Directive 2001/14/EC of the European Parliament and of the Council of 26 February 2001 on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification
Date: 2001-02-26
Institutions: Council of the European Union, European Parliament
Subjects: Community certification, charges for use of infrastructure, rail transport, transport capacity, transport infrastructure, transport safety

15.3.2001

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Official Journal of the European Communities

L 75/29

DIRECTIVE 2001/14/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 26 February 2001

on the allocation of railway infrastructure capacity and the levying of charges for the use of
railway infrastructure and safety certification

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 71 thereof,

Having regard to the proposal from the Commission (1),

Having regard to the opinion of
Committee (2),

the Economic and Social

Having regard to the opinion of the Committee of the Regions
(3),

Acting in accordance with the procedure laid down in Article
251 of the Treaty (4) in the light of the joint text approved on
22 November 2000 by the Conciliation Committee,

Whereas:

(1)

(2)

(3)

Greater integration of the Community railway sector is
an essential element of the completion of the internal
market
achieving sustainable
mobility.

and moving towards

Council Directive 91/440/EEC of 29 July 1991 on the
development of the Community’s railways (5) provides
for certain access rights in international rail transport
for railway undertakings, and international groupings of
railway undertakings;
these rights mean that railway
infrastructure can be used by multiple users.

Council Directive 95/19/EC of 19 June 1995 on the
allocation of railway infrastructure capacity and the
set out a broad
charging of
framework for the allocation of railway infrastructure
capacity.

infrastructure fees (6)

(1) OJ C 321, 20.10.1998, p. 10, and
OJ C 116 E, 26.4.2000, p. 40.

(2) OJ C 209, 22.7.1999, p. 22.
(3) OJ C 57, 29.2.2000, p. 40.
(4) Opinion of the European Parliament of 10 March 1999 (OJ C 175,
21.6.1999, p. 120), confirmed on 27 October 1999 (OJ C 154,
5.6.2000, p. 22), Council Common Position of 28 March 2000 (OJ
C 178, 27.6.2000, p. 28) and Decision of the European Parliament
of 5 July 2000 (not yet published in the Official Journal), Decision
the European Parliament of 1 February 2001 and Council
of
Decision of 20 December 2000.

(5) OJ L 237, 24.8.1991, p. 25. Directive as amended by Directive
2001/12/EC of the European Parliament and of the Council (see
page 1 of this Official Journal).

(6) OJ L 143, 27.6.1995, p. 75.

(4)

(5)

(6)

(7)

Those Directives have not prevented a considerable
railway
variation in the
infrastructure charges and the form and duration of
capacity allocation processes.

level of

structure

and

To ensure transparency and non-discriminatory access
to rail infrastructure for all railway undertakings all the
necessary information required to use access rights are
to be published in a network statement.

capacity-allocation

rail
Appropriate
infrastructure coupled with competitive operators will
result in a better balance of transport between modes.

schemes

for

Encouraging optimal use of the railway infrastructure
will
to
society.

lead to a reduction in the cost of

transport

(8)

An efficient
requires action for the opening up of the market.

freight sector, especially across borders,

(9)

(10)

should be possible for Member States

to allow
railway services to enter directly the

It
purchasers of
capacity-allocation process.

international
Freight Network requires

The revitalisation of European railways by means of
freight on the
extended access
for
fair
Trans-European Rail
road,
between
competition
intermodal
particularly by taking appropriate
the
different external effects; appropriate charging schemes
for rail infrastructure coupled with appropriate charging
schemes
and
transport
competitive operators will result in an optimal balance
of different transport modes.

rail
account of

infrastructures

other

and

for

(11)

The charging and capacity allocation schemes should
permit equal and non-discriminatory access
for all
undertakings and attempt as far as possible to meet the
needs of all users and traffic types
in a fair and
non-discriminatory manner.

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(12) Within the framework set out by Member States
should
charging
encourage railway infrastructure managers to optimise
use of their infrastructure.

capacity-allocation

schemes

and

(13)

(14)

(15)

Railway undertakings should receive clear and consistent
signals from capacity allocation schemes which lead
them to make rational decisions.

In order to take into account the needs of users, or
potential users, of railway infrastructure capacity to plan
their business, and to the needs of customers and
funders, it is important that the infrastructure manager
ensures that infrastructure capacity is allocated in a way
which reflects the need to maintain and improve service
reliability levels.

for

is desirable

railway undertakings

It
and the
infrastructure manager to be provided with incentives to
minimise disruption and improve performance of the
network.

(16)

Charging and capacity allocation schemes should allow
for fair competition in the provision of railway services.

is

important

It
regard to the business
requirements of both applicants and the infrastructure
manager.

to have

It is important to maximise the flexibility available to
the infrastructure managers with regard to the allocation
of infrastructure capacity, but this must be consistent
with
reasonable
the
requirements.

satisfaction

applicant’s

of

The
the
capacity allocation process must prevent
imposition of undue constraints on the wishes of other
undertakings holding, or intending to hold, rights to use
the infrastructure to develop their business.

is desirable to grant some degree of

It
flexibility to
infrastructure managers to enable a more efficient use to
be made of the infrastructure network.

stock can lead to an exacerbation of
between these two types of traffic.

the conflict

(23) Different users and types of users will frequently have a
different impact on infrastructure capacity and the needs
of different services need to be properly balanced.

(24)

(25)

(26)

(27)

(28)

(29)

Services operated under contract to a public authority
may
their
rules
require
attractiveness to users.

safeguard

special

to

The charging and capacity allocation schemes must take
account of
increasing saturation of
infrastructure capacity and ultimately the scarcity of
capacity.

the effects of

time-frames

for planning traffic types
The different
mean that it is desirable to ensure that requests for
infrastructure
the
completion of the timetabling process can be satisfied.

capacity which are made

after

The use of
information technology can enhance the
speed and responsiveness of the timetabling process and
improve
for
infrastructure capacity, as well as improving the ability
to establish train paths which cross more than one
infrastructure manager’s network.

applicants

ability

bid

the

to

of

the

ensure

optimum outcome

To
railway
undertakings, it is desirable to require an examination of
the use of infrastructure capacity when the coordination
of requests for capacity is required to meet the needs of
users.

for

view of

the monopolistic

the
position
In
infrastructure managers it
is desirable to require an
examination of the available infrastructure capacity, and
methods of enhancing it when the capacity allocation
process is unable to meet the requirements of users.

of

Capacity allocation and charging schemes may need to
take account of the fact that different components of
the rail infrastructure network may have been designed
with different principal users in mind.

(30) A lack of information about other railway undertakings’
the constraints within the
requests as well as about
system may make it difficult for railway undertakings to
seek to optimise their infrastructure capacity requests.

the

requirements

for passenger

services may often
The requirements
the
conflict with
freight;
requirements for passenger services may result
in a
network which is more costly to build and maintain
than one designed solely for freight;
the increasing
speed differential between freight and passenger rolling

for

(31)

to ensure the better coordination of
It
is important
allocation schemes
to ensure the improved
attractiveness of rail for traffic which uses the network
of more than one infrastructure manager, in particular
for international traffic.

so as

(17)

(18)

(19)

(20)

(21)

(22)

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(32)

(33)

(34)

is

important

to minimise

It
distortions of
competition which may arise, either between railway
infrastructures or between transport modes,
from
significant differences in charging principles.

the

It
the
is desirable to define those components of
infrastructure service which are essential to enable an
operator to provide a service and which should be
provided in return for minimum access charges.

charging

in railway infrastructure is desirable and
Investment
provide
infrastructure
incentives
to make
appropriate investments where they are economically
attractive.

schemes
infrastructure managers

should

for

(35) Any charging scheme will send economic signals to
users.
those signals to railway
undertakings should be consistent and lead them to
make rational decisions.

is important

that

It

(36)

To enable the establishment of appropriate and fair
levels of infrastructure charges, infrastructure managers
need to record and establish the valuation of their assets
and develop a clear understanding of cost factors in the
operation of the infrastructure.

(37)

It is desirable to ensure that account is taken of external
costs when making transport decisions.

(38)

(39)

It is important to ensure that charges for international
traffic are such as to permit rail to meet the needs of
the market; consequently infrastructure charging should
be set at the cost that is directly incurred as a result of
operating the train service.

recovery through charges

The overall level of cost recovery through infrastructure
charges affects
the necessary level of government
contribution; Member States may require different levels
of overall cost
including
mark-ups or a rate of return which the market can bear
while
intermodal
competitiveness of rail freight. However, it is desirable
for any infrastructure charging scheme to enable traffic
to use the rail network which can at least pay for the
additional cost which it imposes.

recovery with

balancing

cost

(40) A railway infrastructure is a natural monopoly.

It is
therefore necessary to provide infrastructure managers
with incentives
to reduce costs and manage their
infrastructure efficiently.

(46)

(47)

(48)

(49)

out,
in particular in the context of setting up the
Trans-European Rail Freight Network, by using inter alia
the Community instruments available, without prejudice
to priorities already established.

(42) Discounts which are allowed to railway undertakings
must
savings
experienced; discounts may also be used to promote the
efficient use of infrastructure.

administrative

to actual

relate

cost

(43)

(44)

is desirable

It
and the
infrastructure manager to be provided with incentives to
minimise disruption of the network.

railway undertakings

for

The allocation of capacity is associated with a cost to
the infrastructure manager, payment for which should
be required.

(45) Measures

that

are needed to ensure

licensed under Community

railway
law are
undertakings
required to hold an appropriate safety certificate before
operating on the territory of a Member State;
the
granting of
comply with
Community law.

certificates must

safety

all

and

efficient

management

The
and
non-discriminatory use of rail infrastructure require the
establishment of a regulatory body that oversees the
application of these Community rules and acts as an
appeal body, notwithstanding the possibility of judicial
review.

fair

Specific measures are required to take account of the
specific geopolitical
situation of
certain Member States as well as a specific organisation
of the railway sector in various Member States while
ensuring the integrity of the internal market.

and geographical

The measures necessary for the implementation of this
Directive should be adopted in accordance with Council
Decision 1999/468/EC of 28 June 1999 laying down
the procedures for the exercise of implementing powers
conferred on the Commission (1).

In accordance with the principles of subsidiarity and
proportionality as set out in Article 5 of the Treaty, the
objectives of
this Directive, namely to coordinate
in the Member States governing the
arrangements
allocation of railway infrastructure capacity and the
charges made for the use thereof as well as safety
certification, cannot be sufficiently achieved by the
Member States in view of the need to ensure fair and
non-discriminatory terms for access to the infrastructure
as well as to take account of the manifestly international
involved in the operation of significant
dimensions

(41) Account should be taken of the fact that for a great
many years the level of investment in infrastructure and
technology has not made it possible to create the
railway
conditions
transport.
this
advisable,
for appropriate upgrading to be carried
background,

real
therefore

development of

for
It

against

any

is

(1) OJ L 184, 17.7.1999, p. 23.

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elements of the railway networks, and can therefore, by
reason of the need for coordinated trans-national action,
be better achieved by the Community. This Directive
does not go beyond what is necessary to achieve those
objectives.

(50)

to

on

necessary

the measures

Council Regulation (EEC) No 2830/77 of 12 December
1977
achieve
comparability between the accounting systems and
railway undertakings (1), Council
annual accounts of
Regulation (EEC) No 2183/78 of 19 September 1978
laying down uniform costing principles
railway
undertakings (2), Council Decision 82/529/EEC of 19
July 1982 on the fixing of rates for the international
rail (3), Council Decision
carriage
83/418/EEC of 25 July 1983 on the commercial
independence of
the railways in the management of
their international passenger and luggage traffic (4), and
Directive 95/19/EC are superseded by this Directive and
should therefore be repealed,

goods

for

by

of

This Directive applies to the use of railway infrastructure

2.
for domestic and international rail services.

3. Member States may exclude from the scope of
Directive:

this

a)

stand-alone local and regional networks
services on railway infrastructure;

for passenger

b) networks intended only for the operation of urban or

suburban passenger services;

c)

regional networks which are used for regional
freight
services solely by a railway undertaking that is not covered
by the scope of Directive 91/440/EEC until capacity on
that network is requested by another applicant;

d) privately owned railway infrastructure that exists solely for
its own freight

use by the infrastructure owner
operations.

for

HAVE ADOPTED THIS DIRECTIVE:

4.
Transport operations in the form of shuttle services for
road vehicles through the Channel Tunnel are excluded from
the scope of this Directive.

CHAPTER I

INTRODUCTORY PROVISIONS

Article 2

Definitions

Article 1

Scope

For the purpose of this Directive:

a)

(cid:145)allocation(cid:146) means the allocation of railway infrastructure
capacity by an infrastructure manager;

1.
This Directive concerns the principles and procedures to
be applied with regard to the setting and charging of railway
infrastructure
railway
charges
infrastructure capacity.

allocation

and

the

of

that

shall

ensure

charging and capacity
Member States
allocation schemes
follow the
principles set down in this Directive and thus allow the
infrastructure manager to market and make optimum effective
use of the available infrastructure capacity.

railway infrastructure

for

(1) OJ L 334, 24.12.1977, p. 13. Regulation as last amended by the

1994 Act of Accession.

(2) OJ L 258, 21.9.1978, p. 1. Regulation as last amended by the

1994 Act of Accession.

(3) OJ L 234, 9.8.1982, p. 5. Regulation as last amended by the 1994

Act of Accession.

(4) OJ L 237, 26.8.1983, p. 32. Regulation as last amended by the

1994 Act of Accession.

b)

c)

(cid:145)applicant(cid:146) means a licensed railway undertaking and/or an
in
international grouping of railway undertakings, and,
Member States which provide for such a possibility, other
persons and/or
service or
commercial
in procuring infrastructure capacity,
such as public authorities under Regulation (EEC) No
1191/69 (5) and shippers, freight forwarders and combined
transport operators, for the operation of railway service on
their respective territories;

entities with public

interest

legal

(cid:145)congested infrastructure(cid:146) means a section of infrastructure
for which demand for infrastructure capacity cannot be
fully
after
certain
coordination of the different requests for capacity;

satisfied

periods

during

even

(5) Regulation (EEC) No 1191/69 of the Council of 26 June 1969 on
action by Member States concerning the obligations inherent in the
concept of a public service in transport by rail, road and inland
waterway (OJ L 156, 28.6.1969, p. 1). Regulation as last amended
by Regulation (EC) No 1893/91 (OJ L 169, 29.6.1991, p. 1).

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d)

e)

f)

g)

h)

i)

j)

k)

(cid:145)capacity enhancement plan(cid:146) means a measure or series of
measures with a calendar for their implementation which
are proposed to alleviate the capacity constraints leading to
the declaration of a section of infrastructure as (cid:145)congested
infrastructure(cid:146);

the process

through which the
(cid:145)coordination(cid:146) means
allocation body and applicants will attempt
to resolve
situations in which there are conflicting applications for
infrastructure capacity;

(cid:145)framework agreement(cid:146) means a legally binding general
agreement on the basis of public or private law, setting out
the rights and obligations of an applicant and the
infrastructure manager or the allocation body in relation to
the infrastructure capacity to be allocated and the charges
to be levied over a period longer than one working
timetable period;

(cid:145)infrastructure capacity(cid:146) means the potential
to schedule
train paths requested for an element of infrastructure for a
certain period;

Article 3

Network statement

The infrastructure manager shall, after consultation with
1.
the interested parties, develop and publish a network statement
obtainable against payment of a duty which may not exceed
the cost of publishing that statement.

The network statement shall set out the nature of the
2.
infrastructure which is available to railway undertakings.
It
shall contain information setting out the conditions for access
to the relevant railway infrastructure. The content of
the
network statement is laid down in Annex I.

The network statement shall be kept up to date and

3.
modified as necessary.

The network statement shall be published no less than
the deadline for requests for

4.
four months in advance of
infrastructure capacity.

is

responsible in particular

(cid:145)infrastructure manager(cid:146) means any body or undertaking
that
for establishing and
maintaining railway infrastructure. This may also include
the management of
infrastructure control and safety
systems. The functions of the infrastructure manager on a
network or part of a network may be allocated to different
bodies or undertakings;

CHAPTER II

INFRASTRUCTURE CHARGES

Article 4

Establishing, determining and collecting charges

(cid:145)network(cid:146) means the entire railway infrastructure owned
and/or managed by an infrastructure manager;

shall establish a charging framework
1. Member States
while respecting the management independence laid down in
Article 4 of Directive 91/440/EEC.

(cid:145)network statement(cid:146) means the statement which sets out in
detail the general rules, deadlines, procedures and criteria
concerning the charging and capacity allocation schemes.
It shall also contain such other information as is required
to enable application for infrastructure capacity;

Subject to the said condition of management independence,
Member States shall also establish specific charging rules or
delegate such powers
to the infrastructure manager. The
determination of the charge for the use of infrastructure and
the collection of
this charge shall be performed by the
infrastructure manager.

any public or private
(cid:145)railway undertaking(cid:146) means
undertaking,
licensed according to applicable Community
legislation, the principal business of which is to provide
services for the transport of goods and/or passengers by
rail with a requirement that the undertaking must ensure
traction;
this also includes undertakings which provide
traction only;

in its legal

2. Where the infrastructure manager,
form,
organisation or decision-making functions, is not independent
of any railway undertaking, the functions, described in this
chapter, other than collecting the charges shall be performed
form,
by a charging body that
organisation
railway
undertaking.

decision-making

is independent

in its legal

from any

and

l)

(cid:145)train path(cid:146) means the infrastructure capacity needed to run
a train between two places over a given time-period;

m) (cid:145)working timetable(cid:146) means the data defining all planned
train and rolling-stock movements which will take place
on the relevant infrastructure during the period for which
it is in force.

3.
Infrastructure managers shall cooperate to achieve the
efficient operation of train services which cross more than one
infrastructure network. They shall
aim to
guarantee the optimum competitiveness of international rail
freight
the
Trans-European Rail Freight Network. They may establish such
joint organisations as are appropriate to enable this to take
place. Any cooperation or joint organisation shall be bound by
the rules set out in this Directive.

in particular

utilisation

efficient

ensure

and

the

of

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4.
Except where specific arrangements are made under
the
Article 8(2),
charging scheme in use is based on the same principles over
the whole of their network.

infrastructure managers shall ensure that

of fair, non-discriminatory competition between the various
modes, where rail transport is able to compete with other
modes of transport, within the charging framework of Articles
7 and 8, a Member State may require the infrastructure
manager to balance his accounts without State funding.

scheme

charging

Infrastructure managers shall ensure that the application
5.
of
and
the
non-discriminatory charges for different railway undertakings
that perform services of equivalent nature in a similar part of
the market and that the charges actually applied comply with
the rules laid down in the network statement.

equivalent

results

in

An infrastructure manager or charging body shall respect
6.
the commercial confidentiality of information provided to it by
applicants.

Article 5

Services

Railway undertakings

1.
shall, on a non-discriminatory
basis, be entitled to the minimum access package and track
access to service facilities that are described in Annex II. The
supply of services referred to in Annex II, point 2 shall be
provided in a non-discriminatory manner and requests by
railway undertakings may only be rejected if viable alternatives
under market conditions exist. If the services are not offered
the (cid:145)main
by one infrastructure manager,
infrastructure(cid:146) shall use all reasonable endeavours to facilitate
the provision of these services.

the provider of

Infrastructure managers shall, with due regard to safety
2.
and to maintaining and improving the quality of
the
infrastructure service, be provided with incentives to reduce
the costs of provision of infrastructure and the level of access
charges.

3. Member States shall ensure that the provision set out in
paragraph 2 is implemented, either through a contractual
agreement between the competent authority and infrastructure
manager covering a period of not less than three years which
provides for State funding or through the establishment of
appropriate regulatory measures with adequate powers.

4. Where a contractual agreement exists, the terms of the
contract and the structure of the payments agreed to provide
funding to the infrastructure manager shall be agreed in
advance to cover the whole of the contract period.

5.
A method for apportioning costs shall be established.
Member States may require prior approval. This method
should be updated from time to time to the best international
practice.

2. Where the infrastructure manager offers any of the range
of services described in Annex II, point 3 as additional services
he shall supply them upon request to a railway undertaking.

Article 7

Principles of charging

Railway undertakings may request a further range of
listed in Annex II, point 4 from the
The

3.
ancillary services,
infrastructure manager
infrastructure manager is not obliged to supply these services.

from other

suppliers.

or

Article 6

Infrastructure cost and accounts

shall

lay down conditions,

including
1. Member States
where appropriate advance payments, to ensure that, under
normal business conditions and over a reasonable time period,
the accounts of an infrastructure manager shall at least balance
income from infrastructure charges,
from other
commercial activities and State funding on the one hand, and
infrastructure expenditure on the other.

surpluses

Charges for the use of railway infrastructure shall be paid

1.
to the infrastructure manager and used to fund his business.

2. Member States may require the infrastructure manager to
provide all necessary information on the charges imposed. The
infrastructure manager must, in this regard, be able to justify
that infrastructure charges actually invoiced to each operator,
pursuant to Articles 4 to 12, comply with the methodology,
rules, and where applicable, scales laid down in the network
statement.

3. Without prejudice to paragraphs 4 or 5 or to Article 8,
the charges for the minimum access package and track access
to service facilities shall be set at the cost that is directly
incurred as a result of operating the train service.

Without prejudice to the possible long-term aim of user cover
of infrastructure costs for all modes of transport on the basis

4.
The infrastructure charge may include a charge which
reflects the scarcity of capacity of the identifiable segment of
the infrastructure during periods of congestion.

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5.
The infrastructure charge may be modified to take
account of the cost of the environmental effects caused by the
operation of
train. Such a modification shall be
differentiated according to the magnitude of the effect caused.

the

The level of charges must not, however, exclude the use of
infrastructure by market segments which can pay at least the
cost
is directly incurred as a result of operating the
railway service, plus a rate of return which the market can
bear.

that

Charging of environmental costs which results in an increase
in the overall revenue accruing to the infrastructure manager
shall however be allowed only if such charging is applied at a
comparable level to competing modes of transport.

In the absence of any comparable level of charging of
environmental costs in other competing modes of transport,
such modification shall not result in any overall change in
revenue to the infrastructure manager. If a comparable level of
charging of environmental costs has been introduced for rail
and competing modes of
and that generates
additional revenue, it shall be for Member States to decide how
the revenue shall be used.

transport

To avoid undesirable disproportionate fluctuations, the
6.
charges referred to in paragraphs 3, 4 and 5 may be averaged
and times.
over
a
Nevertheless,
the infrastructure
charges shall be related to the costs attributable to the services.

the relative magnitudes of

train services

spread of

reasonable

7.
The supply of services referred to in Annex II, point 2,
shall not be covered by this Article. Without prejudice to the
foregoing, account shall be taken, in setting the prices for the
services set out
the competitive
in Annex II, point 2, of
situation of rail transport.

8. Where services listed in Annex II, points 3 and 4 as
additional and ancillary services are offered only by one
supplier the charge imposed for such a service shall relate to
the cost of providing it, calculated on the basis of the actual
level of use.

For specific investment projects,

2.
in the future, or that
have been completed not more than 15 years before the entry
into force of this Directive, the infrastructure manager may set
or continue to set higher charges on the basis of the long-term
costs of
they increase efficiency and/or
cost-effectiveness and could not otherwise be or have been
undertaken.
also
incorporate agreements on the sharing of the risk associated
with new investments.

arrangement may

such projects

charging

Such

if

a

To prevent discrimination,

3.
it shall be ensured that any
given infrastructure manager’s average and marginal charges
for equivalent uses of his infrastructure are comparable and
that comparable services in the same market segment are
subject to the same charges. The infrastructure manager shall
show in the network statement that the charging system meets
these requirements in so far as this can be done without
disclosing confidential business information.

If an infrastructure manager

to modify the
4.
essential elements of
the charging system referred to in
paragraph 1, it shall make them public at least three months
in advance.

intends

Article 9

Discounts

9.
Charges may be levied for capacity used for the purpose
of infrastructure maintenance. Such charges shall not exceed
the net revenue loss to the infrastructure manager caused by
the maintenance.

1. Without prejudice to Articles 81, 82, 86 and 87 of the
Treaty and notwithstanding Article 7(3) of this Directive, any
discount on the charges levied on a railway undertaking by the
infrastructure manager, for any service, shall comply with the
criteria set out in this Article.

Article 8

Exceptions to charging principles

this,

1.
In order to obtain full recovery of the costs incurred by
the infrastructure manager a Member State may, if the market
levy mark-ups on the basis of efficient,
can bear
principles,
transparent
while
guaranteeing optimum competitiveness
in particular of
international rail freight. The charging system shall respect the
productivity increases achieved by railway undertakings.

non-discriminatory

and

2. With the exception of paragraph 3, discounts shall be
limited to the actual saving of the administrative cost to the
infrastructure manager. In determining the level of discount,
no account may be taken of cost savings already internalised
in the charge levied.

3.
Infrastructure managers may introduce schemes available
to all users of the infrastructure, for specified traffic flows,
granting time limited discounts to encourage the development
of new rail services, or discounts encouraging the use of
considerably underutilised lines.

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Discounts may relate only to charges

4.
specified infrastructure section.

levied for a

The infrastructure manager shall always be able to inform any
interested party of the infrastructure capacity which has been
allocated to user railway undertakings.

5.

Similar discount schemes shall apply for similar services.

Article 10

Compensation schemes for unpaid environmental,
accident and infrastructure costs

CHAPTER III

ALLOCATION OF INFRASTRUCTURE CAPACITY

States may put

time-limited
1. Member
compensation scheme for the use of railway infrastructure for
the
and
infrastructure costs of competing transport modes in so far as
these costs exceed the equivalent costs of rail.

environmental,

demonstrably

in place

accident

unpaid

a

2. Where an operator receiving compensation enjoys an
exclusive right, the compensation must be accompanied by
comparable benefits to users.

It shall

The methodology used and calculations performed must
3.
in particular be possible to
be publicly available.
demonstrate the specific uncharged costs of
the competing
transport infrastructure that are avoided and to ensure that the
scheme
to
undertakings.

non-discriminatory

granted

terms

on

is

4. Member States
compatible with Articles 73, 87 and 88 of the Treaty.

shall ensure that

such a scheme is

Article 11

Performance scheme

shall

through

schemes

charging

Infrastructure

1.
a
performance scheme encourage railway undertakings and the
infrastructure manager to minimise disruption and improve
the performance of the railway network. This may include
penalties
the
network, compensation for undertakings which suffer from
disruption and bonuses
than planned
performance.

for actions which disrupt

the operation of

reward better

that

Article 13

Capacity rights

capacity

Infrastructure

an
1.
infrastructure manager, and once allocated to an applicant may
not be transferred by the recipient to another undertaking or
service.

allocated

shall

by

be

Any trading in infrastructure capacity shall be prohibited and
shall lead to exclusion from the further allocation of capacity.

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

2.
The right to use specific infrastructure capacity in the
form of a train path may be granted to applicants for a
maximum duration of one working timetable period.

An infrastructure manager and an applicant may enter into a
framework agreement as laid down in Article 17 for the use of
capacity on the relevant railway infrastructure for a longer
term than one working timetable period.

The definition of

3.
and obligations
respective
between infrastructure managers and applicants in respect of
any allocation of capacity shall be laid down in contracts or
legislation.

rights

2.
The basic principles of
apply throughout the network.

the performance scheme shall

Article 14

Capacity allocation

Article 12

Reservation charges

Infrastructure managers may levy an appropriate charge for
capacity that
is requested but not used. This charge shall
provide incentives for efficient use of capacity.

Specific

the
1. Member States may establish a framework for
allocation of
infrastructure capacity while respecting the
management independence laid down in Article 4 of Directive
shall be
91/440/EEC.
established. The infrastructure manager
shall perform the
capacity allocation processes. In particular, the infrastructure
manager shall ensure that infrastructure capacity is allocated
on a fair and non-discriminatory basis and in accordance with
Community law.

allocation rules

capacity

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in its legal

2. Where the infrastructure manager,
form,
organisation or decision-making functions is not independent
of any railway undertaking,
referred to in
paragraph 1 and described in this chapter shall be performed
by an allocation body that is independent in its legal form,
railway
organisation
undertaking.

decision-making

the functions

from any

and

Infrastructure managers

3.
shall
respect the commercial confidentiality of information provided
to them.

and allocation bodies

Article 15

Cooperation in the allocation of infrastructure capacity on
more than one network

Infrastructure managers shall cooperate to enable the
1.
infrastructure capacity
efficient creation and allocation of
which crosses more than one network. They shall organise
international train paths, in particular within the framework of
the Trans-European Rail Freight Network. They shall establish
such procedures as are appropriate to enable this to take place.
These procedures shall be bound by the rules set out in this
Directive.

infrastructure

capacity at an international

The procedure established in order to coordinate the allocation
of
shall
associate representatives of
infrastructure managers for all
railway infrastructures whose allocation decisions have an
infrastructure manager.
impact on more than one other
infrastructure managers from
Appropriate representatives of
outside
associated with these
procedures. The Commission shall be informed and invited to
attend as an observer.

the Community may be

level

2.
At any meeting or other activity undertaken to permit
the allocation of infrastructure capacity for trans-network train
services, decisions shall only be taken by representatives of
infrastructure managers.

3.
The participants in the cooperation referred to paragraph
1 shall ensure that its membership, methods of operation and
all relevant criteria which are used for assessing and allocating
infrastructure capacity be made publicly available.

4. Working in cooperation as referred to in paragraph 1,
infrastructure managers shall assess the need for, and may
where necessary propose and organise international train paths
to facilitate the operation of freight trains which are subject to
an ad hoc request as referred to in Article 23.

Such prearranged international
available
via
to
infrastructure managers.

applicants

train paths shall be made
participating
any

the

of

Article 16

Applicants

Applications for infrastructure capacity may be made by
1.
railway undertakings and their international groupings and, in
the territories of those Member States which so allow, by other
applicants complying with the definition in Article 2(b).
Member States may also allow other applicants to apply for
infrastructure capacity on their territories.

2.
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.
appropriate,
transparent and non-discriminatory. The requirements shall be
published as part of the allocation principles in the network
statement, and the Commission shall be informed.

requirements

Such

shall

be

3.
The requirements in paragraph 2 may only include the
provision of a financial guarantee that must not exceed an
to the
appropriate
contemplated level of activity of the applicant, and assurance
of the capability to prepare compliant bids for infrastructure
capacity.

level which shall be proportional

Article 17

Framework agreements

a

Such

specifies

agreement

framework

1. Without prejudice to Articles 81, 82 and 86 of
the
Treaty, a framework agreement may be concluded with an
the
applicant.
characteristics of the infrastructure capacity required by and
offered to the applicant over a period of time exceeding one
working timetable period. The framework agreement shall not
specify a train path in detail, but should be such as to seek to
the applicant. A
meet
Member State may require prior approval of such a framework
agreement by the regulatory body referred to in Article 30 of
this Directive.

the legitimate commercial needs of

2.
Framework agreements shall not be such as to preclude
the use of the relevant infrastructure by other applicants or
services.

3.
A framework agreement shall allow for the amendment
or limitation of its terms to enable better use to be made of
the railway infrastructure.

The framework agreement may contain penalties should

4.
it be necessary to modify or terminate the agreement.

Framework agreements shall in principle be for a period
5.
of
five years. The infrastructure manager may agree to a
shorter or longer period in specific cases. Any period longer
than five years shall be justified by the existence of commercial
contracts, specialised investments or risks.

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Any period longer than 10 years shall be possible only in
in particular, where there is large-scale,
exceptional cases,
long-term investment, and particularly where such investment
is covered by contractual commitments.

6. While respecting commercial confidentiality, the general
nature of each framework agreement shall be made available
to any interested party.

far as possible take account of all constraints on applicants,
including the economic effect on their business.

2.
The infrastructure manager may give priority to specific
services within the scheduling and coordination process but
only as set out in Articles 22 and 24.

Article 18

Schedule for the allocation process

The infrastructure manager shall adhere to the schedule

1.
for capacity allocation set out in Annex III.

Infrastructure managers

2.
shall agree with the other
relevant infrastructure managers concerned which international
train paths are to be included in the working timetable, before
commencing consultation on the draft working timetable.
Adjustments shall only be made if absolutely necessary.

Article 19

Application

Applicants may apply on the basis of public or private
1.
law to the infrastructure manager to request an agreement
granting rights to use railway infrastructure against a charge as
provided for in chapter II.

Requests relating to the regular working timetable must

2.
adhere to the deadlines set out in Annex III.

An applicant who is a party to a framework agreement

3.
shall apply in accordance with that agreement.

4.
Applicants may request infrastructure capacity crossing
more than one network by applying to one infrastructure
manager. That infrastructure manager shall then be permitted
to act on behalf of the applicant to seek capacity with the
other relevant infrastructure managers.

Infrastructure managers

5.
for
infrastructure capacity crossing more than one network,
applicants may apply direct
to any joint body which the
infrastructure managers may establish.

ensure

shall

that,

Article 20

Scheduling

1.
The infrastructure manager shall as far as is possible
meet all requests for infrastructure capacity including requests
for train paths crossing more than one network, and shall as

The

shall

consult

infrastructure manager

3.
interested
parties about the draft working timetable and allow them at
least one month to present their views. Interested parties shall
include all those who have requested infrastructure capacity as
well as other parties who wish to have the opportunity to
their
comment on how the working timetable may affect
ability to procure rail services during the working timetable
period.

The

4.
measures to deal with any concerns that are expressed.

infrastructure manager

shall

take

appropriate

Article 21

Coordination process

1.
During the scheduling process referred to in Article 20,
when the infrastructure manager encounters conflicts between
different requests he shall attempt, through coordination of the
all
requests,
requirements.

the best possible matching of

to ensure

the
2. When a situation requiring coordination arises,
infrastructure manager shall have the right, within reasonable
limits, to propose infrastructure capacity that differs from that
which was requested.

The

3.
infrastructure manager
consultation with the appropriate applicants,
resolution of any conflicts.

shall

attempt,

through
to achieve a

4.
The principles governing the coordination process shall
be defined in the network statement. These shall in particular
reflect the difficulty of arranging international train paths and
the effect that modification may have on other infrastructure
managers.

infrastructure capacity cannot be
5. When requests
satisfied without coordination, the infrastructure manager shall
attempt to accommodate all requests through coordination.

for

6. Without prejudice to the existing appeal procedures and
to the provisions of Article 30, in case of disputes relating to
the allocation of infrastructure capacity, a dispute resolution
system shall be made available in order
to resolve such
disputes promptly. If this system is applied, a decision shall be
reached within a time limit of 10 working days.

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Article 22

Congested infrastructure

any event, within five working days. Information supplied on
to all
available
applicants who may wish to use this capacity.

capacity shall be made available

spare

for

infrastructure

the requested paths and
1. Where after coordination of
it
is not possible to satisfy
consultation with applicants
requests
capacity adequately then the
infrastructure manager must immediately declare that element
of infrastructure on which this has occurred to be congested.
This shall also be done for infrastructure which it can be
foreseen will suffer from insufficient capacity in the near
future.

2. When infrastructure has been declared to be congested,
the infrastructure manager shall carry out a capacity analysis
as described in Article 25, unless a capacity enhancement plan
as described in Article 26 is already being implemented.

3. When charges in accordance with Article 7(4) have not
been levied or have not achieved a satisfactory result and the
infrastructure has been declared to be
the
infrastructure manager may in addition employ priority criteria
to allocate infrastructure capacity.

congested,

4.
The priority criteria shall take account of the importance
of a service to society, relative to any other service which will
consequently be excluded.

In order to guarantee within this framework the development
in particular to comply with
of adequate transport services,
public-service requirements or promote the development of
rail freight, Member States may take any measures necessary,
under non-discriminatory conditions,
such
services are given priority when infrastructure capacity is
allocated.

to ensure that

States may, where

Member
the
infrastructure manager compensation corresponding to any
loss of revenue related to the need to allocate a given capacity
to certain services pursuant to the previous subparagraph.

appropriate,

grant

This shall include taking account of the effect of this exclusion
in other Member States.

The importance of

5.
international
be
consideration in determining priority criteria.

freight services and in particular
adequate

services

freight

given

shall

The procedures which shall be followed and criteria used
in the

6.
where infrastructure is congested shall be set out
network statement.

Article 23

Ad hoc requests

The infrastructure manager

1.
respond to ad hoc
requests for individual train paths as quickly as possible, and in

shall

Infrastructure managers shall where necessary undertake
2.
an evaluation of
the need for reserve capacity to be kept
available within the final scheduled working timetable to
enable them to respond rapidly to foreseeable ad hoc requests
for capacity. This shall also apply in cases of congested
infrastructure.

Article 24

Specialised infrastructure

1. Without prejudice to paragraph 2, infrastructure capacity
shall be considered to be available for the use of all types of
service which conform to the characteristics necessary for
operation on the train path.

are

there

alternative

2. Where
the
suitable
infrastructure manager may, after consultation with interested
parties, designate particular infrastructure for use by specified
types of traffic. Without prejudice to Articles 81, 82 and 86 of
the Treaty, when such designation has occurred,
the
infrastructure manager may give priority to this type of traffic
when allocating infrastructure capacity.

routes,

such
the use of
Such designation shall not prevent
infrastructure by other
traffic when capacity is
types of
available and when the rolling stock conforms to the technical
characteristics necessary for operation on the line.

3. When infrastructure has been designated pursuant
paragraph 2, this shall be described in the network statement.

to

Article 25

Capacity analysis

The objective of capacity analysis is to determine the
1.
restrictions on infrastructure capacity which prevent requests
for capacity from being adequately met, and to propose
methods of enabling additional requests to be satisfied. This
analysis shall identify the reasons for the congestion and what
measures might be taken in the short and medium term to
ease the congestion.

the

The

shall

analysis

the
consider
2.
operating procedures,
services
the nature of
operating and the effect of all these factors on infrastructure
capacity. Measures to be considered shall include in particular
re-routing of services, re-timing services, speed alterations and
infrastructure improvements.

infrastructure,

the different

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A capacity analysis shall be completed within six months

3.
of the identification of infrastructure as congested.

Article 27

Use of train paths

Article 26

Capacity enhancement plan

the completion of a capacity
1. Within six months of
analysis, the infrastructure manager shall produce a capacity
enhancement plan.

A capacity enhancement plan shall be developed after
congested

relevant

users

the

of

2.
consultation with
infrastructure.

It shall identify:

a)

the reasons for the congestion;

b)

the likely future development of traffic;

c)

the constraints on infrastructure development;

d)

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

It shall also, on the basis of a cost benefit analysis of the
possible measures identified, determine what action shall be
taken to enhance infrastructure capacity, including a calendar
for implementation of the measures.

In

for

particular

congested

1.
the
infrastructure manager shall require the surrender of a train
path which, over a period of at least one month, has been
used less than a threshold quota to be laid down in the
network statement, unless this was due to non-economic
reasons beyond the operator’s control.

infrastructure

2.
An infrastructure manager may specify in the network
statement conditions whereby it will take account of previous
levels of utilisation of train paths in determining priorities for
the allocation process.

Article 28

Infrastructure capacity for scheduled maintenance

Requests

1.
enable
maintenance to be performed shall be submitted during the
scheduling process.

infrastructure

capacity

for

to

2.
Adequate account shall be taken by the infrastructure
manager of the effect of infrastructure capacity reserved for
scheduled track maintenance on applicants.

Article 29

The plan may be subject to prior approval by the Member
State.

Special measures to be taken in the event of disturbance

3.
The infrastructure manager shall cease to levy any fees
which are levied for the relevant infrastructure under Article
7(4) in cases where:

a) he does not produce a capacity enhancement plan; or

b) he does not make progress with the action plan identified

in the capacity enhancement plan.

However,
approval of
continue to levy those fees if:

the infrastructure manager may,

to the
the regulatory body referred to in Article 30

subject

a)

the capacity enhancement plan cannot be realised for
reasons beyond his control; or

1.
In the event of disturbance to train movements caused by
technical failure or accident the infrastructure manager must
take all necessary steps to restore the normal situation. To that
end he shall draw up a contingency plan listing the various
public bodies to be informed in the event of serious incidents
or serious disturbance to train movements.

In an emergency and where absolutely necessary on
2.
account of a breakdown making the infrastructure temporarily
unusable,
the paths allocated may be withdrawn without
warning for as long as is necessary to repair the system.

The infrastructure manager may,
if he deems it necessary,
require railway undertakings to make available to him the
resources which he feels are the most appropriate to restore
the normal situation as soon as possible.

b)

the options available are not economically or financially
viable.

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

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CHAPTER IV

GENERAL MEASURES

Article 30

Regulatory body

1. Without prejudice to Article 21(6), Member States shall
establish a regulatory body. This body, which can be the
Ministry responsible for transport matters or any other body,
shall be independent
funding decisions,
legal structure and decision-making from any infrastructure
manager, charging body, allocation body or applicant. The
body shall function according to the principles outlined in this
Article whereby appeal and regulatory functions may be
attributed to separate bodies.

in its organisation,

An applicant

2.
to the
shall have a right
regulatory body if it believes that it has been unfairly treated,
discriminated against or is in any other way aggrieved, and in
particular against decisions adopted by the infrastructure
manager or where
railway undertaking
concerning:

appropriate

to appeal

the

a)

the network statement;

b) criteria contained within it;

c)

the allocation process and its result;

d)

the charging scheme;

e)

f)

level or structure of infrastructure fees which it is, or may
be, required to pay;

safety certificate, enforcement and monitoring of the safety
standards and rules.

comply with chapter

The regulatory body shall ensure that charges set by the
3.
infrastructure manager
II and are
non-discriminatory. Negotiation between applicants and an
infrastructure manager concerning the level of infrastructure
charges shall only be permitted if these are carried out under
the supervision of the regulatory body. The regulatory body
shall
intervene if negotiations are likely to contravene the
requirements of this Directive.

event of an appeal against a refusal

to grant
In the
the terms of an offer of
infrastructure capacity, or against
the regulatory body shall either confirm that no
capacity,
modification of
infrastructure manager’s decision is
required, or it shall require modification of that decision in
accordance with directions specified by the regulatory body.

the

6. Member States shall
take the measures necessary to
ensure that decisions taken by the regulatory body are subject
to judicial review.

Article 31

Cooperation of regulatory bodies

The national regulatory bodies shall exchange information
about their work and decision-making principles and practice
for
their decision-making
coordinating
principles across
the Community. The Commission shall
support them in this task.

the purpose of

Article 32

Safety certification

The arrangements

1.
railway
established in the
undertakings which are or will be
Community and the international groupings which they form
shall be in accordance with this Article.

safety certification for

for

The Member States shall provide for their respective
2.
territories
that a safety certificate in which the railway
undertakings’ safety requirements are set out be submitted in
order to ensure safe service on the routes concerned.

In order to obtain the safety certificate,

3.
the railway
undertaking shall comply with the regulations under national
law, compatible with Community law and applied in a
laying down the technical and
non-discriminatory manner,
operational requirements specific to rail services and the safety
requirements
the
to staff,
undertaking’s internal organisation.

applying

rolling

stock

and

The regulatory body shall have the power to request
4.
relevant
infrastructure manager,
applicants and any third party involved within the Member
State concerned, which must be supplied without undue delay.

information

from the

to operate and accompany the trains has

it shall provide proof that the staff whom it
In particular,
employs
the
necessary training to comply with the traffic rules applied by
the infrastructure manager and to meet the safety requirements
imposed on it in the interests of train movement.

5.
The regulatory body shall be required to decide on any
complaints and take action to remedy the situation within a
maximum period of
all
two months
information.

from receipt of

Notwithstanding paragraph 6, a decision of
body shall be binding on all parties covered by that decision.

the regulatory

The railway undertaking shall also prove that the rolling stock
making up the trains has been approved by the public
authority or by the infrastructure manager and checked in
accordance with the operating rules
to the
infrastructure used. The safety certificate shall be issued by
whichever body is designated for the purpose by the Member
State in which the infrastructure used is situated.

applicable

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Article 33

Derogations

For a period of five years from 15 March 2003, the

1.
following Member States:

(cid:151) Ireland, as a Member State located on an island, with a rail

link to only one other Member State,

(cid:151) the United Kingdom, in respect of Northern Ireland, on the

same basis, and

(cid:151) Greece, as a Member State that does not have any direct

rail link to any other Member State,

do not need to apply the requirements set out in:

a) Articles 3, 4(2), 13, 14, 17, 21(4), 21(6), 22, 24(3), 25 to
28 and 30 on the condition that decisions on the
allocation of infrastructure capacity or the charging of fees
are open to appeal, when so requested in writing by a
railway undertaking, before an independent body which
shall
the
submission of all relevant information and whose decision
shall be subject to judicial review, and

its decision within two months of

take

b) Article 32 in so far as rail transport services falling outside
the scope of Article 10 of Directive 91/440/EEC are
concerned.

2.

However, where:

a) more than one railway undertaking licensed in accordance
with Article 4 of Directive 95/18/EC, or,
in the case of
Ireland and Northern Ireland, a railway company so
licensed elsewhere
submits an official application to
operate competing railway services in, to or from Ireland,
Northern Ireland or Greece, the continued applicability of
this derogation will be decided upon in accordance with
the advisory procedure referred to in Article 35(2); or

b) a railway undertaking operating railway services in Ireland,
Northern Ireland or Greece submits an official application
to operate railway services on, to or from the territory of
another Member State (in the case of Ireland, or the United
Kingdom, in respect of Northern Ireland, or both, another
Member State outside their territories),
the derogations
referred to in paragraph 1 shall not apply.

to Northern Ireland, or Greece)

respect
place legislation to implement
paragraph 1.

in
the Articles referred to in

shall put

A derogation referred to in paragraph 1 may be renewed
3.
for periods not
later than 12
longer than five years. Not
months before the expiry date of the derogation a Member
State availing itself of such derogation may address a request
to the Commission for a renewed derogation. Any such
request must be substantiated. The Commission shall examine
such a request and adopt a decision in accordance with the
advisory procedure referred to in Article 35(2). The said
advisory procedure shall apply to any decision related to the
request.

When adopting its decision the Commission shall take into
account any development in the geopolitical situation and the
development of the rail market in, from and to the Member
State having requested the renewed derogation.

4.
Luxembourg as a Member State with a relatively small
rail network does not need to apply until 31 August 2004 the
requirement to award to an independent body the functions
determining
to
infrastructure, as provided for in Articles 4 and 14 in so far as
they oblige Member States to establish independent bodies
performing the tasks referred to in those Articles.

and non-discriminatory

equitable

access

CHAPTER V

FINAL PROVISIONS

Article 34

Implementing measures

1. Member States may bring any question concerning the
the
implementation of
Commission. Appropriate decisions
adopted in
accordance with the advisory procedure referred to in Article
35(2).

this Directive to the attention of

shall be

and

examine

enforcement

case,
provisions

At the request of a Member State or on its own initiative
2.
the
in a specific
the Commission shall,
application
concerning
charging, capacity allocation and safety certification, and
within two months of receipt of such a request decide in
accordance with the advisory procedure referred to in Article
35(2) whether the related measure may continue to be applied.
The Commission shall communicate its decision to the
European Parliament, the Council and to the Member States.

of

from the receipt of either

the decision
Within one year
referred to in point
(a) adopted in accordance with the
advisory procedure referred to in Article 35(2), or notification
of the official application referred to in point (b), the Member
State or States concerned (Ireland, the United Kingdom with

Without prejudice to Article 226 of the Treaty, any Member
State may refer the Commission’s decision to the Council
within a time limit of one month. The Council, acting by a
qualified majority, may in exceptional circumstances take a
different decision within a period of one month.

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3.
The amendments necessary to adapt the Annexes shall be
adopted in accordance with the regulatory procedure referred
to in Article 35(3).

Article 37

Repeals

Article 35

Committee procedures

1.

The Commission shall be assisted by a Committee.

2. Where reference is made to this paragraph, Articles 3
and 7 of Decision 1999/468/EC shall apply, having regard to
the provisions of Article 8 thereof.

3. Where reference is made to this paragraph, Articles 5
and 7 of Decision 1999/468/EC shall apply, having regard to
the provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC
shall be set at three months.

4.

The Committee shall adopt its rules of procedure.

Article 36

Report

Regulation (EEC) No 2830/77, Regulation (EEC) No 2183/78,
Decision 82/529/EEC, Decision 83/418/EEC and Directive
95/19/EC are hereby repealed.

Article 38

Implementation

The Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with this
Directive by 15 March 2003. They shall forthwith inform the
Commission thereof.

those provisions,

When Member States adopt
they shall
contain a reference to this Directive or be accompanied by
such reference on the occasion of their official publication.
Member States shall determine how such reference is to be
made.

Article 39

Entry into force

This Directive shall enter
publication in the Official Journal of the European Communities.

into force on the date of

its

Article 40

Addressees

This Directive is addressed to the Member States.

Done at Brussels, 26 February 2001.

The Commission shall by 15 March 2005 submit
to the
European Parliament and to the Council a report on the
implementation of this Directive, accompanied if necessary by
proposals for further Community action.

For the European Parliament

The President

N. FONTAINE

For the Council

The President

A. LINDH

L 75/44

EN

Official Journal of the European Communities

15.3.2001

ANNEX I

Contents of the network statement

The network statement referred to in Article 3 shall contain the following information:

1. A section setting out the nature of the infrastructure which is available to railway undertakings and the conditions

of access to it.

2. A section on charging principles and tariffs. This shall contain appropriate details of the charging scheme as well
as sufficient information on charges that apply to the services listed in Annex II which are provided by only one
supplier. It shall detail the methodology, rules and, where applicable, scales used for the application of Article 7(4)
and (5) and Articles 8 and 9. It shall contain information on changes in charges already decided upon or foreseen.

3. A section on the principles and criteria for capacity allocation. This shall set out the general capacity characteristics
of the infrastructure which is available to railway undertakings and any restrictions relating to its use, including
likely capacity requirements for maintenance. It shall also specify the procedures and deadlines which relate to the
capacity allocation process. It shall contain specific criteria which are employed during that process, in particular:

a)

b)

c)

d)

e)

f)

g)

the procedures according to which applicants may request capacity from the infrastructure manager;

the requirements governing applicants;

the schedule for the application and allocation processes;

the principles governing the coordination process;

the procedures which shall be followed and criteria used where infrastructure is congested;

details of restrictions on the use of infrastructure;

any conditions by which account is taken of previous levels of utilisation of capacity in determining priorities
for the allocation process.

It shall detail the measures taken to ensure the adequate treatment of freight services, international services and
requests subject to the ad hoc procedure.

15.3.2001

EN

Official Journal of the European Communities

L 75/45

ANNEX II

Services to be supplied to the railway undertakings

1. The minimum access package shall comprise:

a)

b)

c)

d)

handling of requests for infrastructure capacity;

the right to utilise capacity which is granted;

use of running track points and junctions;

train control including signalling, regulation, dispatching and the communication and provision of information
on train movement;

e)

all other information required to implement or operate the service for which capacity has been granted.

2. Track access to services facilities and supply of services shall comprise:

a)

b)

c)

d)

use of electrical supply equipment for traction current, where available;

refuelling facilities;

passenger stations, their buildings and other facilities;

freight terminals;

e) marshalling yards;

f)

g)

train formation facilities;

storage sidings;

h) maintenance and other technical facilities.

3. Additional services may comprise:

a)

traction current;

b) pre-heating of passenger trains;

c)

d)

supply of fuel, shunting, and all other services provided at the access services facilities mentioned above;

tailor-made contracts for:

(cid:151) control of transport of dangerous goods,

(cid:151) assistance in running abnormal trains.

4. Ancillary services may comprise:

a)

access to telecommunication network;

b) provision of supplementary information;

c)

technical inspection of rolling stock.

L 75/46

EN

Official Journal of the European Communities

15.3.2001

ANNEX III

Schedule for the allocation process

1. The working timetable shall be established once per calendar year.

2. The change of working timetable shall take place at midnight on the last Saturday in May. Where a change or
adjustment is carried out after the summer it shall take place at midnight on the last Saturday in September each
year and at such other intervals between these dates as are required. Infrastructure managers may agree on different
dates and in this case they shall inform the Commission thereof.

3. The final date for receipt of requests for capacity to be incorporated into the working timetable shall be no more

than 12 months in advance of the entry into force of the working timetable.

4. No later than 11 months before the working timetable comes into force, the infrastructure managers shall ensure
that provisional international train paths have been established in cooperation with other relevant allocation bodies
as set out in Article 15. Infrastructure managers shall ensure that as far as possible these are adhered to during the
subsequent processes.

5. No later than four months after the deadline for submission of bids by applicants, the infrastructure manager shall

prepare a draft timetable.