Explanatory Memorandum to COM(2013)30 - Interoperability of the rail system within the EU (Recast) - Main contents
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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2013)30 - Interoperability of the rail system within the EU (Recast). |
|---|---|
| source | COM(2013)30  |
| date | 30-01-2013 |
1. CONTEXT OF THE PROPOSAL
1.1.Recent EU policy developments in the railway field
In its White Paper ‘Roadmap to a Single European Transport Area — Towards a competitive and resource efficient transport system’, adopted on 28 March 2011 (‘2011 White Paper’), the Commission announced its vision for the establishment of a Single European Railway Area, clarifying that this objective implies creating an internal railway market where European railway undertakings can provide services free from unnecessary technical and administrative barriers.
Moreover, the European Council conclusions of January 2012 highlight the importance of releasing the growth-creating potential of a fully integrated Single Market, including as regards network industries 1 . Furthermore, the Commission Communication on Action for Stability, Growth and Jobs adopted on 30 May 2012 2 stresses the importance of a further reduction in the regulatory burden and barriers to entry in the rail sector, making country-specific recommendations in that direction. In the same vein, on 6 June 2012 the Commission adopted the Communication on strengthening the governance of the single market, which likewise stresses the importance of the transport sector 3 .
In the last decade, the EU railway market has seen massive changes, gradually introduced by three legislative ‘railway packages’ (with some accompanying acts) intended to open up national markets and make railways more competitive and interoperable at the EU level, while maintaining high levels of safety. However, despite the considerable development of the ‘EU acquis’ establishing an internal market for rail transport services, the modal share of rail in intra-EU transport remains modest. Thus, the Commission has planned to come forward with the fourth railway package in order to enhance the quality and efficiency of rail services by removing the remaining market obstacles. This Directive is a component of the fourth railway package, focusing on the removal of remaining administrative and technical barriers, in particular by: establishing a common approach to safety and interoperability rules to increase economies of scale for railway undertakings active across the EU; decreasing administrative costs and accelerating administrative procedures; and by avoiding disguised discrimination.
1.2.Legal framework for interoperability
Under the Treaty on the Functioning of the European Union (Articles 170 and 171), the Union must contribute to the establishment and development of trans-European networks in the areas of transport. In order to achieve these objectives, the Union must take any measures necessary to ensure the interoperability of the networks, particularly in the field of technical standardisation.
The initial measures taken in the rail sector were Directive 96/48/EC on the interoperability of the trans-European high-speed rail system and Directive 2001/16/EC on the interoperability of the trans-European conventional rail system, amended by Directive 2004/50/EC. These Directives were recast by Directive 2008/57/EC on the interoperability of the rail system within the Community, which is currently in force as amended by Directive 2009/131/EC and Directive 2011/18/EU.
1.3.Why recast interoperability Directive 2008/57/EC as amended?
Several lessons have been learned based on the work done on developing TSIs, the application of the interoperability Directives to specific projects, the work of the Committee set up under Article 29 of Directive 2008/57/EC and feedback from stakeholders. Furthermore, the legislative context for the marketing of products has evolved in recent years, with the result that the interoperability legislation needs to be updated.
On this basis, the Commission intends to propose a number of changes to Directive 2008/57/EC, which can be grouped into three different categories:
• new provisions: a number of new definitions, the concept of a vehicle authorisation for placing on the market, and some provisions on registers;
• clarification of existing provisions: scope of the Directive, application of TSI to existing systems, TSI derogations, TSI deficiencies and applicability of national rules;
• updates due to the evolution of the legislative framework: provisions concerning conformity assessment and conformity assessment bodies, as well as references to comitology procedures and delegated acts;
• editorial changes: consolidation of previous amendments to the text of the Directive, renumbering of articles and annexes, references to other components of the fourth railway package, targeted rewording of a few sentences to avoid translation ambiguities.
2. RESULTS OF CONSULTATIONS WITH INTERESTED PARTIES AND IMPACT ASSESSMENTS
The European Commission carried out a thorough impact assessment to support legislative proposals for improving the efficiency and competitiveness of the Single European Railway Area in the field of interoperability and safety.
An Impact Assessment Steering Group (IASG) was created in June 2011. While all DGs were invited by DG MOVE to participate, the DGs most concerned were ENTR, EMPL, SG, SJ, HR, RTD, BUDG, REGIO, ENER and ELARG.
The Commission departments have discussed developments in the Single European Railway Area with sector representatives on an ongoing basis. In 2010-2011 they also conducted an ex-post evaluation of Regulation 881/2004 establishing the European Railway Agency.
To support the Commission in the impact assessment process, an external consultant was tasked to prepare an impact assessment support study and to undertake a targeted consultation of stakeholders.
The targeted consultation of interested parties started on 18 November 2011 with an internet survey which finished on 30 December 2011. It was followed by interviews with major stakeholders and a stakeholder workshop at the end of February 2012.
Since then, DG MOVE has taken part in bilateral meetings with the sector to gauge their views on what should be done in the fourth railway package with respect to interoperability and safety.
Given the technical nature of the initiative, there was no public consultation. However, the Commission made sure that all interested parties were consulted at the appropriate time and that the discussions covered all the key elements of the initiative.
More information on the impact assessment and the results of the stakeholder consultation is provided in the Commission staff working document accompanying legislative proposals to eliminate remaining administrative and technical barriers in the field of interoperability and safety on the EU railway market.
3. LEGAL ELEMENTS OF THE PROPOSAL
This section provides comments and explanations relating to significant changes in the text of the Directive. It does not provide detailed comments on minor changes introduced as a consequence of the Lisbon Treaty, editorial modifications and other obvious amendments.
The numbering corresponds to the renumbered articles and annexes, unless preceded by ‘ex’, in which case it refers to the numbering as it is in Directive 2008/57/EC.
Contents
- CHAPTER I
- Article 2
- Ex Article 3
- Article 3
- CHAPTER II
- Article 5
- Article 6
- Ex Article 7
- Article 7
- Articles 8, 9 and 10
- Ex Article 12
- Article 11
- CHAPTER IV
- Article 12
- Articles 13 and 14
- Article 15
- Article 16
- Article 17
- Ex Article 20
- CHAPTER V
- Article 18
- Article 19
- Article 20
- Article 21
- Article 22
- ex Article 27
- CHAPTER VI
- Ex Article 31
- CHAPTER VII
- Ex Article 36
- CHAPTER VIII
- Article 48
- Ex Article 30
- Articles 49 and 50
- Article 51
- Article 52
- Articles 53
- Article 54
- Articles 55 to 57
- Annex I
- Annexes II and III
- Ex Annex IV
- Ex Annexes V and VI
- Ex Annex VII
- Ex Annex VIII
- Ex Annex IX
- Annexes IV and V
Article 1
The Commission services, together with the committee referred to in Article 29 of Directive 2008/57/EC, had already addressed in February 2009 the clarification of the scope of the Directive as far as lines and vehicles used for local, urban and suburban services were concerned. The conclusion of this analysis was a three-fold approach: i) exclusion of urban rail and clarification of the scope; ii) development of a dedicated urban rail European voluntary standardisation framework; and iii) development of essential requirements for urban transport.
The first action was initiated in October 2009, when the Commission services invited Member States to exclude from the scope of the measures transposing Directive 2008/57/EC cases (a) and (b) as defined in its Article 1 i. This was to avoid a situation in which a Member State might apply the Directive to de facto cases not covered by the TSIs. Such a situation would in fact imply that Member States notify all national rules in use for metro, tram and light rail systems in the absence of TSIs and follow for these systems all the procedures set out by the Directive for heavy rail, which would amount to a disproportionate administrative, technical and legal burden. To avoid this situation, the proposed amendment formalises in paragraph 3 the indication already given by the Commission services in October 2009, thus completing the first action.
The second action was formally initiated in February 2011, when the Commission issued a mandate addressed to the European standardisation bodies to develop voluntary standards in urban rail.
To contribute to the abovementioned third action, in October 2011 the associations representing the urban rail sector issued a set of ‘fundamental requirements’, which are being used as basic references for the execution of the urban rail standardisation programme proposed by CEN/CENELEC and ETSI in October 2011.
On this basis, interoperability for local, urban and suburban systems is considered to be adequately addressed in the voluntary field and does not need to be covered by this Directive.
For the sake of clarity, and to take account of the evolution of the legal framework, some definitions have been reworded or added.
It has been deleted because redundant with Article 1.
No substantial change.
Article 4
Further provisions are to be specified in the TSIs to cover existing subsystems and to enable railway undertakings to check compatibility between vehicles and routes on which these vehicles are intended to be operated.
No substantial change, apart from those required by the Lisbon Treaty.
This clarifies the use of Agency opinions pending the amendment of TSIs as a result of deficiencies discovered.
This article has been deleted because it has become obsolete. In fact, the TSIs will have been extended by the time this Directive enters into force.
The cases of possible non-application of TSIs have been reduced because case 1(b) of Article 9 of the current Directive is unclear, has never been used and could be covered, as in cases 1(c) and 1(f), by specific cases in TSIs.
No substantial change, apart from those required by the Lisbon Treaty.
Deleted because covered by Directive 1025/2012/EU.
No substantial change.
Ex Article 15
Its provisions are transferred to articles in Chapter V.
No substantial change.
These articles have been reworded for consistency with the revised text of this Directive and for consistency with the Agency Regulation and the Safety Directive. They clarify the role of national rules, the cases in which national rules may be introduced, and the procedures for their withdrawal and their publication.
The Agency retains its tasks concerning the classification of national rules (ex Article 27); in addition, the Agency shall examine notified national rules and invite Member States to repeal them in case of redundancy or incompatibility with the EU legislation.
It clarifies the circumstances which trigger a new EC declaration of verification.
No substantial change.
It recalls the general principle of presumption of conformity set out in Directive 1025/2012/EU.
Some of the content has been clarified and transferred to Chapter V. The remaining content is already covered by Article 7 (non-application of TSIs).
Ex Articles 21 to 25 have been deleted and replaced with new articles 18 to 20.
For fixed installations the procedure is practically identical to that of Directive 2008/57, except for trackside control-command and signalling subsystems, which will be authorised by the Agency for consistency with the corresponding on-board subsystems.
It addresses the placing on the market of mobile subsystems, which can be done by both railway undertakings and manufacturers. In practice, mobile subsystems are not placed in service individually; their placing in service is done when they are integrated in a vehicle, and the placing in service of a vehicle is addressed in Article 21.
It introduces the notion of vehicle authorisation for placing on the market, which is partially replacing the concept of vehicle authorisation for placing in service issued by the national safety authority as set out in Directive 2008/57/EC.
The vehicle authorisation for placing on the market is issued by the Agency and contains all information needed later by the railway undertaking to place a vehicle in commercial service. The applicant (railway undertaking, manufacturer, etc.) may ask the Agency to complement the vehicle authorisation for placing on the market with a statement concerning the technical compatibility of the vehicle with a particular set of lines or networks defined by the applicant on the basis of commercial and/or technical considerations. This complementary statement will facilitate the railway undertaking in its task of placing the vehicle in service.
It clarifies the role of railway undertakings and infrastructure managers in checking the technical compatibility of the vehicle with the route and the safe integration of the vehicle in the system in which it is intended to operate.
It concerns the authorisation for placing on the market for types of vehicles and has been amended to reflect the provisions of Articles 18 to 21.
It has been deleted because some of its provisions have been transferred to the Agency Regulation.
Articles 23 to 41 concerning conformity assessment bodies replace and complement ex Article 28 and ex Annex VIII to include the provisions of the new legislative framework for the marketing of products as defined in Decision 768/2008/EC.
This article has been deleted because it is obsolete.
Articles 42 to 45 on EVN and registers have been updated to reflect the provisions of Chapter V.
This article has been deleted because it is obsolete.
Articles 46 and 47
These articles concern the delegation of powers to the Commission under the Lisbon Treaty.
It has been modified to take into account the new comitology procedures.
This article has been deleted because it is obsolete.
These articles have been updated for consistency with the text of this Directive.
It includes the new provisions with respect to the transitional regime for placing in service of vehicles. This will enable the parallel application of both regimes (Directive 2008/57/EC and this Directive) for a limited period.
As a consequence of the Lisbon Treaty, a number of Annexes to Directive 2008/57/EC are transformed into implementing acts to be adopted by the Commission. This article sets out the provisions to be applied until the date of application of those implementing acts.
It provides for correspondence tables to be communicated by Member States when transposing this Directive into national legislation. These tables are needed because of the substantial changes introduced by this Directive in Chapters V and VI and are considered necessary to enable all actors to easily identify the national legislation applicable.
New article concerning the role of Agency opinions and recommendations.
They have been updated for consistency with the text of this Directive.
There is no longer any mention of the trans-European rail system because the TSIs will have been extended de facto by the time this Directive enters into force.
The separation between high-speed (HS) and conventional rail (CR) has also been removed in view of the merging of a number of HS and CR TSIs.
Taking account of the above, the classification of vehicles has been simplified.
No substantial change.
It is transformed into an implementing act, see Article 8 i.
They are transformed into implementing acts, see Article 15(7).
It is transformed into an implementing act, see Article 14(8).
This article has been deleted because it is included in Articles 27, 28 and 29.
It is transformed into an implementing act, see Article 7 i.
They have been updated for consistency with the text of this Directive.
🡻 2008/57/EC (adapted)