Proposal for a Directive of the European Parliament and of the Council on safety on the Community's railways and amending Council Directive 95/18/EC on the licensing of railway undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification
Date: 2002-01-23
Institutions: European Commission
Subjects: Community certification, charges for use of infrastructure, common transport policy, freedom to provide services, rail transport, trade licence, transport capacity, transport company, transport safety

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Proposal for a Directive of the European Parliament and of the Council on safety on the
Community's railways and amending Council Directive 95/18/EC on the licensing of railway
undertakings and Directive 2001/14/EC on the allocation of railway infrastructure capacity and
the levying of charges for the use of railway infrastructure and safety certification

(2002/C 126 E/09)

(Text with EEA relevance)

COM(2002) 21 final — 2002/0022(COD)

(Submitted by the Commission on 25 January 2002)

THE EUROPEAN PARLIAMENT AND THE COUNCIL
OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 71(1) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the Economic and Social
Committee,

Having regard to the opinion of the Committee of the Regions,

Acting in accordance with the procedure laid down in Article
251 of the Treaty,

Whereas:

services,

transport

(1) In order to pursue efforts to establish a single market for
rail
initiated by Council Directive
91/440/EEC of 29 July 1991 on the development of the
Community's railways (1),
it is necessary to establish a
common regulatory
safety.
framework
Member States have until now developed their safety
lines, based on
rules and standards mainly on national
national
concepts. Simul-
and operational
taneously differences in principles, approach and culture
have made it difficult
to break through the technical
barriers and establish international transport operations.

technical

railway

for

for international rail

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 certifi-
cation (3) provide the first steps towards regulation of
transport market by opening the
the European rail
market
freight services. However,
the provisions on safety have proved to be insufficient
and different
still present major
barriers to seamless rail transport in the Community. It
is of particular importance to harmonise the regulatory
structure in the Member States, the content of safety rules,
safety certification of railway undertakings, the tasks and
roles of the safety authorities and the investigation of
accidents.

safety requirements

(3) Metros, trams and other light rail systems are in many
Member States subject to local or regional safety rules and
are often supervised by local or regional authorities and
not covered by the requirements on Community inter-
operability or
licensing. Trams are furthermore often
subject to road safety legislation and could therefore not
be fully covered by railway safety rules. For these reasons
and according to the principle of subsidiarity as set out in
Article 5 of the Treaty, Member States should be allowed
to exclude such local rail systems from the scope of this
Directive.

It

(4) Safety levels in the Community rail system are generally
high,
is
in particular compared to road transport.
important that safety is maintained during the current
restructuring phase, which will separate functions of
previously integrated railway companies and move the
railway sector further from self-regulation to public regu-
lation. In line with technical and scientific progress safety
should be further improved, when reasonably practical
and taking into account the competitiveness of the rail
transport mode.

(2) Directive 91/440/EEC, Council Directive 95/18/EC of
19 June 1995 on the licensing of railway undertakings (2)
and Directive 2001/14/EC of the European Parliament and

(1) OJ L 237, 24.8.1991, p. 25. Directive as amended by Directive

2001/12/EC (OJ L 75, 15.3.2001, p. 1).

(2) OJ L 143, 27.6.1995, p. 70. Directive as amended by Directive
2001/13/EC of the European Parliament and of the Council (OJ L
75, 15.3.2001, p. 26).

(5) All

those operating the railway system,

infrastructure
managers and railway undertakings, should bear the full
responsibility for the safety of the system, each for his
part. Member States should make a clear distinction
between this immediate responsibility for safety and the
safety authorities' task of providing a national regulatory
framework and supervising the performance of
the
operators.

(3) OJ L 75, 15.3.2001, p. 29.

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the European Parliament and of

(6) Requirements on safety of the subsystems of the trans-
European rail networks are laid down in Council Directive
96/48/EC of 23 July 1996 on the interoperability of the
trans-European high-speed rail system (1) and Directive
the
2001/16/EC of
Council of 19 March 2001 on the interoperability of
system (2).
the
common
However,
those Directives do not define
requirements at system level and do not deal
in detail
with regulation, management and supervision of safety.
the subsystems are
When minimum safety levels of
defined by technical
interoperability
(TSI) it will be increasingly important to establish safety
targets at system level as well.

specifications for

trans-European

conventional

rail

(7) Common safety targets

(CST)

(CSM)

and common safety
methods
should be gradually introduced to
ensure that a high level of safety is maintained and to
provide tools for assessment of the safety level and the
performance of the operators on the European level as
well as in the Member States.

(8) Information on safety of the railway system is scarce and
not generally publicly available. It is thus necessary to
establish common safety indicators (CSI)
to
assess that the system complies with the CST and to
facilitate the monitoring of railway safety performance.

in order

(9) National safety rules, which are often based on national
technical standards, should gradually be replaced by rules
based on common standards, established by TSI. New
national rules should be in line with Community legis-
lation and facilitate the migration towards a common
approach to railway safety. They should therefore be
subject to a Community approval process.

towards

(10) The development of CST, CSM and CSI as well as the
need to facilitate
common
the process
approach to railway safety requires technical support on
Community
European Railway Agency
instituted by Regulation (EC) No . . ./. . . of the European
Parliament and of the Council is set up to deliver recom-
mendations concerning CST, CSM and CSI and further
harmonisation measures and to monitor the development
of railway safety in the Community.

level. The

a

(1) OJ L 262, 16.10.1996, p. 18 (Directive as amended by Directive
. . ./. . ./EC of the European Parliament and of the Council amending
Council Directive 96/48/EC and Directive 2001/16/EC (OJ L . . .)).
(Directive as amended by Directive
. . ./. . ./EC of
the Council
the European Parliament and of
amending Council Directive 96/48/EC and Directive 2001/16/EC
(OJ L . . .)).

(2) OJ L 110, 20.4.2001, p. 1.

(11) In carrying out their duties and fulfilling their responsi-
bilities, infrastructure managers and railway undertakings
should implement a safety management system, fulfilling
Community
common
elements. Information on safety and the implementation
of the safety management system should be submitted to
the safety authority in the Member State.

requirements

containing

and

(12) The safety management system should take into account
that the provisions of Council Directive 89/391/EC of
12 June 1989 (3) on the introduction of measures to
encourage improvements in the safety and health of
workers at work and its relevant
individual directives
are fully applicable to the protection of the health and
safety of workers engaged in railway transport.

(13) To ensure a high level of safety on the railways and equal
conditions for all railway undertakings, they should be
subject
to the same safety requirements. The safety
certificate should give evidence that the railway under-
taking has established its safety management system and
is able to comply with the relevant safety standards and
rules. For international
transport services it should be
enough to approve the safety management system in
one Member State and give the approval Community
validity. Adherence to national rules on the other hand
should be subject
to additional certification in each
Member State. The final aim should be to establish a
common safety certificate with Community validity.

they should provide

(14) Member States should make efforts to assist applicants
wanting to enter the market as railway undertakings. In
particular
information and act
promptly on requests for safety certification. For railway
undertakings operating international transport services, it
is important that the procedures are similar in different
Member States. Although the safety certificate will contain
national parts for the foreseeable future, it should never-
theless be possible to harmonise the common parts of it
and facilitate the creation of a common template.

to new entrants. Member States

(15) Certification of train staff and in-use rollingstock for the
different national networks are often insurmountable
barriers
should be
responsible for providing training and certification of
train staff and mutual acceptance of basic requirements
of train staff should be guaranteed. A common procedure
should be established for mutual acceptance of
in-use
rolling stock.

(3) OJ L 183, 29.6.1989, p. 1.

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(16) As part of the new common regulatory framework for
safety, national authorities
should be set up in all
Member States to regulate and supervise railway safety.
To facilitate cooperation between them at Community
they should be given the same minimum tasks
level,
and responsibilities. The safety authorities
should be
granted a high degree of
independence. They should
carry out their tasks in an open and non-discriminatory
way to help to create a single Community rail system and
cooperate to coordinate their decision-making criteria, in
particular concerning safety certification of railway under-
takings carrying out international rail transport.

(17) Serious accidents on the railways are rare. However, they
can have disastrous consequences and raise concern
among the public about the safety performance of the
railway system. All accidents should, therefore, be inves-
tigated from a safety perspective to avoid recurrence and
the results of the investigations should be made public.
Near misses and other incidents are significant precursors
to serious accidents and should also, be subject to safety
investigations.

(18) A safety investigation should be kept separate from the
inquiry into the same incident and be granted
judicial
It should be carried
access to evidence and witnesses.
out by a permanent body,
the actors
including the safety authority, under as much openness
as possible. For each occurrence the investigation body
should establish the relevant
investigation group with
necessary expertise to find the immediate causes and
underlying causes of the incident.

independent of

(19) The reports on investigations and any findings and recom-
mendations provide crucial
information for the further
improvement of rail safety and should be made publicly
available at Community level. Safety recommendations
should be acted upon by the addressees and actions
reported back to the investigating body.

(20) Since the objectives of the proposed action, namely to
coordinate activities in the Member States to regulate
and supervise safety and to investigate accidents and to
establish at Community level common safety targets,
common safety methods, common safety indicators and
common requirements of safety certificates, cannot be
sufficiently achieved by the Member States and can
therefore, by reason of the scale of the action, be better
achieved at Community level, the Community may adopt
measures in accordance with the principle of subsidiarity
as set out in Article 5 of the Treaty. In accordance with
the principle of proportionality, as set out in that Article,
this Directive does not go beyond what is necessary in
order to achieve those objectives.

(21) Since most of the measures necessary for the implemen-
tation of this Directive are measures of general scope
within the meaning of Article 2 of Council Decision
1999/468/EC of 28 June 1999 laying down the

they

the exercise of

implementing powers
procedure for
conferred on the Commission (1),
should be
adopted by use of the regulatory procedure provided for
in Article 5 of that Decision. In accordance with Article 2
the
of Decision 1999/468/EC,
implementation of this Directive should be adopted by
use of the advisory procedure provided for in Article 3
of that Decision.

some measures

for

(22) Since

some provisions of Directive 95/18/EC and
Directive 2001/14/EC are superseded by this Directive,
those Directives should be amended.

(23) The Member States should lay down rules on penalties
applicable to infringements of
this
Directive and ensure that they are implemented. Those
penalties must be effective, proportionate and dissuasive,

the provisions of

HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

INTRODUCTORY PROVISIONS

Article 1

Subject-matter

The purpose of this Directive is to ensure the development and
improvement of safety on the Community's railways by:

(a) harmonising the regulatory structure in the Member States,

(b) defining responsibilities between the actors,

(c) developing common safety targets and common safety

methods,

(d) requiring the establishment,
authorities
safety

national
bodies for accident investigation,

in every Member State, of
and independent national

(e) defining common principles for the management, regu-

lation and supervision of railway safety.

Article 2

Scope

structural

1.
This Directive applies to the railway system in the
Member States, which may be broken down into subsystems
It
for
safety
areas.
requirements on the system as a whole,
including the safe
traffic operation and
management of
the interaction between railway undertakings and infrastructure
managers.

infrastructure and of

and operational

covers

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

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2. Member States may exclude from the measures they
adopt in implementation of this Directive:

system (the conventional rail system, the high speed rail
system or lines solely used for freight transport) and by the
system as a whole, expressed in risk acceptance criteria;

(a) metros, trams and other light rail systems;

trans-European conventional

(b) networks that are technically separated from any part of
and high-speed rail
the
systems and intended only for the operation of
local,
urban or suburban passenger services and railway under-
takings operating solely on these networks;

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

use by the infrastructure owner
operations.

for

Article 3

Definitions

For the purpose of this Directive, the following definitions shall
apply:

(a)

(b)

(c)

(d)

‘railway system’ means the totality of the subsystems for
structural and operational areas, such as infrastructure,
energy, control and command and signalling,
rolling
stock,
traffic operation and management, maintenance,
telematics applications for passenger and freight services,
environment and users, as defined in Directives 96/48/EC
and 2001/16/EC,
and
operation of the system as a whole;

the management

as well

as

‘infrastructure manager’ means any body or undertaking
that is responsible in particular for establishing and main-
taining railway infrastructure, or a part thereof, as defined
in Article 3 of Directive 91/440/EEC, which may also
infrastructure control and
include the management of
safety
infrastructure
systems. The
manager on a network or part of a network may be
allocated to different bodies or undertakings;

functions of

the

‘railway undertaking’ means any public or private under-
taking, the activity of which is to provide 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;

‘technical specification for interoperability (TSI)’ means the
specifications by which each subsystem or part of a
subsystem is covered in order
the essential
requirements and ensure the interoperability of the trans-
European high-speed and conventional rail systems as
defined in Directive 96/48/EC and Directive 01/16/EC;

to meet

(e)

‘common safety targets (CST)’ means the minimum safety
levels that must be reached by different parts of the rail

(f)

(g)

(h)

(i)

‘common safety methods (CSM)’ means the methods that
shall be developed to describe how the CST are reached
and how compliance is assessed;

‘safety authority’ means the national body entrusted with
the task to regulate and supervise railway safety according
to the provisions of this Directive;

‘national safety rules’ means all rules containing railway
safety requirements imposed at Member State level and
applicable to more than one railway undertaking,
irres-
pective of the body issuing them;

‘safety management system’ means the organisation and
arrangements established by an infrastructure manager or
a railway undertaking to ensure the safe management of
its operations;

(j)

‘investigator-in-charge’ means a person responsible for the
organisation, conduct and control of an investigation;

(k)

‘serious accident’ means:

(a) accidents caused by collision or derailment of trains,
resulting in at least one killed person or five or more
seriously injured persons,

(b) other railway accidents causing the loss of human
lives, multiple serious injuries or extensive damage to
rollingstock, the infrastructure or the environment and
with an obvious impact on railway safety regulation or
the management of safety;

(l)

‘incident’ means any occurrence, other
accidents, associated with the operation of
affecting the safety of operation;

than serious
trains and

(m) ‘investigation’ means a process conducted for the purpose
of accident and incident prevention which includes the
gathering and analysis of
the drawing of
conclusions,
including the determination of causes and,
when appropriate, the making of safety recommendations;

information,

(n)

(o)

‘causes’ means actions, omissions, events or conditions, or
a combination thereof, which led to the accident or
incident;

the European Railway Agency,

‘Agency’ means
the
Community agency for railway safety and interoperability,
established by Regulation (EC) No . . ./. . . of the European
Parliament and of the Council;

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(p)

(q)

‘notified bodies’ means the bodies which are responsible
for assessing the conformity or suitability for use of the
interoperability constituents or
for appraising the EC
procedure for verification of the subsystems, as defined
in Directive 96/48/EC and Directive 2001/16/EC;

assembly

group of
of

constituents’ means
components,
equipment

any
elementary
‘interoperability
subassembly or
component,
complete
or
incorporated
intended to be incorporated into a subsystem upon
which the high-speed or
system
depends directly or indirectly, as defined in Directives
96/48/EC and 2001/16/EC. The concept of a ‘constituent’
covers both tangible objects and intangible objects such as
software.

conventional

rail

CHAPTER II

DEVELOPMENT AND MANAGEMENT OF SAFETY

procedure
published in the Official Journal of the European Communities.

referred to in Article 26(3). They shall be

2.
Draft CST and CSM and draft non-binding guidelines
shall be drawn up by the Agency under a mandate which
shall be adopted in accordance with the procedure referred
to in Article 26(2).

The draft CST and CSM shall be based on an examination of
existing targets and methods in the Member States and take
account of the estimated costs and benefits. They shall analyse
the possible impact on TSI for the subsystems and contain,
where appropriate, consequential proposals for amendments
to the TSI.

3.
The CST shall define in particular the minimum safety
levels that must be reached by different parts of the railway
system and by the system as a whole expressed in risk
acceptance criteria for:

Article 4

Development and improvement of railway safety

(a)

individual risks related to passengers, staff including the
staff of contractors, level crossing users and unauthorised
persons on railway premises,

1. Member States shall ensure that railway safety is generally
maintained and, where reasonably practicable, continuously
improved,
taking into consideration the development of
and scientific
Community
progress and giving priority to the prevention of serious
accidents.

legislation and the

technical

Member States shall ensure that safety rules are laid down,
applied and enforced in an open and non-discriminatory
manner, fostering the development of a single European rail
transport system.

2. Member States shall ensure that the responsibility for the
safe operation of the railway system and the control of risks
created on it shall be laid upon the infrastructure managers and
railway undertakings, obliging them to implement necessary
to apply national safety rules and
risk control measures,
standards,
systems
according to the provisions of this Directive.

and to establish safety management

Each infrastructure manager and railway undertaking shall be
made responsible for its part of
the system and its safe
operation,
including supply of material and contracting of
services, vis-à-vis users, customers and third parties.

Article 5

Common safety targets, common safety methods

The CST and CSM shall be adopted by the Commission,
1.
by [date] (1) at the latest,
in accordance with the procedure
referred to in Article 26(2). They shall be published in the
Official Journal of the European Communities.

(b) societal risks.

The CSM shall describe how compliance with the CST is

4.
assessed by elaborating and defining:

(a) risk evaluation and assessment methods,

(b) methods for assessing conformity with requirements in
safety certificates issued in accordance with Article 10, and

(c) methods to check that the structural subsystems of the
trans-European high-speed and conventional rail systems
are operated and maintained in accordance with the
relevant essential requirements.

5.
The CST and CSM shall be revised at regular intervals, in
accordance with the procedure referred to in Article 26(2),
taking into account the global development of railway safety
and technical and scientific progress.

Article 6

Common safety indicators

1.
In order to facilitate the assessment of conformity with
the CST and to provide for the monitoring of the general
development of railway safety, Member States shall collect
information on common safety indicators (CSI) through the
the safety authorities as referred to in
annual reports of
Article 17.

The first reference year for the CSI will be . . . (2) to be reported
with the annual report the year after.

Prior to the adoption of CST and CSM, non-binding guidelines
on CST and CSM may be adopted in accordance with the

The CSI are established as set out in Annex I.

(1) Five years after entry into force of the Directive.

(2) Two years after the year of entry into force of this Directive.

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By [date] (1) at the latest Annex I shall be revised in
2.
accordance with the procedure referred to in Article 26(2), in
particular
the CSI and
common methods to calculate accident costs.

to include common definitions of

railway system is in conformity with CST and with safety
requirements laid down in TSI and that the relevant parts of
CSM are applied.

Article 7

National safety rules

1. Member States shall ensure that the national safety rules
are published and made available to all infrastructure managers,
railway undertakings and applicants for a safety certificate.

2. Member States shall ensure that the safety authorities are
made responsible for adoption of national safety rules.

By [date] (2) at the latest Member States shall notify the
3.
Commission of all the relevant national safety rules in force, as
set out in Annex II, and indicate their area of application.

The notification shall
further provide information on the
the rules with references to the legal
principal content of
texts, on the form of legislation and on which body or organi-
sation is responsible for its publication.

Article 8

Adoption of new national safety rules

1. When a Member State intends to introduce new national
safety rules or amendments to existing rules as referred to in
Annex II, it shall send the draft rule to the Commission, unless
the rules are wholly related to the implementation of TSI.

If the draft rule is not in conformity with Community legis-
lation a Decision, addressed to the Member State concerned,
shall be adopted in accordance with the procedure referred to
in Article 26(2);

If no Decision is adopted within six months after
the
submission of the draft, the Member State shall be free to
adopt the rule.

Paragraph 1 shall not apply in those cases where
2.
adoption of a new rule is urgent
for safety reasons. The
Member State shall in such a case inform the Commission of
its intention to adopt the rule without following the procedure
referred to in paragraph 1 and give the reasons which warrant
the urgency of the measures taken. The Commission shall give
its views on the information as soon as possible.

Article 9

Safety management systems

In the absence of TSI, CST and CSM, the safety management
system shall meet requirements laid down in national safety
rules as described in Article 7 and Annex II.

The

safety management

system shall meet

2.
the
requirements and contain the elements laid down in Annex
III, adapted to the character, size and other conditions of the
activity pursued. It shall ensure the control of all risks created
by the activity of the infrastructure manager or railway under-
taking, including the supply of maintenance and material and
the use of contractors, and, where appropriate, the risks arising
as a result of operations by other parties.

3.
The safety management system of any infrastructure
manager shall take into account the effects of operations by
different
railway undertakings on the network and make
provisions to allow all railway undertakings to operate in
safety rules and with
accordance with TSI and national
conditions
shall
furthermore be developed with the aim of coordinating the
emergency procedures of the infrastructure manager with all
railway undertakings that operate on its infrastructure.

laid down in their

safety certificate.

It

4.
Each year all infrastructure managers and railway under-
takings shall submit to the safety authority by 30 June at the
latest an annual safety report concerning the preceding year.
The safety report shall contain:

(a)

information on how the organisation's corporate safety
targets are met and the results of safety plans;

(b) the development of national safety indicators and of the
CSI laid down in Annex I, as far as it is relevant to the
reporting organisation;

(c)

the results of internal safety auditing;

(d) observations on deficiencies and malfunctions of railway
operations and infrastructure management that might be
relevant for the safety authority.

CHAPTER III

SAFETY CERTIFICATION

Article 10

Safety certificates

Infrastructure managers and railway undertakings shall
1.
establish their safety management systems to ensure that the

(1) Five years after entry into force of the Directive.
(2) Twelve months after entry into force of the Directive.

1.
In order to be granted access to the railway infrastructure
a railway undertaking must hold a safety certificate according
to the provisions of this Chapter. The safety certificate may
cover the whole railway network of a Member State or only
a defined part thereof.

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The purpose of the safety certificate is to give evidence that the
railway undertaking has established its safety management
system and can meet requirements laid down in TSI and
other relevant Community legislation and in national safety
rules in order to control risks and operate safely on the
network.

2.

The safety certificate shall comprise:

issuing date, scope and validity of the safety certificate and, in
case of revocation, the reasons for the decision.

By [date] (1) at the latest the Agency shall evaluate the
7.
development of safety certification and submit a report to the
Commission with recommendations on a migration strategy
towards a single Community safety certificate. The Commission
shall take appropriate action following the recommendation.

(a) certification confirming acceptance of the railway under-
taking's safety management system as described in Article
9 and Annex III, and

Article 11

Application requirements

(b) certification confirming acceptance of the provisions made
by the railway undertaking to meet specific requirements
necessary for the safe operation on the relevant network
concerning the application of TSI and national safety rules
and the certification of staff and rollingstock, based on
documentation submitted by the railway undertaking as
described in Annex IV.

3.
The safety authority in the Member State where the
railway undertaking first establishes its operation shall grant
the certification according to paragraph 2(a) and (b).

The certification according to paragraph 2(a) must specify the
type and extension of the railway operations covered. It shall
be valid throughout
rail
transport operations.

the Community for equivalent

The safety authority in the Member State in which the
4.
railway undertaking is planning to operate additional
rail
transport services shall grant the additional national certifi-
cation necessary according to paragraph 2(b).

The safety certificate shall be renewed every fifth year. It
the type or

5.
shall be wholly or partly updated whenever
extension of the operation is substantially altered.

The holder of the safety certificate shall without delay inform
the competent safety authority of all major changes in the
conditions of the safety certificate. It shall furthermore notify
the competent safety authority whenever new categories of
staff or new types of rolling stock are introduced.

The safety authority may require that the safety certificate be
revised following substantial changes in the safety regulatory
framework.

If the safety authority finds that a holder no longer satisfies the
conditions for a safety certificate, it shall revoke the certificate
immediately giving reasons for its decision.

The safety authority shall

6.
inform the Agency on the
safety certificates referred to in paragraph 2(a) that have been
issued, renewed, amended or revoked. The information shall
state the name and address of the railway undertaking, the

The

safety authority shall

take a decision on an
1.
application for safety certification without delay, but not
information required and
more than four months after all
any supplementary information requested by the
safety
authority has been submitted. If the applicant is requested to
submit supplementary information, such requests shall be
communicated promptly.

2.
In order to facilitate the establishment of new railway
undertakings and the submission of applications from railway
undertakings from other Member States, the safety authority
shall give detailed guidance on how to obtain the safety
certificate.
list all requirements that have been laid
down for the purpose of Article 10(2) and make all relevant
documents available to the applicant.

It shall

Special guidance shall be given to railway undertakings that
apply for a safety certificate concerning services on a defined
limited part of an infrastructure, specifically identifying the
rules that are valid for the part in question.

3.
and
An application guidance document describing
explaining the requirements and listing the documents that
must be submitted shall be made available to the applicants
free of charge.

Article 12

Training and certification of train staff

Train drivers and staff accompanying the trains of a
1.
railway undertaking that have been certified according to
Article 10(2)(b)
to meet basic
requirements concerning minimum or maximum age, basic
abilities, fitness and health status shall be mutually accepted
by other Member States.

in one Member

State

2. Member States shall ensure that railway undertakings
applying for a safety certificate have fair and non-discrimi-
natory access to training facilities for train drivers and staff
accompanying the trains, whenever such training is necessary
for
to obtain the safety
requirements
certificate.

the fulfilment of

The services offered must include necessary route knowledge,
operating rules, the signalling and control command system
and emergency procedures applied on the routes operated.

(1) Five years after the entry into force of the Directive.

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If the training services do not include examination and certifi-
cation, Member States shall ensure that railway undertakings
have access to such certification if it is a requirement of the
safety certificate.

The safety authority shall ensure that the provision of training
services or, where appropriate, certification meets the safety
requirements
safety rules
laid down in TSI or national
described in Article 7 and Annex II.

3.
If the training facilities are available only through the
services of one single railway undertaking or the infrastructure
they are made
manager, Member States shall ensure that
available to other railway undertakings at a reasonable and
non-discriminatory price.

Article 13

Certification of in-use rolling stock

Railway undertakings operating rollingstock that are
1.
certified in one Member State according to Article 10(2)(b)
and not, fully in compliance with a TSI shall be certified in
additional Member States.

The railway undertaking applying for certification in
2.
additional Member States
file
shall
concerning the rollingstock or type of rollingstock to the
relevant safety authority,
indicating its intended use on the
network. The file shall contain the following information:

technical

submit

a

than four months after

file,
later
including documentation of the test runs, has been submitted.
The certificate may contain conditions for use and other
restrictions.

the complete technical

Article 14

Harmonisation of safety certificates

at

By

the

[date] (1)

1.
latest, decisions on common
harmonised requirements according to Article 10(2)(b) and
Annex IV and a common format
for application guidance
documents
in accordance with the
shall be
procedure referred to in Article 26(2).

adopted

Prior to the adoption of harmonised requirements and a
2.
common
documents
application
non-binding guidelines may be adopted in accordance with
the procedure referred to in Article 26(3).

guidance

format

for

3.
The Agency shall recommend harmonised requirements
and a common format for application guidance documents
under a mandate which shall be adopted in accordance with
the procedure referred to in Article 26(2).

CHAPTER IV

SAFETY AUTHORITY

Article 15

Tasks of the safety authority

(a) evidence that the rolling stock has been certified by a safety
authority in another Member State and records that show
its history of operation, maintenance and, where applicable,
technical modifications undertaken after certification;

1.
Each Member State shall establish a safety authority to
supervise and regulate railway safety. It shall be independent in
its organisation, legal structure and decision-making from any
railway undertaking, infrastructure manager and applicant.

(b) relevant

technical data and operational
requested by the safety authority and needed for
complementary certification;

characteristics
its

(c) evidence on technical and operational characteristics that
show that the rollingstock is in compliance with the energy
supply system, the signalling and control command system,
the track gauge and infrastructure gauges, the maximum
allowed axle load and other constraints of the network;

(d) information on exemptions from national safety rules that
are needed to grant certification and evidence, based on
risk assessment,
the
rolling stock does not import undue risks on the network.

the acceptance of

showing that

The safety authority shall be entrusted with at least the

2.
following regulatory tasks:

(a) authorising the bringing into service of

the structural
subsystems constituting the trans-European high-speed rail
system according to Article 14 of Directive 96/48/EC;

(b) authorising the bringing into service of

the structural
subsystems constituting the trans-European conventional
rail
to Article 14 of Directive
system,
2001/16/EEC;

according

(c) authorising

the bringing

into service of new and
substantially altered rollingstock that are not yet covered
by a TSI;

3.
The safety authority may request that test runs on the
network be undertaken to verify compliance with the
restrictive parameters referred to in paragraph 2(c) and shall
in that case prescribe their range and content.

(d) the issue, renewal, amendments and revocation of relevant

parts of safety certificates according to Article 10;

(e)

legally binding national safety rules as
the adoption of
described in Article 7 and Annex II, unless the rules are
issued by the national Parliament or the Government.

The safety authority shall adopt

4.
its decision on an
application according to this Article without delay and not

(1) Five years after entry into force of the Directive.

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The safety authority shall be entrusted with the following

3.
supervisory tasks:

(a) checking that

the structural

the trans-
European high-speed rail system are operated and main-
tained
essential
requirements;

accordance with

subsystems of

relevant

the

in

(b) checking that

the structural

the trans-
European conventional rail system are operated and main-
tained
essential
requirements;

accordance with

subsystems of

relevant

the

in

(c) carrying out the Member State responsibility concerning
the interoperability constituents and

the supervision of
their compliance with the essential requirements;

(d) checking that infrastructure managers and railway under-
takings are operating under the requirements laid down in
rules under Community or national law and that conditions
and requirements laid down in safety certificates are met;

(e) supervising that rollingstock are duly registered and that
safety related information in the national register, estab-
lished in accordance with Article
[. . .] of Directive
96/48/EC and Article [. . .] of Directive 2001/16/EC is
accurate and kept up to date.

4.
The tasks referred to in paragraphs 2 and 3 may not be
transferred or contracted to any infrastructure manager or
railway undertaking.

Article 16

Decision-making principles of the safety authority

1.
The safety authority shall carry out its tasks in an open,
non-discriminatory and transparent way. In particular shall it
allow all parties to be heard and give reasons for decisions.

It shall promptly respond to requests and applications and
communicate its requests for information and its decisions
without undue delay.

In the process of developing the national regulatory framework
the safety authority shall consult all
involved and interested
railway under-
parties,
takings, manufacturers and maintenance providers, users and
staff representatives.

including infrastructure managers,

The safety authority shall be free to carry out all
2.
inspections and investigations that are needed for accom-
plishment of
its supervisory task and it shall be granted
access to all relevant documents and to premises, installations
and equipment of infrastructure managers and railway under-
takings.

3. Member States shall
take the measures necessary to
ensure that decisions taken by the safety authority are subject
to judicial review.

The safety authorities shall conduct an active exchange of
4.
views and experience for the purpose of harmonising their
decision-making criteria across the Community. The coop-
eration shall in particular aim at facilitating and coordinating
the safety certification of railway undertakings which have been
granted international train paths according to the procedure
laid down in Article 15 of Directive 2001/14/EC.

The Agency shall support them in these tasks.

Article 17

Annual report

Each year the safety authority shall publish an annual report
concerning its activities in the preceding year and send it to the
Agency by 30 September at the latest. The report shall contain
information on:

(a) the development of railway safety, including an aggregation
on Member State level of the CSI laid down in Annex I;

(b) important changes in legislation and regulation concerning

railway safety;

(c)

the development of safety certification;

(d) results of and experiences from the supervision of infra-

structure managers and railway undertakings.

CHAPTER V

ACCIDENT AND INCIDENT INVESTIGATION

Article 18

Occurrences that shall be investigated

1. Member States shall ensure that an investigation is carried
out after serious accidents and incidents on the railway system,
the objective of which is possible improvement of railway
safety and the prevention of future accidents and incidents.

2.

Occurrences that shall be investigated include:

(a) serious accidents;

(b) incidents that under slightly altered conditions might have
led to serious accidents, including technical failures to the
structural subsystems or to interoperability constituents of
the trans-European high-speed or conventional rail systems.

The extent of

investigations and the procedure to be
3.
shall be
such investigations
followed in carrying out
determined by the investigating body referred to in Article
20, taking into account the principles and the objectives of
Articles 19 and 21 and depending on the lessons it expects
to draw from the accident or incident for the improvement of
safety.

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is at

the discretion of

the investigating body to decide
It
whether an investigation of an occurrence referred to in
paragraph 2(b) shall be established or not. In its decision it
shall take into account:

(a) the seriousness of the incident,

(b) whether it forms part of a series of incidents with relevance

on system level,

(c)

its impact on railway safety in a Community perspective,
and

(d) requests from infrastructure managers, railway undertakings

or the safety authority.

The investigation shall

4.
apportioning blame or liability.

in no case be concerned with

Article 19

Status of investigation

1. Member States shall define,
in the framework of their
respective internal legal systems, a legal status of the investi-
gation that will enable the investigators-in-charge to carry out
their task in the most efficient way and within the shortest
time.

In accordance with the legislation in force in the Member
2.
States and, where appropriate, in cooperation with the auth-
orities responsible for the judicial
the investigators
shall, as soon as possible, be given:

inquiry,

(a) access to the site of the accident or incident as well as to
the rolling stock involved, the related infrastructure and
traffic control and signalling installations;

(b) the right to an immediate listing of evidence and controlled
installations or

removal of wreckage,
components for examination or analysis purposes;

infrastructure

The investigation shall be accomplished independent of
3.
any judicial inquiry and the progress of work may in no case
be delayed or restrained by the judicial proceedings.

Article 20

Investigating body

Each Member State shall ensure that investigations of
1.
accidents and incidents
referred to in Article 18(2) are
conducted by a permanent body. This body shall be inde-
pendent in its organisation, legal structure and decision-making
from any infrastructure manager, railway undertaking, charging
body, allocation body, and notified body. It shall furthermore
be independent of the safety authority, of any regulator of
railways and of any party whose interests could conflict with
the tasks entrusted to the investigating body.

2.
The investigating body shall be given the means required
to carry out its responsibilities independent of the organisations
referred to in paragraph 1 and shall be able to obtain sufficient
resources to do so. Its investigators shall be afforded status
giving them the necessary guarantees of
It
shall comprise at least one investigator able to perform the
function of investigator-in-charge in the event of an accident
or incident.

independence.

3. Member States shall make provisions that railway under-
infrastructure managers and, where appropriate, the
takings,
safety authority, are obliged to immediately report accidents
and incidents referred to in Article 18(2) to the investigating
body. The investigating body shall be able to respond to such
reports and make necessary arrangements to establish the
investigation without delay.

4.
The investigating body may combine its tasks under this
Directive with the tasks to investigate other occurrences than
railway accidents and incidents as long as such investigations
do not endanger the independence of the body.

(c) access to and use of the contents of on-board recorders and
for recording of verbal messages and regis-
the signalling and control
the operation of

equipment
tration of
system;

If necessary the body may request the assistance of inves-
5.
tigating bodies from other Member States or from the Agency
to supply expertise or to carry out
inspections,
analyses or evaluations.

technical

(d) access to the results of examination of

the bodies of

victims;

6. Member States may entrust the investigating body with
the task to carry out investigations of other rail accidents and
incidents than those referred to in Article 18(2).

(e) access to the results of examinations of the train staff and
other railway staff involved in the accident or incident;

(f)

the opportunity to examine involved railway staff and other
witnesses;

(g) access to any relevant information or records held by the
infrastructure manager, the railway undertakings involved
and the safety authority.

The investigating bodies shall conduct an active exchange
7.
of views and experience for
the purpose of developing
common investigation methods, elaborating common prin-
ciples for follow-up of safety recommendations and adapt to
the development of technical and scientific progress.

The Agency shall support them in this task.

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Article 21

Accomplishment of investigations

The information shall indicate the date, time and place of the
occurrence, as well as its type and its consequences as regards
loss of lives, injuries and damage.

1.
An accident or incident referred to in Article 18(2) shall
be investigated by the investigation body of the Member State
in which it occurred. If it is not possible to establish in which
Member State it occurred or if
it occurred on the border
between two Member States the relevant bodies shall agree
which one of them that will carry out the investigation or
agree to carry it out in cooperation. The other body shall in
the first case be allowed to participate in the investigation and
fully share its results.

For each accident or incident the body responsible for the
2.
investigation shall
appropriate means,
comprising the necessary operational and technical expertise
to carry out the task.

arrange

the

for

3.
The investigation shall be accomplished under as much
openness as possible, allowing for all parties to be heard and
sharing the results. The relevant infrastructure manager and
railway undertakings, the safety authority, victims and their
relatives, owners of damaged property, manufacturers,
the
emergency services involved and representatives of staff and
users shall be informed of the investigation and its results
and be given, as far as practicable, the opportunity to take
part in the proceedings.

2.
The investigating body shall send the Agency a copy of
the final reports referred to in Article 22(2) and of the annual
report referred to in Article 22(3).

Article 24

Safety recommendations

1.
A safety recommendation issued by an investigating body
shall in no case create a presumption of blame or liability for
an accident or incident.

Recommendations

shall be addressed to the

2.
safety
authority and, where needed by reason of the character of
the recommendation,
to other bodies or authorities in the
Member State or to other Member States. Member States and
their safety authorities shall take the necessary measures to
ensure that the safety recommendations issued by the investi-
gating bodies are duly taken into consideration, and, where
appropriate, acted upon.

Article 22

Reports

3.
The safety authority and other authorities or bodies or,
when appropriate, other Member States to which recommen-
dations have been addressed, shall report back to the investi-
gating body on measures that are taken or planned as a conse-
quence of the recommendation.

1.
An investigation of an accident or incident referred to in
Article 18(2) shall be the subject of reports in a form appro-
priate to the type and seriousness of the accident or incident
and the relevance of the findings. The reports shall state the
objectives of the investigations as referred to in Article 18(1)
and contain, where appropriate, safety recommendations.

2.
The investigating body shall make public the final report
in the shortest possible time and normally not later than 12
months after the date of the occurrence. The report shall, as
close as possible, follow the reporting structure laid down in
Annex V. The report,
including the safety recommendations
shall be communicated to the relevant parties referred to in
Article 21(3) and to bodies and parties concerned in other
Member States.

the

Each year

3.
investigating body shall publish by
30 September at the latest an annual report accounting for
the investigations carried out
the
safety recommendations that were issued and actions taken
according to recommendations issued previously.

in the preceding year,

Article 23

Information to be sent to the Agency

CHAPTER VI

IMPLEMENTING POWERS

Article 25

Adaptation of Annexes

The Annexes shall be adapted to technical and scientific
in accordance with the procedure referred to in
progress,
Article 26(2).

Article 26

Committee

The Commission shall be assisted by the Committee

1.
instituted by Article 21 of Directive 96/48/EC.

2. Where reference is made to this paragraph, the regulatory
procedure laid down in Article 5 of Decision 1999/468/EC
shall apply, in compliance with Articles 7 and 8 thereof.

1. Within one week after the decision to open an investi-
gation the investigating body shall inform the Agency thereof.

The period provided for
1999/468/EC shall be three months.

in Article 5(6) of Decision

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3. Where reference is made to this paragraph, the advisory
procedure laid down in Article 3 of Decision 1999/468/EC
shall apply, in compliance with Articles 7 and 8 thereof.

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.’

CHAPTER VII

GENERAL AND FINAL PROVISIONS

Article 27

Amendments to Directive 95/18/EC

Directive 95/18/EC is amended as follows:

1. Article 8 is replaced by the following:

‘Article 8

a management

The requirements relating to professional competence shall
be met when an applicant railway undertaking has or will
have
possesses
knowledge and/or experience necessary to exercise safe
and reliable operational control and supervision of
the
type of operations specified in the licence.’

organisation which

2. In the Annex, Section II is deleted.

Article 28

Amendments to Directive 2001/14/EC

Directive 2001/14/EC is amended as follows:

1. The title is replaced by the following:

‘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.’

2. In Article 30(2), point (f) is deleted.

3. Article 32 is deleted.

4. In Article 34, paragraph 2 is replaced by the following:

At the request of a Member State or on its own
‘2.
initiative the Commission shall, in a specific case, examine
the application and enforcement of provisions concerning
charging, capacity allocation, 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
its decision to the
European Parliament, the Council and to the Member States.

communicate

Article 29

Report

The Commission shall submit to the European Parliament and
to the Council by [date] (1) at the latest and every five years
thereafter a report on the implementation of this Directive.

The report shall be accompanied where necessary by proposals
for further Community action.

Article 30

Penalties

to infringements of

lay down the rules on penalties
The Member States shall
applicable
the national provisions
adopted pursuant to this Directive and shall take all measures
necessary to ensure that they are implemented. The penalties
provided for must be effective, proportionate, non-discrimi-
natory and dissuasive.

shall notify those provision to the
The Member States
Commission by the date specified in Article 31 by the latest
and shall notify it without delay of any subsequent amendment
affecting them.

Article 31

Implementation

Member States shall bring into force the laws, regulations and
administrative provisions necessary to comply with this
Directive by [. . .] (2) at the latest. They shall forthwith inform
the Commission thereof.

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

Article 32

Entry into force

This Directive shall enter into force on the twentieth day
following that of its publication in the Official Journal of the
European Communities.

Article 33

Addressees

This Directive is addressed to the Member States.

(1) Five years after entry into force of the Directive.
(2) Two years after the entry into force of this Directive.

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ANNEX I

COMMON SAFETY INDICATORS

Common Safety Indicators to be reported by the safety authorities:

Indicators related to activities according to Article 2(2), (a) and (b), should be accounted for separately, if they are
submitted.

If new facts or errors are discovered after the submission of the report the indicators for one particular year shall be
amended or corrected by the safety authority at the first convenient opportunity and latest with the next annual report.

As indicators related to accidents under heading 1 below Community statistics provided for by Regulation (EC) . . ./. . . of
the European Parliament and of the Council on rail transport statistics shall be used as far as the information is available.

1. Indicators relating to accidents

1. Total and relative (to train kilometres) number of accidents and a break-down on the following types of accidents:

— collisions of trains, including collisions with obstacles within the clearance gauge;

— derailments of trains;

— level-crossing accidents, including accidents involving pedestrians at level-crossings;

— accidents to persons caused by rollingstock in motion;

— fires in rollingstock.

Only the primary accident shall be accounted for, even if the consequences of the secondary accident are more
severe, e.g. a fire following a derailment.

2. Total and relative (to train kilometres) number of persons seriously injured and killed by type of accident divided

into the following categories:

— passengers (also in relation to total number of passenger-kilometres);

— employees including the staff of contractors;

— level-crossing users;

— unauthorised persons on railway premises;

— others.

2. Indicators relating to incidents and near-misses

1. Total and relative (to train kilometres) number of broken rails, track buckles and wrong-side signalling failures.

2. Total and relative (to train kilometres) number of signals passed at danger.

3. Total and relative (to train kilometres) number of broken wheels and axles on rollingstock in service.

3. Indicators relating to consequences of accidents

1. Total and relative (to train kilometres) costs in euro of all accidents where, if possible, the following costs should

be calculated and included:

— deaths and injuries;

— compensation for loss of or damages to property of passengers, staff or third parties, including damages

caused to the environment;

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— replacement or repair of damaged rollingstock and railway installations;

— delays, disturbances and re-routing of traffic, including extra costs for staff and loss of goodwill.

From the costs shall be deducted indemnity or compensation recovered from third parties such as motor vehicle
owners involved in level crossing accidents. Compensation recovered by insurance policies held by railway
undertakings or infrastructure managers shall not be deducted.

2. Total and relative (to number of hours worked) number of working hours of staff and contractors lost as a

consequence of accidents.

4. Indicators related to technical safety of infrastructure

1. Percentage of tracks with Automatic Train Protection (ATP) (1) in operation and percentage of train kilometres on

ATP equipped tracks.

2. Number of level crossings (total and per line kilometre). Percentage of level crossings with automatic or manual

protection.

5. Indicators relating to the management of safety

Accomplished internal audits by infrastructure managers and railway undertakings as set out in the documentation of
the safety management system. Total number of completed audits and the number as a percentage of required
(and/or planned) audits.

6. Definitions

The reporting authorities may use nationally applied definitions of the indicators and methods for calculation of costs
when data according to this Annex are submitted. All definitions and calculation methods in use shall be explained in
an Annex to the annual report described in Article 17.

(1) If there are several different ATP systems in use they should be accounted for separately.

ANNEX II

NOTIFICATION OF NATIONAL SAFETY RULES

National rules that shall be notified to the Commission according to the procedure described in Article 7:

1. rules concerning existing national safety targets and safety methods as described in Article 5(2) and (3);

2. rules concerning requirements on safety management systems and safety certification of railway undertakings;

3. rules concerning requirements for the authorisation of placing into service and maintenance of new and substantially
altered rollingstock that are not yet covered by a TSI. The notification shall include rules for exchange of rollingstock
between railway undertakings, registration systems and requirements on testing procedures;

4. common operating rules of the railway network that are not yet covered by TSI, including rules relating to the

signalling and traffic management system;

5. rules laying down requirements on additional internal operating rules (company rules) that must be established by

infrastructure managers and railway undertakings;

6. rules concerning requirements on staff executing safety critical tasks, including selection criteria, health status and

vocational training and certification as far as they are not yet covered by a TSI;

7. rules concerning the investigation of accidents and incidents.

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ANNEX III

SAFETY MANAGEMENT SYSTEMS

1. Requirements on the safety management system

The safety management system must be documented in all relevant parts and shall
in particular describe the
distribution of responsibilities within the organisation of the infrastructure manager or the railway undertaking. It
shall show how control from the management on different levels is secured, how staff and their representatives on all
levels are involved and how continuous improvement of the safety management system is ensured.

Sufficient resources must be allocated to ensure that staff with expert knowledge and experience in safety
management maintains key functions.

2. Basic elements of the safety management system

The basic elements of the safety management system are:

(a) a safety policy approved by the organisation's chief executive and communicated to all staff;

(b) qualitative and quantitative corporate targets for the maintenance and enhancement of safety and plans for

reaching the targets;

(c) procedures to meet existing, new and altered technical and operational standards laid down in TSI or in national
rules referred to in Article 7 and Annex II or in other relevant rules and procedures to assure compliance with
the standards throughout the life-cycle of equipment and operations;

(d) procedures and methods to carry out risk evaluation and implement risk control measures whenever a change of

the operating conditions or new material imposes new risks on the infrastructure or on operations;

(e) provision of programmes for training of staff and systems to ensure that the staff's competence is maintained and

tasks carried out accordingly;

(f) arrangements for the provision of sufficient information within the organisation and, where appropriate, between

organisations operating on the same infrastructure;

(g) procedures and formats for how safety information shall be documented and designation of procedure for

configuration control of vital safety information;

(h) procedures to ensure that accidents,

incidents, near misses and other dangerous occurrences are reported,

investigated and analysed and that necessary preventive measures are taken;

(i) provision of plans for action and alert and information in case of emergency, agreed upon with the appropriate

public authorities;

(j) provisions for recurrent internal auditing of the safety management system.

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DECLARATIONS FOR NETWORK SPECIFIC PART OF SAFETY CERTIFICATE

ANNEX IV

The following documents must be submitted to enable the safety authority to deliver the network specific part of the
safety certificate. To avoid duplication of work and to reduce the amount of information only summary documentation
should be submitted concerning elements that comply with TSI and other requirements of Directives 96/48/EC and
2001/14/EC:

— a documentation by the railway undertaking of the TSI or parts of TSI and, where relevant, national safety rules and
other rules applicable to its operations, its staff and its rolling stock and how compliance is ensured by the safety
management system;

— a documentation by the railway undertaking of the different categories of staff employed or contracted for the
operation, including evidence that they meet requirements of TSI or national rules and have been duly certified;

— a documentation by the railway undertaking of the different types of rollingstock used for the operation, including

evidence that they meet requirements of TSI or national rules and have been duly certified.

PRINCIPAL CONTENT OF ACCIDENT AND INCIDENT INVESTIGATION REPORT

ANNEX V

1. Summary

The summary shall contain a short description of the occurrence, when and where it took place and the conse-
quences it led to. It shall state the direct causes as well as contributing factors and underlying causes established by
the investigation. The main recommendations shall be quoted and information shall be given on to whom they are
addressed.

A translation of the summary into one of the working languages of the Agency shall be included in the report, where
appropriate.

2. Immediate facts of the occurrence

1. The occurrence:

— date, exact time and location of the occurrence;

— description of the events and the accident site including the efforts of the rescue and emergency services;

— the decision to establish an investigation, the composition of the team of investigators and the accom-

plishment of the investigation.

2. The settings of the occurrence:

— involved staff and contractors and other parties and witnesses;

— the trains and their composition including the registration number of involved rollingstock;

— the description of the infrastructure and signalling system — track types, switches, interlocking, signals, train

protection;

— means of communication;

— works carried out at or in the vicinity of the site;

— trigger of the railway emergency plan and its chain of events;

— trigger of the emergency plan of the public rescue services, the police and the medical services and its chain

of events.

3. Fatalities, injuries and material damages:

— passengers and third parties, staff, including contractors;

— cargo, luggage and other property;

— rollingstock, infrastructure and the environment.

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4. External circumstances:

— weather conditions and geographical references.

3. Record of investigations and inquiries

1. Summary of testimonies (subject to the protection of identity of persons):

— railway employees, including contractors;

— other witnesses.

2. The safety management system:

— the framework organisation and how orders are given and carried out;

— requirements on staff and how they are ensured;

— routines for internal checks and audits and their results;

— interface between different actors on the infrastructure.

3. Rules and regulations:

— relevant EU and national laws and public regulation;

— other rules like operating rules, local instructions, staff requirements, maintenance prescriptions and applicable

standards.

4. Functioning of rollingstock and technical installations:

— signalling and control command system, including registration from automatic data recorders;

— infrastructure;

— communications equipment;

— rollingstock, including account of automatic data registration.

5. Documentation of the operative system:

— measures taken by staff for traffic control and signalling;

— exchange of verbal messages in connection with the occurrence, including documentation from recordings;

— measures taken to protect and safeguard the site of the occurrence.

6. Man-machine-organisation interface:

— working time applied to the involved staff;

— medical and personal circumstances with influence on the occurrence,

including existence of physical or

psychological stress;

— design of equipment with impact on man-machine interface.

7. Previous occurrences of a similar character.

4. Analysis and conclusions

1. Final account of the event chain:

— establishing the conclusions on what happened, based on the facts discovered in Chapter 3.

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2. Discussion:

— analysis of the facts established in Chapter 3 with the aim to draw conclusions on the causes of the

occurrence and the performance of the rescue services.

3. Conclusions:

— direct and immediate causes of the occurrence including contributing factors related to actions taken by

involved persons or conditions of rollingstock or technical installations;

— underlying causes related to skills, procedures and maintenance;

— root causes related to the regulatory framework conditions and application of the safety management system.

4. Additional observations:

— deficiencies and shortcomings discovered during the investigation, but without relevance to the conclusions

on causes.

5. Measures that have been taken

Record of measures already taken or adopted as a consequence of the occurrence.

6. Recommendations