Opinion of the European Economic and Social Committee - Proposal for a Directive of the European Parliament and of the Council amending Directive 2004/49/EC on safety on the Community's railways — COM(2006) 784 final — 2006/0272 (COD)
Date: 2007-07-11
Institutions: European Economic and Social Committee
Subjects: European Union Agency for Railways, approval, rail network, rail transport, technical regulations, technical standard, trans-European network, vehicle on rails

27.10.2007

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Official Journal of the European Union

C 256/39

Opinion of the European Economic and Social Committee on the

— ‘Proposal for a Directive of the European Parliament and of the Council on the interoperability

of the Community rail system’ (Codified version)

— ‘Proposal for a Regulation of the European Parliament and of the Council amending Regulation

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

— ‘Proposal for a Directive of the European Parliament and of the Council amending Directive

2004/49/EC on safety on the Community's railways’

COM(2006) 783 final — 2006/0273 (COD)

COM(2006) 785 final — 2006/0274 (COD)

COM(2006) 784 final — 2006/0272 (COD)

(2007/C 256/08)

On 16 January 2007 the Council decided to consult the European Economic and Social Committee, under
Articles 71 and 156 of the Treaty establishing the European Community, on the abovementioned proposals.

The Section for Transport, Energy, Infrastructure and the Information Society, which was responsible for
preparing the Committee's work on the subject, adopted its opinion on 19 June 2007. The rapporteur was
Mr Confalonieri.

At its 437th plenary session, held on 11 and 12 July 2007 (meeting of 11 July), the European Economic
and Social Committee adopted the following opinion by 137 votes with 2 abstentions

1. Conclusions and recommendations

1.1

The proposals:

1.3
increase
The EESC believes that this simplification will
the use of the European rail system by shifting demand away
from other transport modes, while also helping to improve the
environment and using the energy sources advocated in the EU's
energy plans.

— amending Regulation (EC) No 881/2004 establishing a

European Railway Agency;

— amending Directive 2004/49/EC on safety on the Communi-

ty's railways;

— for a Directive of

Council on the interoperability of
system;

the European Parliament and of

the
the Community rail

appear to be in line with the intention to facilitate access for
operators to the European rail system.

They:

— simplify the certification procedures for rolling stock on the

interoperable system;

The EESC calls for the process of extending application
1.4
of European interoperability standards and dividing certification
checks between national and Community bodies not to give rise
to safety risks.

1.5
In particular, the EESC recommends that the boundaries
between the remits of the different bodies introduced by the
new system be carefully managed.

The EESC believes

1.6
for wagons and passenger
that,
carriages placed in service after the Directive has entered into
force, a single authorisation for placing in service issued by one
EU Member State should suffice. The new Regulation on the
European Agency will enable railway operators,
infrastructure
managers and wagon keepers, and, most importantly, national
certification bodies, to:

— standardise most of the checks carried out at national level
on rolling stock, maintenance procedures and running and
maintenance operators;

— speed up certification;

— create a system for comprehensive comparison between
national certification rules, including elements not covered
by TSIs (Technical Specification for Interoperabiity).

— reduce the number of checks, eliminating national duplica-

tion in respect of joint standards;

The EESC supports the objective of simplifying the

1.2
procedure for placing stock in service.

— operate in an unambiguous legislative framework, with the
option of using the Agency's technical recommendations.

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1.7
the
The EESC notes that, with the action planned,
Agency will become the system authority for the setting-up of
the European rail system (comprising the HS (High Speed)
network, trans-European transport corridors and, in the future,
the whole of the remaining national networks), thanks to coor-
dination and extension of the ERTMS (European Railway Traffic
Management System) system, with publication of the cross-refer-
encing system for national rules and the provision of technical
support to national certification bodies.

1.8
The gradual development of the European Agency's role
in guiding and monitoring the rail interoperability process and
technological developments will have to be mirrored by some
change in the roles of national certification bodies.

1.9
The EESC asks the Commission to consider the case for
establishing a European register of safety problems regarding rail
traffic,
jointly agreed by the Member States, to provide basic
data for setting joint parameters.

The hoped-for result

1.10
is the creation of a European
market in rolling stock, rolling-stock and system-maintenance
activities and human resources for the management of transport
services.

1.11
This will be a unique opportunity for European rolling
stock manufacturers, particularly if the technical decisions on
TSIs safeguard the possibility of keeping enough manufacturers
to ensure a competitive European market for rolling stock (and
maintenance thereof).

order to point both national and Community measures towards
the European safety system.

The possibility of

requesting opinions

1.17
from the
European Agency, even where they might conflict with the
evaluations of national certification bodies, should be extended
to all stakeholders. In particular, Community rail undertakings
and the sector's trade union organisations should be granted
this possibility.

2. Reasons and observations

2.1 Main points and general context of the proposal

2.1.1
The gradual establishment of a European railway area
to govern
without
frontiers demands
safety- and management-related aspects and system access
procedures.

regulations

technical

2.1.2
Council Directive 91/440/EEC of 29 July 1991,
Council Directive 95/18/EC of 19 June 1995, and European
Parliament and Council Directive 2001/14/EC of 26 February
2001, on the development of the Community's railways, all
provide for the gradual opening-up of rights of access to the
Community infrastructure for any Community railway undertak-
ings holding a licence issued by a Member State and wishing to
supply freight transport services, within a new frame of refer-
ence.

1.12
The EESC is concerned that, in the case of rolling stock
placed in service before the Directive enters into force and not
bearing an ‘EC’ declaration of verification,
implementing the
railway safety directive should not create more red tape for
railway operators.

The dual objectives of

2.1.3
safety and interoperability
generate technical tasks that must be managed by a specialised
body. It was for this purpose that the European Railway Agency
for safety and interoperability was set up.

1.13
tion bodies in ESS countries should be provided for.

The EESC believes that the creation of national certifica-

1.14
Analysis of derogations from TSIs should specifically
include assessment, as regards the cost-effectiveness of a project,
of the impact of Community co-financing on the economic
viability of the project.

1.15
The EESC believes that an analysis of derogations
should be carried out not for each individual TSI but for the
system of TSIs as a whole.

1.16
be applied when the Agency publishes TSIs.

The EESC recommends that the current language rules

It believes that the Agency's assessments and opinions should
be requested for all construction or renewal measures, even
in
where these are not funded by the European Community,

2.1.4

The Agency's main areas of activity are:

— promoting the establishment of a European railway area,
contributing to an upturn in the sector and improving
safety;

— developing
methods;

indicators, objectives

and common safety

— facilitating procedures for the issue of safety certificates to

railway undertakings;

— securing a maximum of transparency and the efficient disse-

mination of information;

— giving continuity to activities and to the development over
time of the TSIs within a permanent technical framework;

— enhancing

the

trans-European
network by approving new Community-backed investment
projects that promote interoperability;

interoperability of

the

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— assisting with the establishment of a certification system for

maintenance workshops;

2.2.4
The Agency is to make recommendations on common
criteria for defining professional skills and assessing staff for
management and maintenance activities.

— supplying the technical support needed to ensure that the
necessary professional qualifications for train drivers are
given due consideration at European level;

2.2.5
ERTMS project.

The Agency is to take on the role of authority for the

— supplying technical support for the establishment of a regis-
tration system for recognition of the suitability of rolling
stock for use in specified conditions;

2.3 Interoperability

— ensuring maximum transparency and equal access for all

parties to relevant information;

— encouraging the promotion of innovation in railway safety

and interoperability.

2.1.5
National procedures for the approval of locomotives
are currently viewed as one of the main barriers to the establish-
ment of new railway undertakings in the freight transport sector
and as a major obstacle to the interoperability of the European
railway system.

2.1.6
As no Member State can decide autonomously that its
own operating authorisation should be valid in other Member
States, a Community initiative is necessary to harmonise and
simplify national procedures and to enable more systematic
recourse to the principle of mutual recognition.

2.1.7
Furthermore, as part of the legislative simplification
programme, the Commission intends to consolidate and merge
the railway interoperability directives, with a view to establishing
a single set of rules for the European rail system.

2.1.8
tive by cutting costs for the railway sector.

These initiatives will make rail transport more competi-

2.2 European Railway Agency

2.2.1
The Agency is to facilitate the certification procedure
for existing rolling stock by providing a reference document
cross-referencing the national rules.

2.2.2
The Agency is to assess the interoperability aspect of
industry requests for Community financing for infrastructure
and rolling stock projects.

2.2.3
The Agency is to assess the relationship between
wagon keepers and railway undertakings (formerly the RIV
(Agreement between railway undertakings for the exchange and
use of wagons) agreement), in the field of maintenance in par-
ticular,
to the Commission
recommendations
regarding regulations.

and make

This proposal

2.3.1
is designed to simplify and modernise
the European legislative framework. It is in this context that the
consolidation and merger of the directives on railway interoper-
ability are proposed.

2.3.2 With its ten years' experience of
implementing the
interoperability directives, the Commission is also proposing
improvements to the technical part of the regulatory
several
framework.

2.4 Safety of the European rail system

2.4.1
The amendment of Article 14 of the railway safety
directive specifies which part of an authorisation must be
mutually recognised and which is strictly linked to the compati-
bility of
infrastructure
concerned.

the vehicle in question with the

2.4.2

The amendment to the legislation means that:

— every time a vehicle is brought into service a maintenance

supplier must be clearly identified;

— the railway undertaking must demonstrate that the wagons
it uses are operated and maintained in accordance with the
rules currently in force;

— railway undertakings must demonstrate the system and
procedures that they have put in place to ensure that the use
jeopardise
from different keepers does not
of wagons
railway safety;

— the Agency is to assess the procedures put in place by the
railway companies to manage their relations with the wagon
keepers.

3. General comments

3.1 European Railway Agency

3.1.1
elements play a part in the system's safety.

The nature of the railway system is such that all the

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3.1.2 While the Agency's
scope is expanding from the
interoperable system to the safety system, in time its responsi-
bility will also extend to all elements of the system.

Member State, will have a major economic impact on the plan-
ning of
in the
various countries.

technological and infrastructural

investment

3.1.3
single Community system and a single Railway Agency.

It appears that at the end of the process there will be a

3.2.6
It would appear that an economic assessment of the
impact of the new TSIs is necessary for each Member State, to
underpin the assessment of whether adoption is appropriate.

3.1.4
one of the necessary steps in this direction.

The regulatory comparison phase should be viewed as

3.1.5
The varying impact that decisions on TSIs and new
certification procedures will have on the various Member States,
the infrastructure managers,
the railway companies and the
wagon keepers and final customers should be assessed.

The need to protect

3.1.6
the
various national networks and market operators must not be
overlooked, particularly in the harmonisation phase for tech-
nical standards and certification procedures.

the economic balance of

The Agency should be given responsibility for directing
3.1.7
technological choices for a network open to interoperability,
now and in the future, not only through financial incentives.

3.1.8
It should be borne in mind that, according to the
provisions of the draft interoperability directive, the Agency's
responsibilities will eventually expand to include the entire
Community rail network.

3.2 Interoperability

3.2.1
tional systems when they are comparable.

The draft directive simplifies the TSIs for HS and tradi-

3.2.2
the TSIs
The draft directive extends the scope of
beyond the HS network and the TEN (Trans European Network)
corridors to cover all national networks, with certain excep-
tions.

3.2.3
This marks a crossroads in the European railway
system technological development policy with a view to estab-
lishing a single European network. The resulting economic and
strategic impact is greater than suggested in the explanatory
memorandum.

3.2.7
This evaluation should be carried out differently for
TSIs with an impact on public investment in the Member States
and for TSIs with an impact on investments by railway under-
takings and private operators.

3.2.8
Extending the scope of the TSIs to the entire European
rail network, with exceptions, also implies a new system of rela-
tionships between the European Railway Agency and certifica-
tion bodies in the individual Member States.

3.2.9
These bodies will most likely concentrate their efforts
on certification activities for undertakings and operators rather
than on managing the development of technological standards.

3.2.10
number of
circulation of interoperable rolling stock.

The amendment of the safety directive is one of a
facilitating the

technical modifications aimed at

3.2.11 Meanwhile, the newly defined concept of a wagon
‘keeper’ is introduced.

The organisation of

the rolling stock certification
3.2.12
process is such that the same stock will be assessed by different
bodies depending on the various technical aspects.

3.2.13
one of the national certification bodies.

The aspects included in the TSIs will be certified by

3.2.14
The additional national aspects will be checked by the
national certification body for the network concerned. The
national certification body will take note of Community certifi-
cations, check specific national certifications and issue the safety
document. It has the power to reject the certification request
and therefore remains responsible for the consistency of all the
certified elements.

3.2.4
Responsibility for decisions on the type of TSIs to
apply to new projects and major renovations to the existing
infrastructure will fall largely on the Community's shoulders.

3.2.15
appeal body at the end of the certification request process.

The European Railway Agency acts as an independent

3.2.5
Community decisions on the definition and develop-
ment of the TSIs, in relation to the current situation in each

3.2.16
The Committee has no other comments besides those
general remarks already made above (under the Interoperability
and Agency sections).

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4. Specific comments

4.1 European Railway Agency

4.1.1
Ar ticle 8a: The Agency is on the one hand to create
and update a reference document cross-referencing national
rules for each parameter (paragraph 2) and, on the other, to
provide only technical opinions on:

— equivalence of rules;

— requests for complementary information;

— the grounds for refusing authorisation.

The Agency's work would be more effective if these opinions
were binding and could be requested by stakeholders as well:
infrastructure managers, railway companies, wagon keepers.

4.1.2
Ar ticle 15: The Agency's responsibilities should be
extended to all renewal, upgrading or construction projects
concerning parts of infrastructure subject to current or future
TSIs.

4.1.3
Ar ticle 16a: Assessment criteria need to be given to
the Agency for choosing between ‘voluntary or mandatory’
systems of certification, based on:

— safety levels;

— transparency of relationships between undertakings;

— transparency of the market and regulation.

Brussels, 11 July 2007.

Any implications of the certification system for railway compa-
nies which are wagon keepers must be highlighted.

Ar ticle 18:

It must be stressed that, when drawing
4.1.4
up registration application forms, the Agency should endeavour
to keep specifications which are not included in the common
sections to a minimum.

Ar ticle 21b: The Agency's powers

seem to be
4.1.5
commensurate with its goals. The subsidiarity principle is not
upheld.

4.2 Interoperability

4.2.1
Ar ticle 1: Where extension of TSIs to the European
Economic Area is provided for, this must be mirrored by provi-
sion for recognition of national certification bodies.

4.2.2
Ar ticle 6: The freedom granted to the Agency as
regards the language rules for publishing the technical annexes
of TSIs is not conducive to easy, shared access to Community
legislation on interoperability.

4.2.3
Ar ticle 7: The concept of derogation seems very
broad, particularly as regards financial considerations, as there is
no requirement to take into account the impact of Community
financing on an economic viability study. It would be better to
apply the derogation system to the entire set of TSIs relating to
the project in question than to apply derogations to individual
TSIs.

The President

of the European Economic and Social Committee

Dimitris DIMITRIADIS