Proposal for a Directive of the European Parliament and of the Council amending Directive 2004/49/EC on safety on the Community's railways
Date: 2006-12-13
Institutions: European Commission
Subjects: European Union Agency for Railways, European standard, approximation of laws, rail network, rail transport, technical regulations, trans-European network, transport safety

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 13.12.2006 
COM(2006) 784 final 

2006/0272 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Directive 2004/49/EC on safety on the Community's railways 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1)  CONTEXT OF THE PROPOSAL 

•  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  the  Rail  Interoperability  Directives  (96/48/EC, 
2001/16/EC,  2004/50/EC),  Regulation  (EC)  No  881/2004  on  the  European  Railway 
Agency  (hereinafter  referred  to  as  the  “Agency”),  and  the  Railway  Safety  Directive 
(2004/49/EC). This last mentioned amendment is the subject of the present proposal. 

•  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,  as  part  of  the  programme  for  simplifying  legislation,  the  Commission 
intends to consolidate and merge the Railway Interoperability Directives.  

Thirdly, with its ten years' experience of implementing the Interoperability Directives, 
the Commission has a duty to propose several improvements to the technical part of the 
regulatory framework.  

This proposal seeks to amend Directive 2004/49/EC on rail safety. It should be taken in 
the  Rail 
conjunction  with 
Interoperability  Directives  96/48/EC  and  2001/16/EC  and  on  the  amending  of 
Regulation  (EC)  No  881/2004  establishing  a  European  Railway  Agency  (hereinafter 
referred to as “the Agency”). 

the  merging/recasting  of 

joint  proposals  on 

the 

•  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 

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Interoperability Directives and of Article 8 of the Railway Safety Directive.  

•  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. 
Furthermore,  it  reduces  the  administrative  costs  linked  to  the  actions  taken  by  the 
national safety authorities. 

2)  CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of interested parties 

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.  The  Commission  prepared  a  consultative  document  in  April  2006  which 
identified  several  options  and  presented  it  to  all  the  parties  concerned  (national 
authorities responsible for railway safety, industry, operators, infrastructure managers, 
European standardisation bodies, etc.) at a workshop. Written positions were collected 
from all parties and examined as part of an impact study prepared in accordance with 
current standards.  

Summary of responses and how they have been taken into account 

Regarding the initiative requested by the players in the sector, all of 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  took  account  of  the  different  opinions  in  drawing  up  its  proposal, 
which  pursues  a  twofold  objective:  first,  to  launch  work  that  can  be  undertaken 
straightaway  without  waiting  for  new  legislative  provisions  to  enter  into  force  and, 
second, to amend the legislation so as to provide a sure legal framework for assigning 
rights  and  responsibilities  to  the  parties  concerned  by  the  authorisation  procedure  for 
placing railway rolling stock in service.  

•  Collection and use of expertise 

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 

The Commission guidelines of 15 June 2005 (SEC(2005) 791), which were updated in 
2006, were used. 

Main organisations/experts consulted 

The  expertise  of  the  European  Railway  Agency  was  used  in  evaluating  the  various 
positions expressed by sector stakeholders and in assessing the impact of the various 
options. 

Summary of advice received and used 

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

Please refer to the impact assessment. 

Means used to make the expert advice publicly available 

The impact assessment is published on the Internet. 

•  Impact assessment 

Reference  scenario:  to  restrict  ourselves  to  applying  existing  legislation  and 
intervening only when complaints are made.  

Non-regulatory options: to publish the working group’s recommendations on existing 
cross-acceptance of rolling stock and to ask Member States to apply them, to ask the 
Agency  to  classify  national  rules  and  to  identify  equivalences,  to  ask  the  Agency  to 
assume  an  advisory  or  appellate  role  in  the  national  approval  procedures  for  placing 
into service, to speed up the development and review of European standards, to verify 
that the principle of mutual recognition is being applied properly and, if necessary, to 
launch infringement proceedings.  

Regulatory options: to amend legislation in order to: make it unnecessary for operators 
to  obtain  authorisation  in  each  Member  State,  to  clarify  the  procedure  for  existing 
rolling  stock,  to  enable  the  Agency  to  issue  authorisations  for  placing  in  service,  to 
enable the Agency to assume a coordination, advisory and/or appellate role, to enable 
the  bodies  responsible  for  verifying  conformity  to  issue  authorisations  for  placing  in 
service, to enable infrastructure managers to issue authorisations for placing in service. 

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

Programme.  The 

and  Work 

report 

found 

can 

be 

3)  LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed action 

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

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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.  

•  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  Rail  Safety  Directives,  and  no  action 
taken  solely  at  national  level  would  be  capable  of  achieving  the  objective  pursued 
under the present proposal. The most appropriate way to achieve the objective pursued 
under the present proposal is by amending the Railway Safety Directive. 

The  establishment  of  a  reference  table  containing  the  national  rules,  the  adoption  of 
such  a  table  by  the  Commission,  the  future  decisions  taken  by  the  Commission 
establishing the equivalence of certain national rules, the outlay in time and money on 
approving  the  rolling  stock  –  these  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 

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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 shows that the proposal 
has been limited to what Member States cannot achieve by national initiatives.  

The proposal therefore complies with the subsidiarity principle. 

•  Proportionality principle 

The proposal complies with the proportionality principle for the following reasons. 

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 instrument: directive. 

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

A Directive needs to be amended. 

4)  BUDGETARY IMPLICATION 

For the Agency, the impact will be less than €2.2 million for the first five years, falling 
subsequently to less than €0.5 million (see Financial Statement attached to the proposal 
amending Regulation (EC) No 881/20041). 

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COM(2006) 785, 13.12.2006. 

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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 

This  draft  instrument  concerns  a  matter  covered  by  the  EEA  Agreement  and  should 
therefore be extended to the European Economic Area. 

•  Detailed explanation of the proposal by chapter or by article 

1. 

Certification of the existing rolling stock (Article 142 and new Annex VI) 

–  The  file  to  be  lodged  is  divided  into  four  parts:  the  first  two  parts  are  linked  to 
information that has already been checked on the date of first entry into service; the 
third part is linked to the life of the vehicle after its first entry into service (and may 
therefore  be  the  subject  of  checks);  the  fourth  part  is  linked  to  the  technical 
compatibility between vehicle and infrastructure (and must therefore be the subject 
of checks). 

–  If  an  authority  in  another  Member  State  has  already  issued  an  entry-into-service 
authorisation,  the  mutual  recognition  principle  will  apply.  Consequently,  the 
authority will not, in principle, be able to request additional duties with regard to the 
file already issued. 

–  In  order  to  reduce  the  possibility  of  an  authority  seeking  additional  powers,  the 
Agency is being asked to develop a reference tool modelled on the national rules in 
force  and  to  compare  those  rules  in  respect  of  each  parameter,  with  a  view  to 
identifying which are eligible for mutual recognition. The list of parameters and the 
way in which the reference tool is to be made up are the subject of a new Annex VI. 
The Agency  will produce recommendations which the Commission  will transform 
into decisions after the Committee has delivered its opinion. 

2. 

Relationship  between  the  railway  companies  and  the  wagon  keepers  (new 
Article 14a) 

The  entry  into  force  of  the  new  1999  COTIF  Convention  has  brought  in  new  rules 

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Using the Article numbering of Directive 2004/49/EC. 

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governing  contracts  for  the  use  of  vehicles  and,  consequently,  the  former  RIV 
Agreement  between  railway  undertakings  has  ceased  to  apply.  Under  the  new 
arrangements,  supplemented  by  the  new  GCU  agreement  in  which  both  the  railway 
undertakings and the wagon keepers can participate, the latter are no longer obliged to 
register their wagons with a railway undertaking. The Railway Safety Directive needs 
to be amended in order to define the concept of 'keeper' and to specify the relationship 
between keepers and railway undertakings, notably in the field of maintenance.  

It is proposed to introduce a new Article 14a, based on the following principles: 

–  Every  time  a  vehicle  is  placed  in  service,  someone  with  “responsibility”  for 
maintenance must be clearly identified, as stipulated in the “wagons” TSI, adopted 
by the Commission on 28 July 2006. 

–  The  person  responsible  may  be  the  keeper of  vehicles.  The  term  “keeper”  has  not 
been  defined  in  the  Community  legislation  and,  in  order  to  avoid  any  new 
inconsistencies in relation to the COTIF  1999 legal system, it is proposed that the 
existing definition should be used. 

–  Whenever  a  railway  undertaking  requests  a  safety  certificate,  it  must  demonstrate 
that the wagons it is using are operated and maintained in accordance with the rules 
in  force,  whether  they  are  Community  wagons  (cf.,  in  particular,  wagons  TSI)  or 
national wagons.  

–  Accordingly, the railway undertakings are being asked to clarify, in the light of their 
safety management arrangements, the system and procedures which they are putting 
in  place  to  ensure  that  the  mixed  use  of  wagons  from  different  keepers  does  not 
jeopardise rail safety.  

–  It  is  expected  that  the  Agency,  after  evaluating  the  procedures  put  in  place  by  the 
railway  undertakings  for  managing  their  relations  with  the  keepers,  will  be  in  a 
position  to  make  a  recommendation,  if  necessary,  on  the  establishment  of  a 
certification system for keepers. 

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2006/0272 (COD) 

Proposal for a 
DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Directive 2004/49/EC on safety on the Community's railways 

(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 Commission3, 

Having regard to the opinion of the European Economic and Social Committee4, 

Having regard to the opinion of the Committee of the Regions5, 

Acting in accordance with the procedure referred to in Article 251 of the Treaty6, 

Whereas: 

(1)  With a view to pursuing the efforts to create a single market in rail transport services, 
the  European  Parliament  and  the  Council  have  adopted  Directive  2004/49/EC7 
establishing a common regulatory framework for railway safety.  

(2) 

Article  14  of  Directive  2004/49/EC  has  established  a  common  procedure  for 
authorising the placing in service of rolling stock. However, experience has shown that 
the  implementation  of  such  a  procedure  at  national  level  is  often  complicated  and 
subject to national requirements that are different and lacking in transparency, or are 
even repetitive. Consequently, this procedure poses a major obstacle to the creation of 
new railway undertakings, particularly in the freight sector. Steps should therefore be 
taken to clarify the procedure for certifying the existing rolling stock and defining the 
relevant  limits  and  implementing  rules.  In  particular,  in  the  spirit  of  the  principle  of 
mutual recognition, measures  should be  taken,  involving the placing of limits  on  the 
number of elements that the competent authority may examine, so as to make it easier 
to  obtain  an  entry-into-service  authorisation  in  a  Member  State  other  than  the  one 
which issued the initial authorisation. 

3 
4 
5 
6 
7 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ L 164, 30.4.2004, p. 44. Corrected version in OJ L 220, 21.6.2004, p. 3. 

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(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

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To this end, all of the technical and safety rules in force in each Member State should 
be  classified  under  three  groups  and  the  results  of  this  classification  presented  in  a 
reference  document.  The  first  group  should  cover  the  international  rules  along  with 
any national rules that have been declared equivalent and in respect of which a check 
carried out in a single Member State is sufficient in railway safety terms. The second 
group  should  cover  all  other  national  rules  as  well  as  rules  that  have  not  yet  been 
classified. The third group should cover the rules that are necessary to ensure technical 
compatibility between the rolling stock featuring in the authorisation application and 
the envisaged infrastructure. 

The  European  Railway  Agency,  set  up  under  Regulation  (EC)  No  881/20048,  has  a 
mandate  to  develop  technical  specifications  for  interoperability  (TSIs),  and  must 
therefore,  as  a  first  step,  examine  the  existing  national  technical  rules.  Furthermore, 
under Directive 2004/49/EC, it must publish the national safety rules. Lastly, it must 
harmonise the criteria for the safety certification of the railway undertakings – a task 
that will also include requirements governing the acceptance of the rolling stock used 
by  these  undertakings.  Consequently,  the  Agency  is  the  most  appropriate  body  to 
devise the abovementioned reference document. 

Following  developments  at  international  level  and,  in  particular,  following  the  entry 
into force of the new 1999 COTIF Convention, it is necessary to define the concept of 
“wagon  keeper”  and  to  specify  the  relationship  between  railway  undertakings  and 
keepers, notably in the field of maintenance. 

Since  the  main  objective  of  the  proposed  action,  namely  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  the  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 set out in that Article, this 
Directive does not go beyond what is necessary in order to achieve that objective. 

Directive 2004/49/EC provides that certain measures should be adopted in accordance 
with Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for 
the exercise of implementing powers conferred on the Commission9. 

Decision 1999/468/EC has been amended by Decision 2006/512/EC, which introduced 
the regulatory control procedure for measures of general scope intended to amend non-
essential  elements  of  a  basic  instrument  adopted  in  accordance  with  the  procedure 
referred to in Article 251 of the Treaty, including by deleting some of those elements 
or by supplementing them by the addition of new non-essential elements. 

In  particular,  the  Commission  should  be  authorised  to  revise  and  adapt  Annexes,  to 
adopt and revise common safety measures and common safety objectives, and also to 
establish a maintenance certification system for keepers. Since these measures are of 
general  scope  and  are  designed  to  amend  non-essential  elements  of  Directive 
2004/49/EC  or  to  supplement  it  by  the  addition  of  new  non-essential  elements,  they 

OJ L 164, 30.4.2004, p 1. 
OJ  L  184,  17.7.1999,  p.  23.  Decision  as  amended  by  Decision  2006/512/EC  (OJ  L  200,  22.7.2006, 
p. 11). 

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should be adopted in accordance with the regulatory control procedure provided for in 
Article 5a of Decision 1999/468/EC. 

(10)  Directive 2004/49/EC should therefore be amended accordingly, 

HAVE ADOPTED THIS DIRECTIVE: 

Article 1 

Directive 2004/49/EC is amended as follows. 

1) 

The following definition is added to Article 3: 

"s) ‘keeper’ means the person or entity who, being the owner of a vehicle or having 
the right to dispose of it, exploits the vehicle economically in a permanent manner as 
a means of transport.". 

In Article 4(4) the term ‘wagon operator’ is replaced by ‘wagon keeper’. 

Article 5(2) is replaced by the following: 

2) 

3) 

"Before  30  April  2009,  Annex  I  shall  be  revised,  particularly  with  a  view  to 
incorporating  therein  the  CSI  common  definitions  and  the  common  methods  for 
calculating  the  cost  of  accidents.  This  measure,  designed  to  amend  non-essential 
elements of this Directive, shall be adopted in accordance with the regulatory control 
procedure referred to in Article 27(2a).". 

4) 

Article 6 is amended as follows: 

a) 

Paragraph (1) is replaced by the following: 

"1.  An  initial  series  of  CSMs  covering,  as  a  minimum,  the  methods  described  in 
paragraph 3(a) shall be adopted by the Commission before 30 April 2008. They 
shall be published in the Official Journal of the European Union. 

A  second  series  of  CSMs  covering  the  remaining  methods  described  in 
paragraph  3  shall  be  adopted  by  the Commission  before  30  April.2010.  They 
shall be published in the Official Journal of the European Union. 

These measures, designed to amend non-essential elements of this Directive by 
supplementing  it,  shall  be  adopted  in  accordance  with  the  regulatory  control 
procedure referred to in Article 27(2a).". 

b) 

Paragraph (4) is replaced by the following: 

"4.  The  CSMs  shall  be  revised  at  regular  intervals,  taking  into  account  the 
experience gained from their application and the global development of railway 
safety and the obligations on Member States as laid down in Article 4(1). This 
measure,  designed  to  amend  non-essential  elements  of  this  Directive  by 
supplementing  it,  shall  be  adopted  in  accordance  with  the  regulatory  control 
procedure referred to in Article 27(2a).". 

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5)  Article 7 is amended as follows: 

a) 

In paragraph (3), the first and second indents are replaced by the following: 

"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  and  shall  be 
published  in  the  Official  Journal  of  the  European  Union.  This  measure, 
designed  to  amend  non-essential  elements  of  this  Directive  by  supplementing 
it,  shall  be  adopted  in  accordance  with  the  regulatory  control  procedure 
referred to in Article 27(2a). 

The second set of draft CSTs shall be based on the experience 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  and  shall  be  published  in  the  Official 
Journal  of  the  European  Union.  This  measure,  designed  to  amend  non-
essential  elements  of  this  Directive  by  supplementing  it,  shall  be  adopted  in 
in 
accordance  with 
Article 27(2a).". 

regulatory  control  procedure 

referred 

the 

to 

b) 

Paragraph (5) is replaced by the following: 

"5.  The  CSTs  shall  be  revised  at  regular intervals,  taking  into  account  the  global 
development of railway safety. This measure, designed to amend non-essential 
elements of this Directive by supplementing it, shall be adopted in accordance 
with the regulatory control procedure referred to in Article 27(2a).". 

6) 

Article 10 is amended as follows: 

a) 

In paragraph (1), the second subparagraph is replaced by the following: 

"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 provide transport services 
on the network in complete safety.". 

b) 

In paragraph (2), point (b) is replaced by the following: 

"(b)  certification  confirming  acceptance  of  the  provisions  adopted  by  the  railway 
undertaking to meet specific requirements necessary for the supply of its services on 
the  relevant  network  in  complete  safety.  These  requirements  may  concern  the 
application  of  the  TSIs  and  national  safety  rules,  including  the  network  operating 
rules,  acceptance  of  staff  certificates  and  authorisation  to  operate  the  rolling  stock 
used by the railway undertaking. The certification shall be based on documentation 
submitted by the railway undertaking as described in Annex IV.". 

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(7) 

Article 14 is replaced by the following: 

1. 

2. 

3. 

4. 

“Article 14 
Placing in service of existing stock 

Rolling  stock  that  has  been  authorised  to  enter  into  service  in  one  Member 
State under Article 10 shall be the subject of authorisation to enter into service 
in  any  other  Member  State  pursuant  to  this  Article,  if  such  authorisation  is 
required by the Member State(s) concerned.  

However, in the case of rolling stock bearing an EC declaration of verification, 
Article 14(8) of Directive …/../EC (*) [Directive on the interoperability of the 
rail system] shall apply. 

The  applicant  shall  submit  to  the  competent  safety  authority  a  complete 
technical file on the rolling stock or type of rolling stock together with details 
of  planned  use  on  the  network.  The  file  shall  contain  the  following 
information: 

a) 

b) 

c) 

d) 

documentary evidence that the placing in service of the rolling stock has 
been authorised in another Member State together with documentation on 
the procedure followed in order to show that the rolling stock complied 
with the safety requirements in force; 

the  technical  data,  the  maintenance  programme  and  the  operational 
characteristics;  

that  show 

the  records 
the  rolling  stock’s  history  of  operation, 
maintenance  and,  where  applicable,  technical  modifications  undertaken 
after the authorisation; 

evidence on technical and operational characteristics that shows that the 
rolling stock is compatible with the infrastructures and fixed installations 
(energy  supply  system,  signalling  and  control  command  system,  track 
gauge and infrastructure gauges, maximum permitted axle load and other 
constraints of the network). 

The  information  referred  to  in  paragraph  2(a)  and  (b)  cannot  be  called  into 
question by the safety authority, save where the latter is able to demonstrate the 
existence of a safety risk. After the adoption of the reference document referred 
to in Article 14a, the safety authority may not invoke in this regard any Group 
A rule listed in this document. 

The safety authority may ask for additional information to be supplied, for risk 
analyses to be carried out or for tests to be conducted on the network in order 
to  verify  that  the  information  referred  to  in  paragraph  2(c)  and  (d)  complies 
with  the  national  rules  in  force  as  notified  to  the  Commission  pursuant  to 
Article  8  of  the  present  Directive  or  to  Article  16  of  Directive  .../../EC 
[Directive  on  the  interoperability  of  the  rail  system].  However,  after  the 
adoption  of  the  reference  document  referred  to  in  Article  14a  of  the  present 

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Directive, it will only be possible to carry out such verification on the basis of 
the national rules relating to Group B or C or featuring in this document. 

The  safety  authority  shall  define,  in  agreement  with  the  applicant,  the  scope 
and  content  of  the  additional  information,  the  risk  analyses  or  the  tests 
requested.  As  far  as  the  tests  are  concerned,  the  safety  authority  shall  make 
representations to the infrastructure manager to ensure that they can take place 
within three months of the request. 

5.  All applications for an entry-into-service authorisation submitted in accordance 
with this Article shall be the subject of a decision by the safety authority, to be 
taken as soon as possible and not later than:  

a) 

four  months  after  submission  of  the  technical  dossier  referred  to  in 
paragraph 2; 

b)  where  applicable, 

the  additional 
information or risk analyses requested by the safety authority pursuant to 
paragraph 4; 

two  months  after  provision  of 

c)  where  applicable,  two  months  after  provision  of  the  results  of  the  tests 

requested by the safety authority pursuant to paragraph 4; 

In the absence of a decision within the prescribed time limits, the rolling stock 
in question shall be deemed to have been authorised.  

The entry-into-service authorisation may stipulate conditions of use and other 
restrictions. 

6.  Any  negative  decision  taken  by  the  competent  safety  authority  shall  be  duly 
substantiated,  and  the  applicant  may,  within  a  period  of  one  month  from 
notification,  request  that  the  decision  be  reviewed.  The  safety  authority  shall 
then  have  a  month  to  confirm  or  reverse  its  decision.  If  its  decision  remains 
negative,  the  matter  may  be  brought  before  the  inspection  body  pursuant  to 
Article 30 of Directive 2001/14/EC. 

7.  Whenever  an  item  of  rolling  stock  is  due  to  be  placed  in  service  pursuant  to 
this Article, the Agency may be approached with a request for technical advice 
pursuant to Article 8a of Regulation (EC) No 881/2004. 

8.  Member States may issue entry-into-service authorisations for existing items of 
rolling  stock  covering  a  series  of  rolling  stock.  To  that  end,  the  safety 
authorities shall notify the applicant of the procedure to be followed.". 

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(8) 

The following Articles 14a and 14b are inserted: 

"Article 14a 
Classification of the national rules 

1. 

2. 

In order to facilitate the procedure for authorising the entry into service of the 
existing  rolling  stock  referred  to  in  Article  14,  the  national  rules  shall  be 
assigned to three groups pursuant to Annex VI. 

The  Agency  shall  facilitate  the  allocation  of  the  national  rules  in  order  to 
permit  the  adoption  of  a  reference  document  pursuant  to  Article  8a  of 
Regulation (EC) No 881/2004. The national authorities shall cooperate with the 
Agency in this task.  

3.  On  the  basis  of  the  Agency’s  recommendations  and  in  accordance  with  the 
procedure described in Article 27(2), the Commission shall adopt the reference 
document as well as any decision to update. 

Article14b 
Maintenance of the rolling stock 

1.  Whenever  an  item  of  rolling  stock  is  placed  in  service,  a  legal  entity  to  be 
responsible  for  maintenance  shall  be  designated  for  each  vehicle.  This  entity 
may be the railway undertaking itself, one of its subcontractors or the keeper of 
the vehicle. 

2. 

In order to demonstrate, in the context of the safety certification provided for in 
Article  10,  that  the  rolling  stock  is  being  maintained  in  accordance  with  the 
requirements  in  force,  the  railway  undertaking  shall  give  details  of  the  legal 
entities on which responsibility  for  maintenance has been conferred  and  shall 
provide  documentation  explaining  the  procedures  applied  by  those  entities  in 
carrying out such maintenance. 

3.  Where  a  railway  undertaking  uses  wagons  belonging  to  several  keepers  and 
where responsibility for maintenance has been conferred on those keepers, the 
railway  undertaking  shall  put  in  place  the  procedures  needed  to  verify 
the 
compliance  with 
Commission  shall  establish  a  maintenance  certification  system  for  keepers 
based  on  a  recommendation  from  the  Agency.  This  measure,  designed  to 
amend  non-essential  elements  of  this  Directive,  by  supplementing  it,  shall  be 
adopted  in  accordance  with  the  regulatory  control  procedure  referred  to  in 
Article 27(2a).". 

in  force.  Where  appropriate, 

the  requirements 

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(9) 

Article 26 is replaced by the following: 

"Article 26 
Adaptation of the Annexes 

The  Annexes  shall  be  adapted  to  scientific  and  technical  progress.  This  measure, 
designed  to  amend  non-essential  elements  of  this  Directive,  shall  be  adopted  in 
accordance with the regulatory control procedure referred to in Article 27(2a).". 

(10) 

In Article 27, the following paragraph 2a is inserted: 

"Where  reference  is  made  to  this  paragraph,  Article  5a(1)  to  (4)  and  Article  7  of 
Decision  1999/468/EC  shall  apply,  having  regard  to  the  provisions  of  Article  8 
thereof.". 

(11) 

Annex VI, the text of which is reproduced in the Annex to this Directive, is hereby 
added. 

Article 2 
Transposition 

1. 

Member  States  shall  bring  into  force  the  laws,  regulations  and  administrative 
provisions necessary to comply with this Directive not later than [24 months after the 
entry  into  force  of  this  Directive].  They  shall  forthwith  communicate  to  the 
Commission  the  text  of  those  provisions  and  a  correlation  table  between  those 
provisions and this Directive. 

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

2. 

Member States shall communicate to the Commission the text of the main provisions 
of national law which they adopt in the field covered by this Directive. 

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

Article 3 

This Directive is addressed to the Member States. 

Article 4 

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Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

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Parameters to be checked in conjunction with the placing in service of existing rolling 
stock and the classification of the national rules 

ANNEX 

1. 

(1) 

LIST OF PARAMETERS 

Background information 

–  information relating to the national legal framework in force 

–  special national conditions 

–  maintenance book 

–  operational log book 

(2) 

Infrastructure characteristics 

–  pantographs 

–  on-board supply equipment and electromagnetic compatibility impact 

–  loading gauge 

–  miscellaneous  safety  equipment,  e.g.  control  and  command,  track-to-train 

communication systems 

(3) 

Rolling stock characteristics 

–  vehicle dynamics 

–  vehicle superstructure 

–  draw and buffer gear 

–  bogie and running gear 

–  wheel set / wheel set bearing 

–  brake equipment 

–  technical systems requiring monitoring; e.g. compressed air system 

–  front / side windows 

–  doors 

–  devices for passing 

–  control systems (software) 

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–  drinking water and wastewater systems 

–  environmental protection 

–  fire protection 

–  health and safety in the workplace 

–  tank and tank wagons 

–  pressure discharge containers 

–  load securing 

–  marking 

–  welding techniques 

2. 

CLASSIFICATION OF THE RULES 

The  national  rules  relating  to  the  parameters  identified  above  are  attributed  to  one  of  the 
following three groups. Rules and restrictions of a strictly local nature are not involved; their 
verification  involves  checks  to  be  put  in  place  by  mutual  agreement  between  the  railway 
undertakings and the infrastructure managers. 

Group A 

Group A covers: 

–  international standards, 

–  national rules deemed to be equivalent, in railway safety terms, to national rules of 

other Member States.  

Group B 

Group B covers all rules that do not fall within the scope of Group A or Group C, or that it 
has not yet been possible to classify in one of these groups.  

Group C 

Group  C  covers  rules  that  are  strictly  necessary  and  are  associated  with  technical 
infrastructure  characteristics,  in  order  to  ensure  safe  and  interoperable  use  in  the  network 
concerned (e.g. the loading gauge). 

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