15.8.2017   

EN

Official Journal of the European Union

L 210/5

(1)

While Article 4 of Directive (EU) 2016/797 sets out the content and some general objectives of the technical specifications for interoperability (‘TSIs’), that Directive does not set out the specific objectives for each TSI but empowers the Commission to adopt delegated acts for that purpose.

(2)

This Decision sets out a coherent set of specific objectives which should be integrated in the TSIs to improve interoperability while making it possible to facilitate, improve and develop rail transport services within the Union and with third countries and contribute to the completion of the single European railway area and the progressive achievement of the internal market.

(3)

Those specific objectives in the TSIs should be implemented by means of requests to the European Union Agency for Railways (the ‘Agency’) in accordance with Article 5(2) of Directive (EU) 2016/797. Those requests should be based on the Commission's own priorities and on the availability of resources within the Agency. For each specific objective, the recommendations of the Agency should include cost benefit analyses and impact assessments of the technical solutions considered to allow the Commission to select the most viable solutions and establish the TSIs by means of implementing acts according to the examination procedure referred to in Article 51(3) of Directive (EU) 2016/797.

(4)

In terms of scope of application, the existing TSIs satisfactorily cover all subsystems defined in Annex II to Directive (EU) 2016/797. However, in line with ‘better regulation’ principles, in order to reduce the number of legislative acts and in order to further increase the coherence between TSIs, the scope of specific TSIs should be reviewed and possibly some of them should be restructured or merged to avoid duplication and to provide a more direct correspondence between subsystems, essential requirements and TSIs. That should take into account the stability necessary in railway legislation.

(5)

In order to ensure coherence of the legislation, the possible impacts and interfaces between TSIs and between TSIs and existing strategies, policies and legislation should be taken into account. It should also be considered whether the proposed solutions, or specific elements, should be included in the TSI itself or in related documents and legislation. Furthermore, the TSIs should, whenever possible, preserve the TSI provisions which remove technical barriers to interoperability, in particular provisions facilitating the free movement of vehicles throughout the Union.

(6)

TSIs revisions should take into account the experience of the railway sector regarding unclear requirements or other unintended impacts and costs resulting from the TSIs, including in particular the experience of Rail Freight Corridors or experiences resulting from the application of the TSIs to low density lines.

(7)

TSIs revisions should also take into account the need to achieve the right balance between a rule-based approach, which allows to facilitate technical compatibility in particular at the interfaces between subsystems, but also between interoperability constituents and subsystems, and a risk-based approach, which allows to facilitate technical progress and innovative solutions, in particular when specifying functions and performances.

(8)

TSIs revisions should take into account the developments of the railway system and related research and innovation activities, in particular but not limited to Shift2Rail, keeping the margin of manoeuvre for innovation, and integrating innovations when they reach an appropriate level of maturity determined by the Agency.

(9)

In terms of the technical coherence of the 1 520 mm track gauge railway networks in the Union and of vehicles operated on those networks, relevant TSIs should take into account the evolution of technical requirements applicable in the 1 520 mm track gauge networks of third countries.

(10)

In order to facilitate their promotion and possible adoption outside the Union, and to facilitate interchange between third country networks and the Union, TSIs may include voluntary provisions taking into account requirements common in other geographical areas, for example higher axle loads for heavy trains.

(11)

In order to allow TSIs to keep up with developments in standards and other technical documents, TSIs should integrate references to those documents in a way which makes it possible to update them in a timely manner while providing for the necessary transitions between standards or between versions of standards.

(12)

In accordance with Article 4(3)(f) of Directive (EU) 2016/797, most TSIs include clauses defining the strategy for their application in order to make a gradual transition from the existing situation to a situation of compliance with the TSI. There is however confusion in the rail sector on the concrete application of those clauses. The strategies for application should thus be reviewed and, to the extent possible and depending on the nature of each TSI, be simplified and be consistent in the various TSIs, especially the TSIs relating to rolling stock. The possibility to allow a mixed application of a TSI and of its previous version during the transition period should be considered. Additionally, the validity period of the certificates for interoperability constituents and subsystem should be defined in the TSIs, and should be coherent between TSIs.

(13)

Article 4(3)(h) of Directive (EU) 2016/797 allows TSIs to include provisions applicable to existing subsystems and vehicles, in particular in the event of their upgrading and renewal. Those provisions can give rise to legal uncertainty in case of authorisations which are already issued, therefore there should be particular attention to the preliminary analysis of the related costs and benefits and to the definition of the modification works which require an application for a new authorisation.

(14)

In order to ensure efficiency in the processes of placing on the market and placing in service of vehicles, the TSIs should provide certainty as to which parameters of a vehicle should be checked as part of the authorisation procedures in accordance with Articles 21 and 24 of Directive (EU) 2016/797 and which parameters should be checked by the railway undertakings after the delivery of the vehicle authorisation for placing on the market and before the first use of the vehicle to ensure compatibility between vehicles and the routes on which they are to be operated. The TSIs should also clarify the procedures to be followed by the railway undertakings to ensure compatibility between complete trains, including intermodal transport units, and the routes on which they are to be operated as well as, to the extent possible, the information to be provided by the infrastructure managers and the conditions under which railway undertakings should be granted network access to carry out related tests.

(15)

In addition to the requirements of Article 5(2)(a) of Directive (EU) 2016/797 on the identification of basic parameters and of interfaces between subsystems, the tables of the TSIs listing the links between the basic parameters and the essential requirements set out in Annex III of Directive (EU) 2016/797 should also be updated in order to ensure a coherent approach among all TSIs.

(16)

In order to enable easy substitution during maintenance, to allow for economies of scale and to reduce maintenance costs and obsolescence, the modularity of the railway system should be improved. To that end, the number of interoperability constituents should be reviewed and increased where suitable, thereby encouraging the use of commercial off-the-shelf products and spare parts and reaping the benefits of standardisation.

(17)

The notification of conformity assessment bodies places significant administrative burden on the Member States and the Commission. In order to increase efficiency and reduce delays, a simplified process should be proposed for additional notifications if only limited or no additional competences are required from a conformity assessment body that has already been notified for a previous version of a TSI. In order to avoid uncertainty, each TSI should specify whether the full process for notification is to be followed or whether notification can be automatically extended to the revised TSI or a simplified process can be applied and under which conditions.

(18)

Since in some cases the description of the roles and responsibilities between applicant and notified bodies is not precise enough, leading to confusion and to divergent interpretations and implementation of the procedures for conformity assessment of interoperability constituents and subsystems, those procedures should be reviewed and the Commission should in parallel adopt implementing acts revising the ad hoc modules for conformity assessment, in line with Article 24(6) of Directive (EU) 2016/797. Additionally, the range of modules allowed for each interoperability constituent and subsystem should be revised and, if possible, streamlined in order to improve the efficiency of the process and to avoid unnecessary costs.

(19)

When considering possible solutions to safety-related issues, all possible causes of those issues should be considered, including, to the extent possible, those linked to security incidents, for example passenger safety in the aftermath of an explosion.

(20)

The European Railway Traffic Management System (‘ERTMS’), the telematics applications for passengers (‘TAP’) and the telematics applications freight (‘TAF’) are the backbone of railway digitalisation. Therefore, the relevant TSIs should be amended where appropriate to support the digitalisation of the railway sector.

(21)

Several TSIs still have open points. Those open points are elements that correspond to essential requirements and thus require harmonisation, but are not yet covered by the TSIs in question. Therefore, those open points should be addressed in order to reduce the number of national rules, with the objective to achieve full interoperability and contribute to the functioning of the single market.

(22)

In line with Article 6 of Directive (EU) 2016/797, TSIs are to be amended if it appears that they have deficiencies.

(23)

Commission Regulation (EU) No 1302/2014 (2) (‘LOC&PAS TSI’) and Commission Regulation (EU) No 321/2013 (3) (‘WAG TSI’) should be developed further to assure continued interoperability while enhancing the attractiveness and effectiveness of the railway system. The main points which should be developed are the introduction of the provisions specifically relevant for 1 520 mm track gauge railway networks, optional provisions for facilitating the composition of passenger trains, including backward compatibility with the International Coach Regulations (‘RIC’ — Regolamento Internazionale delle Carrozze), automatic variable gauge systems, ease of passenger access to passenger coaches, measures to increase productivity of rail freight such as automatic coupling systems and harmonised identification for freight wagons. Measures to improve the protection of train drivers should also be considered, including control of the driving and rest times for train drivers, the design of the driving cabin and the corresponding requirements with particular focus on health and safety at work and operational safety, including the issue of noise in the cabin.

(24)

The Regulations concerning the International Carriage of Dangerous Goods by Rail (‘RID’) (4) are established on the European Union territory by Directive 2008/68/EC of the European parliament and of the Council (5). The RID Committee of Experts introduced a provision in RID Regulation of 2013 allowing derailment detection devices to be installed on freight wagons on a voluntary basis. Based on numerous studies on the costs and benefits of those devices, the working group set up by the RID Committee recommended that the Commission revise all relevant TSIs in order to include the derailment detection function in terms of technical requirements, operational aspects and conformity assessment procedures (6). Provisions should also be studied on both rolling stock and infrastructure side to minimise safety impacts on persons and environment in case of derailment, taking into account the roles and responsibilities of the relevant actors. In particular, protruding objects at the edge of the tracks, such as rail markers which can perforate tanks carrying dangerous goods in the event of an accident, should be avoided or other mitigating measures adopted.

(25)

As regards Commission Regulation (EU) No 1304/2014 (7) (‘NOI TSI’), experts generally agree that one of the most effective ways to mitigate rail noise is by retrofitting the existing freight wagons with composite brake blocks. This technical solution reduces rail noise by up to 10 dB which equals to a 50 % reduction in audible noise for humans. Therefore, in order to address rail freight noise, existing freight wagons should be retrofitted with composite brake blocks, or other appropriate solutions should be adopted. A gradual implementation of these solutions might be considered, taking into account their estimated costs and benefits.

(26)

In order to adjust a discrepancy resulting from a revision of the WAG TSI, the NOI TSI should include a noise test of composite brake blocks to address rail freight noise, including where necessary through trackside monitoring or, if possible, through acoustic testing of composite brake blocks on a bench test.

(27)

The ERTMS European Deployment Plan (8) has been adopted on 5 January 2017 in accordance with Article 47 of the TEN-T guidelines and is applicable to the Core Network Corridors. Commission Regulation (EU) 2016/919 (9) (‘CCS TSI’) should be adjusted to provide for a coherent deployment of the ERTMS throughout the railway network within the Union, taking the ERTMS European Deployment Plan into account.

(28)

The ERTMS Longer Term Perspective report adopted by the Agency on 18 December 2015 (10) with the sector identifies technological elements essential to support the ERTMS business case. Those elements include Automatic Train Operation, Level 3, braking curve optimisation, new generation of telecommunication system and satellite positioning. The ETCS and GSMR specifications should take those elements into account and should be modified as appropriate while taking account of the necessary stability of the ERTMS. The impact on other TSIs should be taken into account.

(29)

In view of the increased use of coupled locomotives and multiple units, Commission Regulation (EU) No 1301/2014 (11) (‘ENE TSI’) should be reviewed as regards requirements in case of simultaneous operation of multiple pantographs in contact with overhead contact lines resulting from the use of such vehicles. Related operational issues should also be considered. The ENE TSI and other TSIs should also include where appropriate provisions to assure continued interoperability while improving energy efficiency of the relevant subsystems.

(30)

Commission Regulation (EU) No 1299/2014 (12) (‘INF TSI’) should include provisions ensuring continued interoperability while allowing for the reduction of infrastructure maintenance costs through the use of, among others time-based maintenance, sensors and condition monitoring technologies.

(31)

Commission Regulation (EU) No 1300/2014 (13) (‘PRM TSI’) should be updated to include the latest developments in terms of identifying and eliminating obstacles to accessibility and monitoring the progress of accessibility, in line with Article 7(3) on inventory of assets and Article 8(5) and (7) on national implementation plans of Regulation (EU) No 1300/2014. Common European priorities to further the implementation of the PRM TSI can also be identified on the basis of the National Implementation Plans. This should include a review of permanent structural solutions that may be required in passenger coaches to ensure equal access to extra services for persons with reduced mobility, including in particular access to restaurant cars.

(32)

Commission Decision 2012/757/EU (14) (‘OPE TSI’) should be subject to regular monitoring, and where justified revised, to ensure that it continues to be up to date and delivers optimal harmonisation and safety and interoperability of operational requirements at interface level between the railway undertaking and infrastructure managers, in particular in the case of cross border operations. It should also take into account the developments related to (i) the ERTMS technological elements essential to support the ERTMS business case referred to in Recital (28); (ii) safety culture and human factors; and (iii) train/route compatibility.

(33)

In addition, pursuant to Article 36 of Regulation (EU) 2016/796 of the European Parliament and of the Council (15), the Commission is to request the Agency to issue recommendations relating to definition of skills and qualifications for all staff performing safety-critical tasks and to their inclusion in the OPE TSI or in other relevant legislation. Those recommendations should cover not only train drivers, but also other on-board staff carrying safety-related tasks that can require specific training, and staff involved in the operation and maintenance of the railway system.

(34)

Following the introduction of fire fighting points requirements for the management of hot incidents in Commission Regulation (EU) No 1303/2014 (16) (‘SRT TSI’) and given related feedback from the sector, SRT TSI operational requirements should be revised in view of harmonisation of the evaluation of evacuation capability, for instance in relation to the distance between two lateral or vertical exits. The need to include provisions to ensure communication between on-board staff on one side and infrastructure manager and emergency services on the other side should also be evaluated and related provisions included where appropriate.

(35)

Commission Regulation (EU) No 1305/2014 (17) (‘TAF TSI’) should include information facilitating the exchange of wagons, combined or multi-modal transport, the development of the rail freight corridors and occurrence reporting, taking into account links with other related tools. That should include a simplified procedure for the update of the technical baseline of the TAF TSI in accordance with the TAF TSI Change Control Management process referred to in Section 7.2 of the Annex to Regulation (EU) No 1305/2014. In addition, a study should be carried out on the possibility to exchange TAF TSI data with safety related applications, for example in the case of dangerous goods or exceptional consignments. The TSI should also be amended to allow the Agency to assess the compliance of the IT tools deployed by the European rail sector against the TSI requirements. Furthermore, Section 2.3.2 of the Annex to Regulation (EU) No 1305/2014 which requires contractual agreements for lead railway undertakings to provide information to stakeholders could constitute a barrier for the digitalisation of railways and therefore it should be reviewed.

(36)

The Commission Regulation (EU) No 454/2011 (18) (‘TAP TSI’) should be reviewed in order to further facilitate the use of digital ticketing including control and settlement of payment between the participants, especially in the light of the development of the industry-driven ‘Full Service Model’ initiative. The TSI should also take into account the PRM TSI revisions and of suitable Change Requests through the established TAP TSI Change Control Management process. The share of the tasks related to managing the centralised data structures should be reviewed to take into account the new tasks and responsibilities of the Agency as system authority and the governance body defined in the TAP Governance document (19) and established by the sector with a view to accelerate the implementation of the TAP TSI. Improvements to facilitate the emergence of through-ticketing and multi-modal travel information systems should also be pursued, notably through the access to and exchange of relevant railway travel data with stakeholders along the multimodal value chain. In addition, the TAP-TSI should aim to facilitate the emergence of integrated mobility services. The TSI should also be amended to allow the Agency to assess the compliance of the IT tools deployed by the European rail sector with the TSI requirements,

(a)

take into account possible impact on and interfaces with other TSIs and existing relevant strategies, policies and Union legislation, and ensure coherence between them. The TSIs shall, whenever possible, preserve the provisions in force aimed at removing technical barriers to interoperability;

(b)

take into account the developments of the Union railway system and related research and innovation activities, and integrate them when they reach the appropriate level of maturity;

(c)

close the remaining open points;

(d)

take into account the evolution of technical requirements applicable in the 1 520 mm track gauge networks of third countries;

(e)

harmonise definitions, in addition to the ones listed in Directive (EU) 2016/797, between TSIs;

(f)

integrate references to standards and to other technical documents evolving regularly in a way which allows their updating in a timely manner;

(g)

review the number of interoperability constituents and, where appropriate, increase it;

(h)

indicate whether the conformity assessment bodies which were already notified on the basis of a previous version of the TSI, need to be re-notified, and whether a simplified notification process shall be applied. In all cases, the related conditions applicable shall be specified;

(i)

take into account the sector's best practice and review the choice of modules prescribed in the procedures for conformity assessment of interoperability constituents and subsystems;

(j)

reduce the risk of derailment as well as the safety impact on people and the environment in case of derailment;

(k)

in considering possible solutions to safety-related issues, take into account all possible causes of those issues including, to the extent possible, those linked to security incidents, without compromising safety or interoperability;

(l)

improve energy efficiency of the relevant subsystems.

(i)

the roles and responsibilities of the stakeholders involved in the conformity assessment procedures;

(ii)

an extended scope to include also the conformity assessment procedures related to notified national technical rules;

(iii)

the elements of the procedures referred to in point (ii), including the content of the technical file, and the sequencing of the assessment stages;

(iv)

the templates of certificates of verification and their period of validity in the case of certification according to the relevant TSI or to the national rules;

(v)

the conditions under which interoperability constituents may be certified according to repealed TSIs;

(vi)

the elements of the surveillance and the renewal audits where assessment based on quality management system(s) apply, including the conditions under which unexpected visits of the premises of the applicant shall be carried out.

(a)

the authorisation of vehicles in large areas of use; and

(b)

the composition of passenger trains, including the backward compatibility with the International Coach Regulations (‘RIC’ — Regolamento Internazionale delle Carrozze).