Corrigendum to Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 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 (Railway Safety Directive) (OJ L 164, 30.4.2004)
Date: 2004-06-21
Institutions: Council of the European Union, European Parliament
Subjects: Community certification, approximation of laws, charges for use of infrastructure, rail transport, transport capacity, transport licence, transport policy, transport safety

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Official Journal of the European Union

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Corrigendum to Directive 2004/49/EC of the European Parliament and of the Council of 29 April 2004 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 (Railway Safety Directive)

(Official Journal of the European Union L 164 of 30 April 2004)

Decision 2004/49/EC should read as follows:

DIRECTIVE 2004/49/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 29 April 2004
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

(Railway Safety Directive)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Having regard to the Treaty establishing the European Commu-
nity, 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 the Committee of the Regions (3),

Acting in accordance with the procedure laid down in Article 251
of the Treaty (4), in the light of the joint text approved by the Con-
ciliation Committee on 23 March 2004,

Whereas:

(1)

In order to pursue efforts to establish a single market for
initiated by Council Directive
rail

transport services,

91/440/EEC of 29 July 1991 on the development of the
Community’s railways (5),
it is necessary to establish a
common regulatory framework for railway safety. Mem-
ber States have until now developed their safety rules and
standards mainly on national lines, based on national tech-
nical and operational concepts. Simultaneously, differences
in principles, approach and culture have made it difficult
to break through the technical barriers and establish inter-
national transport operations.

(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
for the use of railway infrastructure and safety certifica-
tion (7) provide the first steps towards regulation of the
European rail transport market by opening the market for
international rail freight services. However, the provisions
on safety have proved to be insufficient and differences
between safety requirements remain, which affect the opti-
mum functioning of rail transport in the Community. It is
of particular importance to harmonise the content of safety
rules, safety certification of railway undertakings, the tasks
and roles of the safety authorities and the investigation of
accidents.

(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 (OJ C 38 E,
12.2.2004, p. 92), Council Common Position of 26 June 2003OJ
C 270 E, 11.11.2003, p. 25) and Position of the European Parliament
of 23 October 2003 (not yet published in the Official Journal). Legis-
lative Resolution of the European Parliament of 22 April 2004 and
Council Decision of 26 April 2004.

(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).

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

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

(3)

(4)

(5)

(6)

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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 interop-
erability 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.

Safety levels in the Community rail system are generally
high, in particular compared to road transport. It is impor-
tant that safety is at the very least 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 practicable
and taking into account the competitiveness of the rail
transport mode.

(8)

(9)

level and do not deal in detail with the regulation, manage-
ment and supervision of safety. When minimum safety lev-
els of the subsystems are defined by technical specifications
for interoperability (TSIs) it will be increasingly important
to establish safety targets at the system level as well.

Common safety targets (CSTs) and common safety meth-
ods (CSMs) 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.

Information on safety of the railway system is scarce and
not generally publicly available. It is thus necessary to
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 defini-
tions of the CSIs when the first set of CSTs is drafted.

All those operating the railway system, infrastructure man-
agers and railway undertakings, should bear the full
responsibility for the safety of the system, each for their
own part. Whenever it is appropriate, they should cooper-
ate in implementing risk control measures. 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 supervis-
ing the performance of the operators.

The responsibility of infrastructure managers and railway
undertakings for operating the railway system does not
preclude other actors such as manufacturers, maintenance
suppliers, wagon keepers, service providers and procure-
ment entities from assuming responsibility for their prod-
ucts or services in accordance with the provisions of Coun-
cil Directive 96/48/EC of 23 July 1996 on the
interoperability of the trans-European high-speed rail sys-
tem (1) and of Directive 2001/16/EC of the European Par-
liament and of the Council of 19 March 2001 on the
interoperability of the trans-European conventional rail
system (2) or of other relevant Community legislation.

(7)

Requirements on safety of the subsystems of the trans-
European rail networks are laid down in Directive
96/48/EC and Directive 2001/16/EC. However, those
Directives do not define common requirements at system

(10) National safety rules, which are often based on national
technical standards, should gradually be replaced by rules
based on common standards, established by TSIs. The
introduction of new specific national rules which are not
based on such common standards should be kept to a
minimum. New national rules should be in line with Com-
munity legislation and facilitate migration towards a com-
mon 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. In such cases the new draft rule should
be subject to examination by the Commission, which
should adopt a Decision if it appears that the draft rule is
not in conformity with Community legislation or consti-
tutes a means of arbitrary discrimination or a disguised
restriction on rail transport operation between Member
States.

(11) The current situation, in which national safety rules con-
tinue to play a role, should be regarded as a transitional
stage, leading ultimately to a situation in which European
rules will apply.

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

(12)

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

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level. The European Railway Agency established by Regu-
lation (EC) No 881/2004 of the European Parliament and
of the Council (1) is set up to issue recommendations con-
cerning CSTs, CSMs and CSIs and further harmonisation
measures and to monitor the development of railway
safety in the Community.

(17)

Every infrastructure manager has a key responsibility for
the safe design, maintenance and operation of its rail net-
work. In parallel to safety certification of railway undertak-
ings 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.

(13)

(14)

(15)

In carrying out their duties and fulfilling their responsibili-
ties,
infrastructure managers and railway undertakings
should implement a safety management system, fulfilling
Community requirements and containing common ele-
ments. Information on safety and the implementation of
the safety management system should be submitted to the
safety authority in the Member State concerned.

The safety management system should take into account
the fact that Council Directive 89/391/EC of 12 June 1989
on the introduction of measures to encourage improve-
ments in the safety and health of workers at work (2) and
its relevant individual directives are fully applicable to the
protection of the health and safety of workers engaged in
railway transport. The safety management system should
also take account of Council Directive 96/49/EC of 23 July
1996 on the approximation of the laws of the Member
States with regard to the transport of dangerous goods by
rail (3).

To ensure a high level of railway safety and equal condi-
tions for all railway undertakings, they should be subject to
the same safety requirements. The safety certificate should
give evidence that the railway undertaking 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 cer-
tification in each Member State. The ultimate aim should
be to establish a common safety certificate with Commu-
nity validity.

(18) Member States should make efforts to assist applicants
wishing to enter the market as railway undertakings. In
they should provide information and act
particular
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.

(19) Certification of train staff and authorisation of placing in
service of in-use rolling stock for the different national net-
works are often insurmountable barriers to new entrants.
Member States should ensure that facilities for the training
and certification of train staff necessary to meet require-
ments under national rules are available to railway under-
takings applying for a safety certificate. A common proce-
dure should be established for authorisation of placing in
service of in-use rolling stock.

(20) Driving times and rest periods for train drivers and train
staff performing safety tasks have an important impact on
the safety level of the rail system. These aspects fall under
Articles 137 to 139 of the Treaty and are already subject
to negotiations between the social partners under the Sec-
toral Dialogue Committee set up in accordance with Com-
mission Decision 98/500/EC (4).

(16)

In addition to the safety requirements laid down in the
safety certificate, licensed railway undertakings must com-
ply with national requirements, compatible with Commu-
nity law and applied in a non-discriminatory manner, relat-
ing to health, safety and social conditions, including legal
provisions relating to driving time, and the rights of work-
ers and consumers as provided for in Articles 6 and 12 of
Directive 95/18/EC.

(21) The development of a safe Community railway system
requires the establishment of harmonised conditions for
delivering the appropriate licences to train drivers and
on-board accompanying staff performing safety tasks, for
which the Commission has announced its intention to pro-
pose further legislation in the near future. As far as other
staff charged with safety-critical tasks are concerned, their
qualifications are already being specified under Directives
96/48/EC and 2001/16/EC.

(1) See page 3 of this Official Journal.
(2) OJ L 183, 29.6.1989, p. 1.
(3) OJ L 235, 17.9.1996, p. 25. Directive as last amended by Commis-

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

(4) Commission Decision 98/500/EC of 20 May 1998 on the establish-
ment of Sectoral Dialogue Committees promoting the Dialogue
between the social partners at European level (OJ L 225, 12.8.1998,
p. 27).

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(22) As part of the new common regulatory framework for rail-
way safety, national authorities should be set up in all
Member States to regulate and supervise railway safety. To
facilitate cooperation between them at Community level,
they should be given the same minimum tasks and respon-
sibilities. The national 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 con-
cerning safety certification of railway undertakings operat-
ing international transport services.

(23)

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 rail-
way system. All such accidents should, therefore, be inves-
tigated from a safety perspective to avoid recurrence and
the results of the investigations should be made public.
Other accidents and incidents could be significant precur-
sors to serious accidents and should also be subject to
safety investigations, when it is necessary.

(24) A safety investigation should be kept separate from the
judicial inquiry into the same incident and be granted
access to evidence and witnesses. It should be carried out
by a permanent body that is independent of the actors of
the rail sector. The body should function in a way which
avoids any conflict of interest and any possible involve-
ment in the causes of the occurrences that are investigated;
in particular, its functional independence should not be
affected if it is closely linked to the national safety author-
ity or regulator of railways for organisational and legal
structure purposes. Its investigations should be carried out
under as much openness as possible. For each occurrence
the investigation body should establish the relevant inves-
tigation group with necessary expertise to find the imme-
diate causes and underlying causes.

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

(26)

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 estab-
lish 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 rea-
son of the scale of the action, be better achieved at Com-
munity 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.

(27) 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 for the exercise of implementing powers con-
ferred on the Commission (1).

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

(29)

The Member States should lay down rules on penalties
applicable to infringements of the provisions of this Direc-
tive and ensure that they are implemented. Those penal-
ties must be effective, proportionate and dissuasive,

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 and
improved access to the market for rail transport services by:

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

(b) defining responsibilities between the actors;

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

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(c) developing common safety targets and common safety meth-
ods with a view to greater harmonisation of national rules;

(c)

(d)

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

‘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 under-
taking must ensure traction; this also includes undertakings
which provide traction only;

(e) defining common principles for the management, regulation

(d)

and supervision of railway safety.

Article 2

Scope

‘technical specification for interoperability (TSI)’ means the
specifications by which each subsystem or part of a sub-
system is covered in order to meet the essential requirements
and ensure the interoperability of the trans-European high-
speed and conventional
as defined in
rail
Directive 96/48/EC and Directive 2001/16/EC;

systems

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

(e)

‘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 speed rail sys-
tem, long railway tunnels or lines solely used for freight
transport) and by the system as a whole, expressed in risk
acceptance criteria;

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

(f)

(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
use by the infrastructure owner for its own freight operations.

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

(g)

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

Article 3

Definitions

(h)

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

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

(i)

(a)

(b)

‘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 maintain-
ing railway infrastructure, or a part thereof, as defined in
Article 3 of Directive 91/440/EEC, which may also include
the management of infrastructure control and safety systems.
The functions of the infrastructure manager on a network or
part of a network may be allocated to different bodies or
undertakings;

‘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)

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

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(l)

‘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 damage to roll-
ing stock, the infrastructure or the environment, and any
other similar accident with an obvious impact on railway
‘extensive
safety regulation or the management of safety;
damage’ means damage that can immediately be assessed by
the investigating body to cost at least EUR 2 million in total;

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

(n)

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

(o)

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

(p)

‘Agency’ means the European Railway Agency, the Commu-
nity agency for railway safety and interoperability;

(q)

(r)

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

‘interoperability constituents’ means any elementary compo-
nent, group of components, subassembly or complete assem-
bly of equipment incorporated or intended to be incorpo-
rated into a subsystem upon which the interoperability of the
high-speed or conventional rail system depends directly or
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.

CHAPTER II

DEVELOPMENT AND MANAGEMENT OF SAFETY

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

2. Member States shall ensure that measures to develop and
improve railway safety take account of the need for a system-
based approach.

3. Member States shall ensure that the responsibility for the
safe operation of the railway system and the control of risks asso-
ciated with it is laid upon the infrastructure managers and rail-
way 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 estab-
lish safety management systems in accordance with this Directive.

Without prejudice to civil liability in accordance with the legal
requirements of the Member States, 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, the workers
concerned and third parties.

4.
This shall be without prejudice to the responsibility of each
manufacturer, maintenance supplier, wagon keeper, service pro-
vider and procurement entity to ensure that rolling stock, instal-
lations, accessories and equipment and services supplied by them
comply with the requirements and the conditions for use speci-
fied, so that they can be safely put into operation by the railway
undertaking and/or infrastructure manager.

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 devel-
opment 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 2006; they shall be
reported on in the annual report the following year.

Article 4

Development and improvement of railway safety

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

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

2.
Before 30 April 2009 Annex I shall be revised in accordance
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.

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Article 6

Common safety methods

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

A first set of CSMs, covering at least the methods described
1.
in paragraph 3(a), shall be adopted by the Commission, before
30 April 2008, in accordance with the procedure referred to in
Article 27(2). They shall be published in the Official Journal of the
European Union.

A second set of CSMs, covering the remaining part of the meth-
ods as described in paragraph 3, shall be adopted by the Commis-
sion before 30 April 2010, 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 safety
certificates and safety authorisations issued in 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 main-
tained in accordance with the relevant essential requirements.

4.
The CSMs shall be revised at regular intervals, in accordance
with the procedure referred to in Article 27(2), taking into account
the experience gained from their application and the global devel-
opment of railway safety and the obligations on Member States
laid down in Article 4(1).

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 shall be developed, adopted and revised follow-

1.
ing the procedures laid down in this Article.

3.
The first set of draft CSTs shall be based on an examination
of existing targets and safety performance in the Member States
and shall ensure that the current safety performance of the rail
system is not reduced in any Member State. They shall be adopted
by the Commission, before 30 April 2009, in accordance with the
procedure referred to in Article 27(2), and shall be published in
the Official Journal of the European Union.

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
30 April 2011, 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 obliga-
tions 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 accep-
tance of risk. They shall contain a timetable for gradual imple-
mentation, where necessary, in particular to take account of the
nature and extent of investment required to apply them. They
shall analyse the possible impact on TSI for the subsystems and
contain, where appropriate, consequential proposals for amend-
ments to the TSI.

4.
The CSTs shall define the safety levels that must at least be
reached by different parts of the railway system and by the sys-
tem 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,
individual risks relating to unauthorised persons on railway
premises;

(b)

societal risks.

5.
The CSTs shall be revised at regular intervals, in accordance
with the procedure referred to in Article 27(2), taking into account
the global development of railway safety.

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 time-
tables attached to them. They shall notify these rules to the Com-
mission in accordance with Article 8(3).

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Article 8

National safety rules

In application of this Directive, Member States shall estab-
1.
lish binding national safety rules and shall ensure that they are
published and made available to all infrastructure managers, rail-
way undertakings, applicants for a safety certificate and applicants
for a safety authorisation in clear language that can be understood
by the parties concerned.

2.
Before 30 April 2005 Member States shall notify the Com-
mission 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 princi-
pal content of the rules with references to the legal texts, on the
form of legislation and on which body or organisation is respon-
sible for its publication.

3.
Not later than four years after the entry into force of this
Directive, the Agency shall evaluate the way in which national
safety rules are published and made available in accordance with
paragraph 1. It shall also make appropriate recommendations to
the Commission for the publication of such rules in order to
make the relevant information more easily accessible.

4. 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.

5.
In order to keep the introduction of new specific national
rules to a minimum and thus prevent further barriers from being
created, and with a view to the gradual harmonisation of safety
rules, the Commission shall monitor the introduction of new
national rules by Member States.

6.
If, after the adoption of CSTs, a Member State intends to
introduce a new national safety rule which requires a higher safety
level than the CSTs, or if a Member State intends to introduce a
new national safety rule which may affect operations of railway
undertakings from other Member States on the territory of the
Member State concerned, the Member State shall consult all inter-
ested parties in due time and the procedure in paragraph 7 shall
apply.

If the Commission has serious doubts as to the compatibility of
the draft safety rule with the CSMs or with achieving at least the
CSTs, or considers that it constitutes a means of arbitrary dis-
crimination or a disguised restriction on rail transport operations
between Member States, the Commission shall
immediately
inform the Member State concerned, which shall suspend the
adoption, entry into force or implementation of the rule until a
Decision is adopted, within a period of six months, in accordance
with the procedure referred to in Article 27(2).

Article 9

Safety management systems

1.
Infrastructure managers and railway undertakings shall
establish their safety management systems to ensure that the rail-
way 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 rel-
evant parts of CSMs are applied.

2.
The safety management system shall meet 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 liability
rules, the safety management system shall also take into account,
where appropriate and reasonable, the risks arising as a result of
activities by other parties

3.
The safety management system of any infrastructure man-
ager 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 accordance with TSIs
and national safety rules and with conditions laid down in their
safety certificate. It 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.

4.
Each year all infrastructure managers and railway undertak-
ings shall submit to the safety authority before 30 June an annual
safety report concerning the preceding calendar year. The safety
report shall contain:

The Member State shall submit the draft safety rule to
7.
the Commission for examination, stating the reasons for intro-
ducing it.

(a)

information on how the organisation’s corporate safety tar-
gets are met and the results of safety plans;

If the Commission finds that the draft safety rule is incompatible
with the CSMs or with achieving at least the CSTs, or that it con-
stitutes a means of arbitrary discrimination or a disguised restric-
tion on rail transport operations between Member States, a Deci-
sion, addressed to the Member State concerned, shall be adopted
in accordance with the procedure referred to in Article 27(2).

(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;

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

The safety certificate shall be renewed upon application by
5.
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.

CHAPTER III

SAFETY CERTIFICATION AND AUTHORISATION

Article 10

Safety certificates

1.
In order to be granted access to the railway infrastructure, a
railway undertaking must hold a safety certificate as provided for
in this Chapter. The safety certificate may cover the whole rail-
way 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 undertak-
ing’s safety management system as described in Article 9 and
Annex III,

and

(b) certification confirming acceptance of the provisions adopted
by the railway undertaking to meet specific requirements
necessary for the safe operation of the relevant network. The
requirements may include application of TSIs and national
safety rules, acceptance of staff’s certificates and authorisa-
tion to place in service the rolling stock used by the railway
undertaking. The certification shall be based on documenta-
tion submitted by the railway undertaking as described in
Annex IV.

The safety authority in the Member State where the railway
3.
undertaking first establishes its operation shall grant the certifica-
tion 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.

4.
The safety authority in the Member State in which the rail-
way undertaking is planning to operate additional rail transport
services shall grant the additional national certification necessary
in accordance with paragraph 2(b).

The holder of the safety certificate shall without delay inform the
competent safety authority of all major changes in the conditions
of the relevant part 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 relevant part of the
safety certificate be revised following substantial changes in the
safety regulatory framework.

If the safety authority finds that the holder of 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 para-
graph 4 shall promptly inform the safety authority that granted
the certification under paragraph 2(a) of its decision.

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.

6.
The safety authority shall inform the Agency within one
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.

7.
Before 30 April 2009 the Agency shall evaluate the devel-
opment of safety certification and submit a report to the Com-
mission with recommendations on a strategy for migration
towards a single Community safety certificate. The Commission
shall take appropriate action following the recommendation.

Article 11

Safety authorisation of infrastructure managers

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

The safety authorisation shall comprise:

(a) authorisation confirming acceptance of the infrastructure
manager’s safety management system as described in
Article 9 and Annex III,

and

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

An application guidance document describing and explain-
3.
ing 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.

2.
The safety authorisation shall be renewed upon application
by the infrastructure manager at intervals not 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 author-
ity of all such changes.

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

Article 13

Access to training facilities

1. Member States shall ensure that railway undertakings apply-
ing for a safety certificate have fair and non-discriminatory access
to training facilities for train drivers and staff accompanying the
trains, whenever such training is necessary for the fulfilment of
requirements to obtain the safety certificate.

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

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.

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 address of the
infrastructure manager, the issue date, the scope and validity of
the safety authorisation and, in case of revocation, the reasons for
its decision.

Article 12

Application requirements relating to safety certification
and safety authorisation

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

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

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.

Member States shall also ensure that infrastructure managers and
their staff performing vital safety tasks have fair and non-
discriminatory access to training facilities.

If the training services do not include examinations and granting
of certificates, Member States shall ensure that railway undertak-
ings have access to such certification if it is a requirement of the
safety certificate.

The safety authority shall ensure that the provision of training ser-
vices 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 ser-
vices of one single railway undertaking or the infrastructure man-
ager, Member States shall ensure that they are made available to
other
and non-
discriminatory price, which is cost-related and may include a
profit margin.

railway undertakings

reasonable

at

a

3. When recruiting new train drivers, staff on board trains and
staff performing vital safety tasks, railway undertakings must be
able to take into account any training, qualifications and experi-
ence acquired previously from other railway undertakings. For
this purpose, such members of staff shall be entitled to have access
to, obtain copies and communicate all documents attesting to
their training, qualifications and experience.

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In every case each railway undertaking and each infrastruc-
4.
ture 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.

Article 15

Harmonisation of safety certificates

Article 14

Placing in service of in-use rolling stock

1.
Rolling stock that has been authorised to be placed in ser-
vice 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 States in accordance
with this Article, if an authorisation is required by the latter Mem-
ber State or States.

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 appli-
cable,
the
technical modifications undertaken after
authorisation;

(b)

relevant technical data, maintenance programme and opera-
tional 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
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 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 net-
work be undertaken to verify compliance with the restrictive
parameters referred to in paragraph 2(c) and shall in that case pre-
scribe their range and content.

Before 30 April 2009 decisions on common harmonised
1.
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).

The Agency shall

2.
recommend common harmonised
requirements and a common format for application guidance
documents under a mandate which shall be adopted in accor-
dance with the procedure referred to in Article 27(2).

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 fol-

2.
lowing tasks:

(a) authorising the bringing into service of the structural sub-
systems constituting the trans-European high-speed rail sys-
tem in accordance with Article 14 of Directive 96/48/EC and
checking that they are operated and maintained in accor-
dance with the relevant essential requirements;

(b) authorising the bringing into service of the structural sub-
systems constituting the trans-European conventional rail
system,
of
Directive 2001/16/EC and checking that they are operated
and maintained in accordance with the relevant essential
requirements;

accordance

Article

with

14

in

(c)

supervising that the interoperability constituents are in com-
pliance 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;

The safety authority shall adopt its decision on an applica-
4.
tion 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 certifi-
cate of authorisation may contain conditions for use and other
restrictions.

(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 them are met and
that infrastructure managers and railway undertakings are
operating under the requirements of Community or national
law;

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

The Agency shall support the safety authorities in these tasks.

(g)

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

Article 18

Annual report

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

3.
The tasks referred to in paragraph 2 may not be transferred
or subcontracted to any infrastructure manager, railway under-
taking or procurement entity.

(a)

the development of railway safety, including an aggregation
at Member State level of the CSIs laid down in Annex I;

Article 17

Decision-making principles

(b)

important changes in legislation and regulation concerning
railway safety;

(c)

the development of
authorisation;

safety

certification and safety

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

(d)

results of and experience relating to the supervision of infra-
structure managers and railway undertakings.

It shall promptly respond to requests and applications and com-
municate 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 assis-
tance 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 the national regulatory framework,
the safety authority shall consult all persons involved and inter-
ested parties, including infrastructure managers, railway undertak-
ings, manufacturers and maintenance providers, users and staff
representatives.

The safety authority shall be free to carry out all inspections
2.
and investigations that are needed for accomplishment of its tasks
and it shall be granted access to all relevant documents and to pre-
mises, installations and equipment of infrastructure managers and
railway undertakings.

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. Their coopera-
tion shall in particular aim at facilitating and coordinating the
safety certification of railway undertakings which have been
granted international train paths in accordance with the proce-
dure laid down in Article 15 of Directive 2001/14/EC.

CHAPTER V

ACCIDENT AND INCIDENT INVESTIGATION

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 seri-
ous accidents on the railway system, the objective of which is pos-
sible 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 inci-
dents which under slightly different conditions might have led to
serious accidents, including technical failures of the structural
subsystems or of
interoperability constituents of the trans-
European high-speed or conventional rail systems.

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:

(a)

the seriousness of the accident or incident;

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

evant to the system as a whole;

(c)

its impact on railway safety on a Community level,

and

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(d)

requests from infrastructure managers, railway undertakings,
the safety authority or the Member States.

Article 21

Investigating body

3.
The extent of investigations and the procedure to be fol-
lowed in carrying out such investigations shall be determined by
the investigating body, taking into account the principles and the
objectives of Articles 20 and 22 and depending on the lessons it
expects to draw from the accident or incident for the improve-
ment of safety.

The investigation shall in no case be concerned with appor-

4.
tioning blame or liability.

Article 20

Status of investigation

1. Member States shall define, in the framework of their respec-
tive 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 authori-
ties responsible for the judicial inquiry, the investigators shall, as
soon as possible, be given:

(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;

1.
Each Member State shall ensure that investigations of acci-
dents and incidents referred to in Article 19 are conducted by a
permanent body, which shall comprise at least one investigator
able to perform the function of investigator-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 infra-
structure 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 author-
ity and from any regulator of railways.

2.
The investigating body shall perform its tasks independently
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
independence.

3. Member States shall make provision that railway undertak-
ings, infrastructure managers and, where appropriate, the safety
authority, are obliged immediately to report accidents and inci-
dents 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 acci-
dent or incident.

(b)

the right to an immediate listing of evidence and controlled
removal of wreckage, infrastructure installations or compo-
nents for examination or analysis purposes;

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

(c) access to and use of the contents of on-board recorders and
equipment for recording of verbal messages and registration
of the operation of the signalling and traffic control system;

(d) access to the results of examination of the bodies of victims;

5.
If necessary the investigating body may request the assis-
tance of investigating bodies from other Member States or from
the Agency to supply expertise or to carry out technical inspec-
tions, analyses or evaluations.

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

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

(f)

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

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

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

The investigation shall be accomplished independently of

3.
any judicial inquiry.

The Agency shall support the investigating bodies in this task.

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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 Mem-
ber State it occurred or if it occurred on or close to a border instal-
lation between two Member States the relevant bodies shall agree
which one of them will carry out the investigation 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 the relevant bodies should carry out investigations in coop-
eration in other circumstances.

For each accident or incident the body responsible for the
2.
investigation shall arrange for the appropriate means, comprising
the necessary operational and technical expertise to carry out the
investigation. The expertise may be obtained from inside or out-
side the body, depending on the character of the accident or inci-
dent to be investigated.

3.
The investigation shall be carried out with as much open-
ness as possible, so that all parties can be heard and can share the
results. The relevant infrastructure manager and railway under-
takings, 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 prac-
ticable, shall be given an opportunity to submit their opinions and
views to the investigation and be allowed to comment on the
information in draft reports.

The investigating body shall make public the final report in
2.
the shortest possible time and normally not later than 12 months
after the date of the occurrence. The report shall, as close as pos-
sible, follow the reporting structure laid down in Annex V. The
report, including the safety recommendations, shall be commu-
nicated 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 Sep-
tember at the latest an annual report accounting for the investi-
gations carried out in the preceding year, the safety recommen-
dations that were issued and actions taken in accordance with
recommendations issued previously.

Article 24

Information to be sent to the Agency

1. Within one week after the decision to open an investigation
the investigating body shall inform the Agency thereof. The infor-
mation shall indicate the date, time and place of the occurrence,
as well as its type and its consequences as regards fatalities, inju-
ries 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.

2.
Recommendations shall be addressed to the safety author-
ity and, where needed by reason of the character of the recom-
mendation, to other bodies or authorities in the Member State or
to other Member States. Member States and their safety authori-
ties shall take the necessary measures to ensure that the safety rec-
ommendations issued by the investigating bodies are duly taken
into consideration, and, where appropriate, acted upon.

4.
The investigating body shall conclude its examinations at
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.

3.
The safety authority and other authorities or bodies or,
when appropriate, other Member States to which recommenda-
tions 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.

Article 23

Reports

An investigation of an accident or incident referred to in
1.
Article 19 shall be the subject of reports in a form appropriate to
the type and seriousness of the accident or incident and the rel-
evance 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.

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).

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Article 27

Committee procedure

Article 30

Amendments to Directive 2001/14/EC

The Commission shall be assisted by the Committee set up

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

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

2. Where reference is made to this paragraph, Articles 5 and 7
of Decision 1999/468/EC shall apply, having regard to the pro-
visions 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 pro-
visions 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 this Directive to the attention of the Commis-
sion. Appropriate decisions shall be adopted in accordance with
the procedure referred to in Article 27(2).

At the request of a Member State or on its own initiative the
2.
Commission shall, in a specific case, examine the 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.

CHAPTER VII

GENERAL AND FINAL PROVISIONS

Article 29

Amendments to Directive 95/18/EC

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

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 knowl-
edge and/or experience necessary to exercise safe and reliable
operational control and supervision of the type of operations
specified in the licence.’

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
Council Directive 91/440/EEC of 29 July 1991 on the
development of the Community’s railways(*) as amended
by Directive 2004/51/EC of the European Parliament
and of the Council of 30 April 2004 amending Council
Directive 91/440/EEC on the development of the Com-
munity’s railways (**).

(*) OJ L 237, 24.8.1991, p. 25.
(**) OJ L 164, 30.4.2004, p. 164.’

3. Article 32 shall be deleted,

4.

in Article 34, paragraph 2 shall be replaced by the following:

At the request of a Member State or on its own initia-
‘2.
tive the Commission shall, in a specific case, examine the
application and enforcement of provisions concerning charg-
ing, 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 and further Community action

The Commission shall submit to the European Parliament and to
the Council before 30 April 2007 and every five years thereafter
a report on the implementation of this Directive.

2.

in the Annex, Section II shall be deleted.

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

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Article 32

Penalties

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

The Member States shall lay down the rules on penalties appli-
cable to infringements of the national provisions adopted pursu-
ant to this Directive and shall take all measures necessary to
ensure that they are implemented. The penalties provided for
must be
effective, proportionate, non-discriminatory 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.

Article 33

Implementation

Article 34

Entry into force

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

Article 35

Addressees

This Directive is addressed to the Member States.

Done at Strasbourg, 29 April 2004.

Member States shall bring into force the laws, regulations and
administrative provisions necessary to comply with this Directive
by 30 April 2006 at the latest. They shall forthwith inform the
Commission thereof.

For the European Parliament
The President
P. COX

For the Council
The President
M. McDOWELL

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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, with the exception of suicides,

— suicides,

— 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.

(1) OJ L 14, 21.1.2003, p. 1.

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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.

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 insur-
ance 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 conse-

quence 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 opera-

tional 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.

2.

3.

4.

5.

6.

rules concerning existing national safety targets and safety methods;

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

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;

common operating rules of the railway network that are not yet covered by TSIs, including rules relating to the sig-
nalling and traffic management system;

rules laying down requirements on additional internal operating rules (company rules) that must be established by infra-
structure managers and railway undertakings;

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)

(c)

qualitative and quantitative targets of the organisation for the maintenance and enhancement of safety, and plans
and procedures for reaching these targets;

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)

(f)

provision of programmes for training of staff and systems to ensure that the staff’s competence is maintained and
tasks carried out accordingly;

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 con-

figuration control of vital safety information;

(h) procedures to ensure that accidents, incidents, near misses and other dangerous occurrences are reported, investi-

gated 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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ANNEX IV

DECLARATIONS FOR NETWORK SPECIFIC PART OF SAFETY CERTIFICATE

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 man-
agement system,

— documentation from the railway undertaking on the different categories of staff employed or contracted for the opera-

tion, 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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ANNEX V

PRINCIPAL CONTENT OF ACCIDENT AND INCIDENT INVESTIGATION REPORT

1. Summary

The summary shall contain a short description of the occurrence, when and where it took place and its consequences. 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 appli-

cable 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,

— medical and personal circumstances with influence on the occurrence, including existence of physical or psy-

chological 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.

2. Discussion:

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

rence and the performance of the rescue services.

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3.

Conclusions:

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

sons 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