Common Position (EC) No 55/2003 of 26 June 2003 adopted by the Council, acting in accordance with the procedure referred to in Article 251 of the Treaty establishing the European Community, with a view to adopting 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: 2003-06-26
Institutions: Council of the European Union
Subjects: Community certification, charges for use of infrastructure, rail transport, transport company, transport infrastructure, transport licence, transport safety

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Official Journal of the European Union

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COMMON POSITION (EC) No 55/2003

adopted by the Council on 26 June 2003

with a view to the adoption of a Directive 2003/. . ./EC of the European Parliament and of the
Council of . . . 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

(2003/C 270 E/03)

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 (1),

Having regard to the Opinion of the European Economic and
Social Committee (2),

Having regard to the Opinion of
Regions (3),

the Committee of

the

Acting in accordance with the procedure laid down in Article
251 of the Treaty (4),

Whereas:

(1)

services,

transport

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 (5),
is necessary to establish a
it
common regulatory
safety.
framework
Member States have until now developed their safety
lines, based on
rules and standards mainly on national
concepts. Simul-
and operational
national
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

(2) Directive 91/440/EEC, Council Directive 95/18/EC of 19
June 1995 on the licensing of railway undertakings (6) and
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

(1) OJ C 126 E, 28.5.2002, p. 332.
(2) OJ C 61, 14.3.2003, p. 131.
(3) OJ C 66, 19.3.2003, p. 5.
(4) Opinion of the European Parliament of 14 January 2003 (not yet
published in the Official Journal), Council common position of 26
June 2003 and Decision of the European Parliament of . . . (not yet
published in the Official Journal).

(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 (OJ L
75, 15.3.2001, p. 1).

(6) 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).

for international rail

for the use of railway infrastructure and safety certifi-
cation (7) 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 differences between safety requirements
remain,
which affect the optimum functioning of rail transport
importance to
in the Community.
harmonise the content of safety rules, safety certification
of railway undertakings, the tasks and roles of the safety
authorities and the investigation of accidents.

is of particular

It

(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 in accordance with 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.

in particular compared to road transport.

(4) Safety levels in the Community rail system are generally
is
high,
important
that safety is maintained during the current
restructuring phase, which will move the railway sector
further from self-regulation to public regulation. In line
with technical and scientific progress, safety should be
and
further
taking into account
the rail
transport mode.

improved, when reasonably practicable

the competitiveness of

It

(5) All

it

those operating the railway system,

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

is appropriate,
risk

implementing

in

(7) OJ L 75, 15.3.2001, p. 29. Directive as amended by Commission

Decision 2002/844/EC (OJ L 289, 26.10.2002, p. 30).

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the trans-European high-speed rail

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

it will

(TSIs)

for

(7) Common safety targets

(CSTs)

(CSMs)

and common safety
methods
should be gradually introduced to
ensure that a high level of safety is maintained and,
when and where necessary and reasonably practicable,
improved. They should provide tools for assessment of
the safety level and the performance of the operators at
Community level as well as in the Member States.

(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 concerned.

requirements

containing

and

to

the

introduction

of measures

(12) The safety management system should take into account
the fact that Council Directive 89/391/EC of 12 June 1989
on
encourage
improvements in the safety and health of workers at
work (4) and its relevant
individual directives are fully
applicable to the protection of the health and safety of
workers
safety
management system should also take account of Council
Directive 96/49/EC of 23 July 1996 on the approximation
of
the Member States with regard to the
transport of dangerous goods by rail (5).

transport. The

the laws of

in railway

engaged

(8)

Information on safety of the railway system is scarce and
It is thus necessary to
not generally publicly available.
establish common safety indicators (CSIs)
in order to
assess that the system complies with the CSTs and to
facilitate the monitoring of railway safety performance.
However, national definitions relating to the CSIs may
apply during a transitional period and due account
should therefore be taken of the extent of the development
of common definitions of the CSIs when the first set of
CSTs is drafted.

(9) National safety rules, which are often based on national
technical standards, should gradually be replaced by rules
based on common standards, established by TSIs. New
national rules should be in line with Community legis-
lation and facilitate migration towards
common
a
approach to railway safety. All
interested parties should
therefore be consulted before a Member State adopts a
national safety rule that requires a higher safety level
than the CSTs. If such a rule might affect railway under-
takings from other Member States the new draft rule
should be subject to a notification to the Commission.

(10) The development of CSTs CSMs and CSIs as well as the
need to facilitate progress towards a common approach to
railway safety requires technical support at Community
level. The European Railway Agency established by Regu-
lation (EC) No . . ./2003 of the European Parliament and of
the Council (3)
set up to issue recommendations
concerning CSTs, CSMs and CSIs and further harmon-
isation measures and to monitor the development of
railway safety in the Community.

is

(1) OJ L 235, 17.9.1996, p. 6.
(2) OJ L 110, 20.4.2001, p. 1.
(3) OJ L . . .

(13) To ensure a high level of

railway safety and equal
conditions for all railway undertakings, they should be
to the same safety requirements. The safety
subject
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 ultimate aim should be to establish a
common safety certificate with Community validity.

(14) In addition to the safety requirements laid down in the
licensed railway undertakings must
safety certificate,
comply with national
compatible with
Community law and applied in a non-discriminatory
manner, relating to health, safety and social conditions,
including legal provisions relating to driving time, and
the rights of workers and consumers as provided for in
Articles 6 and 12 of Directive 95/18/EC.

requirements,

(15) Every infrastructure manager has a key responsibility for
its rail
the safe design, maintenance and operation of
network. In parallel to safety certification of railway under-
takings the infrastructure manager should be subject to
safety authorisation by the safety authority concerning
its safety management system and other provisions to
meet safety requirements.

(4) OJ L 183, 29.6.1989, p. 1.
(5) OJ L 235, 17.9.1996, p. 25. Directive as

last amended by

Commission Directive 2003/29/EC (OJ L 90, 8.4.2003, p. 47).

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they should provide

(16) Member States should make efforts to assist applicants
wishing 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 for the procedures to be 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.

(17) Certification of train staff and authorisation of placing in
service of in-use rolling stock for the different national
networks are often insurmountable barriers
to new
entrants. Member States should ensure that facilities for
the training and certification of train staff necessary to
meet requirements under national rules are available to
railway undertakings applying for a safety certificate. A
common procedure should be established for authorisation
of placing in service of in-use rolling stock.

they should be given the

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

(19) 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 such accidents should, therefore, be
investigated from a safety perspective to avoid recurrence
and the results of
the investigations should be made
public. Other accidents and incidents could be significant
precursors to serious accidents and should also be subject
to safety investigations, when it is necessary.

(20) 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.
the
out by a permanent body that
actors of the rail sector. The body should function in a
way which avoids any conflict of interest and any possible
in the causes of the occurrences that are
involvement
its functional
investigated;
independence
in particular,
is closely linked to the
it
should not be affected if

is independent of

regulator of

railways for
national safety authority or
organisational and legal structure purposes.
Its investi-
gations should be carried out under as much openness
as possible. For each occurrence the investigation body
investigation group with
should establish the relevant
necessary expertise to find the immediate causes and
underlying causes.

(21) 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.

(22) 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.

(23) 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
procedure
implementing powers
exercise of
conferred on the Commission (1).

the

for

safety

(24) This Directive aims at reorganising and bringing together
the relevant Community legislation on railway safety.
Consequently, provisions
certification of
for
in
railway undertakings that were previously set out
Directive 2001/14/EC should, together with all references
to safety certification, be repealed. Directive 95/18/EC
included requirements on safety qualifications of oper-
rolling stock that are
ational staff and on safety of
covered by the requirements on safety certification of
this Directive and should therefore no longer be part of
the licensing requirements. A licensed railway undertaking
should hold a safety certificate in order to be granted
access to the railway infrastructure.

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

the provisions of

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

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HAVE ADOPTED THIS DIRECTIVE:

CHAPTER I

INTRODUCTORY PROVISIONS

Article 1

Purpose

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, in every Member State, of a
safety authority and an accident and incident investigating
body;

(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
safety
areas.
for
It
including the safe
requirements on the system as a whole,
management of
traffic operation and
the interaction between railway undertakings and infrastructure
managers.

infrastructure and of

and operational

covers

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

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

(b) networks that are functionally separate from the rest of the
railway system and intended only for the operation of local,
urban or suburban passenger services, as well as railway
undertakings 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)

(e)

(f)

(g)

(h)

(i)

‘railway system’ means the totality of the subsystems for
structural and operational areas, as defined in Directives
96/48/EC and 2001/16/EC, as well as the management
and operation of the system as a whole;

‘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 railway undertaking as defined
in Directive 2001/14/EC, and any other public or private
undertaking, the activity of which is to provide transport
of goods and/or passengers by rail on the basis that the
undertaking must ensure traction; this also includes under-
takings 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 2001/16/EC;

to meet

‘common safety targets (CSTs)’ means the safety levels that
must at least be reached by different parts of the rail
system (such as the conventional rail system, the high
long railway tunnels or lines solely
speed rail system,
used for freight transport) and by the system as a whole,
expressed in risk acceptance criteria;

‘common safety methods (CSMs)’ means the methods to be
developed to describe how safety levels and achievement
of
safety
requirements are assessed;

safety targets and compliance with other

‘safety authority’ means the national body entrusted with
the tasks regarding railway safety in accordance with this
Directive or any binational body entrusted by Member
to ensure a unified
States with these tasks in order
safety regime for specialised cross-border infrastructures;

‘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;

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

taking into consideration the development of
improved,
Community legislation and technical and scientific progress
and giving priority to the prevention of serious accidents.

(j)

(k)

(l)

‘accident’ means an unwanted or unintended sudden event
or a specific chain of such events which have harmful
consequences; accidents are divided into the following
categories: collisions, derailments, level-crossing accidents,
accidents to persons caused by rolling stock in motion,
fires and others;

to rolling stock,

‘serious accident’ means any train collision or derailment
of trains, resulting in the death of at least one person or
serious injuries to five or more persons or extensive
the
damage
environment, and any other similar accident with an
obvious
the
management of safety;
‘extensive damage’ means damage
that can immediately be assessed by the investigating body
to cost at least EUR 2 million in total;

impact on railway safety regulation or

infrastructure or

the

(m) ‘incident’ means any occurrence, other than accident or
serious accident, associated with the operation of trains
and affecting the safety of operation;

(n)

(o)

(p)

(q)

(r)

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

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

‘Agency’ means
the
Community agency for railway safety and interoperability;

the European Railway Agency,

‘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 Directives 96/48/EC and 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 interoperability of the high-speed or conven-
tional
indirectly, as
defined in Directive 96/48/EC and 2001/16/EC. The
concept of a ‘constituent’ covers both tangible objects
and intangible objects such as software.

system depends directly or

rail

CHAPTER II

DEVELOPMENT AND MANAGEMENT OF SAFETY

Article 4

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
associated with it is laid upon the infrastructure managers and
railway undertakings, obliging them to implement necessary
risk control measures, where appropriate in cooperation with
each other, to apply national safety rules and standards, and to
establish safety management systems in accordance with this
Directive.

the Member States,

Without prejudice to civil liability in accordance with the legal
requirements of
each infrastructure
manager and railway undertaking shall be made responsible
including
for its part of the system and its safe operation,
supply of material and contracting of services, vis-à-vis users,
customers and third parties.

Article 5

Common safety indicators

In order to facilitate the assessment of the achievement of
1.
the CST and to provide for the monitoring of the general
development of railway safety Member States shall collect
information on common safety indicators (CSIs) through the
annual reports of the safety authorities as referred to in Article
18.

The first reference year for the CSIs shall be . . . (*); they shall
be reported on in the annual report the following year.

The CSIs shall be established as set out in Annex I.

Before . . . (**) Annex I shall be revised in accordance
2.
with the procedure referred to in Article 27(2), in particular
to include common definitions of
the CSI and common
methods to calculate accident costs.

Article 6

Common safety methods

A first set of CSMs, covering at
shall be
in

1.
described in paragraph 3(a),
Commission,
. . . (***),
procedure
published in the Official Journal of the European Union.

the methods
adopted by the
the
referred to in Article 27(2). They shall be

accordance with

before

least

Development and improvement of railway safety

1. Member States shall ensure that railway safety is generally
maintained and, where reasonably practicable, continuously

(*) Two years after the year of entry into force of this Directive.
(**) Five years after the entry into force of this Directive.
(***) Four years after the entry into force of this Directive.

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A second set of CSMs, covering the remaining part of the
methods as described in paragraph 3, shall be adopted by
the Commission before
in accordance with the
. . . (*),
procedure
referred to in Article 27(2). They shall be
published in the Official Journal of the European Union.

2.
Draft CSMs and draft revised CSMs shall be drawn up by
the Agency under mandates which shall be adopted in
accordance with the procedure referred to in Article 27(2).

The draft CSMs shall be based on an examination of existing
methods in the Member States.

3.
The CSMs shall describe how the safety level, and the
achievement of safety targets and compliance with other
safety requirements, are assessed by elaborating and defining:

(a) risk evaluation and assessment methods,

(b) methods for assessing conformity with requirements in
issued in

and safety authorisations

safety certificates
accordance with Articles 10 and 11, and

(c) as far as they are not yet covered by TSIs, 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.

The CSMs

shall be revised at

4.
in
accordance with the procedure referred to in Article 27(2),
taking into account
gained from their
application and the global development of railway safety and
the obligations on Member States laid down in Article 4(1).

experience

intervals,

regular

the

5. Member States shall make any necessary amendments to
their national safety rules in the light of the adoption of CSMs
and revisions to them.

Article 7

Common safety targets

The CSTs

1.
following the procedures laid down in this Article.

shall be developed, adopted and revised

The second set of draft CSTs shall be based on the experiences
gained from the first set of CSTs and their implementation.
They shall reflect any priority areas where safety needs to be
further improved. They shall be adopted by the Commission,
before . . . (***), in accordance with the procedure referred to in
Article 27(2) and shall be published in the Official Journal of the
European Union.

All proposals for draft and revised CSTs shall reflect the obli-
gations on Member States laid down in Article 4(1). Such
proposals shall be accompanied by an assessment of
the
estimated costs and benefits, indicating their likely impact for
all
the operators and economic agents involved and their
impact on the societal acceptance of risk. They shall contain
a timetable for gradual
in
particular
the nature and extent of
investment required to apply them. They shall analyse the
possible impact on TSI
the subsystems and contain,
where appropriate, consequential proposals for amendments
to the TSI.

implementation, where necessary,

to take account of

for

The CSTs shall define the safety levels that must at least
4.
be reached by different parts of the railway system and by the
system as a whole in each Member State, expressed in risk
acceptance criteria for:

(a)

individual risks relating to passengers, staff including the
staff of contractors,
level crossing users and others, and,
without prejudice to existing national and international
liability rules,
risks relating to unauthorised
persons on railway premises;

individual

(b) societal risks.

The CSTs

5.
in
accordance with the procedure referred to in Article 27(2),
taking into account the global development of railway safety.

shall be revised at

intervals,

regular

6. Member States shall make any necessary amendments to
their national safety rules in order to achieve at least the CSTs,
and any revised CSTs, in accordance with the implementation
timetables attached to them. They shall notify these rules to the
Commission in accordance with Article 8(3).

2.
Draft CSTs and draft revised CSTs shall be drawn up by
the Agency under mandates which shall be adopted in
accordance with the procedure referred to in Article 27(2).

Article 8

National safety rules

3.
The first set of draft CSTs shall be based on an exam-
ination of existing targets and safety performance in the
Member States and shall ensure that
safety
performance of
reduced in any
Member State. They shall be adopted by the Commission,
before . . . (**),
in accordance with the procedure referred to
in Article 27(2), and shall be published in the Official Journal of
the European Union.

system is not

the current

the rail

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

Before

. . . (****) Member

2.
the
Commission of all the relevant national safety rules in force,
as set out in Annex II, and indicate their area of application.

notify

States

shall

(*) Six years after the entry into force of this Directive.
(**) Five years after entry into force of this Directive.

(***) Seven years after entry into force of this Directive.
(****) Twelve months after the entry into force of this Directive.

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

3. Member States shall forthwith notify the Commission of
any amendment to the notified national safety rules and of any
new such rule that might be adopted, unless the rule is wholly
relating to the implementation of TSIs.

A Member State may, after

4.
the adoption of CSTs,
introduce a new national safety rule, which requires a higher
safety level than the CSTs. Before adopting such a rule, the
Member State shall consult all interested parties in due time
and shall inform the Commission which shall submit the draft
safety rule to the Committee referred to in Article 27 for its
opinion, which shall be adopted in accordance with the
procedure referred to in Article 27(3). If the rule may affect
operations of railway undertakings from other Member States
on the territory of the Member State concerned, the notifi-
cation procedure in paragraph 5 shall apply.

The Member State shall send the draft safety rule to the

5.
Commission, stating the reasons for introducing it.

If the Commission finds that the draft safety rule is incom-
patible with the CSMs or with achieving at least the CSTs, or
that it constitutes a means of arbitrary discrimination or a
disguised restriction on rail
transport operations between
Member States, a Decision, addressed to the Member State
concerned,
in accordance with the
procedure referred to in Article 27(2).

shall be

adopted

Article 9

Safety management systems

Infrastructure managers and railway undertakings shall
1.
establish their safety management systems to ensure that the
railway system can achieve at least the CSTs, is in conformity
with the national safety rules described in Article 8 and Annex
II and with safety requirements laid down in the TSIs, and that
the relevant parts of CSMs are applied.

The

safety management

system shall meet

2.
the
requirements and contain the elements laid down in Annex
III, adapted to the character, extent and other conditions of
the activity pursued. It shall ensure the control of all risks
associated with the activity of the infrastructure manager or
railway undertaking, including the supply of maintenance and
material and the use of contractors. Without prejudice to
existing national and international
the safety
management system shall also take into account, where appro-
priate and reasonable, the risks arising as a result of activities
by other parties.

liability rules,

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

laid down in their

accordance with TSIs and national safety rules and with
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.

safety certificate.

It

4.
Each year all infrastructure managers and railway under-
takings shall submit to the safety authority before 30 June an
annual safety report concerning the preceding calendar 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
CSIs 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 AND AUTHORISATION

Article 10

Safety certificates

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

The purpose of the safety certificate is to provide evidence that
the railway undertaking has established its safety management
system and can meet requirements laid down in TSIs 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:

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

(b) certification confirming acceptance of

the safe operation of

the provisions
specific
adopted by the railway undertaking to meet
the
requirements necessary for
include
network.
relevant
application of TSIs and national safety rules, acceptance
of staff's certificates and authorisation to place in service
the rolling stock used by the railway undertaking. The
certification shall be based on documentation submitted
by the railway undertaking as described in Annex IV.

requirements may

The

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The safety authority in the Member State where the
3.
railway undertaking first establishes its operation shall grant
the certification in accordance with paragraph 2.

The certification granted in accordance with paragraph 2 must
specify the type and extent of the railway operations covered.
The certification granted in accordance with paragraph 2(a)
shall be valid throughout the Community for equivalent rail
transport operations.

Article 11

Safety authorisation of infrastructure managers

1.
In order to be allowed to manage and operate a rail
infrastructure the infrastructure manager must obtain a safety
authorisation from the safety authority in the Member State
where he is established.

The safety authorisation shall comprise:

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 in accordance with paragraph 2(b).

5.
The safety certificate shall be renewed upon application
by the railway undertaking at intervals not exceeding five years.
It shall be wholly or partly updated whenever the type or
extent 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
It
shall
safety authority
whenever new categories of staff or new types of rolling
stock are introduced.

furthermore notify the

the safety certificate.

the relevant part of

competent

(a) authorisation confirming acceptance of the infrastructure
system as described in

safety management

manager's
Article 9 and Annex III, and

(b) authorisation confirming acceptance of the provisions of
the infrastructure manager to meet specific requirements
necessary for the safe design, maintenance and operation
of the railway infrastructure including, where appropriate,
the maintenance and operation of the traffic control and
signalling system.

be

The

safety

renewed

authorisation shall

upon
2.
intervals not
application by the infrastructure manager at
exceeding five years.
It shall be wholly or partly updated
whenever substantial changes are made to the infrastructure,
signalling or energy supply or to the principles of its operation
and maintenance. The holder of the safety authorisation shall
without delay inform the safety authority of all such changes.

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

the holder of

the safety authority finds that

If
the safety
certificate no longer satisfies the conditions for a certification
which it has issued, it shall revoke part (a) and/or (b) of the
certificate, giving reasons for its decision. The safety authority
that has revoked an additional national certification granted in
accordance with paragraph 4 shall promptly inform the safety
authority that granted the certification under paragraph 2(a) of
its decision.

The safety authority may require that the safety authorisation
be revised following substantial changes to the safety regulatory
framework.

If the safety authority finds that an authorised infrastructure
manager no longer satisfies the conditions for a safety author-
isation it shall revoke the authorisation, giving reasons for its
decisions.

3.
The safety authority shall inform the Agency within one
month of
the safety authorisations that have been issued,
renewed, amended or revoked.
It shall state the name and
the
address of
scope and validity of the safety authorisation and, in case of
revocation, the reasons for its decision.

the infrastructure manager,

the issue date,

Similarly, a safety authority must revoke a safety certificate if it
is apparent that the holder of the safety certificate has not used
it as intended in the year following its issue.

Article 12

Application requirements

The safety authority shall inform the Agency within one
6.
month of the safety certificates referred to in paragraph 2(a)
that have been issued, renewed, amended or revoked. It shall
state the name and address of the railway undertaking, the
issue date, scope and validity of the safety certificate and, in
case of revocation, the reasons for its decision.

all

safety certification or

safety authority shall

1.
The
take a decision on an
safety authorisation
application for
without delay and in any event not more than four months
after
supplementary
safety authority has been
information requested by the
submit
is
submitted.
applicant
If
be
such
supplementary
submitted promptly.

the
information,

requested
information

information required

shall

and

any

to

7.
Before . . . (*) the Agency shall evaluate the development
of safety certification and submit a report to the Commission
with recommendations on a strategy for migration towards a
single Community safety certificate. The Commission shall take
appropriate action following the recommendation.

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

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

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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 for the safety certificates and
listing the documents that must be submitted shall be made
available to the applicants free of charge. All applications for
safety certificates shall be submitted in the language required
by the safety authority.

Article 13

Access to training facilities

1. 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 training on necessary route
knowledge, operating rules and procedures, the signalling and
control command system and emergency procedures applied
on the routes operated.

the training services do not

include examinations and
If
granting of certificates, 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,
the granting of certificates
meets the safety requirements laid down in TSIs or national
safety rules described in Article 8 and Annex II.

2.
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.

3.
In every case each railway undertaking and each infra-
structure manager shall be responsible for the level of training
and qualifications of its staff carrying out safety-related work as
set out in Article 9 and Annex III.

States in accordance with this Article,
required by the latter Member State or States.

if an authorisation is

2.
The railway undertaking applying for authorisation to
place rolling stock in service in another Member State shall
submit a technical file concerning the rolling stock or type
of rolling stock to the relevant safety authority, indicating its
intended use on the network. The file shall contain the
following information:

(a) evidence that the rolling stock has been authorised to be
placed in service in another Member State and records that
show its history of operation, maintenance and, where
applicable,
the
authorisation;

technical modifications undertaken after

(b) relevant technical data, maintenance programme and oper-
ational characteristics requested by the safety authority and
needed for its complementary authorisation;

(c) evidence on technical and operational characteristics that
shows that the rolling stock is in compliance with the
energy
control
the
the track gauge and infrastructure
command system,
gauges,
load and other
constraints of the network;

the maximum allowed axle

signalling

system,

supply

and

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

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.

The safety authority shall adopt

its decision on an
4.
application in accordance with this Article without delay and
not later than four months after the complete technical file,
including documentation of the test runs, has been submitted.
The certificate of authorisation may contain conditions for use
and other restrictions.

Article 15

Harmonisation of safety certificates

Before

. . . (*),

decisions

1.
common harmonised
requirements in accordance with Article 10(2)(b) and Annex
IV and a common format for application guidance documents
shall be adopted in accordance with the procedure referred to
in Article 27(2).

on

Article 14

Placing in service of in-use rolling stock

1.
Rolling stock that has been authorised to be placed in
service in one Member State in accordance with Article
10(2)(b) and is not fully covered by the relevant TSIs shall be
authorised to be placed in service in another or other Member

The Agency shall

2.
recommend common 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 27(2).

(*) Five years after entry into force of this Directive.

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CHAPTER IV

SAFETY AUTHORITY

Article 16

Tasks

1.
Each Member State shall establish a safety authority. This
authority may be the Ministry responsible for transport matters
and shall be independent in its organisation, legal structure and
decision making from any railway undertaking, infrastructure
manager, applicant and procurement entity.

The safety authority shall be entrusted with at least the

2.
following tasks:

(a) authorising the bringing into service of

the structural
subsystems constituting the trans-European high-speed rail
system in accordance with Article 14 of Directive 96/48/EC
and checking that they are operated and maintained in
accordance with the relevant essential requirements;

(b) authorising the bringing into service of

the structural
subsystems constituting the trans-European conventional
in accordance with Article 14 of Directive
rail system,
2001/16/EC and checking that they are operated and main-
tained
essential
requirements;

accordance with

relevant

the

in

(c) supervising that

the interoperability constituents are in
compliance with the essential requirements as required by
Article 12 of Directives 96/48/EC and 2001/16/EC;

(d) authorising the placing in service of new and substantially
altered rolling stock that is not yet covered by a TSI;

(e) the issue, renewal, amendments and revocation of relevant
parts of safety certificates and of safety authorisations
granted in accordance with Articles 10 and 11 and
checking that conditions and requirements laid down in
infrastructure managers and
them are met and that
railway undertakings are operating under the requirements
of Community or national law;

(f) monitoring, promoting, and, where appropriate, enforcing
and developing the safety regulatory framework including
the system of national safety rules;

(g) supervising that rolling stock is duly registered and that
safety-related information in the national register, estab-
lished in accordance with Article 14 of Directive
96/48/EC and of Directive 2001/16/EC,
is accurate and
kept up-to-date.

Article 17

Decision-making principles

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

It shall promptly respond to requests and applications and
communicate its requests for information without delay and
adopt all its decisions within four months after all requested
information has been provided. It may at any time request the
technical assistance of
infrastructure managers and railway
undertakings or other qualified bodies when it is carrying out
the tasks referred to in Article 16.

In the process of developing
framework,
involved
managers,
tenance providers, users and staff representatives.

regulatory
the safety authority shall consult all persons
infrastructure
and
railway undertakings, manufacturers and main-

interested parties,

the national

including

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

and to premises,

installations

documents

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

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

train paths

The Agency shall support the safety authorities in these tasks.

Article 18

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
at Member State level of the CSIs laid down in Annex I;

(b) important changes in legislation and regulation concerning

railway safety;

(c)

the development of safety certification and safety author-
isation;

3.
The tasks referred to in paragraph 2 may not be trans-
ferred or subcontracted to any infrastructure manager, railway
undertaking or procurement entity.

(d) results of and experience relating to the supervision of

infrastructure managers and railway undertakings.

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CHAPTER V

ACCIDENT AND INCIDENT INVESTIGATION

(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;

Article 19

Obligation to investigate

1. Member States shall ensure that an investigation is carried
out by the investigating body referred to in Article 21 after
serious accidents on the railway system, the objective of which
is possible improvement of railway safety and the prevention
of accidents.

2.
In addition to serious accidents, the investigating body
referred to in Article 21 may investigate those accidents and
incidents which under slightly different conditions might have
led to serious accidents,
the
interoperability constituents of
structural subsystems or of
the trans-European high-speed or conventional rail systems.

including technical

failures of

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

removal of wreckage,
components for examination or analysis purposes;

infrastructure

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

equipment
tration of
control system;

(d) access to the results of examination of

the bodies of

victims;

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

The investigating body shall, at its discretion, decide whether or
not an investigation of such an accident or incident shall be
undertaken. In its decision it shall take into account:

(f)

the opportunity to question the railway staff involved and
other witnesses;

(a) the seriousness of the accident or incident;

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

(b) whether it forms part of a series of accidents or incidents

relevant to the system as a whole;

The investigation shall be accomplished independently of

3.
any judicial inquiry.

(c)

its impact on railway safety on a Community level, and

(d) requests

from infrastructure managers,
takings, the safety authority or the Member States.

railway under-

The extent of

investigations and the procedure to be
3.
shall be
such investigations
followed in carrying out
determined by the investigating body, taking into account the
principles and the objectives of Articles 20 and 22 and
depending on the lessons
to draw from the
accident or incident for the improvement of safety.

it expects

The investigation shall

4.
apportioning blame or liability.

in no case be concerned with

Article 20

Status of investigation

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

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

inquiry,

Article 21

Investigating body

and incidents

Each Member State shall ensure that investigations of
1.
accidents
referred to in Article 19 are
conducted by a permanent body, which shall comprise at
least one investigator able to perform the function of inves-
tigator-in-charge in the event of an accident or incident. This
body shall be independent in its organisation, legal structure
and decision-making from any infrastructure manager, railway
undertaking, charging body, allocation body and notified body,
and from any party whose interests could conflict with the
tasks entrusted to the investigating body. It shall furthermore
be functionally independent from the safety authority and from
any regulator of railways.

2.
The investigating body shall perform its tasks inde-
pendently of the organisations referred to in paragraph 1 and
shall be able to obtain sufficient resources to do so. Its inves-
tigators shall be afforded status giving them the necessary
guarantees of independence.

3. Member States shall make provision that railway under-
takings,
infrastructure managers and, where appropriate, the
safety authority, are obliged immediately to report accidents
and incidents referred to in Article 19 to the investigating
body. The investigating body shall be able to respond to
such reports and make the necessary arrangements to start
the investigation no later than one week after receipt of the
report concerning the accident or incident.

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

The investigating body shall conclude its examinations at
4.
the accident site in the shortest possible time in order to enable
the infrastructure manager to restore the infrastructure and
open it to rail transport services as soon as possible.

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

6. Member States may entrust the investigating body with
the task of carrying out investigations of railway accidents and
incidents other than those referred to in Article 19.

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

The Agency shall support the investigating bodies in this task.

Article 22

Investigation procedure

An accident or incident referred to in Article 19 shall be
1.
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 or close to a
border installation between two Member States the relevant
bodies shall agree which one of them will carry out the inves-
tigation or shall 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.

Investigation bodies from another Member State shall be
invited to participate in an investigation whenever a railway
undertaking established and licensed in that Member State is
involved in the accident or incident.

This paragraph shall not preclude Member States from agreeing
that
investigations in
cooperation in other circumstances.

the relevant bodies should carry out

arrange

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 investigation. The expertise may be obtained
from inside or outside the body, depending on the character of
the accident or incident to be investigated.

the

for

3.
The investigation shall be carried out with as much
openness as possible, so that all parties can be heard and
can share 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 regularly informed of the investigation and its
progress and, as far as practicable, shall be given an oppor-
tunity to submit their opinions and views to the investigation
and be allowed to comment on the information in draft
reports.

Article 23

Reports

1.
An investigation of an accident or incident referred to in
Article 19 shall be the subject of reports in a form appropriate
to the type and seriousness of the accident or incident and the
relevance of the investigation findings. The reports shall state
the objectives of the investigations as referred to in Article
19(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 22(3) and to bodies and parties concerned in other
Member States.

3.
Each year the investigating body shall publish by 30
September at the latest an annual report accounting for the
the safety
investigations carried out
recommendations
taken in
accordance with recommendations issued previously.

in the preceding year,
that were issued and actions

Article 24

Information to be sent to the Agency

1. Within one week after the decision to open an investi-
gation the investigating body shall inform the Agency thereof.
The information shall indicate the date, time and place of the
occurrence, as well as its type and its consequences as regards
fatalities, injuries and material damage.

2.
The investigating body shall send the Agency a copy of
the final report referred to in Article 23(2) and of the annual
report referred to in Article 23(3).

Article 25

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
to other bodies or authorities in the
the recommendation,
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.

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

CHAPTER VI

IMPLEMENTING POWERS

Article 26

Adaptation of Annexes

The Annexes shall be adapted to technical and scientific
progress,
in accordance with the procedure referred to in
Article 27(2).

Article 27

Committee procedure

The Commission shall be assisted by the Committee set

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

2. 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.

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

4.

The Committee shall adopt its Rules of Procedure.

Article 28

Implementing measures

1. Member States may bring any measures concerning the
implementation of
the
Commission. Appropriate decisions
adopted in
accordance with the procedure referred to in Article 27(2).

this Directive to the attention of

shall be

case,

examine

At the request of a Member State or on its own initiative
2.
the Commission shall,
the
in a specific
application and enforcement of provisions concerning safety
certification and safety authorisation, and within two months
of receipt of such a request decide in accordance with the
procedure referred to in Article 27(2) whether the related
measure may continue to be applied. The Commission shall
communicate its decision to the European Parliament,
the
Council and the Member States.

1. Article 8 shall be replaced by the following:

‘Article 8

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

2. In the Annex, Section II shall be deleted.

Article 30

Amendments to Directive 2001/14/EC

Directive 2001/14/EC is hereby amended as follows:

1. The title shall be 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) shall be replaced by the following:

‘(f) arrangements for access in accordance with Article 10
of Directive 91/440/EEC as amended by Directive
2003/. . ./EC of
the
Council of . . . amending Council Directive 91/440/EEC
on the development of the Community's railways (*).

the European Parliament and of

___________
(*) OJ L . . .’

3. Article 32 shall be deleted.

4. In Article 34, paragraph 2 shall be replaced by the

following:

‘2.
At the request of a Member State or on its own
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
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.’

Article 31

Report

CHAPTER VII

GENERAL AND FINAL PROVISIONS

Article 29

Amendments to Directive 95/18/EC

The Commission shall submit to the European Parliament and
to the Council before . . . (*) 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.

Directive 95/18/EC is hereby amended as follows:

(*) Three years after the entry into force of this Directive.

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Article 32

Penalties

to infringements of

The Member States shall
lay down the rules on penalties
the national provisions
applicable
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.

The Member States shall notify those rules to the Commission
by the date specified in Article 33 and shall notify it without
delay of any subsequent amendment affecting them.

When Member States adopt those measures, they shall contain
a reference to this Directive or shall be accompanied by such
reference on the occasion of their official publication. The
methods of making such reference shall be laid down by
Member States.

Article 34

Entry into force

This Directive shall enter into force on the day of its publi-
cation in the Official Journal of the European Union.

Article 35

Addressees

This Directive is addressed to the Member States.

Article 33

Implementation

Done at . . .

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

For the European Parliament

For the Council

The President

The President

(*) 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 relating to activities referred to in 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 at the latest in the next annual
report.

For indicators relating to accidents under heading 1 below, Regulation (EC) No 91/2003 of the European Parliament and
of the Council of 16 December 2002 on rail transport statistics (1) shall be applied 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 rolling stock in motion;

— fires in rolling stock;

— others.

Each accident shall be reported under the type of the primary accident, 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 rolling stock in service.

(1) OJ L 14, 21.1.2003, p. 1. Regulation as last amended by Commission Regulation (EC) No 1192/2003 (OJ L 167, 4.7.2003, p. 13).

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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 damage to property of passengers, staff or third parties – including damage

caused to the environment;

— replacement or repair of damaged rolling stock and railway installations;

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

From the above costs shall be deducted indemnity or compensation recovered or estimated to be 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 relating to technical safety of infrastructure and its implementation

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

operational ATP systems.

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

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

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 18.

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ANNEX II

NOTIFICATION OF NATIONAL SAFETY RULES

National safety rules that are to be notified to the Commission according to the procedure described in Article 8 include:

1. rules concerning existing national safety targets and safety methods;

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

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

4. common operating rules of the railway network that are not yet covered by TSIs, 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, medical fitness 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 by 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.

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 targets of the organisation for the maintenance and enhancement of safety, and plans

and procedures for reaching these targets;

(c) procedures to meet existing, new and altered technical and operational standards or other prescriptive conditions

as laid down

— in TSIs, or

— in national safety rules referred to in Article 8 and Annex II, or

— in other relevant rules, or

— in authority decisions,

and procedures to assure compliance with the standards and other prescriptive conditions throughout the
life-cycle of equipment and operations;

(d) procedures and methods for carrying out risk evaluation and implementing 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 is to 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 alerts 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:

— documentation from the railway undertaking on the TSIs or parts of TSIs 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;

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

— documentation from the railway undertaking on the different types of rolling stock used for the operation, including

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

To avoid duplication of work and to reduce the amount of information only summary documentation should be
submitted concerning elements that comply with TSIs and other requirements of Directives 96/48/EC and 2001/16/EC.

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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 its conse-
quences. 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 the addressees.

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 conduct of the

investigation.

2. The background to the occurrence:

— staff and contractors involved and other parties and witnesses;

— the trains and their composition including the registration numbers of the items of rolling stock involved;

— 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 damage:

— passengers and third parties, staff, including contractors;

— cargo, luggage and other property;

— rolling stock, infrastructure and the environment.

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 the persons):

— railway staff, including contractors;

— other witnesses.

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2. The safety management system:

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

— requirements on staff and how they are enforced;

— routines for internal checks and audits and their results;

— interface between different actors involved with the infrastructure.

3. Rules and regulations:

— relevant Community and national rules and regulations;

— other rules such as operating rules,

local

instructions, staff requirements, maintenance prescriptions and

applicable standards.

4. Functioning of rolling stock and technical installations:

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

— infrastructure;

— communications equipment;

— rolling stock, including registration from automatic data recorders.

5. Documentation on the operating 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 staff involved; [meaning not clear]

— 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 the occurrence, based on the facts established in heading (3).

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2. Discussion:

— analysis of the facts established in heading (3) with the aim of drawing conclusions as to the causes of the

occurrence and the performance of the rescue services.

3. Conclusions:

— direct and immediate causes of the occurrence including contributory factors relating to actions taken by

persons involved or the condition of rolling stock or technical installations;

— underlying causes relating to skills, procedures and maintenance;

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

4. Additional observations:

— deficiencies and shortcomings established 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

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STATEMENT OF THE COUNCIL'S REASONS (1)

(1) See page 3 of this Official Journal.