Legal provisions of COM(2023)443 - Use of railway infrastructure capacity in the single European railway area

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dossier COM(2023)443 - Use of railway infrastructure capacity in the single European railway area.
document COM(2023)443 EN
date July 11, 2023

Contents

CHAPTER I - GENERAL PROVISIONS


Article 1

Su bj eet" m atter and scope

This Regulation lays down the principles, rules, and procedures applicable to management of rail infra structure capacity and coordination with service facilities, traffic management, crisis management and performance management for domestic and international rail services. It also lays down rules on a European N etw o r k for Coordination b etw een infrastructure managers and with other relevant stakeholders and on the oversight of capacity and traffic management.

This R egulation applies to the use of railway infrastructure for domestic and international rail services referred to in Artie,e 1(2) of D i re cti v e 2012/34/EU, including service facilities as defined in Artie,e 3(11) of that LJirective.

Chapters II to V of this Regulation shall not apply to rail infrastructure or railway services that are excluded from the application of Uhapter IV or D i re cti v e 2012/34/EU in accordance with Artie,e 2(3), (3a), (4), (8), (8a) and (10) of that Directive during the period ofvalidity of the relevant exclusions.

This R egulation shall not apply to Cyprus and M alta for as long as no railway system is established within t h e i r te rr i to ry .

Article 2

General responsibilities and principles

W ithout prejudice to Article 7c of Directive 2012/34/EU, i nfrastructure m anagers shall be responsible for the management of rail infrastructure capacity and rail traffic management.

References to an infra structure manager in all provisions related to rail infra structure capacity allocation in this Regulation shall be construed as references to the allocation body referred in Article 7a(3) of Directive 2012/34/EU.

W ith the view to facilitating the provision of efficient and effective rail infrastructure capacity and traffic management within the Union, infrastructure managers shall cooperate within the European N etw ork of Infrastructure M anagers ('ENIM') referred to in Article 7f of Directive 2012/34/EU and in accordance with the provisions of this Regulation on cooperation.

In fulfilling their responsibilities in accordance with paragraph 1 and 2, infra structure managers shall.

(a) make optimum effective use ofthe available infrastructure capacity as required ih Artie,e 26 of Directive 2012/34/EU;

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b J maximize the value to society of rail transport services enabled by rail infrastructure in social, economic and environmental terms,

c) ensure non~discriminatory management of and transparent access to infrastructure capaci ty, including during works, with a view to supporting fair competition,

d) enable seamless rail traffic across more than one n etw o r k ,

e) ensure transparency about the state and availabili ty of rail infrastructure c a p a c i ty ,

f) review and improve the performance of rail infrastructure and transport services in close cooperation with rail sector operators,

g) contribute to the implementation and development of the single European railway area.

Article 3

mpartiality ofthe infrastructure manager in respectoftraffic and capacity management, including maintenance planning

Infrastructure managers shall carry out the functions of traffic and capacity management, including maintenance planning in a transparent and non-discriminatory manner and the persons in charge of taking decisions in respect of those functions shall not be affected by any conflict of interest.

As regards traffic management, infrastructure managers shall ensure that railway undertakings, in cases of disruption concerning them, have full and timely access to relevant information. W here the infrastructure manager grants further access to the traffic management process, it shall do so for the railway undertakings concerned in atransparentand non~discri minatory way.

As regards capaci ty management and the long~term planning of major maintenance, renewal and upgrade of the railway infra structure, the infrastructure manager shall consult applicants, as defined in Article 3, point 19 or D i re cti v e 2012/34/EU, in accordance with this Regulation and, to the best possible extent, take into accountthe concerns expressed.

Article 4 D ef i n i t i o n s

For the purposes of this Regulation, the definitions in Art i cle 3 of Directive 2012/34/EU shall apply.

The following definitions shall also apply.

(1) 'force majeure means any unforeseeable or unusual event or situation beyond the

control of the infrastructure manager or the railway undertaking, which cannot be avoided or overcome with reasonable foresight and diligence, be solved by measures which are from a technical, financial or economic point of view reasonably possible for them, which has actually happened and is objectively verifiable, and which makes it impossible for the infrastructure manager to fulfil, temporarily or permanently, its obligations in accordance with this Regulation or Directive

EN

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EN

2012/34/EU or for the railway undertaking to me ets its contractual obligations towards an infrastructure manager or managers,

'interoperability' means interoperability as defined in Article 2(2) of Directive (EU)

2016/797 of the Luropean Parliament and of the uouncil ,

'operational stakeholder' means an applicant, railway undertaking, infrastructure

manager, rail service facility operator, provider of rai hrelated services and any other e n t i ty directly involved in operating a rail transport service,

'European Coordinator' means the Coordinator referred to in Article 51 or

Regulation [... new TEN-T R e g u I ati o n J ,

'framework agreement' means a legally binding general agreement under public or

private law, setting out the rights and obligations of an applicant and the infrastructure manager in relation to the infrastructure capacity to be allocated and the charges to be levied over a period longer than one working timetable period,

'simultaneous capacity allocation' means a process whereby infrastructure managers

allocate rail infrastructure capacity in response to a set of requests for capacity received by a given cut_off date and through coordination of these requests to ensure the best possible utilisation of the infrastructure and the closest possible match with the re q u ests ,

'first come, first served' means a principle for the allocati on of rail infrastructure

capacity where the priori ty for the allocation process is given according to the chronological order of the capacity requ ests,

'train path' means the infrastructure capacity needed to run a train between two

places over a given period, which is described as an exact route with timing for that train, including the origin and destination, an entry time and day and an exit time and day, including any stopping point and related departure times,

'capacity specification' mCcUlS 3. capacity right, which specifies the commercial and operational characteristics of the infrastructure capaci ty relevant for the applicant concerned and which provides the infrastructure manager with enough information to prepare specific train paths that respect those characteristics,

'multi network rail service' means a freight or passenger rail transport service,

domestic or international, which is operated on tw o or more n etw orks managed by different infrastructure managers. The train may be Joined and/or split and the different sections may have different origins and destinations, provided that all wagons or carriages cross over into at least one n etw ork operated by a different i nfrastructure ma nager,

' multi network capacity right' means the ent i rety of capacity rights enabling the

provision of a m u 11 i ~ n etw ork rail service,

'partitioning of infrastructure capacity' means assigning shares of the total available

capacity of an element of infra structure to different types of rail transport services and to capacity restrictions resulting from infrastructure work.

Directive (EU) 2016/797 of the European Parliament and of the Council of 11 May 2016 on

interoperability of the rail system within the European Union (OJ L 138, 26.5.2016, P. 44).

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'working timetable' means the continuously updated data defining all planned train

and rolling_stock movements which will take place on the relevant infrastructure, as expressed by allocated capacity rights, during a working timetable period,

'working timetable period' means the period of time during which a given working

timetable is valid,

'infrastructure work' means interventions on the railway infrastructure for the

purpose of development, maintenance, renewal and upgrade of the railway infrastructure as defined in Art i cle 3, points (2a), (2c), (2d), and (2e) of Directive

2012/34/EU;

'regulatory body' mCcUls the regulatory body referred to in Article 55 of D i re cti v e

2012/34/EU;

incident shall mean any occurrence, or series of occurrences having the same origin, which causes disruption of rail traffic.

CHAPTER II - MANAGEMENT OF INFRASTRUCTURE CAPACITY


SECTION 1

eneral principles for the management of infrastructure capacity

Article 5

c

apacity management

Infrastructure managers shall manage rail infrastructure capacity through a planning and allocation process comprising three phases.

(a) strategic capacity planning as referred to in section 2,

(b) scheduling and allocation of infrastructure capacity as referred to in section 3,

(c) adaptation and rescheduling of allocated capacity as referred to in section 4.

In addition to the content laid down in r\ n n e x IV to D i re cti v e 2012/34/EU, Infrastructure managers shall include in the n etw ork statement referred to in Art i c I e 27 of that LJirective a section on the infrastructure made available to railway undertakings, a section on capacity management, a section on operations, including on traffic management, disruption management and crisis management, and a section on performance management, in accordance with /Annex IV.

Decision making concerning capaci ty management as referred to in paragraph 1, including both the definition and the assessment of availability and the allocation of capacity rights, shall be an essential function of the infrastructure manager within the meaning of Article 3, point (2t) or D i re cti v e 2012/34/EU. T he provisions on essential functions laid down in that Directive shall apply to it.

Article 6

European framework for capacity management

Infrastructure managers shall strive to follow common principles and procedures for the management of rail infrastructure capacity. Tor this purpose, ENIM shall develop

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and adopt a European framework for capacity management in accordance with the

provisions of Chapter II by [12 months of the entry into force of this IxegulationJ.

The European framework for capacity management shall define common principles and procedures for the management of rail infra structure capacity and for the coordination b etw een infra structure managers, railway undertakings and other applicants, rail service facility operators and other operational stakeholders.

The E uropean framework for capacity management shall include at least the elements listed in A nnex III and shall be updated when necessary to take into account the experience of infra structure managers, railway undertakings and other applicants and based on the activities of ENIM.

Infrastructure managers shall take the utmost account of the European framework for capacity management when preparing the network statement referred to in Article 27 of l_J i recti v e 2012/34/EU, in particular the contents specified in r\nnex IV of this Regulation. They shall explain in the n etw ork statementthe reason for any deviation from the common principles and procedures established in the European framework for capacity management.

Article 7 A p p I i c a n ts

A pplicants shall make requ ests for infrastructure capacity. In order to use such infrastructure capacity, applicants shall appoint a railway undertaking to conclude an agreement with the infrastructure manager in accordance with Article 28 of Directive 2012/34/EU. T his is without prejudice to the right of applicants to conclude framework agreements with infrastructure managers under Art i cle 31 of this Regulation.

The infrastructure manager may set requirements with regard to applicants to ensure that its legitimate expectations about future revenues and utilisation of the infrastructure are safeguarded. Such requirements shall be appropriate, transparent and non_discri m inatory, They shall be specified in the n etw ork statement as referred to in point (l)(b) of A nnex IV. They may only include the provision of a financial guarantee that shall not exceed an appropriate level which shall be proportional to the contemplated level of activity of the applicant, and assurance of the capability to prepare compliant bids for infrastructure capacity.

The Commission may adopt implementing acts setting out the details of the criteria to be followed for the application of paragraph 2. T hose implementing acts shall be adopted in accordance with the examination procedure referred to in Artie,e 72(3).

Article 8

\\A anagement of scarce infrastructure capacity

Infrastructure managers shall ensure that scarce infrastructure capacity is managed in accordance with the principles set out in Article 26 of Directive 2012/34/EU and in Arti cle 2 of this Regulation in all phases of the capacity management process referred to in Article 5.

W hen taking decisions on scarce capacity, infrastructure managers shall take into account strategic guidance on the utilisation of infrastructure capacity provided by M e m b e r States in accordance with Artie, e 11(3).

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w ithout prejudice to State aid rules, M ember States may, where appropriate, grant the infrastructure manager compensation corresponding to losses of revenue related exclusively to the need to comply with the strategic guidance regarding the use of rail infrastructure capacity.

Infrastructure managers shall plan and allocate scarce capacity to the largest extent possible through the consensual conflict resolution mechanism referred to in Art i c I e 36 involving the applicants concerned and resulting in consensual solutions to conflicting capacity needs and requests.

If the mechanism referred to in paragraph 3 does not result in a satisfactory resolution of conflicting capacity needs and requ ests, infrastructure managers shall manage scarce capacity or resolve conflicts through objective, transparent and non-discriminatory procedures.

Those procedures shall assess alternative options for the use of infra structure capacity, based on the following socioeconomic and environmental criteria, subject to the availability of data.

(a) operating cost for operators of rail transport services and the resulting impact on prices for customers of rail transport services,

(b) time~related costfor customers of rail transport services,

(c) connectivi ty and accessibili ty for people and regions served by the rail transport services,

(d) emissions of greenhouse gases, local air pollutants, noise and other external cost of rail transport services and by their likely alternatives,

(e) safety and public health implications of rail transport services and their likely a I te r n ati v es .

ENIM shall prepare and adopt the procedures referred to in paragraph H and include them in the EU framework for capacity management referred to in Article 6. The procedures shall involve the following steps.

(a) design alternative scenarios to partition the capacity available for different types of rail transport services, involving, where possible, the provision of alternative capacity on other routes or alternative timing with comparable characteristi cs,

(b) evaluate and rank the scenarios on the basis of objective and transparent methodologies taking into account the socio~economic and environmental criteria set out in paragraph 4,

(c) select the highest ranked scenario on the basis of the evaluation referred to in point (b) and amend the definition of the capacity model and the capacity supply plan accordingly.

ENIM shall develop the methodologies referred to in paragraph 0, point b. I he parameters of those methodologies shall make it possible to take into account local or national circumstances based on accepted approaches and empirical evidence. ENIM shall include those methodologies in the European framework for capacity management referred to in Article 6.

Taking into account experiences with the preparation and implementation of the framework referred to in paragraph 6, the Commission may adopt implementing acts

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setting out the specific procedures, criteria and methodologies to be applied for the management of scarce capacity. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Artie,e 72(3).

Article 9

Information about infra structure capacity

Infrastructure managers shall provide interested parties, in particular applicants, potential applicants and regulatory bodies, with accurate and up_to_date information on the availability of infrastructure capaci ty throughout the entire capaci ty management process, including in the strategic planning phase referred to in section 2, during the scheduling and allocation processes set out in section 3 and whenever there are changes to allocated capaci ty as referred to in section 4.

Infrastructure managers shall publish any update to the capacity supply plan referred to in Article 18 and to the working timetable referred to in Article 30 without delay.

Infrastructure managers shall publish the information referred to in paragraph 1 in accordance with Artie,e 62(5) and contribute to the development of relevant specifications in accordance with Artie,e 62(3).

At the request of applicants, infrastructure managers shall provide the information referred to in paragraph 1 on the basis of concrete specifications of commercial and

operational needs ('feasibility assessments'). For CrOss- border services, infra structure

managers shall receive and answer to such requ ests in a single place and single operation or via a single interface.

Article 10

apacity restrictions resulting from infrastructure work and degraded infra structure

W ithout prejudice to Art i cles 7, 7c and 7e of Directive 2012/34/EU, i nfrastructure managers shall plan infrastructure work in accordance with the business plan and with the investment and financial programmes referred to in Article 8(3) of D i re cti v e 2012/34/EU. W here amendments to those programmes after the adoption of the business plan affect or are likely to affect the planning of infra structure works, the infrastructure manager shall provide an overview of such amendments and their likely impact in the n etw ork state ment.

W hen planning infrastructure works, the infra structure manager shall act in accordance with Article 2(3) and Article 3.

In particular, the infrastructure manager shall take into account in a balanced way the impact of infra structure works on its own asset management and financial situation as well asthe operational and financial impacton all applicants concerned.

The infra st ructure managers shall consult applicants on the infra structure works in the context of the coordination mechanisms referred to in Art i cle 7e of Directive 2012/34/EC and, as regards cross~border rail services, in accordance with Article 54 of this Regulation.

Infrastructure manager shall plan, inform and consult applicants on capacity restrictions resulting from infra structure works sufficiently in advance, taking into account the estimated impact on railway undertakings. For that purpose, infrastructure managers shall respectthe schedule set out in section 3 or A n n e x I .

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For capacity restrictions with a major impact on the capacity available to applicants, applicants may request the infrastructure manager to provide alternative planning for the capacity restriction with a view to identify and select an option that takes into account the impacts on applicants and infra structure managers in a balanced way. The infrastructure manager shall provide those applicants with an indicative planning of alternative capacity available during the capacity restriction.

The indicative planning shall cover both the line affected and alternative lines and shall be reflected in the capaci ty model referred to in Arti cle 17 and in the capaci ty supply plan referred to in Article 18.

Infrastructure managers shall take into account and mitigate the impact of infrastructure works on cross_border traffic, Infrastructure managers shall coordinate in accordance with Arti cle 53 all infra structure works on the lines referred to in Article 53(3) and any other infrastructure work with significant cross_border impact.

Coordination shall address in particular the optimisation of the schedule of infrastructure works and the provision of alternative capacity on the line affected and on alternative routes, taking into account the operational and commercial needs of a p p I i ca nts.

Reductions in the capaci ty or performance of infra structure below its design values resulting from the degradation of assets, such as reductions in permissible speed or axle load, shall also be considered as capacity restrictions. The information obligations set out in Article 9 shall apply to such restrictions.

Infrastructure managers shall publish information and consult applicants on planned temporary capacity restrictions, their impact on capacity available for commercial purposes and on alternative capacity as early as possible.

The Commission shall be empowered to adopt delegated acts in accordance with Article 71 to amend section 3 or A nnex I with a view to reduce the impact of capacity restrictions resulting from infrastructure works on rail traffic while taking into account planning, operational, technical and commercial considerations of the stakeholders concerned.

SECTION 2 - STRATEGIC CAPACITY PLANNING



Article 1 1

Strategic capacity planning

Strategic capacity planning shall include all activities set out in Articles 12 to 25.

Strategic capacity planning shall result in the following sequence of planning documents which provide progressively increasing level of details about available c a p a c i ty .

(a) the capacity strategy referred to in Article 16,

(b) the capacity model referred to in Article 17,

(c) the capacity supply plan referred to in Article 18.

The contents of and the schedule for preparing those deliverables are set out in sections 1 and 2 of Annex I.

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Infrastructure managers shall adopt the planning documents as a basis for the next phase in the planning process.

The Commission shall be empowered to adopt delegated acts in accordance with Arti cle 71 to amend sections 1 and 2 of A nnex I, to ensure an efficient strategic planning process and reflectthe operational concerns of infrastructure managers and applicants, taking into account the experience of ENIM, i nfrastructure m anagers, applicants and other operational stakeholders, regulatory bodies and the ENRB in implementing this section.

Subject to the principle of management independence laid down in Arti cle 4 of Directive 2012/34/EU, M ember States may provide the infra structure manager with strategic guidance based on the indicative rail infrastructure development strategies ref e rre d to i n Article 8(1 ) of D i recti v e 2012/34/EU. T hat guidance may cover/contain in particular.

(a) general objectives of national rail policy relevant for strategic capaci ty planning within the scope of this Regulation,

(b) an outlook on the development of rail infra struct ure, taking into account relevant plans and strategies at national or regional level and the work plans of the European Transport Corridors referred to in Article 53 of the [new TEN-T Regulation],

(c) general requirements and guidelines as regards the use of rail infrastructure capacity, which the infrastructure manager shall take into account in strategic capacity planning, in particular in relation to highly utilised and conge sted infrastructure referred to in Arti cle 21,

(d) an outlook on the planned development of rail services operated under public service obligations, taking into account, where necessary, the views of the regional or local authorities involved.

M ember States shall coordinate to ensure consistency b etw een the respective strategic guidance they provide in accordance with this paragraph with a view to supporting the development of international passenger and freight rail services.

Strategic capacity planning shall not involve the granting of capacity rights to individual applicants in accordance with Article 26.

Article 12

General requirements for strategic capacity management

Infrastructure managers shall take into account in a balanced, fair and non-discriminatory manner all types of rail transport services for which they are liable to receive requests for capacity, irrespective of their volume, size of downs tr earn market, stabili ty b etw een consecutive timetables, regularity or frequency within a given working timetable period.

In strategic capacity planning, in particular in the capacity model referred to in Arti cle 17 and in the capaci ty supply plan referred to in Arti cle 18, infra structure managers shall differentiate at least b etw een the following types of rail transport serv ices.

(a) freight transport services,

(b) inter~urban passenger services (long distance),

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yc) urban and regional passenger services.

If necessary, in the light of experience gained in the implementation of this Regulation, E N I M may define a more detailed list which further differentiates b etw een ty pes of rail transport services. W ith a view to supporting the cross~border consistency of the strategic planning process, a harmonised list shall be included in the European framework for capacity management referred to in Article 6.

In strategic capacity planning, in particular in the capacity model referred to in Arti cle 17 and in the capaci ty supply plan referred to in Art i cle 18, infrastructure managers shall indicate the preplanned capacity suitable for the provision of multi" network transport services.

Strategic capacity planning shall also take into account.

the observed structure and develop men ts of demand for infra structure capacity, as identified through capaci ty allocation in previous working timetable periods and through the market monitoring referred to in Arti cle 15 of Directive

2012/34/EU;

) the expected development of transport needs and of the resulting demand for rail transport services and infrastructure capaci ty, as identified through the analysis referred to in Article 15 of this Regulation,

the input from the consultation of current and potential applicants in accordance with Article 13,

) the expected or planned development of infra structure capaci ty, in particularas identified in the indicative rail infrastructure development strategy referred to Arti cle 8(1 ) of D i re cti v e 2012/34/EU and the business plan ofthe infra structure manager referred to in Article 8(3) of D i re cti v e 2012/34/EU;

the planned infrastructure works which are expected to affectthe network, The characteristics of different rail transport markets, as regards in particular.

(i) speed,

(ii) frequency,

(iii) tolerance for deviations from the allocated train path,

(iv) possibility to reToute, reschedule or replace services by other modes in the event of network disruptions,

(v) volatility of demand for rail transport and the consequent need to plan rail services on a differenttime horizon.

Strategic capacity planning shall reflect the capaci ty allocated through framework agreements and rolling planning.

Strategic capacity planning shall cover the lines partofthe TEN-T core and extended core network referred to in Article 6 of and Annex I to [new TEN-T R e g u I ati o n J . Infrastructure managers may include other lines and nodes of the n etw o r k they manage.

Strategic capaci ty planning shall be carried out at a level which is sufficiently detailed to allow capaci ty planning for specific sections of the n etw ork. For this purpose, the n etw ork shall be represented by nodes and sections that allow to take into account relevant characteristics of capacity demand and supply.

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These nodes and sections shall be indicated in the register of infrastructure referred to in Artie,e 49 of Directive (EU) 2016/797.

Strategic capacity planning shall cover a period that is at least five years ahead in time. Infra st ructure managers may extend the period to more than five years, in particular to support infrastructure development within the framework of the indicative rail infrastructure development strategy referred to in Arti c I e 8(1 ) of Directive 2012/34/EU.

Infrastructure managers shall regularly review and update the results of the strategic capacity planning taking account, in particular, of the following.

(a) the development of the railway infra structure,

(b) changes in market demand for infrastructure capacity,

(c) the results of the allocation processes set out in sections 3 and 4 in previous working timetable periods, including the degree of utilisation of infra structure capacity by applicants,

(d) insights from traffic management performed in accordance with Chapter III,

(e) the result of disruption and crisis management performed in accordance with C h a pte rill,

(f) the results of the performance review in accordance with Chapter IV.

ENIM shall develop guidelines setting out common principles, procedures and methodologies for strategic capacity planning. It shall include those guidelines in the European framework for capacity management referred to in Arti cle 6 of this Regulation. Those guidelines should contain at least the elements listed in A n n e x III to this Regulation. The infrastructure managers shall take the utmost account of those guidelines in the n etw ork statement referred to in Arti cle 27 of Directive 2012/34/EU. T hey shall explain in the n etw ork statement the reason for any deviation from the common principles, procedures and methodologies established in the guidelines.

Article 13

Consultation ofstakeholderson strategiccapacity planning

Infrastructure managers shall consult all operational stakeholders on strategic capacity planning in accordance with Article 7e of Directive 2012/34/EU.

Infrastructure managers shall consult all operational stakeholders operating multi" n etw ork rail services on strategic capacity planning in accordance with Arti c I e s 53 and 54.

At/c/e 14

oordination on strategic capacity planning between infra structure managers

Infrastructure managers shall coordinate their activities related to strategic capacity planning in accordance with Article 53.

Coordination shall ensure in particular.

(a) the consistency of strategic planning across the n etw orks concerned, in particular in relation to the capaci ty strategy, the capacity model and the

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capacity supply plan, the planning of infrastructure works and contingency planning,

(b) appropriate consideration of the capacity needs for m u 11 i ~ n etw ork rail services in the capacity strategy, capacity model and capacity supply plan,

(c) a review of the performance of strategic capacity planning and its outcomes in accordance with Uhapter IV;

(d) the involvement of all operational stakeholders, regulatory bodies and the European Network of Rail R egulatory Bodies ('the ENRRB'), the E u r o p e a n Coordinators and, where necessary, M ember State authorities and other sta k e h o I d e rs .

ENIM shall take into account any relevant complaint by applicants or potential applicants on the planning documents referred to in Artie,e 11(2) and shall request additional information from the entities involved in the coordination in accordance with Art i cle 53 and from operational stakeholders consulted in accordance with Article 54, prior to adopting an opinion or recommendation to improve the consistency of those planning documents. ENIM shall share its opinion on the dra ft planning documents with the ENRRB or inform the latter of a failure to adopt an opinion. The ENRRB shall act in accordance with Article 65(3).

Infrastructure managers shall take into account any recommendation adopted by ENIM in accordance with paragraph 2. W here infrastructure managers do not follow the recommendation, they shall explain the reasons in the planning documents. The ENRRB shall monitor the coordination process and its implementation. It shall inform the Commission of its views on the need to address any short comings of the coordination process.

Article 15

A nalysis ofexpected transport market develop ments

Infrastructure managers and ENIM shall regularly monitor and analyse transport markets in order to inform their overall business strategy, capacity and contingency management and investment decisions. Infrastructure managers shall communicate the results of this analysis to other stakeholders for similar purposes, including the European Coord inators.

For the purposes of this Regulation, the transport market analysis referred to in paragraph 1 shall in particular provide input to strategic capacity planning as referred to in Article 11, to the partitioning of infrastructure capacity as referred to in Artieie 25 and to the allocation of capaci ty on the basis of the formal conflict resolution mechanism referred to in Article 37.

ENIM shall carry out a Luropean transport market study covering passenger and freight transport in multimodal context at the latest by [31 D ece m b er 2028], The study shall address in particular.

(a) projections of the demand for passenger and freight transport for all modes in the Union,

(b) estimates of the potential to increase the volume rail transport, both passenger and freight, and the conditions necessary to achieve such growth,

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yc) if possible, a geographical breakdown of the projected transport flows as an input to strategic capacity planning.

ENIM shall consult applicants, customers of rail transport services and their associations, national and EU public authorities on the terms of reference for the study, in particular as regards the purpose of the study and the process for stakeholder involvement.

ENIM shall review and update the study as appropriate, and in any case at least every five years.

Article 16 Capacity strategy

The infrastructure manager shall adopt a capacity strategy setting out its expectations on future developments of demand and supply of rail infrastructure capacity and its vision on how to accommodate those developments.

The capacity strategy shall serve as a tool for communication, consultation and coordination b etw een operational stakeholders.

The capaci ty strategy shall contain information about the future development of rail infrastructure, an outlook on the development of the demand for different rail transport services and any other relevant information about the availabili ty and utilisation of railway infrastructure.

The capacity strategy shall comprise a strategic route map which defines the following.

(a) the geographical scope of the capacity strategy referred to in Article 16, of the capacity model referred to in Art i cle 17 and of the capacity supply plan referred to in Article 18,

(b) the alternative lines considered in the event of capaci ty restrictions referred to in Article 10 and in the context of contingency planning referred to in Article

19.

The strategic route map shall be included in the register of infrastructure referred to in Article 49 of Directive (EU) 2016/797.

The infrastructure manager shall prepare, publish and regularly update the capacity strategy in accordance with the schedule and the contents set out in section 2 of A n n e x I .

Infrastructure managers shall consult applicants on the capacity strategy in accordance with Art i cle 13 and coordinate capacities strategies with other infrastructure managers in accordance with Article 14.

Article 17 Capacity model

The infrastructure manager shall establish a capaci ty model that refines the capacity strategy on the basis of the outcome of the consultation and coordination activities referred to in Articles 13 and 14.

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The capacity model shall support a balanced consideration of the capacity needs of

different segments of rail transport services and of infrastructure managers' needs to

maintain, renew and develop (upgrade of existing and construction of new) the rail infrastructure. It shall serve as an instrument for communication, consultation and coordination of strategic capaci ty planning b etw een the operational stakeholders.

The capacity model shall at least provide information about the total volume of capacity available by n etw ork section, the shares of capacity reserved for different segments of rail transport services and for capacity restrictions resulting from infrastructure works. Infra structure managers shall prepare and publish the capacity model for each working timetable period and regularly update the capaci ty model in accordance with the contents and schedule set out in sections 1 and 2 of A n n e x I .

Infrastructure managers shall document and, where relevant, Justify any divergence b etw een the capacity model and the capacity strategy concerning the same working timetable period. W here needed, the capaci ty strategy shall be revised in the light of develop men ts since the adoption or the latest update of the capacity strategy.

Infrastructure managers shall consult applicants on the capacity model in accordance with Arti cle 13 and coordinate capacities strategies with other infra structure managers in accordance with Article 14.

Article 18

Capacity supply plan

The infra st ructure manager shall establish a capaci ty supply plan with a view to providing comprehensive information about.

(a) infrastructure capacity available for allocation to applicants,

(b) infrastructure capacity not available for allocation.

The capacity supply plan shall provide the basis for capacity allocation.

Infrastructure managers shall publish the capacity supply plan for each working timetable period at the latest by the deadline set out in section 2 or A nnex I and shall continuously update it until the end of the working timetable period, to which that plan refers. The capacity supply plan shall be provided for each individual day of the working timetable period concerned.

Infrastructure managers shall prepare the capaci ty supply plan on the basis of the results of the strategic capaci ty planning process referred to in Arti cles 11 to 17 and in sections 1 and 2 of Annex I.

Infrastructure managers shall document and, where relevant, Justify any divergence b etw een the capacity supply plan and the capacity model concerning the same working timetable period.

In the capaci ty supply plan, infrastructure managers may indicate infrastructure capacity as pre~planned. Pre~planned capacity means capacity for which the infrastructure manager defines characteristics and volumes of the capacity available for r e q u ests by applicants, sets out rules for the allocation of such capacity and defines the process through which such capac i ty can be requested, in accordance with Artie,e 20. T he specified characteristics, rules and allocation processes shall be taken into account when allocating pre~planned capaci ty.

31

Pre-planned capacity shall be presented in the capacity supply plan in the form of capacity obje cts as referred to in Art i cle 20, which specify the volume and characteristics of capaci ty and which are linked to allocation rules and processes through which such capacity is made available.

S u t

jbject to paragrap e I e m e n ts .

h 7,

the capacity supply plan shall comprise the following

capacity available for allocation to applicants for the working timetable period to which the capacity supply plan refers.

i) capacity, which has not been preplanned by the infrastructure manager,

ii) capacity, which has been preplanned by the infrastructure manager, apacity which is not available for allocation to applicants.

i) capaci ty reserved for infra structure works with significant commercial and operational impact on applicants and railway undertakings as referred to in section 3 or A n n e x I ,

i i) capaci ty reserved for regular time windows allowing to schedule infrastructure works with limited impactsata laterstage,

i i i) capaci ty already allocated through framework agreements in accordance with Article 31 or through the multi~annual rolling planning process in accordance with Article 33,

i v) capaci ty reserved for purposes other than those set out in points (i), (ii) and (iii), which shall be clearly indicated by the infrastructure manager.

The capacity supply plan shall indicate the restrictions applicable for the use of specialised infra structure referred to in Artie,e 24.

Infrastructure managers shall include in the capaci ty supply plan the elements listed in paragraph 6, point (b) of for the rail infrastructure that they manage.

Infrastructure managers shall include in the capaci ty supply plan all elements listed in paragraph D for all lines and nodes included in the TEN-T core and extended core n etw ork as defined

in [new TEN-T R e g u I at i o n J

Infrastructure managers may include in the capacity supply plan the elements referred to in paragraph 6 for other lines and nodes of the n etw ork they manage.

W hen preplanning capacity in accordance with paragraph 6, point (a)(ii), infrastructure managers shall follow the principles set out in Artie,e 8(4).

Infrastructure managers shall preplan capacity based on the strategic guidance by M ember States in accordance with Artie,e 11(3), the results of the consultation of applicants in accordance with Art i cle 13 and the coordination b etw een infra structure managers in accordance with Article 14.

The regulatory body shall analyse the capacity supply plan and may take a decision requiring the infra structure manager to amend the capacity supply plan. The decision of the regulatory body shall take into account any opinion of or recommendation by ENIM , where such has been provided.

ENIM shall adopt guidelines and include them in the European framework for capacity management referred to in Art i cle 6, setting out the following.

32

y&J the means for publication of the capacity supply plan, including digital services, tools, functions and interfaces,

(b) the process for the consultation of applicants on the capacity supply plan.

Article 19

Contingency planning

Infrastructure managers shall put in place and implement a continuous process of contingency planning to prepare for disruptions of n etw ork operations and for other crisis situations affecting rail traffic.

Contingency planning shall provide the basis for traffic management, disruption management and crisis management in accordance with Artie,e 42, with a view to enabling a fastreaction in such situations and to minimize their impacton rail traffic.

Infrastructure managers shall document the results of contingency planning in a contingency plan.

Contingency planning shall invol

ve in particular.

y&) the designation of alternative routes allowing to re_route traffic in the event of nonavailability of the lines included in the core and extended core TEN-T network as set out in Article 6 of and Annex I to [new TEN-T R e g u I ati o n J ,

(b) an indicative planning of the infrastructure capacity available on the alternative routes designated in accordance with point (a) providing transparency about infrastructure capacity available on such lines, which can be utilised in the case of incidents and, in particular, n etw ork disruptions in accordance with

Article 46;

(c) the definition of rules and procedures for traffic and crisis management, including on the sharing of information b etw een infra structure managers, other operational stakeholders and other stakeholders such as public authorities in charge of rail or security and emergency response, as well as criteria for the activation of these procedures,

(d) the identification and listing of bodies to be informed in the event of serious incidents or serious disruptions to train movements,

(e) any other preparations necessary to perform disruption management and crisis management in accordance with Artie,e 42 and with the European framework for the cross"border coordination of traffic management, disruption management and crisis management referred to in Article 44.

Infrastructure managers shall ensure the consistency of contingency planning with strategic capacity planning, in particular the capaci ty strategy, the capaci ty model, the capacity supply plan and with the planning for infra structure works as referred to in Arti c I e 10.

The results of contingency planning, in particular the designation of alternative lines in accordance with paragraph 2, point (a) and the indicative capacity planning on alternative lines in accordance with paragraph 2, point (b) shall be included in the capacity model and in the capacity supply plan.

The Commission shall adopt implementing acts setting out the details of the procedure and criteria to be followed for the application of paragraph 2, in particular

33

for situations which have a potential impact on cross_border traffic. Those implementing acts shall be adopted in accordance with the examination procedure refe rre d to i n Artie,e 72(3).

Article 20

riteria and procedures for the allocation of preplanned capacity and for the definition

of capacity planning objects

Infrastructure managers shall allocate preplanned capacity included in the capacity supply plan referred to in Art i cle 18 via transparent and non~discri minatory criteria and procedures.

Capacity planning objects shall define the characteristics and properties of different types of pre_planned capacity, including capacity available for requ ests b y applicants, capacity reserved for infrastructure works and capacity already allocated. Those characteristics and properties shall include all aspects relevant for specific types of preplanned capacity, such as route, timing, guaranteed or required minimum speed, the technical compatibili ty b etw een rolling stock with infrastructure, parameters and number ofslots included.

ENIM shall develop a common framework for the criteria and procedures referred to in paragraph 1 and include it in the European framework for capacity management referred to in Art i cle 6. That common framework shall balance the benefits of reserving capacity for specific types of rail services or allocation processes with the need to ensuring flexibility to accommodate market needs in capacity allocation. For that purpose, the common framework shall provide for the possibility of taking into account requ ests for capaci ty rights not consistent with preplanned capaci ty in the context of the consensual conflict resolution mechanism referred to in Art i cle 36.

ENIM shall develop and adopt formal specifications for capaci ty planning objects in human~readable and in machine~readable format. ENIM shall include these specifications in the European framework for capaci ty management referred to in Article 6. Based on its experience in applying this Artie,e, ENIM shall provide information to the Commission on possible amendments to the technical specifications on interoperability as provided for by LJirective (EU) 2016/797 and th e implementing acts adopted under that LJirective, in accordance with Artie,e 62(3) of this Regulation.

Article 21

I lighly utilised and congested infrastructure

Infrastructure managers shall declare without delay an element of infrastructure either to be highly utilised or to be congested if at least one of the following conditions is met.

(a) the capacity utilisation has exceeded the threshold values for highly utilised or for conge st ed infra structure during the reference periods set out in point 1 of A nnex II in the previous or the current working timetable period,

(b) the results of strategic capacity planning carried out in accordance with this section indicate that the capaci ty needs expressed during the strategic capacity planning phases exceed the capacity available for allocation during a given working timetable period,

34

yc) infrastructure works resulting in capacity restrictions scheduled in accordance with Article 10 result in capacity becoming scarce.

The declaration referred to in paragraph 1 shall specify the working timetable period and the element of infra struct ure and the specific time periods to which it relates.

Conflicting individual capaci ty r e q u ests submi tted for allocation during the working timetable shall not be a ground for declaring an element of infrastructure to be highly utilised or congested unless the conditions set in paragraph 1 are met.

W here infra structure has been declared to be highly utilised or conges ted, the infrastructure manager shall carry out a capacity analysis in accordance with Artie,e 22, unless a capacity-enhancement plan, as provided for in Article 23, is already being implemented.

For elements of infrastructure declared highly utilised or conges ted, infra structure managers shall reserve capacity in the capaci ty supply plan referred to in Art i c I e 18, taking into accountthe outcome of the capacity analysis referred to in Article 22.

W here charges in accordance with Artie,e 31(4) of D i re cti v e 2012/34/EU have n ot been levied or have not achieved a satisfactory result and the infra structure has been declared to be congested, the infrastructure manager shall apply a procedure to partition or to allocate scarce infrastructure capaci ty on the basis of transparent and objective criteria. I hat procedure shall be implemented in accordance with Artie,e 8 of this Regulation and shall be set out, together with the applicable criteria, in the network statement.

Infrastructure managers shall indicate infrastructure declared highly utilised or conges ted in the register of infra structure referred to in Art i cle 49 of Directive (EU)

2016/797.

The procedures to be followed and the criteria to be used where infra structure is conges ted shall be set out in the n etw ork statement and shall respect any measures and criteria adopted in accordance with paragraph 7.

The Commission shall be empowered to adopt delegated acts in accordance with Arti cle 71 to amend A nnex II, to ensure an efficient management of capacity on highly utilised and conge sted infra structure and reflect the operational concerns of infrastructure managers and applicants, taking into accountthe experience of ENIM, infrastructure managers, applicants and other operational stakeholders, regulatory bodies and the ENRB in implementing this Artie,e.

Article 22

Capacity analysis in case of highly utilised or conge sted infra structu re

The infrastructure manager shall carry out a capacity analysis within six months of the declaration of infrastructure as highly utilised or congested.

The capaci ty analysis shall determinethe constraints on infrastructure capacity which prevent the inclusion of capacity needs expressed by applicants in the capaci ty model, or in the capaci ty supply plan, or which prevent requ ests for infra structure capacity from being adequately met.

The capacity analysis shall also include a first indicative set of possible measures to be taken in the short, medium and long term to ease the conge st ion and increase the a v a i I a b i I i ty of capaci ty .

35

The capacity analysis shall consider the characteristics of infra structure in terms of capacity, capabilities and interoperabili ty, operating procedures, the nature of the different services operating and the effect of all those factors on infrastructure c a p a c i ty. M easures to be considered shall include in particular rerouting services, retiming services, speed alterations, harmonisation of operating procedures and i nfrastructure i m prove m ents.

Infrastructure managers shall consult applicants on the dra ft capacity analysis in accordance with Article 7e of Directive 2012/34/EU and, if the section of the infrastructure concerned is part of a European Transport Corridor, in accordance with Article 54.

The infrastructure manager shall make public the result of the capacity analysis. ENIM shall ensure thatthese publications are easily available.

Infrastructure managers shall take into account the results of any capacity analysis carried out pursuant to this Artie,e in strategic capacity planning, in particular in the capacity strategy, in the capacity model and in the capacity supply plan.

The results of the capacity analysis shall be submitted to Member States' authorities

in charge of preparing the indicative rail infrastructure development strategy referred to i n Article 8(1 ) of D i re cti v e 2012/34/EU and to the Luropean Uoord i nator in charge of the European Transport Corridor concerned.

Article 23

Ca pacityen ha ncement pla n

W ithin six months of the completion of a capacity analysis in accordance with Article 22, the infrastructure manager shall establish a c a p a c i ty ~ e n h a n c e m e n t plan.

The c a p a c i ty " e n h a n c e m e n t plan shall identify.

(a) the reasons for the conge st ion,

(b) the likely future development of traffic,

(c) the con st rain ts on infra structure development,

(d) the options and costs for capacity enhancement, including likely changes to access charges.

On the basis of a cost benefit analysis of the possible measures identified, the capacity~en nance ment plan shall also determine the action to be taken to enhance infrastructure capacity, including a timetable for implementing the measures.

The capaci ty "enhancement plan shall be established after consultation with users of the relevant congested infrastructure in accordance with Article 13.

It may be subjectto prior approval by the M e m ber State.

The M ember State concerned shall take into account capaci ty "enhancement plans when renewing the indicative rail infrastructure development strategy referred to in Artie,e 8(1) of Directive 2012/34/EU.

The E uropean Uoordinator of the Luropean I ransport Uorridor concerned shall take into account the capacity~en nance ment plan in its work plan referred to in Art i c I e 53 of [new TEN-T R e g u I ati o n J .

36

w ithout prejudice to Article 40 of this R egulation, the infrastructure manager shall cease to levy any charges for the relevant infra structure under Artie,e 31(4) of Directive 201 2/34/EU in one of the following cases.

(a) the infrastructure manager does not produce a c a p a c i ty ~ e n h a n c e m e n t plan,

(b) the infrastructure manager does not make progress with the actions identified in the capacity enhancement plan.

N otw ithstanding paragraph 4, the infrastructure manager may, subject to the approval of the regulatory body, continue to levy the charges in one of the following cases.

(a) if the capacity~en nance ment plan cannot be realised for reasons beyond its c o n tr o I ,

(b) if the options available are not economically or financially viable.

At/c/e 24

Specialised infrastructure

W ithout prejudice to paragraph c_, infrastructure capacity shall be considered to be available for the use of all types of traffic compatible with the route intended for operation in accordance with LJirective (EU) 2016/797 and the specifications laid down in implementing acts adopted under it.

W here there are suitable alternative routes and where in accordance with the procedure set out in Art i cle 25 it can be demon strated that it isjustified from a social, economic and environmental perspective to do so, the infra structure manager may, after consultation with interested parties, designate particular infra structure for use by specified types oftraffic. In that case the infrastructure manager shall indicate the designation in the planning documents referred to in Artie,e 11(2) and shall reserve capacity for the specified types oftraffic in the capacity supply plan.

Such designation shall not prevent the use of such infrastructure by other ty pes of traffic when capacity is available.

Infrastructure designated pursuant to paragraph 2 shall be indicated in the n etw ork statement, in the register of infra structure referred in Art i cle 49 of the Directive (EU) 2016/797, in the capacity strategy, in the capacity model and in the capacity supply plan.

Article 25

artitioning of infra structu re capacity on the basis ofsocio~economic and environmental

criteria

W here an element of infrastructure has been declared to be highly utilised or conges ted in a future working timetable period, the infrastructure manager shall partition capaci ty on that element of infra structure in the capacity model referred to i n Art i cle 17 and in the capacity supply plan referred to in Art i cle 18 which relate to the working timetable period concerned.

W hen partitioning infrastructure capacity pursuantto paragraph I, the infrastructure manager shall act in accordance with Artie,e 8.

37

The infrastructure manager shall take into account the need for capacity for multi" n etw ork rail services.

SECTION 3 - Scheduling and capacity allocation



Article 26 Capacity rights

pplicants may apply under public or private law to the infrastructure manager to

A

request an agreement granting rights to use railway infrastructure against a charge as

provided for in section 2 or C h a pte r IV or D i re cti v e 2012/34/EU.

Infrastructure managers shall allocate the right to use infrastructure capacity to applicants in the form of one of the following.

(a) capacity specifications,

(b) train paths.

ENIM shall define the characteristics of capacity specifications and include those in the European framework for capacity management referred to in Article 6.

Infrastructure managers shall convert the capacity rights allocated in the form of a capacity specification into capacity rights in the form of a train path prior to the actual train run in accordance with the deadlines set out in sections 4, 5 and 6 of A n n e x I .

Capacity rights in the form of a train path may be granted to applicants for a maximum duration of one working timetable period. Capacity rights in the form of a capacity specification may be allocated for a duration exceeding one working timetable period in accordance with Articles 31 and 33.

Unless otherwise specified in this Regulation, the respective rights and obligations of infrastructure managers and applicants in respect of any allocation of capaci ty shall

be laid down in contracts or in Member States' legislation.

W here an applicant intends to request infrastructure capacity with a view to operating a passenger service, in a Member State where the right of access to railway infrastructure is limited in accordance with Article 11 of Directive 2012/34/EU, it shall inform the infrastructure managers and the regulatory bodies concerned no less than 18 months before the entry into force of the working timetable to which the request for capacity relates. In order to enable the regulatory bodies concerned to assess the potential economic impact on existing public service contracts, regulatory bodies shall ensure that any competent authority that has awarded a rail passenger service on that route defined in a public service contract, any other interested competent authority with the right to limit access under Art i cle 11 of Directive 2012/34/EU and any railway undertaking performing the public service contract on the route of that passenger service is informed without undue delay and at the latest within 10 days.

Once allocated to an applicant, a capacity right shall not be transferred by the recipientto another undertaking or service.

Any form oftransfer shall lead to exclusion from the further allocation of capacity.

38

The use of capacity by a railway undertaking when carrying out the business of an applicant which is nota railway undertaking shall not be considered as a transfer.

Article 27

\\A ethods of capacity allocation

Infrastructure managers shall grant capacity rights to applicants by means of the allocation processes referred to in Articles 31 to 34.

Any change to allocated capacity shall also be considered capacity allocation.

A pplicants shall have the right to request m u 11 i ~ n etw ork capaci ty rights, and to receive answers to such requests, in a single place and in a single operation. Infrastructure managers shall cooperate in the allocation of capacity for multi-n etw ork rail services, including in particular international rail freight services and international rail passenger services.

Infrastructure managers shall allocate and manage m u 11 i ~ n etw ork capacity rights in accordance with Article 28.

Infrastructure managers shall respect the commercial confidentiality of information provided to them.

Infrastructure managers shall allocate infrastructure capaci ty via digital tools and digital services in accordance with Article 62.

For m ulti-network capacity ri ghts, E N I M shall establish a single interface or a common system in accordance with Arti cle 62, in order to manage capaci ty allocation in a single place and operation.

W hen requesting or making changes to allocated capacity, applicants and infrastructure managers shall comply with Article 39.

The infrastructure manager shall cancel a capacity right which, over a period of at least one month, has been used less than a threshold quota, to be laid down in the n etw ork state ment, unless this was due to non~economic reasons beyond the applicants control. ENIM shall define ranges for the threshold quota and include them in the European framework for capacity management referred to in Article 6.

The regulatory body shall monitor the transparent and non~discriminatory application of this paragraph and investigate any complaints received.

W here the infrastructure manager cancels, in accordance with paragraph D, multi" n etw ork capacity rights, the regulatory body responsible for that infra structure manager shall inform the relevant regulatory bodies and the ENRRB.

Article 28

Coordination ofthe allocation of multi~network capacity rights

W here the infrastructure manager receives a request for m u 11 i ~ n etw ork capacity rights pursuant to Artie,e 27(2), they shall coordinate with the other infrastructure managers concerned in accordance with Article 53.

In particular, coordination shall ensure.

39

y&) the appointment of a single point of contact in charge of communication with the applicant in relation to the request for m u 11 i ~ n etw ork capacity right, which shall be notified to the applicant without delay after receipt of the request,

(b) the compliance of the m u 11 i ~ n etw ork capacity right with minimum quali ty criteria in terms of consistency b etw een n etw orks and as regards aspects such as routing, timing, availability on different running days and status of the allocation,

(c) the consistent performance of the process of allocating m u 11 i ~ n etw ork capacity rights, including in particular of the consensual conflict resolution mechanism referred to in Art i cle 36 and of the formal conflict resolution mechanism referred to in Article 37,

(d) the coordination of any changes to allocated m u 11 i ~ n etw ork capacity rights in accordance with section 4with a view to ensuring the integrity of multi" n etw ork capacity rights at all times.

If infrastructure managers fail to appoint a single point of contact, the infrastructure manager on whose network the first place of departure is located shall be responsible to act as the single point of contact for enquiries related to the specific capacity r e q u est.

Infrastructure managers shall not provide capacity rights of worse quality in response to r e q u ests for m u 11 i ~ n etw ork capacity rights compared to requests for capacity concerning a single n etw ork.

As regards the compensation for changes to capacity rights referred to in Article 40, a m u 11 i" n etw ork capaci ty right shall be considered as a single capacity right. In particular, a cancellation due to force m aj e u re on one n etw ork shall be considered as a cancellation due to force m a Je u r e for the capaci ty right along the entire route covered by it.

ENIM shall define the detailed procedures and methods to implement this Article and the minimum quali ty requirements referred to in paragraph 2(b) and include them in the European framework for capacity management referred to in Article 6.

Article 29

ooperation in the allocation of rail infrastructure capacity and service facilities

Operators of service facilities that provide indicative information on available service facility capacity in accordance with Art i cle 6(3) of Commission Implementing Regulation (EU) 201 7/21 771 2 shall cooperate with infra structure managers for the purpose of the latter offering train paths that include rail facili ty capaci ty. Other operators of service facilities may enter into an agreement with infrastructure managers for thejoint provision of capacity.

Infrastructure managers shall provide a list in the n etw ork statement of the service facilities referred to in paragraph 1.

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).

40

Infrastructure managers shall ensure that applicants can request in one place and operation capacity rights on railway infrastructure and in the service facilities referred to in paragraph 1 .

For the purpose of paragraph 3, infrastructure managers and service facility operators shall coordinate the capacity and shall provide capacity rights including capacity in the rail facility that meetsthe requirements of the applicant or shall make an effortto provide a viable alternative.

The operators of service facilities referred to in paragraph 1 shall make available information, upon request or in real time where necessary, about the available capacity to the infrastructure manager in a digital format in accordance with Article 62.

For the purpose of this Article and in accordance with Article 62, ENIM shall provide guidelines on the functional and technical requirements for the exchange of information b etw een the operators of rail facilities and infra structure managers for the purposes of this Article. W ithout prejudice to Article 2 of Implementing Regulation (EU) 201 7/21 77, operators of service facilities may request to be exempted from the application of this Art i cle. Such requ ests shall be submi tted to the regulatory body and be duly substantiated. Regulatory bodies may decide to extend an exemption in dulyjustified cases.

The ENRRB shall monitor the application of paragraph / and shall provide recommendations on the criteria to be used in assessing the requests for exemptions.

Article 30 W orking timetable

Infrastructure managers shall establish a new working timetable before the start of each working timetable period. The duration of the working timetable period shall be one year.

Infrastructure managers shall initiate the preparation of the working timetable when allocating capacity through the annual allocation process referred to in Arti cle 32, taking into account capaci ty rights allocated through framework agreements in accordance with Arti cle 31 and through the rolling planning process referred to in Arti c I e 33.

Infrastructure managers shall continuously update the working timetable until the end of the working timetable period, taking into account capacity allocated through the rolling planning process referred to in Arti cle 33, capaci ty allocated through the ad hoc process referred to in Arti cle 34, changes to capacity rights in accordance with Arti cle 39 and rescheduling in the context of disruption management and crisis management in accordance with Article 41.

Article 31

Capacity allocation through framework agreements

A n applicant shall have the right to request infra structure capacity over a period of time exceeding one working timetable period. W ithout prejudice to Articles 101, 102 and 106 TFEU, the infra st ructure manager shall allocate such capaci ty through framework agreements concluded with that applicant, subject to paragraph 3 and paragraph 4.

41

Framework agreements shall specify the capaci ty rights granted in the form of a capacity specification as referred to in paragraph 1, point (a) of Article 26. T hey may not include capacity rights in the form of a train path.

M ember State s may require prior approval of framework agreements by the regulatory body.

An applicant who is a party to a framework agreement shall request the conversion of the capaci ty specifications included in the framework agreement into a corresponding train path in accordance with that agreement.

Infrastructure managers shall conclude framework agreements only where the capacity right requested is consistent with the planning documents of the strategic capacity planning referred to in Artie,e 11(2). I nfrastructure managers shall indicate the capacity that they plan to reserve for allocation through framework agreements in these planning documents.

Framework agreements shall not be such as to preclude the use of the relevant infrastructure by other applicants or services. For this purpose, infrastructure managers shall set the maximum shares of total capacity that can be allocated through framework agreements and include these in the n etw ork state ment.

Framework agreements shall allow for the amendment of their terms to enable better use to be made of the railway infra structure, without prejudice to Art i c I e 39 and Article 40.

Changes to capacity rights allocated through framework agreements shall be subject to compensation in accordance with Article 40, except for the situation referred to in paragraph 5.

Framework agreements shall, in principle, cover the period indicated in section 5 of A nnex I. The infrastructure manager may agree to a shorter or longer period in specific cases. r\ ny period longer than the period indicated in point 5 or A nnex I shall bejustified by the requirement of dedicated investments by new entrants or by the substantial novelty of the service.

For services using specialised infrastructure referred to in Article 24, which requires substantial and long~term investment, duly Justified by the applicant, framework agreements may be concluded for a period of 15 y e a rs . r\ ny period longer than 15 years may be agreed only in exceptional cases, in particular where there is large-scale and long~term investment and where such investment is covered by contractual commitments including a multiannual amortisation plan.

Infrastructure managers shall include capaci ty allocated through framework agreements in the capaci ty model referred to in Art i cle 17 and in the capacity supply plan referred to in Article 18.

W hile respecting commercial confidentiali ty, the general nature of each framework agreement shall be made available to any interested party.

Based on the experience of regulatory bodies, competent authorities and railway undertakings and based on the activities of the ENRRB, the C om mission may adopt an implementing act setting out the details of the procedure and criteria to be followed for the uniform application of this Article and of Article 33. Those implementing acts shall be adopted in accordance with the examination procedure refe rre d to i n Article 72(3).

42

Article 32

Capacity allocation through the annual allocation process

The infrastructure manager shall establish the first operational version of the working timetable for a given working timetable period on the basis of the following.

(a) requests for capacity rights received in the annual allocation process,

(b) capacity rights relating to the working timetable period concerned and granted through framework agreements in accordance with Article 31,

(c) capacity rights relating to the working timetable period concerned and granted through the rolling planning process in accordance with Article 33.


infra st ructure manager shall allocate capaci ty through simultaneous capacity

allocation, with a view to meeting, to the extent possible, all requ ests for infrastructure capacity referred to in paragraph I, subjectto paragraphs 5 and 6. The infrastructure manager shall take into account, to the extent possible, all con st rain ts on applicants, including the economic effect on their business.

In the event of a conflict b etw een tw o or more capacity requ ests, the infrastructure managers shall first attempt to resolve the conflict through the consensual consultation mechanism referred to in Article 36.

If the consensual dispute resolution mechanism referred to in paragraph 3 has not resolved the capacity conflict, the infrastructure managers shall apply the formal conflict resolution mechanism referred to in Art i c I e 37.

In accordance with Art i c I e 18 and Art i cle 20, the infrastructure manager shall give priority to requ ests that are consistent with the pre~planned capaci ty defined in the capacity supply plan. As a result, the infrastructure manager may either accept or refuse requests that are not consistent with the capacity supply plan.

W hen accepting requests not consistent with the capacity supply plan, the infrastructure manager shall aim to maintain the overall balance b etw een the elements of the capacity supply plan listed in Art i cle 18(6).

W hen refusing requ ests not consistent with the capacity supply plan, the infrastructure manager shall, without delay, inform the applicant concerned of its intention to refuse a request. The latter shall have the right to lodge a complaint with the regulatory body.

Capacity rights granted through the annual allocation process may comprise.

(a) train paths,

(b) capacity specifications.

Infrastructure managers shall convert capacity rights granted in the form of capacity specifications to train paths in accordance with section 4 or A n n e x I .

The infrastructure manager shall comply with the schedule for the allocation process set out in section 4 or A n n e x I .

The infrastructure manager shall consider requests submitted after the initial deadline and prior to the final deadline set out in point 4 of A nnex I. In such cases, the infrastructure managers shall allocate capacity rights in accordance with section 4, point 2 of A nnex I .

43

Tor re q u ests for the working timetable received after the initial deadline, which cannot be accommodated either with residual capacity reserved for the working timetable, or with the available unplanned capacity, the infrastructure manager shall try to offer alternatives via a different itinerary.

The infra st ructure manager shall consult interested parties on the dra ft working timetable. Interested parties shall include all those who have requested infrastructure capacity and other parties who wish to have the opportunity to comment on how the working timetable may affecttheir ability to procure rail services during the working timetable period.

The infra st ructure manager shall take appropriate measures to deal with any concerns that are expressed.

Article 33

C

apacity allocation through the rolling planning process

Infrastructure managers shall allocate capacity through the rolling planning process in accordance with the deadlines set out in point 6 or A nnex I. Infrastructure managers shall reserve capacity for this purpose in the capaci ty supply plan referred to i n Arti c I e 18.

Capacity rights granted through the rolling planning process may comprise.

(a) train paths or capaci ty specifications for all running days during the working timetable period comprising the fir st running day included intherequest,

(b) capacity specifications for all running days beyond the working timetable period comprising the first day included in the request for a maximum period specified in point 6 or A nnex I .

Infrastructure managers shall convert capacity rights granted in the form of capacity specifications to train paths in accordance with section 6 of A nnex I .

W ithout prejudice to Article 18, infrastructure managers shall allocate capacity reserved for the rolling planning allocation process on the basis of the allocation principle set out in section 0, point 2 of A nnex I .

In accordance with the rules and procedures set out in Arti cle 20, infra structure managers may refuse to allocate capacity for rolling planning requests if requests are inconsistent with the capaci ty supply plan adopted in accordance with Arti cle 18. A refusal shall be communicated to the applicant without delay. The applicant shall have the right to lodge a complaint with the regulatory body.

Infrastructure managers shall inform the regulatory body of all capaci ty r e q u ests received that did not fit the parameters of the available capacity as defined in the capacity supply plan, regardless of whether they were accepted or refused. On the basis of this information the regulatory body shall issue an opinion at least every tw o years, which may recommend to the infra structure manager to amend the capacity model.

The infra structure manager, following a notification to the regulatory body, or following a recommendation by the regulatory body, shall refuse rolling planning r e q u ests, if they are of repetitive nature and meet the characteristics of capaci ty that is normally allocated through framework agreements in accordance with Arti cle 31. The regulatory body shall inform the ENRRB of such decisions and

44

recom mendations paragraph.

and the former shall ensure a coherent application of this

Article 34

Capacity allocation through the ad hoc process

The infra st ructure manager shall respond promptly, and in any event within the deadlines set out in section 7 or A nnex I, to ad hoc requests for infrastructure capacity submi tted at any time during the validity of the working timetable. Information on available spare capacity shall be made available in accordance with Arti cle 9 to all applicants who may wish to use this capacity.

Capacity rights granted through the ad hoc process shall take the form oftrain paths.

The allocation of infrastructure capacity in response to ad hoc requ ests shall be based on the first come, first served principle.

Article 35

Scheduling of capacity restrictions resulting from infra structure works

Infrastructure managers shall schedule capacity restriction resulting from infrastructure works not included in the capacity supply plan referred to in Arti cle 18 as soon as possible.

W hen scheduling infra structure works, infrastructure managers shall limitthe impact on pre_planned capacity included in the capacity model or in the capacity supply plan to the extent possible.

If the scheduling of a capacity restriction resulting from infra structure works requires a change to an allocated capaci ty right within the meaning of Arti cle 39, the applicant or applicants concerned shall be entitled to the compensation referred to in Article 40.

If the scheduling of a capacity restriction resulting from infra structure works requires a change to an allocated capaci ty right within the meaning of Arti cle 39, the infrastructure manager shall do its utmost to provide the applicants concerned with alternative capacity.

For that purpose, the infra structure manager shall inform all applicants concerned about the intended change to the capacity rights concerned. It shall offer to the applicants concerned alternative capacity rights or launch a coordination with the applicants concerned with a view to agreeing on alternative capacity rights.

W hen scheduling infra structure works in accordance with this Artie,e, i nfrastructure managers shall adhere to the schedule set out in section 3 or A nnex I .

Infrastructure managers shall include all capacity restrictions resulting from infrastructure works in the capacity model and in the capacity supply plan, irrespective of the moment when they are scheduled.

Article 36

Consensual conflict resolution mechanism and coordination of requests

W here in the context of simultaneous capacity allocation the infra structure manager encounters conflicts b etw een different requests for infrastructure capacity, it shall

45

attempt to ensure the best possible matching of all requirements, through coordination of the requ ests .

W here a situation requiring coordination arises, the infra structure manager shall have the right, within reasonable limits, to propose infra structure capacity that differs from that which was requested. The infrastructure manager shall define the applicable I i m i ts in i ts n etw ork state ment. ENIM shall provide guidelines on the definition of such limits and include them in the European framework for capacity management referred to in Article 6.

The infrastructure manager shall attempt, through consultation with the appropriate applicants, to resolve any conflicts. Such consul tation shall be based on the disclosure of the following information within a reasonable time, free of charge and in electronic form.

(a) train paths requested by all other applicants on the same routes,

(b) train paths allocated on a preliminary basis to all other applicants on the same r o utes,

(c) alternative train paths proposed on the relevant routes in accordance with paragraph 2,

(d) full details ofthe criteria being used in the capaci ty "allocation process.

W ithout prejudice to Artie,e 27(3) and subjectto the agreement of all applicants, the infrastructure manager may establish contact b etw een all applicants potentially involved in the resolution of a conflictto facilitate the coordination of requ ests.

The principles governing the coordination of capacity requ ests for domestic rail services shall be set out in the network statement.

W here requ ests for infra structure capacity cannot be satisfied without coordination, the infra st ructure manager shall attempt to accommodate all requ ests through c o o r d i n ati o n .

W ithout prejudice to the existing appeal procedures and to Article 56 of D i re cti v e 2012/34/EU, in the event of disputes relating to the allocation of infrastructure c a p a c i ty, M ember States shall ensure that a dispute resolution system is made available in order to resolve such disputes promptly. That system shall be set out in the n etw ork statement for capaci ty requ ests for domestic rail services. If this system is applied, a decision shall be reached within a time limit of 10 working days.

In case of m u 11 i ~ n etw ork capacity requ ests, the consensual conflict resolution mechanism set out in paragraphs 1, 2 and 3 shall be performed in accordance with Arti cle 53 and shall involve the N etw ork Coordinator.

ENIM shall prepare guidelines for the consensual conflict resolution mechanism for m u 11 i" n etw ork capacity requ ests and include them in the European framework for

capacity management referred to in Article 6.

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Article 37

or mal conflict resolution mechanism on the basis ofsocio~economic and environmental

criteria

W here the consensual conflict resolution mechanisms referred to in Article 36 has not resolved the capaci ty conflict, infrastructure managers shall allocate infrastructure capacity in accordance with Artie,e 8.

In the context of the formal conflict resolution process, requests for m u 11 i ~ n etw ork capacity rights shall be taken into consideration in their entirety. If, in accordance with Art i cle 8(6), different national parameters apply, those parameters shall be used for the respective sections.

In case of conflicting capaci ty requests involving rail services with similar characteristics and socioeconomic profile, the infrastructure manager shall assign capacity on the basis of an auction or in a way providing access to the largest number of applicants. The latter method shall be applied subjectto approval by the regulatory body.

Article 38

Schedule for capacity allocation processes

The infra st ructure manager and applicants shall comply with the schedule for capacity allocation processes set out in sections 4, 5, 6, and 7 of A n n e x I .

Infrastructure managers may decide time periods and deadlines for the schedule for capacity allocation which are different from those referred to in this Regulation and in point 2(b) of A n n e x VI or D i re cti v e 2012/34/EU if the establishment of international train paths in cooperation with infra structure managers of third countries on a n etw ork whose track gauge is different from the main rail n etw ork within the Union has a significant impact on the schedule for capacity allocation in general.

The Commission shall be empowered to adopt delegated acts in accordance with Article 71 to amend sections 4, 5, 6, and 7 of A nnex I with a view to ensure an efficient allocation process and address planning, operational, technical and commercial i n te rests of the stakeholders concerned relating to scheduling and capacity allocation.

SECTION 4 - Ad aptation and rescheduling



Article 39

Changes to capacity rights after allocation

Infrastructure managers may change capacity rights allocated to an applicant on their own initiative only in accordance with this Regulation. A pplicants may request changes to allocated capacity at all times. A cancellation shall be considered a specific type of change.

In the event of changes to allocated capaci ty r i g h ts, Article 40 shall appl

y ■

Infrastructure managers shall, without delay, update the working timetable referred to i n Arti c I e 30.

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Infrastructure managers and applicants shall limit changes to capacity rights after allocation to the largest extent possible, in accordance with the objectives set out in Arti c I e 2(3) .

Changes to capacity rights shall include cases where the infrastructure manager cannot allow the train to run in accordance with the allocated capacity right and has sufficient time to offer the applicant an alternative capacity right af te r having informed the applicant of the need for the change.

Infrastructure managers may indicate different deadlines for the allocation of capacity rights on a single n etw ork and the allocation of m u 11 i ~ n etw ork capacity rights. Infrastructure managers shall provide information on the time necessary to construct a train path in the n etw ork statement. This time shall not be longer than the deadlines indicated in section 8 of A n n e x I .

The rules and procedures to be applied in the event of a change to a capacity right shall take into accountthe impactofthe change to the capaci ty right on the applicant in operational and commercial terms. For that purpose, changes shall be categorised based on their impact in accordance with paragraph 8 of this Article and shall give rise to different levels of compensation referred to in Article 40.

In the event of a change to a m u I ti ~ n etw ork capacity right, the infrastructure managers concerned shall make all reasonable effo rts to ensure the consistency b etw een the capaci ty rights over the entire train run.

The infra st ructure manager making a change to a m u 11 i ~ n etw ork capacity right shall be responsible for the process to coordinate the allocation of an alternative multi" n etw ork capacity right with the other infrastructure managers concerned and shall inform the applicant and all parties concerned about the outcome of the coordination. That outcome can be either the allocation of an alternative m u I ti ~ n etw ork capacity right or the information that no alternative capaci ty right is available.

For the purpose of this Regulation, failure to use an allocated capaci ty right by railway undertakings shall be considered equivalent to a cancellation on the day of the train run concerned.

W here an infrastructure manager changes an allocated capacity right, it shall inform the applicant and the railway undertaking concerned without delay.

The infra structure manager shall offer alternative capacity rights to the applicant within the deadlines set out in section 8 of A n n e x I. W here this is not possible, the infrastructure manager shall provide the applicant with relevant information enabling the applicant to place a new request for infrastructure capacity. W here relevant, that information shall make reference to the capacity supply plan referred to in Arti c I e 18 and the contingency planning referred to in Article 19.

ENIM shall prepare and adopt harmonised procedures to manage changes to capaci ty rights after allocation and include them in the European framework for capacity management referred to in Article 6.

These harmonised procedures shall differentiate b etw een changes, which have a major impact on applicants and railway undertakings in commercial and operational terms and changes with minor impacts. The criteria to be used to categorise a change as major shall take into account, among others, the ability of the railway undertaking to perform the service in accordance with its contractual obligations, delays at departure or changes to the route that result in increase of distance, time of travel,

48

track access charges or other related costs, as well as thresholds for these changes. M ore stringent criteria shall apply to changes with major impact.

The Commission shall be empowered to adopt delegated acts in accordance with Arti cle 71 to amend section 8 of A nnex I with a view to ensure efficient adaptation and rescheduling processes taking into account planning, operational, technical and commercial considerations of the stakeholders concerned.

Article 40

Compensation for changes to capacity rights

W here the infrastructure manager or an applicant do not fulfil their commitments with respect to an allocated capacity right and where this results in a change that is categorised as major in accordance with Arti cle 39, the pa rty initiating the change shall pay a compensation to the other party.

The compensation referred to in paragraph 1 shall not be due in cases of fo rce maj e u re.

Following a consultation of the ENRRB, E N I M shall define harmonised conditions giving rise to compensation. Those conditions shall take into account the rules set out in Article 39(4) and (8). ENIM shall include these conditions in the European framework for capacity management referred to in Article 6. The ENRRB shall publish an opinion on the conditions defined by ENIM.

Following the approval of the regulatory body, the infra structure managers shall set out in the n etw ork statementthe levels of compensation to be paid by the applicants.

Following a proposal by the infrastructure manager and after consulting applicants and potential applicants, the regulatory body shall set the levels of compensation to be paid by the infrastructure manager. The infrastructure manager shall publish that information in the network statement.

The levels of compensation shall be such that they provide effective incentives for the infrastructure manager and for applicants to respect the planned use of capacity and minimise disturbances. These levels shall be proportionate and non-discri m i natory.

Infrastructure managers and regulatory bodies may set different levels of compensation depending on the impact of the change and whether the capaci ty can be reallocated and used by another applicant. Those levels shall, in particular, take into account the rules in Article 39(4) and (8), the time left after the change was requested or took place until the ti me of the train run and the rate of utilisation of the rail infrastructure included in the capacity right.

In the case of m u 11 i ~ n etw ork capacity rights, the obligation to pay the compensation to the applicant shall apply to the infra structure manager or managers which is or are responsible for the change to the capacity right, taking into accountthe capacity right in its entirety and, where more than one infra structure manager is responsible, the ratio of the length of their networks in the capacity right. The compensation for the entirety of the capacity right shall not exceed the compensation due for the capacity right allocated by the infra structure manager multiplied by three.

Regulatory bodies shall decide on disputes related to the reason for the change to a capacity right or delayed compensation and shall take a decision without delay and

49

within one month of collecting all the necessary information to assess the cause of the change. Kegulatory bodies shall inform and may consult the ENRRB on such d e c i s i ons. The ENRRB shall ensure that such decisions are coherent and based on commonly recognized principles.

The Commission may adopt implementing acts setting out the conditions giving rise to the payment of compensations, the categorisation of changes to capacity rights and the methodologies to set the levels of compensation. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Artie,e 72(3).

Article 41

escheduling in the context of disruption management and crisis management

In the event of a network disruption as referred to in Article 46 or of a crisis situation as referred to in Article 47, the infrastructure manager or managers concerned shall make all possible effo rts to reschedule traffic affected by the disruption. For that purpose, infra st ructure managers shall allocate rail infra structure capacity in accordance with the European framework for the cross~border coordination of traffic management, disruption management and crisis management referred to in Article 44, on the basis of the contingency plans prepared in accordance with Article 19 and in close coordination with operational stakeholders and, where relevant, other stakeholders concerned.

ENIM shall develop and adopt guidelines for managing and allocating infrastructure capacity in the event of a network disruption in a transparent and non_discri m inatory way. In particular, ENIM shall provide guidelines on the application of the simultaneous capacity allocation process and the fir st come, fir st served principle.

W here the simultaneous allocation process applies, ENIM shall provide guidelines on the procedures to applied, involving as appropriate the application of the consensual conflict resolution process referred to in Art i cle 36 and of the formal conflict resolution process referred to in Article 37. ENIM shall include those guidelines in the Luropean framework for capacity management referred to in Article 6.

W hen rescheduling, infra structure managers shall not unilaterally change or cancel existing capacity rights for the purpose of managing disruptions. However, based on the experience of regulatory bodies, infrastructure managers and railway undertakings and on the activities of ENIM and the ENRRB, the C om mission may adopt an implementing act setting out the criteria and procedures for rescheduling, including unilateral changes to allocated capacity rights by infrastructure managers for the purpose of managing n etw ork disruptions. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 72(3).

Infrastructure managers and applicants may conclude, on a voluntary basis, agreements providing for a replacement of certain capacity rights in the event of a n etw ork disruption. Such agreements shall be mentioned in the contingency plan referred to in Article 19.

In the case of a n etw ork disruption affecting traffic on more than one n etw ork, the infrastructure managers concerned shall coordinate the allocation of alternative capacity in accordance with Art i cle 53 and with the European framework for the cross"border coordination of traffic management, disruption management and crisis management referred to in Article 44.

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CHAPTER III - RAFFIC, DISRUPTION AND CRISIS MANAGEMENT


At/c/e 42

"Traffic management, disruption management and crisis management

Infrastructure managers shall perform traffic management in accordance with this Regulation and Directive (EU) 201 6/797 and the specifications laid down in implementing acts adopted underthat Directive.

For that purpose, infra structure managers shall perform.

(a) traffic management during normal operating conditions involving the management of incidents resulting in limited deviations from the working t i m eta b I e ,

(b) disruption management to address significant disturbances to network operations requiring concerted action in accordance with Article 46;

\c) traffic management during crisis situations as set out in Article 47.

In the event of large~scale crisis situations, both within and beyond the transport s e cto r, M ember States may implement measures derogating from the rules applicable in normal situations in accordance with Article 47. I n such cases and where relevant, infrastructure managers shall adopt and apply special rules and procedures, subjectto the conditions specified in Article 47.

w hen managing traffic, infrastructure managers shall adhere to the principles set out i n Arti c I e 2.

In particular, infrastructure managers shall minimise disturbances and their impact on rail traffic and shall.

(a) ensure a fast and coordinated reaction to disturbances, in particular in the event of network disruptions and crisis situations,

(b) stabilise and optimise rail traffic during the entire duration of n etw o r k disruptions and crises,

(c) provide relevant, accurate and up_to_date information to operational stakeholders and to other concerned parties, in particular authorities in charge of managing crisis situations outside the rail sector. This information shall be provided by the appropriate means, including those referred to in Article 62.

Article 43

Rules and procedures for traffic management and disruption management

Infrastructure managers shall put in place rules and procedures to manage deviations oftrain movements from the working timetable. Those rules and procedures shall be published in the network statement referred to in Article 27 of Directive 2012/34/EU and shall cover traffic management in the situations set out in Article 42(1), p o i n ts (a), (b) and (c) of this Regulation.

The rules and procedures referred to in paragraph 1 shall aim at minimising the overall impact of deviations from thetimetable on rail traffic, taking into account the needs of all types of transport. The principles may involve priority rules for the

51

management b etw een the different types of traffic and the specific procedures, criteria and targets to be applied in an optimisation~based approach that relies on the optimisation of a target function, such as the minimization ofthe delay minutes or of the time to return to normal operations, rather than explicit priority rules.

In the event of a disruption to train movements caused by technical failure or accident, the infra structure manager shall take all necessary steps to rest ore the situation to normal. To that end, it shall implement a contingency plan in accordance with Arti cle 19. In the event of a disturbance which has a potential impact on cross-border traffic, the infrastructure managers concerned shall cooperate with each other to re st ore the cross~border traffic to normal in accordance with the European framework for the coordination of traffic, disruption and crisis management referred to i n Article 44.

w hen setting out the rules and procedures referred to in paragraph I, infrastructure managers shall take the utmost account of the European framework for the coordination of traffic, disruption and crisis management referred to in Article 44. They shall explain in the n etw ork statement the reason for any deviation from the common rules and procedures established in the European framework for the coordination oftraffic, disruption and crisis management.

In cases of force majeure, and, where absolutely necessary, on account of an incident making the infra structure temporarily unusable, allocated capacity rights may be withdrawn without warning for as long as is necessary to repair the system.

The infra st ructure manager may, if it deems this necessary, require railway undertakings to make available to it the resources which it considers are the most appropriate to restore the situation to normal as soon as possible.

M ember States may require railway undertakings to be involved in assuring the enforcement and monitoring of their own compliance with the safety standards and rules.

Article 44

ropean framework for the coordination of cross_border traffic management, disruption management and crisis management

ENIM shall develop and adopt a Luropean framework for the coordination of cross border traffic, traffic disruption and crisis management in accordance with Article 42 atthe latest by [12 months after the entry into force of this IxegulationJ.

ENIM shall develop the Luropean framework for the coordination of cross~border traffic management, disruption management and crisis management in cooperation with operational stakeholders and interested parties through the consultation process

refe rre d to i n Article 54, taking into account the work of the Europe's Rail Joint

Undertaking established in Title IV of R e g u I at i o n (EU 2012/2085.

The E uropean framework for the coordination of cross_border traffic management, disruption management and crisis management shall provide guidelines for the coordination b etw een infra structure managers, railway undertakings and other operational stakeholders.

In particular, the European framework for the cross_border coordination of traffic management, disruption management and crisis management shall comprise the elements listed in Annex V.

52

Article 45

Coordination of traffic management, disruption management and crisis management

Infrastructure managers shall coordinate traffic management in accordance with Art i c I e 53 and on the basis of the European framework for the cross_border coordination of traffic management, disruption management and crisis management referred to in Article 44.

Coordination shall ensure in particular.

(a) that international rail services operate with minimum disruptions both under regular operations and in disturbed situations,

(b) that the specific challenges related to cross_border sections resulting, inter alia, from limited interoperability in terms of infrastructure, technical equipment and operations, language and training requirements related to staff, administrative or border formalities are properly taken into account,

(c) an efficient exchange of up_to_date and relevant information b etw een infra structure managers, applicants, railway unde rta kings and other operational stakeholders, as well as any E U ~ I e v e I relevant crisis management governance structures as appropriate, including in accordance with Article 62.

Article 46 Network disruptions

1. W here an incident results or is likely to result in restrictions to n etw ork operations, which require concerted action by operational stakeholders to ensure the best possible management of traffic during the restrictions, the affected infrastructure managers shall assess the likely duration and impactofthe incident on the basis of all available information and previous experience.

If the estimated duration and impact meetthe criteria for the declaration of n etw ork disruptions as set out in r\ n n e x VI, the infra st ruct ure managers concerned shall declare a network disruption and implementthe measures laid down in Article 43.

2. W here the incident has, or is likely to have, impacts on more than one n etw ork, the infrastructure manager where the incident took place shall declare a m u 11 i ~ n etw ork disruption and coordinate actions in accordance with Articles 44, 45 and 53.

3. ENIM shall define a harmonised method to estimatethe likely duration and impactof network disruptions and include it in the European framework forthe coordination of traffic and crisis management referred to in Article 44.

4. T he infra st ructure manager shall inform, as soon as possible, interested parties about the unavailability of infrastructure capacity, in particular due to an incident.

The regulatory body may require the infrastructure manager to make such information available to it, if it deems it necessary.

5. The N etw ork coordinator shall collect information on n etw ork disruptions, analyse the response, draw conclusions on the effectiveness of the management of such incidents and consult operational stakeholders in accordance with Article 54 and r e p o rt to ENIM and the Performance Review Body.

6. The C om mission shall be empowered to adopt delegated acts in accordance with Article 71 to amend Annex VI with a view to ensure an effective and efficient

53

management of n etw ork disruptions, taking into account planning, operational, technical and commercial considerations of the stakeholders concerned.

Article 47 Crisis situations

In cases of crises related to public sa f ety, health epidemics, natural disasters, environmental, defence and security crises, that have or are expected to have a critical effect on the supply or demand of rail transport services, M ember States shall be allowed to apply emergency measures that include, by way of derogation from the rules of this Regulation.

the cancellation ofcapacity rights without compensation,

alternative principles, rules and procedures for capacity management, in particularforthe allocation of scarce infra structure capacity,

alternative procedures for traffic management,

the use of alternative routes,

the amendment of capacity supply plans.

The M ember State concerned shall ensure that the emergency measures follow to the extent possible the principles on capacity and traffic management set out in this Regulation and that they make use of existing plans prepared in accordance with Artie,e 19. T hey shall coordinate such emergency measures with other M ember States.

The Member State concerned shall inform the Com mission and ENIM without delay of its decision to apply emergency measures and shall provide ajustification and a description of those measures and the expected duration of their application. If applicable, the M ember States shall also notify the Commission and the central liaison off ices as foreseen under Art i cle 8 of the [Regulation on a Single M a r k et Emergency Instrument].

The infra st ructure manager shall appoint a focal point in the meaning of Art i cle 60, which shall provide information to the Uom mission, ENIM, other infra st ructure managers and other interested parties about the emergency measures and shall help coordinate such measures.

W here emergency measures have a significant impact on cross~border traffic, infrastructure managers shall coordinate b etw een themselves in accordance with Articles 53 and 54 . W hen performing coordination through dedicated coordination structures in accordance with Art i cle 53, paragraph 2, point (a), the Commission and the M ember States concerned shall be involved.

At the request of the Vvom mission, regulatory bodies and the ENRRB shall provide their opinion on the emergency measures to the Commission within the deadline set by the latter. The Commission may adopt decisions requiring a M ember State to repeal the emergency measures, if they are deemed not to be necessary.

M ember States shall provide updated information where necessary or upon the request of the Commission. M ember States shall provide all the information required by the Commission about the emergency measures within the deadlines set by the I atter.

54

Public authorities in charge of managing crisis situations, including the military, civil protection agencies, and others, may organise exercises simulating crisis situations falling within the scope of this Artie,e. I n such cases, the infrastructure manager shall allocate capacity as needed, including the cancellation of allocated capacity rights if necessary. The public authorities concerned shall compensate the applicants concerned in accordance with Article 40.

Article 48

Exchange of information on traffic management

AII operational stakeholders directly involved in the operation of a rail transport service shall have the right of access to the information concerning this rail transport service set out in A n n e x V III.

The parties concerned may only use this information for the purposes of this Regulation and for the purposes of Directive (EU) 2016/797 and implementing acts adopted under that Directive, unless specified otherwise in contractual agreements.

The information shall be made accessible in accordance with Article 62.

The Commission shall be empowered to adopt delegated acts in accordance with Arti cle 71 to amend A n n e x V III with a view to ensure that it reflects any changes to the technical specifications for interoperabili ty laid down in the relevant implementing acts that are adopted in accordance with LJirective (EU) 2016/797 and taking into account planning, operational, technical and commercial considerations of the stakeholders concerned.

CHAPTER IV - PERFORMANCE REVIEW


Article 49

General principles for performance review

In accordance with Article 7f, point (d) of Directive 2012/34/ELJ, ENIM shan

monitor and benchmark performance of rail infra structure services taking into account the general objectives set out in Arti cle 2 of this Regulation. Rail infrastructure managers shall also monitor the performance of rail transport services.

For this purpose, infrastructure managers shall set out their own performance targets in the plan referred to in Article 8(3) of D i re cti v e 2012/34/EU, taking into account any objectives set out in the contractual agreements referred to in Arti cle 30 of that Directive. They shall put in place and perform 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. These procedures shall take into account the European framework for performance review referred to in Article 50 of this Regulation. Infrastructure managers shall explain in the n etw ork statementthe reason for any deviation from the common procedures established in the European framework for performance review.

55

ENIM shall cooperate with the Luropean Uoordi nators on performance reviews in accordance with the operational requirements for the European Transport Corridors set out in Article 18 of [new TEN-T R e g u I ati o n J .

Eur

Article 50

opean framework for performance review

ENIM shall set up and implement by [12 months after the entry into force of this Regulation] a European framework for the review of performance. This framework shall take into account in particular the principles defined in Artie,e 2(3), A rt i c I e 8(4), Artie,e 42(3) and the operational requirements, the performance objectives and target values set out in [Article 18 ofthe new TEN-T R e g u I ati o n J .

The E uropean framework shall cover the performance areas set out in /Annex VII. I n particular, it shall include.

(a) a list of priority performance issues to be addressed in the performance areas set out in Annex VII;

(b) performance indicators allowing to monitor progress on the performance issues, including methodology and data requirements to calculate such i n d i c ato rs,

(c) criteria and procedures to define performance objectives at the level of infrastructure managers,

(d) procedures to monitor and review the elements in points (a) to (c) as well as the implementation of corrective measures and the achievement of the performance objectives referred to in paragraph 4.

On the basis of paragraph 2, point (d), ENIM shall regularly review the Luropean framework for performance review and the results of its implementation and shall propose appropriate changes to the framework.

Infrastructure managers shall take the utmost account ofthe European framework for performance review when fulfilling their functions. In particular, infrastructure managers shall include the objectives defined in accordance with paragraph 2 point IcJ of this Artie, e in the business plan referred to in Article 8(3) of D i re cti v e 2012/34/EU. T hese objectives shall include the target values set out in [Artie,e 18(1), points (a) and (b) of new TEN-T R e g u I ati o n J .

The Commission may adopt implementing acts, setting out detailed rules on the elements in paragraph 2, points (b) to (d), in accordance with the advisory procedure refe rre d to i n Artie,e 72(2). I n doing so, the Uom mission shall take into account the work done by ENIM in accordance with paragraph O and any recommendations of the performance review body.

Article 51

European performance review report

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w ithout prejudice to Article 15 of Directive 201 2/34/EU and Article 3 of Commission Implementing Regulation (EU) 201 5/11 0013, E N I M shall prepare and publish by [24 months after the entry into force of this Regulation] a European performance review report on the basis of the European framework for performance review referred to in Article 50 of this R egulation and publish it every year.

The P erformance Review Body shall prepare a self_standing section of the report providing its assessment of the performance of rail infrastructure services and rail transport services, recom mendations on performance issues to be addressed with priority and recommendations on measuresto improve performance.

The performance review report shall cover at leastthe lines included in the European Transport Corridors referred to in Regulation [new TENET R egulation] and shall include the information required by [Article 53(3)(g)] thereof. I he information presented shall be sufficiently detailed in terms of geographical scope and should cover a sufficiently long period of time to allow for meaningful interpretations.

The performance review report shall include a dedicated section on the performance of coordination b etw een infrastructure managers in accordance with Art i c I e 53 and on the consultation mechanism referred to in Article 54 of this R egulation.

Article 52

Performance Review Body

In accordance with the procedure referred to in Art i cle 73(3), the Commission may set up or designate an impartial and competent body to act as a Performance Review Body.

The P erformance Review Body shall provide advice to the Commission and the European Coordinators on matters related to the performance of rail infrastructure services and rail transport services, on request by the Commission or the European Coord i nators.

The P erformance Review Body shall perform the following tasks.

providing recommendations to ENIM as regards the establishment and review of the Luropean framework for performance review referred to in Article 50, including on performance areas, performance issues to be addressed under each of the performance areas, harmonisation of methodologies, processes, criteria and definitions for the collection and analysis of data related to performance and performance indicators,

(b) providing recommendations to ENIM, the ENRRB, i nfrastructure m anagers, applicants, regulatory bodies, M ember State authorities, and, where relevant, other stakeholders for corrective measures, on capacity management, traffic management, disruption management and crisis management,

(c) reviewing the results of the dra ft European performance report and, preparing the se I f "sta n d i n g section referred to in Artice 51(2);

(d) providing opinions and recommendations relating to the performance of rail infrastructure services in relation to the indicative rail infrastructure

13 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).

57

development strategy referred to in Article 8(1 ), the business plan referred to in Article 8(3), the contractual agreements referred to in Artie,e 30(2) and the performance scheme referred to in Article 35 of Directive 2012/34/EU.

(e) providing advice to the European Coordinators on matters related to the performance of rail infrastructure services and rail transport services.

The addressees of opinions and recommendations referred to in paragraph 3 shall provide responses to the Performance Review Body within the deadlines set by the I atter.

ENIM, the N etw ork Uoordinator, infrastructure managers, regulatory bodies, the ENRRB and, where relevant, other stakeholders shall cooperate with the performance review body, in particular by providing information related to

performance on their own initiative or upon the body's request and make the utmost

effort to take into account its recommendations in their work on rail performance management.

The performance review body shall respect the confidentiality of business secrets when handling information provided by relevant stakeholders or the Com mission.

CHAPTER V - EUROPEAN NETWORK FOR COORDI NATION


Article 53

Coordination between infra structure managers

W hen reference is made to this /Art i cle, infra structure managers shall coordinate b etw een themselves and with other relevant stakeholders in relation to the responsibilities and tasks entrusted to them in this Regulation.

Infrastructure managers shall coordinate at least on the issues set out in r\ n n e x IX and shall comply with the specific coordination requirements set out in the Art i c I es referenced therein.

Infrastructure managers shall in particular.

(a) establish organisational structures, procedures and tools, as appropriate, including the digital tools referred to in Article 62,

(b) coordinate at the most appropriate geographical level, involving the entities which are best placed to achieve effective and efficient outcomes, in line with the principle ofsubsidiarity,

(c) cooperate with other infrastructure managers through the designated focal

points referred to in Article 60;

(d) involve ENIM or the Network uoord i nator, as appropriate, on matters having Union relevance. Coordination b etw een infra structure managers may be implemented at more than one level, in particular for m a tte rs where coordination is required both at Union level and within a more specific geographical scope,

58

appoint a leading e n t i ty, whenever coordination activities involve multiple actors, which shall report to ENIM and shall be responsible for organising consultation activities in accordance with Article 54;

(f) refer to ENIM

cases where agreed outcomes cannot be reached at first instance,

\g) review the performance of coordination activities in accordance with C h a pte r I V.

Coordination shall cover all lines and nodes which are part of the European

Transport Corridors set o ut i n Article 7 of and Annex III to [new TEN "T R e g u I ati o n J .

Infrastructure managers may extend coordination to additional lines subject to an agreement between all infrastructure managers concerned.

Coordination b etw een infrastructure managers relating to the allocation of multi" network capacity rights in accordance with Article 29 shall cover the entire networks ofthe infra st ructure managers which are members of ENIM.

The Commission shall be empowered to adopt delegated acts in accordance with Article 71 to amend Annex IX with a view to ensure an efficient coordination b etw een infrastructure managers, taking into account planning, operational and commercial considerations of all stakeholders concerned, and in the light of experience gained in the implementation of this Regulation.

Article 54

Consultation mechanism for European and cross_border matters

ENIM shall prepare, adopt and implement guidelines to ensure appropriate and regular consultation of interested parties and include them in the European framework for capaci ty management referred to in Art i cle 6, the European framework for the cross~border coordination of traffic management, disruption management and crisis management referred to in Art i cle 44 and the European framework for performance review referred to in Article 50. T he process shall be developed and implemented with the support of the N etw ork Coordinator and with the involvement of the designated focal points of infra structure managers referred to i n Arti c I e 60.

W here ENIM adopts an opinion or a recommendation likely to have an impact on railway unde rta kings, other applicants, other operational stakeholders and interested parties, it shall publish a dra ft for the consultation of concerned parties. The concerned parties shall be given an appropriate amount of time to provide feedback on the dra ft decision. M ember State authorities shall be involved when required.

ENIM shall take account of the feedback provided by concerned parties in accordance with paragraph 2 when adopting the final opinion or recommendation. W here ENIM fails to take into account significant elements of the feedback provided, it shall provide the reasons for doing so.

Article 55

O rganisation ofthe European Network of Infrastructure \\A a n a g e r s

For the purposes of this Regulation, the European N etw ork of Infrastructure Managers referred to in Article If of Directive 2012/34/EU shall be organised in accordance with this article.

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AII rail infrastructure managers, which are responsible for lines that form part of the core and extended core TEN-T network, referred to in [Article 6 of and Annex I to new TEN-T R egulation], shall be members of ENIM. T hey shall appoint a representative and an alternate.

Rail infrastructure managers, which do not meet the criterion defined in paragraph 2 may appoint a non_member representative to participate in the deliberations of

ENIM.

Following the consultation of and the approval by the Commission, ENI M shall adopt and publish its rules of procedure. It shall organise its activities in accordance with the rules of procedure.

ENIM shall take its decisions by a simple majori ty, unless otherwise provided for in the rules of procedure. All members from one Member State shall together have one vote. In the absence of a member, the alternate shall be entitled to exercise the right to vote.

ENIM shall meet at regular intervals. It shall elect a Chair from among its members with a two_thirds majority of its members.

The Commission shall be a non-voting member of ENIM. I t shall support the work of ENIM and facilitate coordination.

ENIM shall define its work programme. I he work programme shall cover at least a period of tw o y e a rs . ENIM shall consult applicants and other operational stakeholders through the consultation mechanism referred to in Article 54 on the dra ft work programme. In addition, it shall consult the European Commission, the

European Union Agency for Railways and the Europe's Rail Joint Undertaking and,

as appropriate, other stakeholders

Article 56

Responsibilities of ENIM

In addition to the tasks laid down in Article If of Directive 2012/34/EU, ENIM shan be responsible for all tasks assigned to it in this Regulation. It shall, in particular.

adopt the European framework for capaci ty management referred to in Arti c I e 6i

) adopt the European framework for the coordination of traffic and crisis management referred to in Article 44;

adopt the European framework for performance review, referred to in Arti c I e

50;

) adopt opinions and recommendations to infrastructure managers in accordance with the provisions of this Regulation and on its own initiative,

adopt opinions and recommendations to infrastructure managers in the cases

refe rre d to i n Article 53(2)(f);

organising the coordination b etw een infra structure managers in accordance with Article 53.

W hen performing coordination through dedicated coordination groups, infra structure managers shall appoint the entities participating in this group, including focal points

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appointed by infra structure managers in accordance with Article 60, the N etw ork Coordinator or both.

Article 57 ~T r a nspa rency

1. ENIM shall ensure that its membership, methods of operation and all relevant information about its work are made publicly available on itswebsite. It shall include contact details of dedicated coordination groups, established by the infrastructure managers and references to coordination tools and procedures in accordance with Arti c I e 53.

2. ENIM shall invitethe Vvom mission, including the Luropean Uoordi nators and, where relevant, representatives of the M ember States, to its meetings with a view to discuss issues related to the development of rail infrastructure and to ensure cooperation with the European Coordinators, as outlined in [new TEN-T R e g u I ati o n 1. ENIM shall provide the information required under [Article 53, third subparagraph of the new

TEN-T R e g u I ati o n J .

Article 58 Network Coordinator

1. T he infrastructure managers shall provide ENIM with the necessary resources to perform its tasks. Tor this purpose, they shall appoint by [12 months after the entry into force of this Regulation] an impartial and competententityto fulfil the functions refe rre d to i n Article 59. S uch entity will be designated as a Network uoordinator,

Prior to the appointment of the N etw ork Coordinator, infrastructure managers shall seek the consent of the Commission regarding the designated entity and the following aspects.

(a) the terms and conditions for the appointment of the N etw ork Coordinator,

(b) the conditions of withdrawal of the appointment,

(c) the procedure to regularly monitor its work and to assess whether it has performed its tasks effectively,

(d) any additional operational duties and tasks of the Network Coordinator.

2. The N etw ork coordinator shall execute its tasks in an impartial and cost~effective manner and shall act on behalf of ENIM. F or this purpose, it shall submit to ENIM its annual work program me with respectto the tasks set out in this Regulation as well as an annual reporton the implementation ofthe work programme.

Article 59

"Tasks and responsibilities ofthe Network Coordinator

The N etwork coordinator shall carry out in support of ENIM the following tasks.

act as secretariat and prepare ENIM's meetings, documents, decisions and opinions,

(b) contribute to the preparation of the European framework for capacity management

referred to in Article 6, the European framework for the coordination of cross_border traffic management, disruption management and crisis management referred to in

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Arti cle 44 and the European framework for performance review referred to in

Article 50;

contribute to the operational coordination b etw een infrastructure managers in accordance with Article 53,

identify rules, procedures and tools within the scope of this Regulation and adopted at national or infrastructure manager level which create obstacles for m u 11 i ~ n etw ork rail services, as set out in this Regulation,

act as a contact point on behalf of infrastructure managers for enquiries related to capacity planning and allocation, in particular regarding potential requests for capacity, for information or contact points related to rail incidents and temporary capacity restrictions,

act as a first point of contact for stakeholders outside the rail sector interested in using rail services, providing contacts to relevant actors at infrastructure managers and other operational stakeholders,

act as a contact point on behalf of ENIM for applicants and other operational stakeholders on issues not explicitly covered by this Regulation, in particular the launch or change of cross_border rail transport services or organising support for ad hoc activities, in particular to address the crisis situations referred to in Article 47.

Article 60

Focal points for coordination ofinfrastructure managers

In order to ensure coordination b etw een infrastructure managers in accordance with Arti cle 53, the infrastructure managers shall designate focal points. The focal point shall act as the central interface b etw een the organisation of the infrastructure manager and the other entities involved in the coordination activities.

Infrastructure managers shall inform without delay ENIM about any changes in focal points for inclusion in the publications referred to in Artie,e 57(1) (T ransparencyj,

Article 61

Common structure, contents and schedule for network statements

ENIM shall prepare and adopt a common structureforthe n etw ork state ment referred to in Article 27 of Directive 2012/34/EU, which shall take into consideration the information listed in r\ n n e x IV to that LJirective, /Annex IV to this rxegulation, and a common schedule for the consultation of interested parties on the dra ft n etw ork statement. Infrastructure managers shall take the utmost account of this structure and schedule when preparing the network statement.

W hen preparing the network statement referred to in Article 27 of Directive 2012/34/EU, the infrastructure manager shall the take utmost account of the European framework for capacity management, the European framework for the cross_border coordination of traffic management, disruption management and crisis management and the European framework for performance review, referred to respectively in Articles 6, 44 and 50 of this R e g u I at i o n .

W here the infrastructure manager does not comply with paragraph 1 or 2, it shall provide ajustification in the n etw ork statement and inform the competent regulatory

body and ENIM.

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Article 62

Digitalisation of capacity and traffic management

Infrastructure managers shall ensure that capaci ty management and traffic management processes within the scope of this Regulation are implemented by means of digital tools and digital services.

The digital tools deployed and the digital services provided shall.

(a) improve the performance and the quali ty, including full interoperabili ty, of t h e services infra structure managers provide to applicants,

(b) improve the transparency of rail capacity management and traffic management throughout all their phases,

(c) reduce the administrative burden for applicants by requesting each piece of information only once and by providing information or data in a single place, including as regards cross~border services.

W here the digital tools or of the digital services necessary to support capacity management or traffic management processes need to be covered by technical specifications for interoperabili ty, or where existing specifications covering or partially covering those tools, as provided for by LJirective (EU) 2016/797 and the implementing acts adopted under that LJirective, need to be amended, ENIM and infrastructure managers shall contribute to the development and maintenance of such

specifications in cooperation with the Europe's Rail Joint Undertaking and through the process referred to in Article 5 of Directive (EU) 2016/797.

Infrastructure managers shall contribute the WOrk of the EWOpe'S Rail Joint

Undertaking on issues that fall within the scope of this Regulation. For this purpose, ENIM and the infrastructure managers shall seek for appropriate representation in the System Pillar Steering Group and the Deployment Group referred to respectively in Articles 96 and 97 of Regulation (EU) 2021/2085.

Infrastructure managers, railway undertakings, other applicants and, where relevant, the operators of rail service facilities shall exchange digital information related to capacity management and traffic management by means of digital tools and digital services which are based on a harmonised architecture and which involve standardised interfaces or common systems in accordance with Directive (EU) 2016/797 and the specifications laid down in implemented acts adopted under that D i r e cti v e .

In the case of m u 11 i ~ n etw ork rail services, infra structure managers shall provide digital services and digital information through a single interface or common systems developed and deployed under coordination of ENIM in accordance with paragraph 3.

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CHAPTER VI - REGULATORY OVERSIGHT OF CAPACITY AND TRAFFIC


MANAGEMENT

SECTION 1

R

eg u latory bodies

Article 63

Responsibilities of regulatory bodies

The functions and the powers laid down in Art i cle 56 of Directive 2012/34/EU shall also be exercised with respect to the matters covered by this Regulation. In particular, the regulatory body shall monitor the activities of infrastructure managers as set out in Chapters II to V and shall verify compliance with this Regulation on its own initiative and with a view to preventing discrimination again stapplicants.

A railway undertaking, an applicant, a potential applicant, a national, regional or local authority responsible for transport shall have the right to appeal to the regulatory body in accordance with article 56 or D i re cti v e 2012/34/EU if it believes it has been unfairly treated, discriminated again st or in any other way aggrieved by the infra st ructure manager when the latter carried out the activities set out in Chapters I I, I I I , I V a n cl V of this Keg u I ati o n (M anagement of infrastructure, I raffic and crisis management, Performance review and management, European n etw ork for c o o r d i n ati on).

Article 64

Cooperation of regulatory bodies within the European Network of Rail Regulatory

Bodies (ENRRB)

For the purpose of fulfilling their responsibilities under this Regulation, the regulatory bodies shall cooperate in the framework of the ENRRB refe rre d to i n Artie,e 57(1) of D i re cti v e 2012/34/EU, including through Joint consultations and investigations, by adopting opinions or recommendations or through other relevant activities. Regulatory bodies shall provide all the required information to the

ENRRB.

W hen acting within the scope of this Kegulation, the ENRRB shall have the tasks and responsibilities and organise its work as defined in section 2 of this Chapter.

In the case of a complaint or an own_i n itiati ve investigation on a matter falling within the scope of this Regulation and affecting the access to or the use of rail n etw orks in more than one M ember State, the regulatory body concerned shall inform the ENRRB and the Vvom mission of the complaint or the investigation.

A regulatory body may transmit any relevant matter, complaint or investigation to the ENRRB for an exchange of views or for the adoption of an opinion or recom mendation.

W hen taking decisions on m atters affecting more than one Member State, the regulatory bodies concerned shall cooperate in preparing their respective decisions

64

under the coordination of the ENRRB in order to bring about a resolution of the matter. For that purpose, the regulatory bodies concerned shall carry out their functions in accordance with paragraph 1 of this Art i c I e and Art i cle 56 of Directive 2012/34/EU. T hey shall take into account any relevant opinion and recommendation adopted by the ENRRB and shall provide these decisions to the ENRRB.

Where a regulatory body adopts a decision, which departs from any relevant opinion or recommendation of the ENRRB or where it refuses to adopt a decision, it shall provide to th e ENRRB an explanation laying outthe differences and its reasoning for not following the opinions or recommendations of the ENRRB.

The regulatory bodies consulted by the ENRRB shall reply within the deadlines set by the ENRRB and, upon the latter's request, shall provide all the information that they have the right to request under their national law. This information may only be used for the purpose of the activities carried out by the regulatory bodies in accordance with this Regulation.

Infrastructure managers shall provide, without delay, all the information necessary for the purpose of handling the complaint or investigation referred to in this Article and requested by the regulatory body of the M ember State in which the infrastructure manager is located. Regulatory bodies shall have the right to request information fro m ENIM on investigations within their competence. Kegulatory bodies shall be entitled to transfer such information to the ENRRB.

Rail regulatory bodies shall provide the necessary resources for the functioning of

the ENRRB.

SECTION 2 - asks and responsibilities ofthe European Network of Rail



Regulatory Bodies

Article 65

Tasks and responsibilities

In addition to its tasks under LJirective 2012/34/EU, the ENRRB shall also have the tasks and responsibilities laid down in this Regulation.

The ENRRB shall coordinate all cooperation activities of rail regulatory bodies as outlined in Article 64 and promote alignment of decisions of regulatory bodies in relation to international rail services.

Based on requests by applicants, infrastructure managers, and other interested p a rti es, the ENRRB shall provide opinions or recommendations on pending or adopted decisions on com plain ts submi tted to the rail regulatory bodies.

Interested parties may lodge a complaint with the ENRRB on matters within the scope of this Regulation or affecting the access to or the use of rail infrastructure in more than one \\A e m b e r State. W here the ENRRB receives such a complaint, it shall transfer it to the competent regulatory body or bodies without delay.

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In such cases, the ENRRB shall immediately inform the rail regulatory bodies concerned about its intention to adopt an opinion or recommendation on any such m atte r.

The ENRRB shall submit its opinion or recommendation to the rail regulatory bodies concerned within one month of receipt of all the relevant information regarding the complaint. The ENRRB may extend the period for particularly complex matters.

The ENRRB shall develop common principles and practices for taki ng the decisions for which regulatory bodies are empowered under this Regulation.

Article 66

Organisation and structure of the European Network of Rail R egulatory Bodies

(ENRRB)

rthe purpose of this regulation, the ENRRB shall be organised into, a Board of Regulatory Bodies, a S e c reta r i at.

gulatory bodies shall ensure the operation of the Secretariat.

Article 67

Composition ofthe Board of Regulatory Bodies

The Board of Regulatory Bodies shall be composed of one voting member from each M ember State that has a rail n etw ork in use and one member appointed by the Commission.

The voting members shall be the head, or a deputy head, of the regulatory body refe rre d to i n Article 55 of D i re cti v e 2012/34/EU. T hey shall have one alternate to represent the member in her or his absence. The alternate shall be appointed by the regulatory body from among the governance or the management of the regulatory body or, where this is not possible, from its staff.

M embers of the Board and their alternates shall act independently and objectively in the i n te rests of the Union, regardless of any particular national or personal i n te rests. They shall neither seek nor take instructions from any government, institution, person or body.

An up"to_date list of members of the Board and their alternates, together with their declarations of interest, shall be made public by the Jecretariat ofthe ENRRB.

Article 68 Role and tasks ofthe Board The Board shall perform all tasks ofthe ENRRB set out in this Kegulation, In particular, the Board shall.

(a) adopt opinions or recommendations on complaints or investigations presented to it by its Chair or by a regulatory body or bodies in accordance with the rules

laid down in Article 69;

(b) dra ft and adopt an annual reportonthe ENRRB's activities;

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(c) set up working groups and appoi nt their Chairs.

Article 69

O rganisation of the work of the Board

The Board shall adopt its rules of procedure, following approval by the Commission.

The Commission shall chairthe meetings ofthe Board. Itshall have no voting right.

The Secretariat shall provide the necessary services for organising the meetings and the work ofthe Board.

The Board shall take decisions by a simple majority of its members, unless otherwise provided for in the rules of procedure.

Each member shall have one vote. In the absence of a member, the alternate shall be entitled to exercise the rightto vote.

The rules of procedure may establish more detailed voting arrangements, in particular the procedure for voting on urgent matters and on cases of recommendations on decisions of rail regulatory bodies.

Article 70 W orking groups ofthe ENRRB On its own initiative or upon a proposal by the Commission, and in accordance with

the Board's rules of procedure, the Board may decide with a simple majori ty to set up working groups to organise the work of the ENRRB on specific topics related to the implementation of this Regulation.

The Board shall define the mandate of the working group and appoint the Chairs of the working groups, representing, where possible, different rail regulatory bodies.

The working groups shall be open to the participation of experts from rail regulatory bodies, the Commission, operational stakeholders and, where relevant, from other public or private bodies.

The Secretariat shall provide administrative supportto the working groups.

The Board or the Chairs of the working groups may invite individual expe rts recognised as competent in the relevant field to participate in the working group meetings if necessary on a case~by~case basis.

CHAPTER VII - FINAL PROVISIONS


Article 71

Exercise ofthe delegation

The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Artie,e.

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2. T he power to adopt delegated acts referred to in Article 10(8), Article 11(2), Article

21(9), Article 38(3), Article 39(9), Article 46(6), Article 48(3) and Article 53(5) shall be conferred on the Commission for a period of five years from [1 January 2026]. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five~year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.

Article 72 Committee procedure

1. The C ommission shall be assisted by the Committee referred to in Article 62 of Directive 201 2/34/EU. T hat c o m m i tte e shall be a commi tte e within the meaning of Regulation (EU) No 182/2011.

2. W here reference is made to this paragraph, Art i cle 4 of Regulation (EU)

No 182/2011 shall apply.

3. W here reference is made to this paragraph, Art i cle 5 of Regulation (EU)

No 182/2011 shall apply.

Article 73

Re

\eport and review

By [31 December 2030], the Commission shall evaluate the impact of this Regulation on the rail sector and shall submit to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions a report on its implementation.

The report shall, in particular, evaluate.

(a) the impact of this Regulation on the performance of rail infrastructure services,

(b) the impact of this Regulation on the development of rail services, notably international services, I o n g ~ d i sta n c e services and f re i g h t s e rv i c es,

(c) the work of the European N etw ork of Infrastructure M anagers, of the N etw o r k Coordinator, the European Network of Rail R egulatory Bodies and the Performance Review Body in general and in relation to the development, adoption and implementation of common criteria, methodologies and procedures.

(d) the need to reinforce coordination mechanisms by replacing elements of the European frameworks referred to in Articles 6 and 44 with binding rules,

(e) the need to strengthen regulatory oversight by establishing a Union rail regulatory body.

Article 74 Amend ments to Dire ctive 201 2/3 4/E U

1. D i r e cti v e 2012/34/EU is amended as follows.

(a) In Article 1, point (c) is replaced by the following.

'(c) the principles and procedures applicable to the setting and collecting of

railway infrastructure charges as set out in Chapter IV.'

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(b) In Article 2, paragraph 6 is deleted
(c) points (20), (22), (23), (27) and(2E) are del ete d ,
(d) Article 7b is deleted,
(e) Article 36 is deleted,
(f) Articles 38 to 54 are deleted!
(g) In Annex IV, points (1 ) and (3)ared e I ete d ,
( h ) A n n e x V II is d e I ete d .
References to the deleted provisionsofDirective 2012/34/EU

i a I I be con st rued as

references to this Regulation and shall be read in accordance with the correlation table in Jection 1 of Annex X.

Article 75

"Transitional provisions

Framework agreements concluded in accordance with Art i cle 42 of Directive 2012/34/EU shall continue to apply until their expiration date.

Arti cle 3, p o i nts (20), (22), (23), (27) and (28), Articles 7b, 36 and 38 to 54, Annex IV point (3) and A n n e x VII or D i re cti v e 2012/34/EU shall not apply to activities and tasks carried out in relation to the working timetables entering into force after [8 December 2029],

Article 76 RepeaI

Regulation (EU) No 913/2010 is repealed with effectfrom [9 December 2029],

References to the repealed Regulation shall be construed as references to this Regulation and shall be read in accordance with the correlation table in Section 2 of A n n e x X .

Article 77

Entry into force and application

This R egulation shall enter into force on the day following that of its publication in the Off! c la i Jo u r n a I of the tz~u ro pea n U n I o n.

Itshall apply from [1 January 2026]. However.

(a) Arti cles 1, 2 and 3, Chapter II, with the exception of Article 9(1) and (2) and Arti cle 27(4), and Chapter III, with the exception of Arti cle 48, of this Regulation shall apply only to activities and tasks carried out in relation to the working timetables entering into force after [O Uecember 2029];

(b) Article 9(1) and (2) shall apply from [1 January 2028] i

(c) Article 27(4) shall apply from [1 March 2026];

(d) Articles 48 and 62 shall apply from [13 December 2026];

(e) Article 74 shall apply from [9 December 2029],

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This R egulation shall be binding in its enti rety and directly applicable in all M ember States.