Annex I — DELIVERABLES AND SCHEDULE FOR CAPACITY MANAGEMENT

Section 1 Deliverables to be prepared by infrastructure managers in strategic capacity planning referred to in Articles 13, 18, 19 and 20 DeliverableContents Capacity strategy (Article 18)Geographical scope of the capacity strategy: lines covered by the strategic capacity planning pursuant to Article 14(6); Planned development of physical railway infrastructure, including new construction, upgrades, renewals and closures/decommissioning, detailing the characteristics of that railway infrastructure; Forecasted development of demand for rail transport services; The strategic guidance by Member States on capacity utilisation, where Member States have provided such guidance; Capacity allocated in framework agreements and capacity that may be required to provide transport services under public service contracts; Information about the availability and utilisation of railway infrastructure, including railway infrastructure declared highly utilised or congested; Planned railway infrastructure works resulting in capacity restrictions with major impact. Capacity model (Article 19)All information included in the capacity strategy, where relevant updated and further set out in detail; Total volume of capacity available, including multi-network capacity, to applicants by network section including volume of capacity available by rail transport market segment for different segment of rail transport services and/or by allocation process, including safeguarded capacity for later requests and capacity assigned by framework agreements; Volume of capacity reserved for capacity restrictions resulting from railway infrastructure works by impact on the estimated traffic volume, as laid down in Section 3 of this Annex; Geographical detail: breakdown in appropriate planning sections reflecting railway infrastructure and demand characteristics; Temporal scope: one working timetable period; Temporal detail: at least annual overview (capacity restrictions) and one or more representative day/days (capacity available for requests). Capacity supply plan (Article 20)All information included in the capacity model, where relevant updated and further detailed; Capacity available for allocation to applicants for the working timetable period to which the capacity supply plan refers: (i) Where applicable under Article 20(5) and in accordance with Article 20(5) and (6), pre-planned capacity available for requests, including multi-network capacity, defined in the form of capacity objects in accordance with Article 20(6); (ii) capacity, which has not been pre-planned by the infrastructure manager; (iii) capacity, which is available in the service facilities referred to in Article 31(1). Capacity which is not available for allocation to applicants: (i) capacity restrictions, defined in the form of capacity objects, including capacity restrictions referred to in point 2 of Section 3 of this Annex; (ii) capacity already allocated through framework agreements in accordance with Article 33 or through the multi-annual rolling planning process in accordance with Article 35; (iii) capacity reserved for purposes other than those set out in points (i) and (ii), which shall be clearly indicated by the infrastructure manager; (iv) other capacity already allocated, when updating the capacity supply plan during the working timetable to which the capacity supply plan refers. Alternative capacity available during capacity restrictions; Alternative capacity available in the event of network disruptions; Restrictions applicable for the use of specialised railway infrastructure referred to in Article 26. Section 2 Schedule for strategic capacity management referred to in Articles 13, 18, 19 and 20 1. When preparing the deliverables of strategic capacity planning for a given working timetable period, infrastructure managers shall respect the schedule set out in this Section. The consultation with stakeholders regarding European and cross-border matters shall be carried out in accordance with Article 57 and shall involve all operational stakeholders. Infrastructure managers shall coordinate the deliverables on a continuous basis in the framework of the coordination process provided by Article 55. Note: X–m means m months before the date of entry into force of the working timetable (X), in accordance with Section 4. DeliverableMilestoneDeadline (at latest) Capacity strategy (Article 18)Start of the capacity strategy elaboration phaseX–60 First consultation with operational stakeholdersX–58 Publication of the draft strategy and second consultation with operational stakeholders on the draft strategyX–39 Publication of final capacity strategy following final coordination between infrastructure managers and taking into account any comments that the ERP might have issued following the publication of the draft capacity strategyX–36 Capacity model (Article 19)Start of preparationX–36 Capacity needs announcements by applicants and potential applicants and consultation with operational stakeholdersX–24 Publication of the draft capacity model and start of the second consultation with applicants, operational stakeholders.X–21 End of consultation with applicants and operational stakeholders and taking into account any comments that the regulatory body might have issued following the publication of the draft capacity modelX–19 Publication of final capacity model following final coordination between infrastructure managersX–18 Capacity supply plan (Article 20)Start of preparationX–18 Consultation with applicants and operational stakeholdersX–14 Regulatory body shall analyse the draft capacity supply plan and may take a decision requiring the infrastructure manager to amend the capacity supply planX–14 to X–13 Publication of capacity restrictions referred to in point 2 of Section 3 of this AnnexX–12 Publication of final capacity supply plan following final coordination between infrastructure managersX–11 Update of capacity supply plan for late requestsX- 6,5 Publication of capacity restrictions referred to in point 5 of Section 3 of this AnnexX–4 Re-purposing of capacity reserved for allocation through the working timetable for other allocation processesX–2 Update of capacity supply plan to reflect any changes to pre-planned or allocated capacityUntil X+12 without delay 2. By way of derogation from point 1, the following simplified and shortened schedule applies to the deliverable Capacity strategy in relation to the working timetable periods starting in December 2030 and December 2031: Capacity strategy (Article 18)Publication of the draft strategy and consultation with operational stakeholdersX–38 Publication of final capacity strategy following final coordination between infrastructure managers and taking into account any comments that the ERP might have issued following the publication of the draft capacity strategyX–36 Section 3 Schedule and requirements for coordination, consultation and publication of capacity restrictions resulting from railway infrastructure works referred to in Articles 11 and 37 1. Capacity restrictions shall be classified depending on their duration and their impact on traffic (estimated affected traffic volume on a railway line per day), according to the following table. Table 1. Classification of capacity restrictions X–m means m months before the date of entry into force of the working timetable (X) in accordance with Section 4 T–m means m months before the start of the train run concerned DurationImpact on trafficFinalisation of first coordination and consultation and publication of draft capacity restrictionsFinalisation of second coordination and consultation on capacity restrictions with impact on more than one networkPublication of final capacity restrictionsProvision of details on the alternative train paths offered Major impactMore than 30 daysMore than 50 %X–24X–18X–12 High impactMore than 7 daysMore than 30 %X–24X–13,5X–12 Medium impact7 days or lessMore than 50 %X–13,5X–12 Low impact7 days or lessMore than 10 %X–4T–4 Passenger T–1 Freight 2. As regards capacity restrictions that have a major or high impact the infrastructure managers concerned shall publish all capacity restrictions and the preliminary results of a consultation with the applicants for a first time at least 24 months and, in an updated form, for a second time at least 12 months before the change of the working timetable concerned. Those railway infrastructure restrictions shall be included in the capacity supply plan referred to in Article 20. 3. When publishing capacity restrictions in accordance with point 2 for a first time, the infrastructure manager shall launch a consultation with the applicants and the operators of services facilities concerned on the capacity restrictions. Where a coordination in accordance with point 4 is required between the first and second publication of capacity restrictions, the infrastructure managers shall consult with applicants and the operators of service facilities concerned a second time between the end of that coordination and the second publication of the capacity restrictions. 4. Before publishing capacity restrictions in accordance with point 1, if the impact of the capacity restrictions is not limited to one network, infrastructure managers shall coordinate among themselves and, if necessary, with applicants concerned and operators of service facilities concerned. The final coordination and consultation before the second publication shall be completed: (a) no later than 18 months before the change of the working timetable for capacity restrictions with major impact. (b) no later than 13 months and 15 days before the change of the working timetable for capacity restrictions with high impact. (c) no later than 13 months and 15 days before the change of the working timetable for capacity restrictions with medium impact. The final publication of capacity restrictions with major, high and medium impact shall be completed at least 12 months before the change of the working timetable concerned. 5. As regards capacity restrictions with a low impact that occur during the following timetable period and that the infrastructure manager becomes aware of no later than six months and 15 days before the change of the working timetable, the infrastructure manager shall consult the applicants concerned on the envisaged capacity restrictions and communicate the updated capacity restrictions at least four months before the change of the working timetable. The infrastructure manager shall provide details on the offered train paths for passenger trains no later than four months and for freight trains no later than one month before the beginning of the capacity restriction, unless the infrastructure manager and the concerned applicants agree on a shorter lead time. 6. Infrastructure managers may decide to apply more stringent thresholds for capacity restrictions based on lower percentages of estimated traffic volumes or shorter durations than indicated in Section 3 of this Annex or to apply criteria in addition to the ones mentioned in this Annex, pursuant to a consultation with applicants and facility operators. They shall publish the thresholds and criteria for clustering capacity restrictions in their network statements as referred to in point (2) of Annex V. 7. The information to be provided by the infrastructure manager when acting in accordance with points 1 or 5 or Article 37(5) shall include: (a) the planned day; (b) time of day, and, as soon as it can be set, the hour of the beginning and of the end of the capacity restriction; (c) the section of line affected by the restriction; (d) where applicable, the capacity of diversionary lines. The infrastructure manager shall publish that information, or a link where it can be found, in its network statement as referred to in point (2) of Annex V. The infrastructure manager shall keep this information updated. In addition, infrastructure managers shall publish this information in digital format in accordance with Articles 10 and 66. 8. As regards capacity restrictions with a major impact, the infrastructure manager shall provide the applicants upon their request during the first round of consultation with a comparison of the conditions to be encountered under at least two alternatives of capacity restrictions. The infrastructure manager shall design those alternatives on the basis of the input provided by the applicants at the time of their requests and jointly with them. The comparison shall, for each alternative, include at least: (a) the duration of the capacity restriction, (b) the expected indicative infrastructure charges due, (c) the capacity available on diversionary lines, (d) the available alternative routes, and (e) the indicative travel times. Before making a choice between the alternatives of capacity restrictions, the infrastructure manager shall consult the interested applicants and take into account the impacts of the different alternatives on those applicants and on the users of the services. If the analysis of alternative capacity restrictions concerns more than one infrastructure manager, the infrastructure managers shall coordinate among themselves. 9. As regards capacity restrictions with a major impact, the infrastructure manager shall establish criteria for which trains of each type of service should be re-routed, taking into account the applicant’s commercial and operational constraints, unless those operational constraints result from managerial or organisational decisions of the applicant, and without prejudice to the aim of reducing costs of the infrastructure manager in accordance with Article 30(1) of Directive 2012/34/EU. The infrastructure manager shall publish in the network statement those criteria. 10. ENIM shall publish the information required under point 7 on its website. Section 4 Schedule for capacity allocation through the annual allocation process referred to in Articles 34 and 40 1. The infrastructure manager and the applicants shall comply with the following schedule: Note: X–m means m months before the date of entry into force of the working timetable (X) Milestone or time periodDeadline or duration Period of validity of the working timetable (working timetable period)Starting at midnight on the second Saturday of December up to midnight of the second Saturday of December of the following year. Entry into force of the working timetableMidnight on the second Saturday in December Publication of capacity supply planIn accordance with Section 2 of this Annex Publication of capacity restrictions resulting from railway infrastructure worksIn accordance with Sections 2 and 3 of this Annex Deadline for applicants to submit requests for capacity rightsX- 9,5 Preparation of draft working timetable Deadline for infrastructure manager(s) to submit draft capacity offer to applicants X- 7,5 Finalisation of consultation with applicantsX- 6,5 Deadline for infrastructure manager(s) to submit final capacity offer to applicantsX- 5,5 Publication of working timetable Deadline for infrastructure manager to allocate capacity rights to applicants X- 5,25 Conversion of capacity specifications into train pathsTo be specified by the infrastructure managers in the network statement, taking into account the European framework for capacity management referred to in Article 7 2. The deadline for applicants to submit requests for capacity rights laid down in the table under point 1 shall be the deadline for requests for railway infrastructure capacity referred to in Article 27(4) of Directive 2012/34/EU. Section 5 Schedule for capacity allocation through framework agreements referred to in Articles 33 and 40 The infrastructure manager shall comply with the following schedule: Note: X–m means m months before the date of entry into force of the working timetable (X) in accordance with Section 4 Time periodDuration Standard period of validity of framework agreements5 years Conversion of capacity specifications in train pathsBetween X- 9,5 and X- 7,5 (jointly with coordination under the annual allocation process referred to in Section 4) Section 6 Schedule for the rolling planning capacity allocation process referred to in Articles 35 and 40 The infrastructure manager and the applicants shall comply with the following schedule during the rolling planning capacity allocation process: Note: X–m means m months before the date of entry into force of the working timetable (X) in accordance with Section 4 Milestone or time periodDeadline or duration Earliest point in time for applicants to submit capacity requests under the rolling planning capacity allocation processFour months before the first train run Latest point in time for applicants to submit capacity to requests under the rolling planning capacity allocation processOne month before the first train run Maximum duration of capacity rights granted under the rolling planning capacity allocation process36 months starting from the first train run Conversion of capacity specifications in train paths for capacity rights granted in accordance with paragraph 2, point (a) of Article 35To be specified by the infrastructure managers taking into account the European framework for capacity management referred to in Article 7 Conversion of capacity specifications in train paths for capacity rights granted in accordance with paragraph 2, point (b) of Article 35To be specified by the infrastructure managers taking into account the European framework for capacity management referred to in Article 7 Maximum period for infrastructure managers to prepare an offer of capacity rights under the rolling planning capacity allocation process15 days Section 7 Schedule for capacity allocation through the ad hoc process referred to in Articles 36 and 40 When allocating railway infrastructure capacity through the ad hoc process, the infrastructure manager shall comply with the following schedule: Time periodDuration Maximum period for infrastructure managers to prepare an offer of capacity rightsSeven calendar days and in any case 24 hours before the start of the train service Section 8 Schedule for changes to capacity allocated referred to in Article 41 When changing railway infrastructure capacity rights, the infrastructure manager shall comply with the following schedule: Milestone or time periodDeadline or duration Maximum time for the infrastructure manager to offer an alternative capacity right involving a single networkFour calendar days and in any case 24 hours before the start of the train service Maximum time for infrastructure managers concerned to offer an alternative multi-network capacity rightEight calendar days and in any case 24 hours before the start of the train service