Proposal for a Regulation of the European Parliament and of the Council amending Regulation (EC) No 881/2004 establishing a European Railway Agency
Date: 2006-12-13
Institutions: European Commission
Subjects: European Union Agency for Railways, mutual recognition principle, rail transport, technical standard, trans-European network, transport safety, vehicle on rails

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 13.12.2006 
COM(2006) 785 final 

2006/0274 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EC) No 881/2004 establishing a European Railway Agency 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1)  CONTEXT OF THE PROPOSAL 

110 

•  Grounds for and objectives of the proposal 

At  present,  the  national  procedures  for  the  approval  of  locomotives  are  regarded  as 
among  the  most  serious  barriers  to  the  creation  of  new  railway  undertakings  in  the 
freight  sector  and  as  a  major  stumbling  block  affecting  the  interoperability  of  the 
European rail system. As no Member State has the power to determine unilaterally that 
the operating authorisation it has issued will be valid on the territory of other Member 
States,  a  Community  initiative  is  needed  to  harmonise  and  simplify  the  national 
procedures  and  to  have  more  systematic  recourse  to  the  principle  of  mutual 
recognition.  

This  extension  will  entail  amending  Regulation  (EC)  No  881/2004  establishing  the 
European  Railway  Agency  (hereinafter  referred  to  as  the  “Agency”),  and  the 
Interoperability  Directives  (96/48/EC,  2001/16/EC,  2004/50/EC)  and  the  Railway 
Safety Directive (2004/49/EC). 

120 

•  General context 

This proposal is part of a wider initiative aimed at bringing about improvements to the 
technical  part  of  the  rail  regulatory  framework,  namely  the  Rail  Interoperability 
Directives, the Railway Safety Directive and the Regulation establishing the Agency.  

Firstly, one of the crucial aspects that still has to be improved in order to facilitate the 
free  movement  of  trains  concerns  the  procedure  for  the  approval  of  locomotives. 
According to the manufacturers and rail undertakings, these procedures are often very 
long drawn-out and highly expensive; furthermore, in their view, certain demands on 
the part of the competent authorities would be hard to justify even on purely technical 
grounds.  

Secondly, under the legislation simplification programme, the Commission intends to 
consolidate and merge the Rail Interoperability Directives.  

Thirdly,  drawing  on  10  years’  experience  in  implementing  the  Interoperability 
Directives,  the  Commission  has  a  duty  to  propose  a  number  of  improvements  to  the 
technical part of the regulatory framework.  

This proposal should be seen in conjunction with the proposals for merging/recasting 
the Interoperability Directives and for amending the Railway Safety Directive. It also 
proposes amendments to Regulation (EC) No 881/2004 establishing the Agency.  

130 

•  Existing provisions in the area of the proposal 

The  procedure  for  bringing  railway  rolling  stock  into  service  is  the  subject  of 
Article 14  of  the  Rail  Interoperability  Directives  and  of  Article  14  of  the  Railway 
Safety  Directive.  The  notification  of  national  rules  is  the  subject  of  Article  16  of  the 
Rail Interoperability Directives and of Article 8 of the Railway Safety Directive. The 
Agency is subject to the provisions of the Regulation which established it and which is 

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to be amended.  

140 

•  Consistency with other policies and objectives of the Union 

This initiative will help to make rail transport more competitive. By reducing transport 
chain costs it will bolster the competitiveness of EU industry as a whole. A dynamic 
rail sector will also consolidate the European rail industry's position as a world leader, 
while at the same time safeguarding employment in the sector. A more competitive rail 
transport sector will also help the European Union to fulfil its basic commitments with 
regard to sustainable development and the struggle against climate change.  

Consequently, this initiative forms part of the revised strategy for growth and jobs.  

2)  CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of interested parties 

211 

Consultation methods, main sectors targeted and general profile of respondents 

This  initiative  came  about  in  response  to  strong  pressure  from  the  interested  parties 
themselves. The first signs of the difficulties in question became apparent in the course 
of  a  safety  certification  study  carried  out  in  2004.  Following  this  study,  the 
Commission set up a Working Party which presented its recommendations at the end of 
2005.  In  April  2006  the  Commission  drew  up  a  consultation  document  identifying  a 
number of options and presented it at a workshop to all the parties concerned (national 
authorities  in  charge  of  rail  safety,  the  industry,  operators,  infrastructure  managers, 
European standardisation bodies, etc.). The written positions of all of these parties were 
gathered  together  and  examined  as  part  of  an  impact  assessment  study  conducted  in 
accordance with the standards in force.  

212 

Summary of responses and how they have been taken into account 

Since  the  initiative  was  actually  requested  by  stakeholders  in  the  sector,  all  the 
responses  were  in  favour  of  a  Commission  initiative.  Where  they  differed  was  in 
respect  of  the  positions  they  took  with  regard  to  the  various  options.  The  impact 
assessment  sets  out  the  various  options  and  the  positions  of  the  various  players  in 
relation  to  these  options.  The  Commission  has  taken  account  of  these  differences  of 
opinion with a view to drawing up its proposal, which is in two parts: on the one hand, 
to  embark  on  the  work  that  can  be  undertaken  immediately,  without  waiting  for  the 
entry into force of new legislation; on the other, to amend the legislation so as to ensure 
a  more  secure  legal  framework  that  confers  rights  and  responsibilities  on  the  parties 
during the procedure for approving the placing into service of rolling stock.  

•  Collection and use of expertise 

221 

Scientific / expertise domains concerned 

National procedures for the approval of railway rolling stock, national technical and/or 
safety rules, costs and deadlines associated with these procedures, etc. 

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Methodology used 

Commission Guidelines set out in SEC(2005) 791 of 15 June 2005, updated in 2006. 

223 

Main organisations / experts consulted 

The  expertise  of  the  European  Railway  Agency  was  drawn  on  with  a  view  to 
evaluating the different positions of the interested parties in the sector and to analysing 
the impact of the various options.  

2249 

Summary of advice received and used 

The  existence  of  potentially  serious  risks  with  irreversible  consequences  was  not 
mentioned. 

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230 

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See impact assessment. 

Means used to make the expert advice publicly available 

The impact assessment has been published on the internet. 

•  Impact assessment 

Reference  scenario:  action  restricted  to  applying  the  existing  legislation  and  to 
intervening only in response to complaints.  

Non-regulatory  options:  publication  of  the  recommendations  of  the  Working  Party 
regarding the cross-acceptance of existing rolling stock; request to the Member States 
to  apply  these  recommendations;  request  to  the  Agency  to  classify  the  national  rules 
and  to  identify  those  that  are  equivalent;  request  to  the  Agency  to  assume  a 
consultative or appeal role in the national entry-into-service procedures; speeding-up of 
the development and revision of the European standards; verification of the principle of 
mutual recognition and, if necessary, launching of the infringement procedures.  

Regulatory  options:  amendment  of  the  legislation  with  a  view  to:  removing  the 
obligation to obtain authorisation in each Member State; clarifying the procedure to be 
applied  in  respect  of  existing  rolling  stock;  enabling  the  Agency  to  issue  entry-into-
service  authorisations;  enabling  the  Agency  to  play  a  coordinating,  advisory  and/or 
appeal role; enabling the bodies responsible for conformity verification to issue entry-
into-service  authorisations;  enabling  the  infrastructure  managers  to  issue  entry-into-
service authorisations.  

The Commission has carried out an impact assessment as provided for in its Legislative 
and 
at 
http://ec.europa.eu/transport/rail/index_en.html. 

Programme. 

report 

found 

Work 

The 

can 

be 

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3)  LEGAL ELEMENTS OF THE PROPOSAL 

305 

•  Summary of the proposed action 

The proposed solution involves drawing up a procedure at Community level covering 
two aspects. 

To begin with, the Agency is to be asked to identify the different national procedures 
and technical rules in force, and to draw up and update a list of requirements that can 
be verified only once. At the same time, the Member States are being asked, pending 
the  amendment  of  the  legislation,  to  apply  on  a  voluntary  basis  those  Working  Party 
recommendations already published by the Commission. 

Secondly,  recourse  to  the  principle  of  mutual  recognition  of  entry-into-service 
authorisations already issued by Member States is to be made compulsory. In keeping 
with this principle, rolling stock in respect of which an entry-into-service authorisation 
has  already  been  issued  in  one  Member  State  will  not,  in  appropriate  cases,  need  to 
undergo further certification in another Member State except with regard to additional 
national  requirements  attributable,  for  instance,  to  the  local  system  specifications.  At 
the same time, however, the Agency Regulation must be updated to include any new 
tasks with which the Agency has been entrusted.  

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•  Legal basis 

Article 71 

•  Subsidiarity principle 

The principle of subsidiarity applies insofar as the proposal does not concern an area in 
which the Community has exclusive competence. 

The objectives of the proposal may not be achieved to a sufficient extent by the action 
of Member States for the following reasons: 

This initiative seeks to deal with the problem of rolling stock authorised for entry into 
service in one Member State but not automatically accepted in another Member State. 
There is a transnational aspect to this problem that cannot be addressed by a national 
initiative,  since  no  Member  State  can  take  it  upon  itself  to  authorise  the  entry  into 
service of rolling stock in the territory of another Member State.  

The  aims  of  the  proposal  may  be  better  achieved  through  Community  action  for  the 
following reasons: 

The  principle  of  territoriality  with  regard  to  entry-into-service  authorisations  is 
enshrined in the Railway Interoperability and Railway Safety Directives, and no action 
taken  solely  at  national  level  would  be  capable  of  achieving  the  objective  pursued 
under the present proposal. The national safety authorities have been brought together 
into a network of which the Agency is the driving force. Therefore, the Agency is the 
most  appropriate  Community  body  to  take  forward  the  measures  set  out  in  this 
proposal.  

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325 

327 

The  establishment  of  a  reference  table  containing  the  national  rules,  the  adoption  of 
such  a  table  by  the  Commission,  and  the  future  decisions  taken  by  the  Commission 
establishing  the  equivalence  of  certain  national  rules  represent  the  most  revealing 
indicators  when  it  comes  to  demonstrating  whether  the  objectives  pursued  under  the 
present proposal have been achieved.  

By amending Article 14 of the Railway Safety Directive it is possible to specify which 
part of an authorisation must be mutually recognised and which part is strictly linked to 
the  compatibility  of  the  vehicle  in  question  with  the  infrastructure  referred  to.  The 
option  whereby  the  decision  to  authorise  entry  into  service  would  be  centralised  and 
placed in the hands of the Agency has not been taken up; this serves to illustrate that 
the proposal  has remained  focused solely on what the Member States cannot  achieve 
through national initiatives. 

The proposal therefore complies with the subsidiarity principle. 

•  Proportionality principle 

The proposal complies with the principle of proportionality for the following reasons: 

331 

This proposal forms part of a package consisting of: 

–  a Communication 

–  a  proposal  on  the  amendment  of  the  Regulation  establishing  a  European  Railway 

Agency (EC No 881/2004) 

–  a  proposal  on  the  merging/recasting  of  the  Railway  Interoperability  Directives 

(96/48/EC and 2001/16/EC) 

–  a proposal on the amendment of the Railway Safety Directive (2004/49/EC). 

The  proposals  have  been  drafted  in  such  a  way  as  to  minimise  the  number  of 
amendments required.  

This  proposal  has  virtually  no  impact  whatsoever  on  the  Commission's  operating 
budget.  As  far  as  the  Agency  is  concerned,  this  is  less  than  €2.2 million  for  the  first 
five  years,  falling  subsequently  to  less  than  €0.5 million.  As  for  the  competent 
authorities and the industry itself, the expected benefits outweigh all else, given that the 
main aim is to simplify the procedure for authorising entry into service by eliminating 
redundant verifications and reducing regulation.  

•  Choice of instruments 

Proposed instruments: regulation. 

Other means would not have been adequate for the following reasons: 

A Regulation needs to be amended. 

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401 

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517 

560 

570 

4)  BUDGETARY IMPLICATION 

As far as the Agency is concerned, this is less than €2.2 million for the first five years, 
falling  subsequently  to  less  than  €0.5  million  (see  the  financial  statement  attached  to 
the proposal). 

5)  ADDITIONAL INFORMATION 

•  Simplification 

The proposal introduces simplified administrative procedures applicable to entities and 
private individuals. 

Rolling stock in respect of which an entry-into-service authorisation has already been 
issued  in  one  Member  State  will  not,  in  appropriate  cases,  need  to  undergo  further 
certification  in  another  Member  State  except  with  regard  to  additional  national 
requirements attributable, for instance, to the local system specifications. 

The proposal is included in the Commission's Work and Legislative Programme under 
the reference 2006/TREN/005. 

•  European Economic Area 

As  the  proposed  act  concerns  a  matter  covered  by  the  EEA  Agreement,  it  should 
therefore be extended to the European Economic Area. 

•  Detailed explanation of the proposal by chapter or by article 

1. 

Certification of existing rolling stock (new Article 8a) 

The Agency will facilitate the certification procedure for existing rolling stock 
by creating a reference document cross-referencing the national rules for each 
of  the  relevant  parameters  and  by  providing  ad  hoc  technical  opinions  on 
specific aspects of projects.  

2. 

National rules (Article 11) 

National  rules  are  to  be  notified  both  in  accordance  with  the  Interoperability 
Directives and in accordance with the Railway Safety Directive. The two sets of 
rules  should  be  compared,  classified  and  then  presented  in  a  coherent  manner 
on the Agency’s website. 

3. 

Notified bodies (Article 13) 

A study conducted by the Commission has shown that there is much scope for 
interpretation  of  the  notification  criteria  to  be  applied  by  Member  States  for 
notifying the bodies responsible for the verification procedures. It is important 
to assess the impact of such differences in interpretation and to check that they 
do  not  cause  difficulties  with  regard  to  the  mutual  recognition  of  conformity 
certificates and the EC declaration of verification.  

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4. 

Interoperability  assessment  of  projects  receiving  Community  funding 
(Article 15) 

It  is  proposed  that,  at  the  Commission’s  request,  the  Agency  will  assess  the 
“interoperability”  aspect  of  certain  applications  for  Community  funding  for 
infrastructure projects. Provision should also be made for the Agency to assess 
applications for funding relating to rolling stock so that the Agency can decide 
whether the system is coherent. 

5. 

Relationship  between  railway  undertakings  and  wagon  keepers  (new 
Article 16a) 

The new COTIF convention, which entered into force in 1999, introduced new 
rules  for  vehicle  usage  contracts  and,  consequently,  replaced  the  old  RIV 
Agreement  between  railway  undertakings.  Under  these  new  rules,  keepers  are 
not  obliged  to  register  their  wagons  with  a  railway  undertaking.  The  Railway 
Safety  Directive  has  to  be  amended  to  include  a  definition  of  “keeper”  and 
specify the relationships between keepers and railway undertakings, particularly 
with  regard  to  maintenance.  The  Agency  should  assess  this  relationship  and 
make recommendations to the Commission where necessary. 

6. 

Certification of train and locomotive drivers (Article 17) 

Following  the  adoption  of the third rail  package, reference should be made to 
the Directive on the certification of train personnel responsible for safety, which 
lays  down  various  tasks  to  be  performed  by  the  Agency,  from  developing 
standard  models  for  licences  and  complementary  certificates  to  conducting  a 
study on the use of smart cards.  

7. 

The Agency’s ERTMS tasks (new Article 21a) 

Since the adoption of the second rail package, several initiatives relating to the 
development  and  implementation  of  the  ERTMS  system  have  been  taken. 
These  include  the  signing  of  a  memorandum  of  understanding  between  the 
Commission  and  the  various  stakeholders  in  the  sector,  the  setting  up  of  a 
steering committee for implementing this cooperation agreement, the adoption 
by  the  Commission  of  a  Communication  on  the  implementation  of  the 
ERTMS1, the appointment of a European coordinator2 for the ERTMS project 
as a priority project of Community interest, the definition of the Agency’s role 
as system authority in the context of the various annual work programmes, and 
the  adoption  of  the  “control-command  and  signalling”  TSI  for  conventional 
rail3. Given the growing importance of the Agency’s input in this area, its tasks 
should be specified in the Regulation. 

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8. 

Ad hoc tasks (new Article 21b) 

The  Agency  now  has  a  large  number  of  experts  specialising  in  the 
interoperability and safety of the European rail system. It should be authorised 
to  carry  out  ad  hoc  tasks  at  the  Commission’s  request  even  if  such  activity  is 
not  expressly  provided  for  in  the  Regulation  establishing  the  Agency  or  in  its 
annual work programme. However, such authorisation should be subject to the 
compatibility of the ad hoc task with the Agency’s mission, the availability of 
budget resources and compliance with the Agency’s other priorities.  

9. 

Date of adoption of the work programme (Article 25(2)) 

The  date  by  which  the  annual  work  programme  must  be  adopted  should  be 
amended  to  allow  for  better  synchronisation  with  the  budgetary  decision-
making process. 

10. 

Information on the results of the Agency’s work (Article 25(3)) 

The work programme should identify the expected outcome of each activity and 
to whom it is to be addressed. The Commission should also be informed of the 
technical results of each activity as this information goes well beyond the scope 
of the general report, which is addressed to all the institutions.  

11. 

Composition of the Administrative Board (Article 26(1)) 

For practical reasons, alternates should also be appointed for the observers. 

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2006/0274 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EC) No 881/2004 establishing a European Railway Agency 

(Text with EEA relevance) 

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 Commission4, 

Having regard to the opinion of the European Parliament5, 

Having regard to the opinion of the European Economic and Social Committee6, 

Having regard to the opinion of the Committee of the Regions7, 

Whereas: 

(1) 

(2) 

Regulation (EC) No 881/2004  of  the  European  Parliament  and  of  the  Council8 
established a European Railway Agency to make a technical contribution to creating a 
European  railway  area  without  frontiers.  Following  developments  in  Community 
legislation on rail interoperability and safety, market developments and on the basis of 
the  experience  gained  in  operating  the  Agency  and  the  relationship  between  the 
Agency  and 
to 
the  Commission,  certain  amendments  need 
Regulation (EC) No 881/2004, and in particular certain tasks need to be added.  

to  be  made 

Article 14 of Directive 2004/49/EC of the European Parliament and of the Council of 
29 April 2004  on  safety  on  the  Community’s  railways9  established  a  common 
procedure for authorising the placing into service of rolling stock. In the spirit of the 
principle  of  mutual  recognition,  the  procedure  for  obtaining  an  entry-into-service 
authorisation in a Member State other than the one which issued a first authorisation 
must  be  facilitated  by  limiting  the  elements  which  the  competent  authority  may 
examine. To this end, all the technical and safety rules in force in each Member State 
should  be  classified  into  three  groups  and  the  results  of  this  classification  should  be 
presented in a reference document. The Agency is therefore required to facilitate this 

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OJ C, , p. . 
OJ C, , p. . 
OJ C, , p. . 
OJ C, , p. . 
OJ L 164, 30.4.2004, p. ; corrected version in OJ L 220, 21.6.2004, p. 3. 
OJ L 164, 30.4.2004, p. ; corrected version in OJ L 220, 21.6.2004, p. 16. 

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(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

classification  by  cross-referencing  the  national  rules  for  each  of  the  relevant 
parameters and by providing ad hoc technical opinions on specific aspects of projects.  

National rules are to be notified to the Commission both in accordance with Directive 
…/.../EC (*) [Rail Interoperability Directive] and Directive 2004/49/EC. The dividing 
line between the two sets of rules is unclear because the safety rules partly concern the 
subsystems, which themselves are also subject to interoperability rules. The two sets 
of  rules  should  therefore  be  compared,  classified  and  then  presented  in  a  coherent 
manner on the Agency’s website. 

Under  Article 13  of  Regulation (EC) No 881/2004,  the  Agency  may  monitor  the 
quality of the work of the bodies notified by the Member States. A study conducted by 
the Commission has shown that there is much scope for interpretation of the criteria to 
be  applied  for  notifying  these  bodies.  Without  prejudice  to  the  Member  States’ 
responsibility with regard to the bodies that they choose to notify and the checks that 
they make to ensure that these criteria have been met, it is import to assess the impact 
of  such  differences  in  interpretation  and  to  check  that  they  do  not  cause  difficulties 
with regard to the mutual recognition of conformity certificates and the EC declaration 
of verification. The Agency should therefore be able to assume a coordinating role in 
this area, for example by undertaking missions to collect information. 

Article 15  of  Regulation (EC) No 881/2004  authorises  the  Agency  to  assess,  at  the 
request of the Commission and from the point of view of interoperability, applications 
for  Community  funding  for  railway  infrastructure  projects.  The  definition  of 
“infrastructure  projects”  should  be  extended  so  that  the  coherence  of  the  system  can 
also  be  assessed,  as  in  the  case  of  projects  implementing  the  ERTMS  system,  for 
example. 

Following developments of an international dimension, and in particular the entry into 
force of the new COTIF Convention in 1999, the Agency should be asked to assess the 
relationship  between  railway  undertakings  and  keepers  of  rolling  stock,  particularly 
with regard to maintenance, and to formulate recommendations where necessary. This 
task  should  be  an  extension  of  the  Agency’s  work  in  the  area  of  maintenance 
workshop certification.  

Following  adoption  of  the  third  railway  package10,  reference  should  be  made  to 
Directive  …/…/EC (*)  [Directive  on  the  certification  of  train  personnel  responsible 
for safety], which lays down various tasks to be performed by the Agency.  

Since  the  adoption  of  the  second  rail  package,  several  initiatives  relating  to  the 
development  and  implementation  of  the  ERTMS  system  have  been  taken.  These 
include  the  signing  of  a  cooperation  agreement  between  the  Commission  and  the 
various  stakeholders  in  the  sector,  the  setting  up  of  a  steering  committee  for 
implementing  this  cooperation  agreement,  the  adoption  by  the  Commission  of  a 
Communication  on  the  implementation  of  the  ERTMS11,  the  appointment,  by 
Decision ….12, of a European coordinator for the ERTMS project as a priority project 
of Community interest, the definition of the Agency’s role as system authority in the 

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context  of  the  various  annual  work  programmes,  and  the  adoption  of  the  “control-
command and signalling” TSI for conventional rail13. Given the growing importance 
of the Agency’s input in this area, its tasks should be specified. 

(9) 

The Agency now has a large number of experts specialising in the interoperability and 
safety of the European rail system. The Agency should be authorised to carry out ad 
hoc tasks at the Commission’s request, subject to the compatibility of the ad hoc task 
with the Agency’s mission, the availability of budget resources and compliance with 
the Agency’s other priorities.  

(10)  The date by which the Agency’s annual work programme must be adopted should be 
amended  to  allow  for  better  synchronisation  with  the  budgetary  decision-making 
process. 

(11)  The  Agency’s  work  programme  should  identify  the  objective  of  each  activity  and  to 
whom it is to be addressed. The Commission should also be informed of the technical 
results of each activity as this information goes well beyond the scope of the general 
report, which is addressed to all the institutions.  

(12)  Since the main objective of the proposed action, namely the extension of the Agency’s 
mission to include its participation in the simplification of the Community procedure 
for  the  certification  of  railway  rolling  stock,  cannot  be  sufficiently  achieved  by  the 
Member  States,  and  can  therefore,  by  reason  of  the  scale  of  that  action,  be  better 
achieved at Community level, the Community may adopt measures in accordance with 
the principle of subsidiarity 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 that objective, 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Regulation (EC) No 881/2004 is hereby amended as follows: 

(1) 

The following Article 8a is inserted: 

“Article 8a 

Classification of national rules 

1. 

2. 

The  Agency  shall  facilitate  Member  States’  acceptance  of  rolling  stock  put  into 
service  in  another  Member  State  in  accordance  with  the  procedures  laid  down  in 
paragraphs 2 to 5 of this Article. 

The  Agency  shall  progressively  create  and  update  a  reference  document  cross-
referencing  all  the  national  rules  applied  by  the  Member  States  for  putting  rolling 
stock  into  service.  This  document  shall  contain  the  national  rules  of  each  Member 
State for each of the parameters listed in Annex VI to Directive 2004/49/EC and also 

13 

OJ …………. 

EN 

12 

   EN 

 
                                                 
specify  the  Annex VI  group  to  which  these  rules  belong.  These  rules  shall  include 
those  notified  under  Article 16(3)  of  Directive  …/../EC (*)  [Interoperability 
Directive],  those  notified  following  adoption  of  TSIs  (specific  cases,  open  issues, 
exceptions) and those notified under Article 8 of Directive 2004/49/EC.  

3. 

4. 

With the cooperation of the national safety authorities established under Article 6(5) 
to gradually reduce the national rules in Group B, the Agency shall regularly update 
the  reference  document  and  forward  it  to  the  Commission.  The  first  version  of  the 
document shall be presented to the Commission no later than one year after the entry 
into force of this Regulation. 

The Agency may be called upon by a national safety authority, as part of the action 
taken  in  response  to  a  request  for  entry-into-service  authorisation,  or  by  the 
Commission to provide technical opinions on: 

(a) 

the equivalence of technical rules for one or more parameters; 

(b) 

a request for complementary information, for a risk analysis or for a test and/or 
any outcome of such a request; 

(c) 

the grounds for refusing authorisation. 

_____________________________________ 

OJ ……” 

(2) 

In Article 11, the following paragraph 4 is added: 

“4. The Agency shall, with the agreement of the Member States and the Commission, 
specify  the  practical  arrangements  for  forwarding  the  documents  referred  to  in 
paragraph 1.” 

(3) 

Article 13 is replaced by the following text: 

“Article 13 

Notified bodies 

Without  prejudice  to  the  responsibility  of  Member  States  for  the  notified  bodies 
which  they  appoint,  the  Agency  may,  at  the  request  of  the  Commission,  check  to 
ensure  that  the  criteria  for  the  notification  of  these  bodies,  which  are  listed  in 
Annex VII to the Interoperability Directives, are met and to assess the quality of the 
work  of  these  bodies.  The  Agency  shall,  if  necessary,  issue  an  opinion  to  the 
Commission.” 

(4) 

Article 15 is replaced by the following text: 

EN 

13 

   EN 

 
“Article 15 

Interoperability of the rail system 

At the request of the Commission, the Agency shall examine, from the point of view 
of  interoperability,  any  project  involving  the  renewal,  upgrading  or  construction  of 
the  rail  system  for  which  an  application  for  Community  financial  aid  has  been 
submitted.  Within  a  period  to  be  agreed  with  the  Commission  according  to  the 
importance  of  the  project  and  the  resources  available,  the  Agency  shall  give  an 
opinion on whether the project conforms with the relevant TSIs. This opinion shall 
take  full  account  of  the  exceptions  provided for by Article 7 of  Directive 96/48/EC 
and Article 7 of Directive 2001/16/EC.” 

(5) 

The following Article 16a is inserted: 

“Article 16a 

Relationship between wagon keepers and railway undertakings 

Within a period of one year from the date on which this Regulation enters into force, 
the  Agency  shall  assess  the  relationship  between  wagon  keepers  and  railway 
undertakings with regard to maintenance, in accordance with Article 14b of Directive 
2004/49/EC.  Within  the  same  period,  the  Agency  shall  send  to  the  Commission  a 
report  setting  out,  if  necessary,  recommendations  on  the  implementation  of  a 
voluntary or mandatory system of certification for wagon keepers. 

The Agency’s assessment shall examine in particular the following aspects: 

(a)  whether the keeper is capable, from the point of view of organisation, staff and 
equipment,  of  ensuring  the  maintenance  of  the  types  of  wagon  which  the 
keeper manages; 

(b)  whether  the  keeper  is  in  possession  of  the  information  needed  to  perform  the 
requisite  maintenance  activities  (and  in  particular,  maintenance  records  and 
maintenance plans); 

(c)  whether  the  keeper  is  in  possession  of  the  tools  necessary  for  the  monitoring 

and supervision of the state of the wagons.” 

(6) 

Article 17 is amended as follows: 

(a) 

The title and paragraph 1 are replaced by the following text: 

“Article 17 

Certification of train crews and professional competences 

1. 

The  Agency  shall  make  recommendations  on  specifying  common  criteria  for 
defining professional competences and assessing staff who are involved in the 
operation  and  maintenance  of  the  rail  system.  In  so  doing,  it  shall  take  into 

EN 

14 

   EN 

 
account the criteria and priorities provided for in Directive …/../EC [Directive 
on  the  certification  of  train  staff]14.  The  Agency  shall  consult  with 
representatives  of  the  social  partners  in  accordance  with  the  provisions  of 
Article 4.” 

(b) 

The following paragraph 4 is added: 

“4.  The  Agency  shall  contribute  to  the  implementation  of  Directive …/../EC 
[Directive on the certification of train staff] by assuming the functions assigned to it 
under that Directive.” 

(7) 

Article 18 is replaced by the following text: 

“Article 18 

Registration of rolling stock 

The Agency shall draw up and recommend to the Commission a standard application 
form  for  registration  and  common specifications for the national vehicle register in 
accordance with Article 14 of Directive …/.../EC [Rail Interoperability Directive].” 

(8) 

Article 19 is amended as follows: 

(a) 

the following point (e) is added in paragraph 1:  

“(e) the technical rules notified by the Member States under Articles 16(3) and 17(2) 
of Directive …/../EC [Rail Interoperability Directive].” 

(b) 

The following paragraph is added: 

“5. The databases created under this Article and under Article 11 shall be consistent 
with each other, particularly with regard to the national rules.” 

(9) 

Chapter 4 is amended as follows: 

(a) 

the title of Chapter 4 is replaced by the following text: 

“SPECIAL TASKS” 

(10)  The following Articles 21a and 21b are inserted: 

“Article 21a 

ERTMS 

1. 

The  Agency  shall  assume  the  role  of  systems  authority  for  developing  and 
implementing  the  European  Rail  Traffic  Management  System  (“ERTMS”).  To  that 
end, the Agency shall assume the tasks set out in paragraphs 2 to 5 of this Article. 

14 

When the third rail package is adopted, check that the title and reference are correct. 

EN 

15 

   EN 

 
                                                 
2. 

3. 

4. 

5. 

The  Agency  shall  set  up  a  procedure  for  managing  requests  for  changes  to 
specifications of the ERTMS. 

The Agency shall support the efforts of the Commission in migrating to ERTMS and 
coordinating installation of the ERTMS along the trans-European transport corridors. 

The Agency, in cooperation with the notified bodies and national safety authorities, 
shall  supervise  the  application  of  the  procedures  for  “EC”  verification  and  putting 
into service in the context of specific projects, particularly with a view to assessing 
technical  compatibility  between  infrastructure  and  rolling  stock  fitted  by  different 
constructors. The Agency shall, if necessary, recommend appropriate measures to the 
Commission. 

The  Agency  shall  develop  a  strategy  for  managing  the  different  versions  of  the 
ERTMS  with  a  view  to  ensuring  technical  and  operational  compatibility  between 
infrastructure and rolling stock fitted with different versions. 

Article 21b 

Other tasks 

The Agency shall, in agreement with or at the request of the Commission, perform 
any ad hoc task which is consistent with its mission as stated in Article 1, even if that 
task  is  not  expressly  provided  for  in  this  Regulation  or  in  the  work  programme 
provided for in Article 25(2)(c)” 

(11)  Article 25 is amended as follows:  

(a) 

in paragraph 2, point (c) is replaced by the following text: 

"c) adopt, by 30 November each year, and taking the opinion of the Commission into 
account, the work programme of the Agency for the coming year and forward it to 
the Member States, the European Parliament, the Council and the Commission. That 
work  programme  shall  be  adopted  without  prejudice  to  the  annual  Community 
budgetary  procedure.  If,  within  15  days  of  the  date  of  adoption  of  the  work 
programme,  the  Commission  expresses  its  disagreement  with  the  programme,  the 
Administrative  Board  shall  re-examine  the  programme  and  adopt  it,  amended  if 
necessary, within a period of two months, in second reading either with a two-thirds 
majority,  including  the  Commission  representatives,  or  by  unanimity  of  the 
representatives of the Member States;” 

(b) 

the following paragraph 3 is added: 

“3. The Agency’s work programme shall identify the objectives of each activity. As a 
general rule, each activity and/or each outcome shall be the subject of a report to the 
Commission.” 

(12) 

In Article 26, paragraph 1 is replaced by the following text:  

“1.  The  Administrative  Board  shall  be  composed  of  one  representative  of  each 
Member State appointed by that Member State and four representatives appointed by 

EN 

16 

   EN 

 
the Commission, as well as of six representatives, without the right to vote, the latter 
representing at European level the following groups: 

(a) 

railway undertakings, 

(b) 

infrastructure managers, 

(c) 

the railway industry, 

(d)  worker unions, 

(e) 

passengers, 

(f) 

freight customers. 

For  each  of  these  groups,  the  Commission  shall  appoint  a  representative  and  an 
alternate  from  a  shortlist  of  four  names  submitted  by  their  respective  European 
organisations. 

Board members and their alternates shall be appointed on the basis of their relevant 
experience and expertise.” 

(13) 

In Article 36, paragraph 1 is replaced by the following text:  

“1. The  Agency  shall be open to  participation by European countries  and  countries 
within  the  scope  of  the  European  Neighbourhood  Policy15  which  have  concluded 
agreements  with  the  European  Community  under  which  the  countries  concerned 
have  adopted  and  are  applying  Community  legislation  in  the  field  covered  by  this 
Regulation.” 

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

Article 2 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

15 

See Commission Communication COM(2004) 373 of 12 May 2004. 

EN 

17 

   EN 

 
                                                 
LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal to amend Regulation (EC) No 881/2004 establishing a European railway agency. 

This proposal is part of a package containing: 

–  a Communication 

–  a proposal to merge/recast the Rail Interoperability Directives (96/48/EC and 2001/16/EC) 

–  a proposal to amend the Railway Safety Directive (2004/49/EC) 

–  a summary of the impact analysis report. 

2. 

ABM / ABB FRAMEWORK 

Title 06: Energy and transport 

Budget chapter 06 02: Inland, air and maritime transport 

3. 

BUDGET LINES 

3.1. 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- B.A lines)) including headings: 

Budget  heading  06 02 08 01  –  European  Railway  Agency  –  Subsidy  under  Titles  I 
and II (administrative expenditure) 

Budget heading 06 02 08 02 – European Railway Agency – Subsidy under Title III 
(operational expenditure) 

3.2. 

Duration of the action and of the financial impact: 

As some tasks are continuous, the duration is indefinite. 

EN 

18 

   EN 

 
3.3. 

Budgetary characteristics: 

Type of expenditure 

New 

EFTA 
contribution 

Contribution
s from 
applicant 
countries 

Heading in 
Financial 
Perspective 

Budget 
line 

06.020801 

Non-
comp 

CD16 

NO 

YES 

NO 

06.020802 

Non-
comp 

CD 

NO 

YES 

NO 

No 3 Internal 
policies (2000-
2006) / No 1a 
Competitiveness 
for growth and 
jobs (2007-2013) 

No 3 Internal 
policies (2000-
2006) / No 1a 
Competitiveness 
for growth and 
jobs (2007-2013) 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

Type of expenditure 

Section 
No 

Operational expenditure18 

€ million (to three decimal places) 

Year 
n17 

n + 1

n + 2

n + 3

n + 4 

n + 5 
and 
subs. 
years 

Total 

Commitment Appropriations 
(CA) 

8.1. 

a 

1.685 

2.185 

1.685 

1.685 

1.685 

0.48 

Appropriations 

Payment 
(PA) 
Administrative expenditure within reference amount19 

1.685 

b 

2.185 

1.685 

1.685 

1.685 

0.48 

n.a. 

n.a. 

Technical  &  administrative 
assistance (NDA) 

8.2.4. 

c 

16 
17 

18 
19 

Differentiated appropriations. 
Year  n  is  the  first  year  in  which  the  amendments  resulting  from  this  legislative  financial  sheet  are 
implemented,  i.e.  the  first  year  following  the  adoption  of  these  amendments  by  both  arms  of  the 
budgetary authority. 
Expenditure that does not fall under Chapter xx 01 of Title xx concerned. 
Expenditure within article xx 01 04 of Title xx. 

EN 

19 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL REFERENCE AMOUNT 

Commitment 
Appropriations 

Payment Appropriations 

a+c

b+c

1.685 

2.185 

1.685 

1.685 

1.685 

0.48 

1.685 

2.185 

1.685 

1.685 

1.685 

0.48 

Administrative expenditure not included in reference amount20 

Human 
and 
associated expenditure (NDA) 

resources 

8.2.5. 

Administrative costs, other than 
human resources and associated 
costs,  not  included  in  reference 
amount (NDA) 

8.2.6. 

d 

e 

Total indicative financial cost of intervention 

n.a. 

n.a. 

n.a. 

TOTAL CA including cost 
of human resources 

TOTAL  PA  including  cost 
of human resources 

Co-financing details 

a+c
+d
+e 

b+c
+d
+e 

1.685  2.185 

1.685 

1.685 

1.685 

0.48 

n.a. 

1.685  2.185 

1.685 

1.685 

1.685 

0.48 

n.a. 

If  the  proposal  involves  co-financing  by  Member  States,  or  other  bodies  (please 
specify  which),  an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in 
the  table  below  (additional  lines  may  be  added  if  it  is  expected  that  several  bodies 
will provide the co-financing): 

€ million (to three decimal places) 

Year 
n 

n + 1

n + 2

n + 3

n + 4 

n  +  5 
and 
later 

Total 

Co-financing body 

…………………… 

TOTAL CA including co-
financing 

f 

a+c+
d+e+
f 

4.1.2.  Compatibility with Financial Programming 

X 

Proposal is compatible with existing financial programming. 

(cid:133) 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 
perspective. 

20 

Expenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05. 

EN 

20 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:133) 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 
Agreement21 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on revenue 

X 

Proposal has no financial impact on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

Budget line 

Revenue 

Prior to 
action 
[Year n-
1] 

€ million (to one decimal place) 

Situation following action 

[Yea
r n] 

[n + 
1] 

[n + 
2] 

[n + 
3] 

[n + 
4] 

[n + 
5]22 

a) Revenue in absolute terms

b) Change in revenue 

 Δ 

4.2. 

Human resources FTE (including officials, temporary and external staff) – see 
detail under point 8.2.1. 

Annual requirements 

Year n 

n + 1 

n + 2 

n + 3 

n + 4 

n + 5 
and 
later 

Total staff numbers 

The adoption of this legislative proposal will have no repercussions on the staff of DG TREN 
who supervise the Agency's work. 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

The  new  activities  planned  for  the  Agency  are  needed  in  the  short  term  as  regards  both  the 
mutual recognition of locomotives and the certification of train drivers.  

As  regards  the  mutual  recognition  of  locomotives,  the  Agency  is  required  to  facilitate  the 
certification  procedure  for  existing  rolling  stock  by  developing  a  reference  tool  which  will 
ensure  the  applicable  national  legislation  complies  with  each  parameter  checked  and  by 
providing ad hoc technical opinions within the framework of specific projects. 

21 
22 

See points 19 and 24 of the Interinstitutional Agreement. 
Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years. 

EN 

21 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Following  the  adoption  of  the  third  railway  package23,  the  Directive  on  the  certification  of 
train crews in charge of safety24 includes a number of tasks to be carried out by the Agency, 
from developing model licences and additional certificates to carrying out a study on the use 
of smartcards.  

5.2. 

Value-added  of  Community  involvement  and  coherence  of  the  proposal  with 
other financial instruments and possible synergy 

High  added  value  thanks  to  the  use  of  a  structure  and  qualified  staff,  some  of  whom  are 
already available, as well as tried and tested methods (for example, using the established and 
operational network of national safety authorities). 

5.3. 

Objectives, expected results and related indicators of the proposal in the context 
of the ABM framework 

Operational  objective  No  1:  Mutual  recognition  of  locomotives  (main  objective  of  this 
package): 

•  Objective: to increase the number of national rules which are mutually recognised 

•  Result: to reduce the duration of locomotive approval procedures 

•  Indicator: the number of locomotives in operation outside their State of origin 

Operational objective No 2: Certification of train drivers (third railway package): 

•  Objective and result: to develop model licences and register specifications 

•  Indicator:  the  number  of  train  drivers  certified  in  accordance  with  the  Directive  on  the 

certification of train crews 

Operational objective No 3: other tasks 

See point 8.2.2. 

5.4.  Methods of Implementation (indicative) 

X 

Centralised Management 

(cid:133)  Directly by the Commission 

X 

Indirectly by delegation to: 

(cid:133) 

Executive Agencies, 

X 

Bodies set up by the Communities as referred to in Article 185 of 
the Financial Regulation, 

(cid:133)  National public-sector bodies/bodies with public-service mission 

23 
24 

OJ …… 
OJ …… and check title. 

EN 

22 

   EN 

 
                                                 
(cid:133) 

Shared or decentralised management 

(cid:133)  with Member States 

(cid:133)  with third countries 

(cid:133) 

Joint management with international organisations (please specify) 

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

Each year, the work of the ERA is monitored and evaluated in the annual general report (for 
the  previous  year)  and  the  work  programme  (for  the  following  year).  These  two  documents 
are  adopted  by  the  Agency's  Management  Board  and  sent  to  the  European  Parliament,  the 
Council, the Commission, the Court of Auditors and the Member States. 

6.2. 

Evaluation 

6.2.1.  Ex ante evaluation 

Several  options  were  discussed  and  evaluated  at  the  pre-legislative  consultation  with 
representatives of the Member States and organisations representing the sector. The Agency 
was  also  consulted.  A  very  detailed  analysis  impact  assessment  report  is  available  on  the 
Commission's website and a summary is attached to this proposal.  

6.2.2.  Measures taken following an intermediate/ex-post evaluation (lessons learned from 

similar experiences in the past) 

The Agency was audited in September 2006 and corrective measures are being developed as 
this proposal is being drawn up.  

6.2.3.  Terms and frequency of future evaluations 

In addition to the checks and audit planned by the European Anti-Fraud Office (OLAF) and 
the Court of Auditors, Article 43 of the Agency Regulation provides for the Commission to 
carry  out  an  evaluation  of  the  Agency  (results,  working  methods)  five  years  after  its 
establishment, i.e. around 2010. 

7. 

ANTI-FRAUD MEASURES 

The  Executive  Director  implements  the  Agency's  budget.  Each  year,  he  presents  detailed 
accounts  for  the  previous  year  showing  revenue  and  expenditure  to  the  Commission,  the 
Court  of  Auditors  and  the  Agency's  Management  Board.  In  addition,  the  Commission's 
internal  auditor  has  the  same  terms  of  reference  with  respect  to  the  ERA  as  it  does  with 
respect to the Commission departments, and the Agency has an internal audit system similar 
to that of the Commission. 

EN 

23 

   EN 

 
Regulation  (EC)  No 1073/1999  of  the  European  Parliament  and  of  the  Council  of 
25 May 1999  concerning  investigations  conducted  by  the  European  Anti-Fraud  Office 
(OLAF),  and 
internal 
investigations conducted by OLAF apply without restriction to the ERA. 

inter-institutional  agreement  of  25 May 1999  concerning 

the 

EN 

24 

   EN 

 
8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

(State  headings  of 
objectives,  actions 
and outputs) 

Type 
of 
output 

Aver
age 
cost 

Year n25 

Commitment appropriations in € million (to 3 decimal places) 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 and later 

TOTAL 

Number 
of 
outputs 

Total 
cost 

Number 
of 
outputs 

Total 
cost 

Number 
of 
outputs 

Total 
cost 

Number 
of 
outputs 

Total 
cost 

Number 
of 
outputs 

Total 
cost 

Number 
of outputs

Total 
cost 

Number 
of 
outputs 

Total 
cost 

OPERATIONAL 
OBJECTIVE  No 126 
(mutual  recognition 
of rolling stock) 

TOTAL 

Title I 

Title II 

Title III 

OPERATIONAL 
OBJECTIVE  No 2 
(certification  of 

1.18 

0.488 

0.052 

0.64 

1.68 

0.488 

0.052 

1.14 

1.18 

0.488 

0.052 

0.64 

1.18 

0.488 

0.052 

0.64 

1.18 

0.488 

0.052 

0.64 

0.185 

0.122 

0.013 

0.05 

25 

26 

EN 

Year  n  is  the  first  year  in  which  the  amendments  resulting  from  this  legislative  financial  sheet  are  implemented,  i.e.  the  first  year  following  the  adoption  of  these 
amendments by both arms of the budgetary authority. 
As described under Sections 5.3 and 8.2.2. 

25 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
drivers) 

TOTAL 

Title I 

Title II 

Title III 

OPERATIONAL 
OBJECTIVE  No 3 
(other tasks) 

TOTAL 

Title I 

Title II 

Title III 

TOTAL COST 

0.37 

0.244 

0.026 

0.1 

0.135 

0.122 

0.013 

0.37 

0.244 

0.026 

0.1 

0.135 

0.122 

0.013 

0.37 

0.244 

0.026 

0.1 

0.135 

0.122 

0.013 

0.37 

0.244 

0.026 

0.1 

0.135 

0.122 

0.013 

0.37 

0.244 

0.026 

0.1 

0.135 

0.122 

0.013 

0.160 

0.122 

0.013 

0.025 

0.135 

0.122 

0.013 

1.685 

2.185 

1.685 

1.685 

1.685 

0.48 

EN 

26 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
8.2. 

Administrative expenditure 

8.2.1.a.  Number and type of human resources (DG TREN) 

Types of post 

Staff to be assigned to management of the action using existing and/or additional 
resources (number of posts/FTEs) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

Officials or 
temporary 
staff 27 (XX 01 
01) 

A*/
AD 

B*, 
C*/
AST

financed28  by 

Staff 
Art. XX 01 02 

Other  staff  financed29 
by Art. XX 01 04/05 

TOTAL 

The adoption of this legislative proposal will have no repercussions on the staff of DG TREN 
who supervise the Agency's work. 

8.2.1.b.  Number and type of human resources (ERA) 

A total of 7 additional AD8 posts must be added for years n to n+4 to the staff table set out in 
the 2007 draft budget, and 1 additional AD8 post for years n+5 and later. These extra posts 
are justified below.  

8.2.2.  Description of tasks deriving from the action 

NB:  the  following  is  a  description  of  the  Agency's  tasks  and  not  those  of  DG  TREN  E2, 
which will monitor the Agency's tasks. 

Operational objective 1: mutual recognition of rolling stock 

–  Develop the reference guide comprising all national rules applicable to rolling stock 

–  Classify and compare these rules 

–  Coordinate the work of the network of national authorities to reduce the number of national 

rules 

–  Publish a correlation table between national rules 

27 
28 
29 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

EN 

27 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
–  Prepare  technical  opinions  at  the  request  of  the  national  safety  authorities  and  the 

Commission 

–  Draft recommendations for Commission decisions to reduce the number of national rules 

and increase the number of rules which are mutually recognised 

This operational objective will necessitate: 

–  4  additional  experts  for  the  first  5  years,  then  1  per  year.  One  A8  costs  on  average 

€0.122 million under Title I and €0.013 million under Title II; 

–  in addition, €100 000 per year must be allocated for the working group for the first 5 years, 

thereafter €50 000 per year (Title III); 

–  €540 000 per year for the 5 coming years (Title III) must be allocated for the translation of 

some of the national rules; 

–  specific  material/software  must  also  be  developed  costing  €500 000  in  the  second  year 

(Title III). 

Operational objective 2: certification of drivers (third railway package) 

–  Recommendations for additional harmonised model licences and certificates 

–  Recommendations for Community codes in licence categories 

–  Draft specifications for drivers' registers 

–  Cooperation  with  the  competent  authorities  of  the  Member  States  to  ensure  the 

interoperability of registers 

–  Report on the other agents performing safety-critical tasks 

–  Report on the implementation of the Directive 

–  Report on the use of smartcards 

This objective will necessitate: 

–  two additional experts for the first 5 years, then 1 expert per year (Titles I and II); 

–  in  addition,  €100 000  per  year  must  be  allocated  for  the  first  5  years  (€50 000  for  the 
working  group,  €50 000  for  studies),  then  €25 000  per  year  for  the  working  group 
(Title III). 

Operational objective 3: other tasks 

–  Tasks  linked  to  ERTMS:  systems  authority,  specification  management,  management  of 
coexistence  of  different  systems  in  the  network,  support  for  the  coordination  and 
deployment of ERTMS along corridors 

–  Develop Community criteria for the certification of wagon keepers as part of work on the 

certification of maintenance workshops 

EN 

28 

   EN 

 
–  Draw up a guide on the implementation of infrastructure and rolling stock registers 

–  Etc. 

These tasks will require one expert per year in addition to available resources (Titles I and II) 

8.2.3. 

Sources of human resources (statutory) 

NB: this refers to staff of DG TREN E2 which will monitor the relevant activities of 
the Agency X. Posts currently allocated to the management of the programme 
to be replaced or extended 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

Posts pre-allocated within the APS/PDB exercise for year n 

Posts to be requested in the next SPA/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 
year in question 

8.2.4.  Other  administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

€ million (to three decimal places) 

Year n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year n+5 

TOTAL 

and later 

Budget line 

(number and heading) 

Technical 

and 
1. 
assistance 
administrative 
(including related staff costs)

Executive Agencies30 

Other 
administrative assistance 

technical 

and 

- intra muros 

- extra muros 

Total 
administrative assistance 

technical 

and 

30 

Reference  should  be  made  to  the  specific  legislative  financial  statement  for  the  Executive  Agency  or 
Agencies concerned. 

EN 

29 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.5.  Financial cost of human resources and associated costs not included in the reference 

amount 

Type of human resources 

Year n 

Year 
n+1 

Year 
n+2 

Year n+3  Year n+4 

Year n+5 
and later 

€ million (to three decimal places) 

Officials  and  temporary  staff31  (XX 
01 01) 

Staff financed under article XX 01 02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of human resources and 
associated costs (NOT in reference 
amount) 

Calculation– Officials and Temporary agents 

Calculation– Staff financed under article XX 01 02 

31 

Average cost of an A official based on n=2008 and 2% per year. 

EN 

30 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.6.  Other administrative expenditure not included in reference amount 

€ million (to three decimal places)

Year 

n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

TOTAL 

Year 
n+5 and 
later 

XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees32 

XX 01 02 11 04 - Studies and consultations 

XX 01 02 11 05 - Information systems 

2. Total other management expenditure 

(XX 01 02 11) 

3.  Other 

expenditure 
nature 

of 
an 
(specify 

administrative 
including reference to budget line) 

Total administrative expenditure, other 
than  human  resources  and  associated 
in  reference 
included 
costs 
amount) 

(NOT 

Calculation - Other administrative expenditure not included in reference amount 

Human resources and administrative requirements will be covered from the allocation given 
to the managing DG under the annual allocations procedure. 

32 

Specify the type of committee and the group to which it belongs. 

EN 

31 

   EN