No 913/2010 | This Regulation |
| Articles 1 to 7 | |
| Article 8 | Articles 55(1) to (4), (6), (7) and (8) and Article 56(1)(a) to (c), (f) and (2) |
| Article 9(1) | Article 14(1), Article 22(3) and (4), Article 23(3) and Article 57 |
| Article 9(1)(a), (c), (d), (e), (2), (3), (4) and (5) | |
| Article 9(1)(b) | Article 15 and Article 22(3) and (4) |
| Article 10 | |
| Article 11 | Article 55(1) to (4), (6), (7) and (8) |
| Articles 12-18 | |
| Article 19 | Article 49 and Article 52 |
| Articles 20 to 25 |
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