Proposal for a DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a single European railway area
Date: 2010-09-17
Institutions: European Commission
Subjects: carriage of passengers, common transport policy, international transport, rail transport, transport safety

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EUROPEAN COMMISSION 

Brussels, 17.9.2010 
COM(2010) 475 final 

2010/0253 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

establishing a single European railway area 

(Recast) 

SEC(2010) 1043 
SEC(2010) 1042 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

1.1. 

Background 

After enjoying great prosperity during the 19th century and the first half of the 20th century, 
the railway sector fell into decline due to the increasing popularity of cars and air travel from 
1970 onwards. In order to halt this decline the European Community has adopted a number of 
legislative measures aimed at reviving the railways by gradually creating a “single European 
railway area”. The first railway package presented by the Commission in 1998 and adopted at 
the end of 2000 signalled the desire of both national and European policymakers to reform the 
regulatory  framework  to  ensure  the  railway  sector's  integration  at  European  level  and  to 
enable it to face up to the competition from other transport modes on the best possible terms.  

The first railway package consists of three Directives: 

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Directive  2001/12/EC  of  the  European  Parliament  and  of  the  Council  of 
26 February 20011, which amended a pre-existing Council Directive of 29 July 1991 
on the development of the Community’s railways2;  

Directive  2001/13/EC  of  the  European  Parliament  and  of  the  Council  of 
26 February 20013, which amended a pre-existing Council Directive of 27 June 1995 
on the licensing of railway undertakings4; and  

Directive  2001/14/EC  of  the  European  Parliament  and  of  the  Council  of 
26 February 2001 on the allocation of railway infrastructure capacity and the levying 
of charges for the use of railway infrastructure5. 

The entry into force of these Directives in 2003 has had a far-reaching impact on how to do 
rail  business  in  the  European  Union  (EU).  There  are  two  distinct  actors  –  railway 
undertakings and infrastructure managers. Railway undertakings licensed in accordance with 
EU criteria should be able to access railway infrastructure on fair, non-discriminatory terms 
and to offer pan-European services. Infrastructure managers may charge for the use of their 
networks  and  must  supply  a  minimum  level  of  service  including  access  to  certain  facilities. 

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OJ L 75, 15.3.2001, p. 1, as amended by Directive 2004/51/EC of the European Parliament and of the 
Council  of  29  April  2004  (OJ  L  164,  30.4.2004,  p.  164),  Council  Directive  2006/103/EC  of 
20 November 2006 (OJ L 363, 20.12.2006, p. 344), Directive 2007/58/EC of the European Parliament 
and  of  the  Council  of  23  October  2007  (OJ  L  315,  3.12.2007,  p.  44)  and  by  the  Act  concerning  the 
conditions  of  accession  of  the  Czech  Republic,  the  Republic  of  Estonia,  the  Republic  of  Cyprus,  the 
Republic  of  Latvia,  the  Republic  of  Lithuania,  the  Republic  of  Hungary,  the  Republic  of  Malta,  the 
Republic  of  Poland,  the  Republic  of  Slovenia  and  the  Slovak  Republic  and  the  adjustments  to  the 
Treaties on which the European Union is founded (OJ L 236, 23.9.2003, p. 33). 
Council Directive 91/440/EEC (OJ L 237, 24.8.1991, p. 25). 
OJ L 75, 15.3.2001, p. 26, as amended by Directive 2004/49/EC of the European Parliament and of the 
Council of 29 April 2004 (OJ L 220, 21.6.2004, p. 16). 
Council Directive 95/18/EC (OJ L 143, 27.6.1995, p. 70). 
OJ  L  75,  15.3.2001,  p.  29,  as  amended  by  Commission  Decision  2002/844/EC  of  23  October  2002 
(OJ L 289, 26.10.2002, p. 30), Directive 2004/49/EC of the European Parliament and of the Council of 
29 April 2004 (OJ L 164, 30.4.2004, p.44) and Directive 2007/58/EC of the European Parliament and of 
the Council of 23 October 2007 (OJ L 315, 3.12.2007, p. 44). 

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The  Directives  define  access  rights  for  rail  freight  and  passenger  services  and  certain 
safeguards with respect to the management of railway undertakings to ensure that competitors 
have non-discriminatory access to the network. The Directives also provide guidance on how 
independent  national  rail  regulatory  bodies  should  be  set  up  in  order  to  ensure  non-
discriminatory access and to monitor competition on the rail markets. 

With  this  new  regulatory  framework,  the  railway  industry  has  managed  to  stabilise  the 
volumes transported and, in some Member States, to recover market share from the roads. The 
fall in employment had also slowed down before the onset of the crisis. However, the growth 
of rail freight in terms of tonnes transported during recent years has not been strong enough to 
recover the market share of 2.3 percentage points lost between 1995 and 2003. If the observed 
trend  continues,  the  overall  modal  share  of  rail  freight  will  not  improve.  For  rail  passenger 
transport the decline over the last three decades has been less dramatic than for freight. Rail's 
share of the total passenger transport market decreased from 10.2% in 1970 to 6.1% in 2003 
in  the  EU-15  (in  terms  of  passenger-kilometres).  In  the  EU-27,  the  share  of  rail  passenger 
transport dropped from 6.6% in 1995 to 5.9% in 2003. Since then it has recovered slightly and 
stabilised. 

The  current  economic  climate  is  exacerbating  the  weak  performance  of  the  rail  market. 
Freight services (including rail) have recently suffered a significant drop in activity (between 
20%  and  50%  depending  on  the  market  segment)  and  passenger  service  activity  has  also 
slowed.  Stakeholders  have  indicated  that  national  recovery  plans  are  not  producing 
investment as rapidly as had been hoped and that major job cuts are anticipated, particularly 
in the freight sector. 

1.2. 

Problems to be addressed 

The development of the railway sector and its capacity to compete viably with other modes of 
transport  are  still  hampered  by  serious  problems  related  to  (a)  inadequate  financing  and 
pricing of the infrastructure, (b) persistent barriers to competition and (c) lack of appropriate 
regulatory oversight. 

(a) 

(b) 

The level of investment in rail infrastructure development and maintenance remains 
insufficient  in  a  large  number  of  Member  States.  In  many  cases,  the  quality  of  the 
existing  infrastructure  continues  to  decline.  The  underinvestment  observed  at 
national  level  is  partly  due  to  the  absence  of  clear  investment  plans  and  long-term 
strategies. Poor maintenance, slow modernisation and increasing bottlenecks on the 
network have a direct effect on rail undertakings as they fail to keep pace with other 
modes  of  transport  and  to  attract  investment.  The  inadequate  level  and  structure  of 
infrastructure  access  charges  in  many  Member  States  tends  to  aggravate  these 
difficulties. 

Competition between railway undertakings is limited by various factors. Insufficient 
transparency of market conditions and a poorly functioning institutional framework 
continue  to  make  it  difficult  for  new  entrants  to  provide  competitive  rail  services. 
Another important element is the persistent discrimination faced by new entrants in 
gaining  access  to  rail-  related  services  which  are  often  owned  and  operated  by  the 
incumbent rail undertakings. And discrimination can still be found in the conditions 
of access to the infrastructure (path allocation and charging). 

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The  problems  mentioned  above  are  aggravated  by  difficulties  which  regulatory  bodies 
encounter  in  carrying  out  their  oversight  duties,  in  particular  to  ensure  non-discrimination 
between  rail  undertakings  and  to  check  whether  charging  principles  are  properly  applied  or 
whether separation of accounts is fully respected. These difficulties are often due to a lack of 
qualified  staff  and  other  resources.  In  several  cases,  insufficient  independence  from  the 
infrastructure  managers,  the  incumbent  rail  undertaking  or  the  ministry  which  exerts 
ownership rights over the incumbent operator is an aggravating factor. 

Full  implementation  of  the  existing  legislation  will  contribute  very  substantially  towards 
resolving  these  problems.  The  Commission  has  therefore  moved  to  ensure  that  the  existing 
legislation is enforced by bringing infringement procedures against Member States who have 
incorrectly or incompletely transposed it.  

However  there  are  weaknesses,  ambiguities  and  gaps  in  the  current  regulatory  framework 
which need to be addressed to meet fully the initial objectives of the legislation. A recast of 
the first railway package is considered by the Commission as one of the ways to tackle them. 

2. 

OBJECTIVES OF THE PROPOSAL 

2.1. 

General Objectives 

The main objective of the European Union’s transport policy is to establish an internal market 
by  developing  common  policies  to  promote  a  high  degree  of  competitiveness  and  the 
harmonious,  balanced  and  sustainable  development  of  economic  activities.  Complementing 
and  strengthening  existing  measures  adopted  at  EU  level  in  the  rail  sector,  the  proposal  to 
recast the first railway package will contribute to this objective by facilitating the integration 
and development of the European rail market.  

The creation of a genuine internal market is fundamental to the revitalisation of the railway 
sector  and  will  help  to  boost  the  competitiveness  of  rail  freight  and  passenger  transport 
services, thereby increasing  their  attractiveness and  modal  share.  Because  of  rail  transport’s 
higher  energy  efficiency  (especially  when  compared  to  road  transport),  a  shift  in  the  modal 
  emissions  and  reduce  other 
share  of  transport  from  road  to  rail  will  result  in  fewer  CO2
pollutants. 

2.2. 

Horizontal Objectives 

The aim of simplifying, clarifying and modernising the regulatory environment in Europe is 
central to the work of the Commission. With this cross-cutting strategic objective in mind, the 
Commission  is  pursuing  a  far-reaching  Better  Regulation  agenda  with  a  view  to  making 
progress towards the Europe 2020 strategy. 

Legal  simplification  through  consolidation  and  merger  is  the  first  horizontal  objective 
underpinning  this  recast  initiative.  Elimination  of  existing  cross-references  of  the  three 
Directives  through  restructuring  and  merging  into  a  single  rail  access  code  would  be 
instrumental in attaining this objective. 

Secondly,  the  Commission  considers  that  clarification  of  some  provisions  of  rail  access 
legislation  would  facilitate  proper  transposition  and  efficient  implementation  of  European 
Union law in all Member States. As noted above, some provisions of the first railway package 
are ambiguous and do not sufficiently define means of implementation. 

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Finally,  there  is  a  need  to  modernise  the  legislation  by  eliminating  outdated  provisions 
(which  were  historically  relevant  prior  to  full  market-opening  and  may  be  connected  to  the 
traditional fusion of operator and infrastructure manager) and by introducing new provisions 
which  respond  more  appropriately  to  the  functioning  of  the  market  today  (for  instance, 
relating to new entrants and full or partial State ownership of infrastructure). 

2.3. 

Specific Objectives 

The  proposed  recast  of  the  first  railway  package  encompasses  (a)  the  adequate  financing  of 
and charging for rail infrastructures, (b) the conditions of competition on the railway market, 
and (c) the organisational reforms needed to ensure appropriate supervision of the market. 

(a) 

(b) 

(c) 

Ensuring  adequate,  transparent  and  sustainable  funding  of  the  infrastructure  and, 
thanks  to  better  predictability  of  the  infrastructure  development  and  access 
conditions,  facilitating  investments  by  railway  undertakings,  together  with  a  more 
appropriate 
the 
competitiveness of rail operators vis-à-vis other transport modes and contributing to 
the  internalisation  of  environmental  costs  constitute  the  first  objective  of  the 
proposed recast. 

level  and  structure  of 

infrastructure  charging, 

improving 

Avoiding  distortions  of  competition  due  to  the  use  of  State  funds  for  commercial 
activities,  preventing  commercially  sensitive  information  from  being  collected  by 
incumbents  and  used  against  their  potential  competitors,  eliminating  conflicts  of 
interest  in  the  management  of  rail-related  services  and  increasing  their  availability 
for  new  entrants  as  well  as  increasing  market  transparency  to  ensure  effective 
competition are a second set of objectives. 

Regarding regulatory oversight, the proposed recast intends to ensure that regulatory 
bodies  are  in  a  position  to  carry  out  their  duties  effectively,  thanks  to  reinforced 
independence, extended competencies, and additional means at their disposal. 

3. 

IDENTIFICATION OF THE PROPOSED MODIFICATIONS 

3.1. 

Preliminary Screening 

Based on extensive research and evaluation, the Commission identified a range of measures 
that  could  potentially  contribute  to  achieving  each  of  the  objectives  outlined  in  the  above 
section. On the basis of studies carried out over several years6 and taking into account input 
from stakeholders, the Commission came up with 37 measures. A thorough pre-screening of 
these  37  measures  resulted  in  the  selection  of  a  package  of  26  measures.  The  pre-screening 
process  involved  two  steps  –  first,  taking  into  account  the  results  of  the  stakeholders’ 
consultation  and  second,  carrying  out  an  independent  assessment  of  the  measures  based  on 
five  criteria  (effectiveness,  implementation  time,  efficiency,  administrative  feasibility  and 
consistency with the existing legal framework). 

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Notably,  the  Report  from  the  Commission  on  the  implementation  of  the  first  railway  package  (cited 
above), Communication of the Commission on monitoring development of the rail market, studies on 
multi-annual contracts and rail related services. 

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3.2. 

External expertise and stakeholders’ consultation 

Following  the  decision  to  carry  out  an  impact  assessment  for  an  initiative  to  recast  the  first 
railway package, an external study was commissioned to PriceWaterhouseCoopers Advisory 
(PWC)  in  the  context  of  DG  TREN’s  Framework  Contract  TREN/A2/143-2007  regarding 
Impact Assessment and Evaluations. 

A  stakeholders’  consultation  involving  almost  380  organisations  from  the  EU-25  (EU-27 
excluding Cyprus and  Malta,  which  have no railways) was carried out  in  the context  of the 
external  study  undertaken  by  PWC.  Stakeholders  were  asked  to  highlight  specific  barriers 
that, from their point of view, hinder the full opening of the international rail market and the 
development of rail-related services. In addition, stakeholders were invited to identify areas of 
the  EU  legislative  framework  that  could  be  improved  and  to  give  their  opinions  on  the 
potential effectiveness of the measures envisaged. 

3.3. 

Impact Assessment  

Based on the external study mentioned above as well as the conclusions of the stakeholders' 
consultation  process,  the  Commission  made  a  quantitative  and  qualitative  assessment  of  the 
impact of the whole package of pre-selected measures. Where they had not previously been 
subject  to  impact  assessment,  this  evaluation  examined  alternative  options  for  the  new 
measures envisaged to modernise the existing regulatory framework. 

3.4. 

Subsidiarity 

Problems  affecting  the  railway  sector  involve  transnational  aspects  that  require  action  to  be 
taken at EU level. The lack of coordination in the relationships between Member States and 
other  actors  reduces  the  efficiency  of  international  rail  transport,  risking  a  shift  from  rail 
traffic  to  road  transport  which  would  result  in  increased  congestion  and  pollution. 
Clarification of the regulatory framework for rail market access in order to facilitate market 
entry and competition as well as to develop rail service markets including those linked to rail 
transport provision can be better achieved by the Union than by Member States individually. 

4. 

COMMENTS ON THE MAIN MODIFICATIONS PROPOSED  

4.1. 

Separation of accounts (Article 6) 

The new provisions clarify the necessary separation in railway undertaking accounts to ensure 
appropriate  transparency.  They  make  it  compulsory  to  have  separate  accounts  for  activities 
that  enjoy  a  legal  monopoly  in  contrast  to  activities  that  are  subject  to  competition.  This 
measure is a safeguard against State funds devoted to unprofitable activities being shifted to 
subsidise  commercial  activities  and  is  thereby  necessary  for  avoiding  distortion  of 
competition. 

4.2. 

Independence of essential functions (Article 7) 

The  proposed  deletion  abolishes  the  possibility  to  assign  to  railway  undertakings  the 
collection of rail infrastructure charges. This measure would contribute to fair competition by 
preventing certain railway undertakings (incumbents) from obtaining access to commercially 
sensitive information about train path specifications from the invoice for competing railway 

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undertakings  (new  entrants).  It  also  provides  an  additional  incentive  for  sound  and  non-
discriminatory financial management of infrastructure. 

4.3. 

Infrastructure development strategy (Article 8) 

Under  this  article  Member  States  will  be  obliged  to  publish  medium  to  long-term  railway 
sector  development  strategies  that  make  it  possible  to  meet  future  mobility  needs  and  are 
based  on  sound  and  sustainable  financing  of  the  railway  system.  It  will  stimulate  long 
lifecycle investments on which the rail industry relies. Long-term commitments are necessary 
for attracting new actors to the market and for developing new services. 

4.4. 

Rail-related services (Article 13) 

The proposed changes relate to the modernisation of rail-related services and are twofold. 

requirements 

independence 

Firstly, 
legal,  organisational  and  decision-making 
independence)  for  the  management  of  service  facilities  and  for  rail  transport  provision  are 
introduced to eliminate conflicts of interest between, on the one hand, the rail-related service 
providers  or  owners  of  the  service  facilities  and,  on  the  other  hand,  incumbent  railway 
undertakings. This measure will help to ensure non-discriminatory access to service facilities.  

(i.e. 

The second measure proposed in Article 13 is the introduction of 'Use-it-or-lose-it' provisions 
for the management of rail-related service facilities. If a service facility is not in use, it must 
be  made  available  by  its  owner  (on  a  rent  or  lease  basis)  to  another  interested  party.  This 
measure increases the availability of facilities in the market by avoiding problems of artificial 
saturation. 

4.5. 

Cross-border agreements (Article 14) 

The proposed provisions clarify general principles applying to cross-agreements between rail 
undertakings, between Member States and between Member States and third countries. They 
also  entail  notification  and  cooperation  procedures  allowing  the  Commission  to  ensure  that 
agreements comply with European Union law. 

4.6.  Market monitoring (Article 15) 

The aim is to make it clear that the rail market monitoring tasks of the Commission will cover 
items such as rail infrastructure investments, price developments and quality of rail transport 
services and public service obligations for rail passenger transport, and that relevant data must 
therefore be supplied by Member States as detailed in the new Annex IV. This measure will 
help identify bottlenecks of the service market. 

4.7. 

Network Statement Publication (Article 27) 

The proposed provisions clarify the appropriate ways and means for publication of network 
statements by infrastructure managers. Publishing network statements in a second official EU 
language and in an electronic form on the portal of the European Railway Agency (ERA) will 
enhance the accessibility of network statements and thereby improve transparency. 

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4.8. 

Information on charging systems (Article 29) 

To  increase  transparency  in  the  use  of  State  funds,  it  is  proposed  to  require  that  Member 
States' charging frameworks and rules be published in network statements.  

4.9. 

Contracts  between  competent  authorities  and 
(Article 30) 

infrastructure  managers 

The proposed changes detail the process for developing and managing contractual agreements 
between the national competent authorities and infrastructure managers on infrastructure costs 
and  access  charges.  In  particular  the  regulatory  body  is  empowered  to  assess  the 
appropriateness of the envisaged medium to long-term budgetary envelope for the high-level 
infrastructure  output  specifications  for  the  same  period  (performance  targets).  Such 
independent  assessment  can  diminish  the  risk  of  the  incumbent  railway  undertakings  using 
their political strength to influence the agreements. 

4.10. 

Principles of charging (Article 31) 

The content of Article 31 is modified to introduce two separate measures: 

The  first  measure  has  to  do  with  differentiation  of  track  access  charges  based  on  the  noise 
emission characteristics of the rolling stock making up the train. This will constitute a clear 
incentive  to  modernise  the  infrastructure  and  in  particular  to  invest  in  more  sustainable  rail 
technologies. 

To improve transparency of charges, it is made clear that service providers must also provide 
information on charges for rail-related services to be published by infrastructure managers in 
their network statement.  

4.11.  Exceptions to charging principles (Article 32) 

To  improve  the  coherence  of  national  track  access  charging  schemes,  the  introduction  of 
common  criteria  for  identifying  "market  segments"  on  which  services  might  be  able  to  pay 
mark-ups is proposed. The criteria in question are set out in Annex VIII, paragraph 3.  

To shorten the transition period during which lines are equipped with both national signalling 
systems  and  the  European  Train  Control  Systems  (ETCS)  and  thereby  reduce  the 
infrastructure  maintenance  costs,  it  is  proposed  to  lower  infrastructure  access  charges  for 
ETCS equipped trains. 

4.12.  Cooperation between infrastructure managers (Article 37) 

As for the allocation of infrastructure capacities under Article 40, the new Article 37 proposes 
to introduce new measures to ensure that infrastructure managers cooperate for the setting of 
charging systems on more than one network. 

4.13.  Regulatory bodies (Article 55) 

It is proposed to modernise the provisions on regulatory bodies' independence by stipulating 
clearly that they must be independent from any other public authority. Ensuring independence 
of regulatory bodies, in particular from the public authority that exercises the ownership rights 

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of  the  incumbent  railway  undertaking,  will  reduce  the  potential  for  conflict  of  interest  and 
thereby enhance their oversight capacity and credibility. 

4.14. 

Functions of the regulatory body (Article 56) 

Three  measures  proposed  in  Article  56  consist  in  extending  the  competencies  of  regulatory 
bodies. (1) Their competences will explicitly cover decisions related to access to and charging 
for rail-related services which are essential to allow market entry and ensure fair competition. 
(2) To improve accounting separation, prevent State funds devoted to unprofitable activities 
from  being  shifted  to  finance  commercial  activities  and  thereby  avoid  unfair  competition; 
regulatory bodies will also have the power to carry out audits or to initiate external audits with 
the  railway  undertakings  and  infrastructure  managers  to  verify  compliance  with  accounting 
separation provisions. (3) Finally, to allow regulatory bodies to operate more effectively, cost-
accounting  data  are  to  be  provided  by  infrastructure  managers  in  an  aggregated  and 
standardised format as 'regulatory accounts'. 

4.15.  Cooperation between regulatory bodies (Article 57) 

To enhance cross-border cooperation and improve market entry conditions, regulatory bodies 
will have to cooperate for the adoption of decisions on access or charging issues relating to 
international  services.  In  this  context,  the  decision-making  process  must  allow  regulatory 
bodies to exchange information in due time. 

4.16.  Classification of rail-related services (Annex III) 

The  definition  of  the  use  of  electrical  supply  equipment  for  traction  current  as  part  of  a 
minimum  access  package  would  ensure  that  such  services  are  subject  to  non-discrimination 
requirements. In addition the obligation to show separately the charges for using the electrical 
supply  equipment  and  for  traction  current  will  provide  more  transparency  in  the  costs  of 
network  operation  and  therefore  will  give  more  incentive  for  the  infrastructure  managers  to 
reduce the cost of provision of infrastructure. 

4.17.  Content of the network statement (Annex VI) 

The  measures  proposed  in  Annex  VI  clarify  the  content  of  network  statements  in  order  to 
strengthen their effectiveness and enhance transparency within the railway market. The new 
provisions stipulate in particular that infrastructure managers must publish (1) a template form 
for capacity requests, (2) detailed information about international path allocation procedures, 
(3)  information  relating  to  railway  licence  and  rail  safety  certificate  applications,  (4) 
information about procedures for dispute resolution and appeal relating to market access and 
(5)  information  on  access  to  rail-related  service  facilities  (beyond  the  tariff  information 
currently required). 

4.18.  Contractual agreements (Annex VII) 

The  new  Annex  VII  clarifies  the  content  and  functioning  of  the  contractual  agreements 
provided  for  under  Article  30  to  stimulate  the  introduction  of  long-term  strategies  for  the 
development of railways. 

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4.19. 

Infrastructure costs and charges requirements (Annex VIII) 

To  contribute  to  sound  and  sustainable  financing  of  railway  systems,  the  new  Annex  VIII 
clarifies certain provisions of Article 31. This includes detailing (1) the costs that must not be 
included  in  the  calculation  of  direct  costs  of  the  minimum  access  package  and  track  access 
services  (as  defined  in  Annex  III,  paragraphs  1  and  2)  and  the  criteria  for  identification  of 
market segments on which services might be able to pay mark-ups, (2) the requirements for 
differentiation  of  track  access  charges  based  on  the  noise  emission  characteristics,  (3)  how 
infrastructure managers will define market segments to evaluate the possibility of introducing 
mark-ups, and (4) the main characteristics and general principles of performance regimes.  

4.20.  Regulatory accounts (Annex X) 

The new Annex X details the common standardised format for the submission of regulatory 
accounts.  This  measure  would  ensure  that  regulatory  bodies  are  in  a  position  to  analyse 
infrastructure managers' information in detail and facilitate their supervisory activities. 

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(cid:208) 2004/49/EC Art. 30.1 (adapted) 

2010/0253 (COD) 

Proposal for a 

DIRECTIVE OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

⌦ establishing a single European railway area ⌫ 

(Recast) 

(Text with EEA relevance) 

(cid:208) 2001/14/EC (adapted) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  ⌦ on  the  Functioning  of  the  European  Union ⌫,  and  in 
particular Article ⌦ 91 ⌫ thereof, 

Having regard to the proposal from the ⌦ European ⌫ Commission , 

⌦ After transmission of the draft legislative act to the national Parliaments, ⌫ 

Having regard to the opinion of the ⌦ European ⌫ Economic and Social Committee7, 

Having regard to the opinion of the Committee of the Regions8, 

Acting in accordance with the ⌦ ordinary legislative ⌫ procedure, 

Whereas: 

(cid:216) new 

(1) 

Council  Directive  91/440/EEC  of  29  July  1991  on  the  development  of  the 
Community's railways9, Council Directive 95/18/EC of 19 June 1995 on the licensing 
of  railway  undertakings10  and  Directive  2001/14/EC  of  the  European  Parliament  and 
of the Council of 26 February 2001 on the allocation of railway infrastructure capacity 
and  the  levying  of  charges  for  the  use  of  railway  infrastructure11  have  been 
substantially amended in 2004 and 2007. Since further amendments are necessary and 

7 
8 
9 
10 
11 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ L 237, 24. 8.1991, p. 25. 
OJ L 143, 27.6.1995, p. 70. 
OJ L 75, 15.3.2001, p. 29. 

EN 

11 

   EN 

 
 
 
 
 
                                                 
given  the  link  between  these  legal  provisions,  those  Directives  should  be  recast  and 
merged into a single act in the interest of clarity. 

(2) 

Greater integration of the ⌦ Union ⌫ transport sector is an essential element of the 
⌦ completion  of  the ⌫  internal  market,  and  the  railways  are  a  vital  part  of  the 
⌦ Union ⌫ transport sector ⌦ moving towards achieving sustainable mobility ⌫ . 

(cid:208) 91/440/EEC recital 1 (adapted) 

(3) 

The efficiency of the railway system should be improved, in order to integrate it into a 
competitive market, whilst taking account of the special features of the railways. 

(cid:208) 91/440/EEC recital 2 

(4) 

Regional,  urban  and  suburban  services  ⌦ as  well  as ⌫  transport  activities  in  the 
form of shuttle services through the Channel Tunnel ⌦ should be ⌫ excluded from 
the scope of ⌦ this ⌫ Directive. 

(cid:208) 95/18/EC recital 5 (adapted) 

(5) 

In  order  to  render  railway  transport  efficient  and  competitive  with  other  modes  of 
transport,  Member  States  ⌦ should  ensure ⌫  that  railway  undertakings  ⌦ have 
the ⌫ status of independent operators behaving in a commercial manner and adapting 
to market needs. 

(cid:208) 91/440/EEC recital 3 (adapted) 

(cid:208) 91/440/EEC recital 4 (adapted) 

(6)  ⌦ In order to ensure ⌫ the future development and efficient operation of the railway 
system,  a  distinction  ⌦ should  be ⌫  made  between  the  provision  of  transport 
services  and  the  operation  of  infrastructure.  Given  this  situation,  it  is  necessary  for 
these  two  activities  to  be  managed  ⌦ separately ⌫  and  ⌦ to ⌫  have  separate 
accounts. 

(7) 

The principle of freedom to provide services should be applied to the railway sector, 
taking into account that sector's specific characteristics. 

(cid:208) 95/18/EC recital 2 

(8) 

In  order  to  boost  competition  in  railway  service  management  in  terms  of  improved 
comfort  and  the  services  provided  to  users,  Member  States  ⌦ should ⌫  retain 
general responsibility for the development of the appropriate railway infrastructure. 

(cid:208) 91/440/EEC recital 5 (adapted) 

EN 

12 

   EN 

 
 
 
 
 
 
 
(9) 

In the absence of common rules on allocation of infrastructure costs, Member States 
⌦ should ⌫,  after  consulting  the  infrastructure  ⌦ manager ⌫  ,  lay  down  rules 
providing for railway undertakings ⌦ to pay ⌫ for the use of railway infrastructure. 
Such ⌦ rules should not discriminate ⌫ between railway undertakings. 

(cid:208) 91/440/EEC recital 6 (adapted) 

(cid:208) 91/440/EEC recital 7 (adapted) 
(cid:206)1 Corrigendum, OJ L 305, 
6.11.1991, p. 22 

(10)  Member  States  should  ensure  that  ⌦ infrastructure  managers  and ⌫  (cid:206)1 existing 
publicly  owned  or  controlled   railway  transport  undertakings  are  given  a  sound 
financial structure ⌦ having due regard to the Union rules on state aids ⌫. 

(11)  An efficient freight sector, especially across borders, requires action ⌦ to open ⌫ up 

the market. 

(cid:208) 2001/14/EC recital 8 (adapted) 

(12) 

In order to ensure that access rights to railway infrastructure are applied throughout the 
⌦ Union ⌫ on a uniform and non-discriminatory basis, it is appropriate to introduce 
a licence for railway undertakings. 

(cid:208) 95/18/EC recital 4 (adapted) 

(13) 

In  the  case  of  journeys  with  intermediate  stops,  new  market  entrants  ⌦ should  be 
authorised ⌫ to pick up and set down passengers along the route in order to ensure 
that  such  operations  ⌦ are ⌫  economically  viable  and  to  avoid  placing  potential 
competitors at a disadvantage to existing operators. 

(cid:208) 2007/58/EC recital 7 (adapted) 

(cid:208) 2007/58/EC recital 8 (adapted) 

(14)  The  introduction  of  new,  open-access,  international  ⌦ passenger ⌫  services  with 
intermediate  stops  should  not  be  used  to  ⌦ open  up ⌫  the  market  for  domestic 
passenger  services,  but  should  merely  be  focused  on  stops  that  are  ancillary  to  the 
international route. ⌦ The ⌫ principal purpose ⌦ of the new services should be ⌫ 
to  carry  passengers  travelling  on  an  international  journey.  ⌦ When  assessing ⌫ 
whether  that  is  the  service’s  principal  purpose,  criteria  such  as  the  proportion  of 
turnover,  and  of  volume,  derived  from  transport  of  domestic  or  international 
passengers,  and  the  length  of  the  service  ⌦should  be  taken  into  account.  The 
assessment of the service's principal purpose ⌫ should  be ⌦ carried out ⌫ by the 
respective national regulatory body at the request of an interested party. 

EN 

13 

   EN 

 
 
 
 
 
 
(cid:208) 2007/58/EC recital 9 (adapted) 

(15)  Regulation  (EC)  No  1370/2007  of  the  European  Parliament  and  of  the  Council  of 
23 October  2007  on  public  passenger  transport  services  by  rail  and  by  road12 
authorises  Member  States  and  local  authorities  to  award  public  service  contracts 
⌦ which ⌫  may  contain  exclusive  rights  to  operate  certain  services.  It  is  therefore 
necessary  to  ensure  that  the  provisions  of  that  Regulation  are  consistent  with  the 
principle of opening up international passenger services to competition. 

(cid:208) 2007/58/EC recital 10 (adapted) 

(16)  Opening up international passenger services to competition may have implications for 
the  organisation  and  financing  of  rail  passenger  services  provided  under  a  public 
service contract. Member States should have the ⌦ option of limiting ⌫ the right of 
access to the market where this right would compromise the economic equilibrium of 
these public service contracts and where approval is given by the relevant regulatory 
body referred to in Article 55 of this Directive on the basis of an objective economic 
analysis,  following  a  request  from  the  competent  authorities  that  awarded  the  public 
service contract. 

(cid:208) 2007/58/EC recital 12 (adapted) 

(17)  The  assessment  of  whether  the  economic  equilibrium  of  the  public  service  contract 
could  be  compromised  should  take  into  account  predetermined  criteria  such  as  the 
impact  on  the  profitability  of  any  services  which  are  included  in  a  public  service 
contract,  including  consequential  impacts  on  the  net  cost  to  the  competent  public 
authority  that  awarded  the  contract,  passenger  demand,  ticket  pricing,  ticketing 
arrangements, location and number of stops on both sides of the border and timing and 
frequency of the proposed new service. ⌦ In accordance with ⌫ such an assessment 
and the decision of the relevant regulatory body, Member States ⌦ may ⌫ authorise, 
modify  or  deny  the  right  of  access  for  the  international  passenger  service  sought, 
including  the  levying  of  a  charge  on  the  operator  of  a  new  international  passenger 
service, in line with the economic analysis and in accordance with ⌦ Union ⌫ law 
and the principles of equality and non-discrimination. 

(cid:208) 2007/58/EC recital 13 

(18) 

In order to contribute to the operation of passenger services on lines fulfilling a public 
service  obligation,  Member  States  should  be  able  to  authorise  the  authorities 
responsible for those services to impose a levy on passenger services which fall within 
the  jurisdiction  of  those  authorities.  That  levy  should  contribute  to  the  financing  of 
public service obligations laid down in public service contracts. 

12 

OJ L 315, 3.12.2007, p. 1. 

EN 

14 

   EN 

 
 
 
 
                                                 
(cid:208) 2007/58/EC recital 14 

(19)  The  regulatory  body should function in a way  which  avoids  any  conflict  of  interests 
and  any  possible  involvement  in  the  award  of  the  public  service  contract  under 
consideration. The competence of the regulatory body should be extended to allow the 
assessment  of  the  purpose  of  an  international  service  and,  where  appropriate,  the 
potential economic impact on existing public service contracts. 

(20) 

In  order  to  ⌦ invest  in ⌫  services  using  specialised  infrastructure,  such  as  high-
speed railway lines, applicants need legal certainty ⌦ given ⌫ the substantial long-
term investment involved. 

(cid:208) 2007/58/EC recital 16 (adapted) 

(21)  The  national  regulatory  bodies  should  exchange  information  and,  where  relevant  in 
individual  cases,  coordinate  the  principles  and  practice  of  assessing  whether  the 
economic  equilibrium  of  a  public  service  contract  is  compromised.  They  should 
progressively develop guidelines based on their experience. 

(cid:208) 2007/58/EC recital 17 

(cid:216) new 

(22) 

In order to ensure fair competition between railway undertakings, a distinction should 
be  made  between  the  provision  of  transport  services  and  the  operation  of  service 
facilities.  Given  this  situation,  it  is  necessary  for  these  two  types  of  activity  to  be 
managed  independently  in  distinct  legal  entities.  Such  independence  need  not  imply 
the establishment of separate body or firm for each service facility. 

(23) 

In  order  to  ensure  dependable  and  adequate  services,  it  is  necessary  to  ensure  that 
⌦ ,at all times, ⌫ railway undertakings meet certain requirements in relation to good 
repute, financial fitness and professional competence. 

(cid:208) 95/18/EC Recital 9 (adapted) 

(24)  For  the  protection  of  customers  and  third  parties  concerned  it  is  important  to  ensure 

that railway undertakings are sufficiently insured ⌦ against ⌫ liability. 

(cid:208) 95/18/EC Recital 10 (adapted) 

(cid:208) 95/18/EC Recital 12 (adapted) 

(25)  A  railway  undertaking  ⌦ should ⌫  also  be  required  to  comply  with  national  and 
⌦ Union ⌫  rules  on  the  provision  of  railway  services,  applied  in  a  non-
discriminatory manner, which are intended to ensure that it can carry on its activity in 
complete safety ⌦ and with due regard to health, social conditions and the rights of 
workers and consumers ⌫ on specific stretches of track. 

EN 

15 

   EN 

 
 
 
 
 
 
 
(26)  The  procedures  for  granting,  ⌦ maintaining ⌫  and  ⌦ amending ⌫  operating 
licences ⌦ for ⌫ railway undertakings should ⌦ be transparent and in accordance 
with the principle of ⌫ non-discrimination. 

(cid:208) 95/18/EC Recital 14 (adapted) 

(27)  To  ensure  transparency  and  non-discriminatory  access  to  rail  infrastructure  ⌦ and 
rail-related services ⌫ for all railway undertakings, all the information required to use 
access rights ⌦ is ⌫ to be published in a network statement. 

(cid:208) 2001/14/EC recital 5 (adapted) 

(28)  Appropriate  capacity-allocation  schemes  for  rail 

infrastructure  coupled  with 

competitive operators will result in a better balance of transport between modes. 

(cid:208) 2001/14/EC recital 6 

(29)  Encouraging  optimal  use  of  the  railway  infrastructure  will  lead  to  a  reduction  in  the 

cost of transport to society. 

(cid:208) 2001/14/EC recital 7 

(30)  Appropriate charging schemes for rail infrastructure coupled with appropriate charging 
schemes  for  other  transport  infrastructures  and  competitive  operators  ⌦ should ⌫ 
result in an optimal balance of different transport modes ⌦ on a sustainable basis ⌫. 

(cid:208) 2001/14/EC recital 10 (adapted) 

(31)  The  charging  and  capacity  allocation  schemes  should  permit  equal  and  non-
discriminatory  access  for  all  undertakings  and  attempt  as  far  as  possible  to  meet  the 
needs of all users and traffic types in a fair and non-discriminatory manner. 

(cid:208) 2001/14/EC recital 11 

(32)  The  charging  and  capacity  allocation  schemes  should  allow  fair  competition  in  the 

provision of railway services. 

(cid:208) 2001/14/EC recital 16 

(33)  Within  the  framework  set  out  by  Member  States,  charging  and  capacity-allocation 
schemes  should  encourage  railway  infrastructure  managers  to  optimise  use  of  their 
infrastructure. 

(cid:208) 2001/14/EC recital 12 

EN 

16 

   EN 

 
 
 
 
 
 
 
 
(34)  Railway  undertakings  should  receive  clear  and  consistent  signals  from  capacity 

allocation schemes which lead them to make rational decisions. 

(cid:208) 2001/14/EC recital 13 

(35)  Any  charging  scheme  will  send  economic  signals  to  users.  It  is  important  that  those 
signals  to  railway  undertakings  should  be  consistent  and  lead  them  to  make  rational 
decisions. 

(cid:208) 2001/14/EC recital 35 

(cid:208) 2001/14/EC recital 14 

(36) 

In  order  to  take  into  account  the  needs  of  users,  or  potential  users,  of  railway 
infrastructure capacity to plan their business, and the needs of customers and funders, 
it  is  important  that  the  infrastructure  manager  ensures  that  infrastructure  capacity  is 
allocated in a way which reflects the need to maintain and improve service reliability 
levels. 

(37) 

It is desirable for railway undertakings and the infrastructure manager to be provided 
with incentives to minimise disruption and improve performance of the network. 

(cid:208) 2001/14/EC recital 15 

(38)  Member  States  ⌦ should  have  the  option  of  allowing ⌫  purchasers  of  railway 

services to enter the capacity-allocation process ⌦ directly ⌫ . 

(cid:208) 2001/14/EC recital 9 (adapted) 

(39) 

It is important to have regard to the business requirements of both applicants and the 
infrastructure manager. 

(cid:208) 2001/14/EC recital 17 

(40) 

It is important to maximise the flexibility available to the infrastructure managers with 
regard to the allocation of infrastructure capacity, but this ⌦ should ⌫ be consistent 
with ⌦ satisfying ⌫ the applicant's reasonable requirements. 

(cid:208) 2001/14/EC recital 18 (adapted) 

(41)  The  capacity  allocation  process  must  prevent  the  imposition  of  undue  constraints  on 
the  wishes  of  other  undertakings  holding,  or  intending  to  hold,  rights  to  use  the 
infrastructure to develop their business. 

(cid:208) 2001/14/EC recital 19 

EN 

17 

   EN 

 
 
 
 
 
 
 
 
(42)  Capacity  allocation  and  charging  schemes  may  need  to  take  account  of  the  fact  that 
different components of the rail infrastructure network may have been designed with 
different principal users in mind. 

(cid:208) 2001/14/EC recital 21 

(43)  ⌦ As ⌫ different users and types of users will frequently have a different impact on 

infrastructure capacity, the needs of different services need to be properly balanced. 

(cid:208) 2001/14/EC recital 23 (adapted) 

(44)  Services  operated  under  contract  to  a  public  authority  may  require  special  rules  to 

safeguard their attractiveness to users. 

(cid:208) 2001/14/EC recital 24 

(45)  The  charging  and  capacity  allocation  schemes  must  take  account  of  the  effects  of 

increasing saturation of infrastructure capacity and ultimately the scarcity of capacity. 

(cid:208) 2001/14/EC recital 25 

(46)  The different time-frames for planning traffic types ⌦ should ⌫ ensure that requests 
for infrastructure capacity which are made after the completion of the process ⌦ for 
establishing the annual working timetable ⌫ can be satisfied. 

(cid:208) 2001/14/EC recital 26 (adapted) 

(47)  To ensure the optimum outcome for railway undertakings, it is desirable to require an 
examination of the use of infrastructure capacity when the coordination of requests for 
capacity is required to meet the needs of users. 

(cid:208) 2001/14/EC recital 28 

(48) 

In view of ⌦ their ⌫ monopolistic position, infrastructure managers ⌦ , should be 
required  to  examine ⌫  the  available  infrastructure  capacity,  and  methods  of 
enhancing it when the capacity allocation process is unable to meet the requirements 
of users. 

(cid:208) 2001/14/EC recital 29 (adapted) 

(49)  A lack of information about other railway undertakings' requests ⌦ and ⌫ about the 
constraints within the system may make it difficult for railway undertakings to seek to 
optimise their infrastructure capacity requests. 

(cid:208) 2001/14/EC recital 30 (adapted) 

EN 

18 

   EN 

 
 
 
 
 
 
 
 
(50) 

It is important to ensure better coordination of allocation schemes ⌦ in order ⌫ to 
improve ⌦ the ⌫  attractiveness  of  rail  for  traffic  which  uses  the  network  of  more 
than one infrastructure manager, in particular for international traffic. 

(cid:208) 2001/14/EC recital 31 (adapted) 

(51) 

It  is  important  to  minimise  the  distortions  of  competition  which  may  arise,  either 
between  railway  infrastructures  or  between  transport  modes,  from  significant 
differences in charging principles. 

(cid:208) 2001/14/EC recital 32 

(52) 

It  is  desirable  to  define  those  components  of  the  infrastructure  service  which  are 
essential to enable an operator to provide a service and which should be provided in 
return for minimum access charges. 

(cid:208) 2001/14/EC recital 33 

(53) 

Investment  in  railway  infrastructure  is  ⌦ necessary ⌫  and  infrastructure  charging 
schemes  should  provide  incentives  for  infrastructure  managers  to  make  appropriate 
investments economically attractive. 

(cid:208) 2001/14/EC recital 34 (adapted) 

(54)  To  enable  the  establishment  of  appropriate  and  fair  levels  of  infrastructure  charges, 
infrastructure  managers  need  to  record  and  establish  the ⌦ value ⌫  of  their  assets 
and develop a clear understanding of cost factors in the operation of the infrastructure. 

(cid:208) 2001/14/EC recital 36 (adapted) 

(cid:208) 2001/14/EC recital 37 
(cid:214) new 

(55) 

It is desirable to ensure that account is taken of external costs when making transport 
decisions (cid:214) and that rail infrastructure charging can contribute to the internalisation of 
external costs in a coherent and balanced way across all modes of transport  .  

(cid:208) 2001/14/EC recital 38 
(cid:214) new 

(56) 

It  is  important  to  ensure  that  charges  for  (cid:214) domestic  and   international  traffic  are 
such  as  to  permit  rail  to  meet  the  needs  of  the  market;  consequently  infrastructure 
charging should be set at the cost that is directly incurred as a result of operating the 
train service. 

EN 

19 

   EN 

 
 
 
 
 
 
 
(cid:208) 2001/14/EC recital 39 (adapted) 

(57)  The overall level of cost recovery through infrastructure charges affects the necessary 
level  of  government  contribution;  Member  States  may  require  different  levels  of 
overall  cost  recovery.  However,  any  infrastructure  charging  scheme  ⌦ should 
allow ⌫ traffic which can at least pay for the additional cost which it imposes ⌦ to 
use the rail network ⌫ . 

(58)  Railway  infrastructure  is  a  natural  monopoly.  It  is  therefore  necessary  to  provide 
infrastructure managers with incentives to reduce costs and manage their infrastructure 
efficiently. 

(cid:208) 2001/14/EC recital 40 

(59)  ⌦ The  development  of  railway  transport  should  be  achieved ⌫  by  using  inter  alia 
the  ⌦ Union ⌫  instruments  available,  without  prejudice  to  priorities  already 
established. 

(cid:208) 2001/14/EC recital 41 (adapted) 

(cid:208) 2001/14/EC recital 42 (adapted) 

(60)  Discounts  which  are  allowed  to  railway  undertakings  must  relate  to  actual 
costs 

administrative 
savings ⌫..Discounts may also be used to promote the efficient use of infrastructure. 

savings  ⌦ made, 

transaction 

particular 

cost 

in 

(61) 

It is desirable for railway undertakings and the infrastructure manager to be provided 
with incentives to minimise disruption of the network. 

(cid:208) 2001/14/EC recital 43 

(62)  The  allocation  of  capacity  is  associated  with  a  cost  to  the  infrastructure  manager, 

payment for which should be required. 

(cid:208) 2001/14/EC recital 44 

(63)  The  efficient  management  and  fair  and  non-discriminatory  use  of  rail  infrastructure 
require  the  establishment  of  a  regulatory  body  that  oversees  the  application  of 
⌦ the ⌫  rules  ⌦ set  out  in  this  Directive ⌫  and  acts  as  an  appeal  body, 
notwithstanding the possibility of judicial review. 

(cid:208) 2001/14/EC recital 46 (adapted) 

(64)  Specific  measures  are  required  to  take  account  of  the  specific  geopolitical  and 
geographical situation of certain Member States ⌦ and the particular organisation ⌫ 

(cid:208) 2001/14/EC recital 47 (adapted) 

EN 

20 

   EN 

 
 
 
 
 
 
 
 
of  the  railway  sector  in  various  Member  States  while  ensuring  the  integrity  of  the 
internal market. 

(65)  The Commission should be empowered to adapt the Annexes to this Directive. Since 
those measures are of general scope and are designed to amend non-essential elements 
of  this  Directive,  they  must  be  adopted  as  delegated  acts  in  accordance  with 
Article 290 of the Treaty. 

(cid:216) new 

(66)  The measures necessary for the implementation of this Directive should be adopted in 
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the 
procedures for the exercise of implementing powers conferred on the Commission13. 

(cid:208) 2001/14/EC recital 48  

(cid:208) 2001/13/EC Recital 7 (adapted) 

(67) 

In  accordance  with  the  principles  of  subsidiarity  and  proportionality  as  set  out  in 
Article  5  of  the  Treaty ⌦ on  European  Union ⌫  ,  the  objectives  of  this  Directive, 
namely  ⌦ to  foster  the  development  of  the  Union  railways ⌫  ,  to  set  out  broad 
principles  for ⌦ granting  licences  to ⌫  railway  undertakings ⌦ and  to  coordinate 
arrangements in the Member States governing the allocation of railway infrastructure 
capacity and the charges made for the use thereof ⌫ , cannot be sufficiently achieved 
by the Member States on account of the manifestly international dimensions of issuing 
such  licences ⌦ and  operating  significant  elements  of  the  railway  networks,  and  in 
view  of  the  need  to  ensure  fair  and  non-discriminatory  terms  for  access  to  the 
infrastructure  ⌫  and  ⌦ the  objectives ⌫  can  therefore,  by  reason  of  ⌦ their ⌫ 
trans-national  implications,  be  better  achieved  by  the  ⌦ Union ⌫.  This  Directive 
does not go beyond what is necessary to achieve those objectives. 

(68)  The obligation to transpose this Directive into national law should be confined to those 
provisions  which  represent  a  substantive  change  as  compared  with  the  earlier 
Directives.  The  obligation  to  transpose  the  provisions  which  are  substantively 
unchanged arises under the earlier Directives. 

(cid:216) new 

(cid:208) 2007/58/EC Recital 21 
(adapted) 

(69)  A Member State which has no railway system, and no immediate prospect of having 
one, would be ⌦ subject to ⌫ a disproportionate and pointless obligation if it had to 
transpose  and  implement  ⌦ this  Directive ⌫  .  Therefore,  such  Member  States 
should be exempted from ⌦ that ⌫ obligation. 

13 

OJ L 184, 17.7.1999, p. 23. 

EN 

21 

   EN 

 
 
 
 
 
                                                 
(cid:208) 2007/58/EC Recital 23 
(adapted) 

(70) 

In  accordance  with  point  34  of  the  Interinstitutional  Agreement  on  better  law-
making14,  Member  States  are  encouraged  to  draw  up,  for  themselves  and  in  the 
interests  of  the  ⌦ Union ⌫  ,  their  own  tables  illustrating,  as  far  as  possible,  the 
correlation between this Directive and the transposition measures, and to make  them 
public. 

(71)  This  Directive  should  be  without  prejudice  to  the  time  limits  set  out  in  Annex  XI, 

Part B within which the Member States are to comply with the preceding Directives, 

(cid:216) new 

HAVE ADOPTED THIS DIRECTIVE: 

CHAPTER I 

(cid:208) 2001/14/EC (adapted) 

⌦ GENERAL ⌫ PROVISIONS 

(cid:208) 91/440/EEC (adapted) 

Article 1 

⌦ Subject-matter and Scope ⌫ 

1. This Directive ⌦ lays down: ⌫  

(a)  ⌦ the  rules  applicable ⌫  to  the  management  of  railway  infrastructure  and  to  rail 
transport activities of the railway undertakings established or to be established in a 
Member State ⌦ as set out in Chapter II ⌫ . 

(b) 

the criteria applicable to the ⌦ issuing ⌫ , renewal or amendment of licences by a 
Member State intended for railway undertakings which are or will be established in 
the ⌦ Union as set out in Chapter III ⌫ ; 

(cid:208) 2001/13/EC Art. 1(1) (adapted) 

14 

OJ C 321, 31.12.2003, p. 1. 

EN 

22 

   EN 

 
 
 
 
 
                                                 
(cid:208) 2001/14/EC (adapted) 

(c) 

the principles and procedures ⌦ applicable ⌫ to the setting and ⌦ collecting ⌫ 
of railway infrastructure charges and the allocation of railway infrastructure capacity 
⌦ as set out in Chapter IV ⌫ . 

2. This Directive applies to the use of railway infrastructure for domestic and international rail 
services. 

(cid:208) Corrigendum, OJ L 305, 
6.11.1991, p. 22 (adapted) 

⌦ Article 2 ⌫ 

⌦ Exclusions from the scope ⌫ 

1. ⌦ Chapter II does not apply to ⌫ railway undertakings ⌦ which only operate ⌫ urban, 
suburban or regional services. 

2.  Member  States  may  exclude  ⌦ the  following ⌫  from  the  scope  of  this  Directive 
⌦ application of Chapter III ⌫ : 

(cid:208) 2001/13/EC Art. 1(1) (adapted) 

(a) 

undertakings which only operate rail passenger services on local and regional stand-
alone railway infrastructure; 

(b) 

railway undertakings which only operate urban or suburban rail passenger services; 

(cid:208) 2001/13/EC Art. 1(1) 

(cid:208) 2001/13/EC Art. 1(1) (adapted) 

(c) 

(d) 

railway undertakings ⌦ which only operate ⌫ regional rail freight services; 

undertakings which only ⌦ operate ⌫ freight ⌦ services ⌫ on privately owned 
railway infrastructure that exists solely for use by the infrastructure owner for its own 
freight operations. 

3.  Member  States  may  exclude  ⌦ the  following ⌫  from 
Chapter IV ⌫: 

the  ⌦ application  of 

(cid:208) 2001/14/EC (adapted) 

(a) 

(b) 

EN 

local  and  regional  ⌦ stand-alone ⌫  networks  for  passenger  services  on  railway 
infrastructure; 

networks intended only for the operation of urban or suburban ⌦ rail ⌫ passenger 
services; 

23 

   EN 

 
 
 
 
 
 
(c) 

regional  networks  which  are  used  for  regional  freight  services  solely  by  a  railway 
undertaking  that  is  not  covered  ⌦ under  paragraph  1 ⌫  until  capacity  on  that 
network is requested by another applicant; 

(d) 

privately owned railway infrastructure that exists solely for use by the infrastructure 
owner for its own freight operations; 

(cid:208) 2001/14/EC 

(e) 

transport operations in the form of railway services which are  carried  out  in  transit 
through the ⌦ Union ⌫. 

(cid:208) 2007/58/EC Art. 2.1 (adapted) 

4.  ⌦ This  Directive  does  not  apply  to ⌫  undertakings  the  train  operations  of  which  are 
limited  to  providing  solely  shuttle  services  for  road  vehicles  through  the  Channel  Tunnel 
⌦ and  transport  operations  in  the  form  of  shuttle  services  for  road  vehicles  through  the 
Channel Tunnel, ⌫ except Articles 6(1), 10, 11, 12 and 28. 

(cid:208) 2001/12/EC Art. 1.3 (adapted) 

5. Member States may exclude from the ⌦ application ⌫ of Articles 10, 11, 12 and 28 any 
railway  service  carried  out  in  transit  through  the  ⌦ Union ⌫  and  which  begins  and  ends 
outside the ⌦ Union ⌫ territory. 

(cid:208) 2007/58/EC Art. 1.1 (adapted) 

(cid:208) 91/440/EEC (adapted) 

Article 3 

⌦ Definitions ⌫ 

For the purpose of this Directive ⌦ , the following definitions apply ⌫ : 

(cid:208) 2001/12/EC Art. 1.4(a) 
(adapted) 

(1) 

(2) 

‘railway  undertaking’  ⌦ means ⌫  any  public  or  private  undertaking  licensed 
according  to  ⌦ this  Directive ⌫,  the  principal  business  of  which  is  to  provide 
services for the transport of goods and/or passengers by rail with a requirement that 
the  undertaking  ensure  traction;  this  also  includes  undertakings  which  provide 
traction only; 

‘infrastructure  manager’  ⌦ means ⌫  any  body  or  ⌦ firm ⌫  responsible  in 
particular for establishing ⌦ , managing ⌫ and maintaining railway infrastructure 
⌦ , including traffic ⌫ management ⌦ and control-command and signalling ⌫; 
the functions of the infrastructure manager on a network or part of a network may be 
allocated to different bodies or ⌦ firms ⌫; 

EN 

24 

   EN 

 
 
 
 
 
 
(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(cid:208) 91/440/EEC (adapted) 
(cid:214) new 

‘railway  infrastructure’  ⌦ means  ⌫  all  the  items  listed  in  Annex  I.A  to 
Commission  Regulation  (EEC)  No  2598/70  of  18  December  1970  specifying  the 
items to be included under the various headings in the  forms of accounts  shown in 
Annex I to Regulation (EEC) No 1108/70 of 4 June 197015 (cid:214) which for reasons of 
clarity are included in Annex I to this Directive  , with the exception of the final 
indent  which,  for  the  purposes  of  this  Directive  only,  shall  read  as  follows: 
‘Buildings used by the infrastructure department’; 

(cid:208) 2001/12/EC Art. 1.4(b) 
(adapted) 

‘international  freight  service’  ⌦ means  a ⌫  transport  service  where  the  train 
crosses  at  least  one  border  of  a  Member  State;  the  train  may  be  joined  and/or  split 
and the different sections may have different origins and destinations, provided that 
all wagons cross at least one border; 

(cid:208) 2007/58/EC Art. 1.3 (adapted) 

‘international  passenger  service’  ⌦ means ⌫  a  passenger  service  where  the  train 
crosses at least one border of a Member State and where the principal purpose of the 
service  is  to  carry  passengers  between  stations  located  in  different  Member  States; 
the  train  may  be  joined  and/or  split,  and  the  different  sections  may  have  different 
origins and destinations, provided that all carriages cross at least one border; 

(cid:208) 91/440/EEC (adapted) 

‘urban and suburban services’ ⌦ means ⌫ transport services operated to meet the 
transport  needs  of  an  urban  centre  or  conurbation,  ⌦ together  with ⌫  transport 
needs between such ⌦ a ⌫ centre or conurbation and surrounding areas; 

‘regional  services’  ⌦ means ⌫  transport  services  operated  to  meet  the  transport 
needs of a region; 

“transit”  ⌦ means ⌫  crossing  territory  ⌦ of  the  Union ⌫  without  loading  or 
unloading  goods,  and/or  without  picking  up  passengers  or  setting  them  down  in 
territory ⌦ of the Union ⌫ ;  

(cid:208) 2007/58/EC Art. 1.4 (adapted) 

15 

OJ L 278, 23.12.1970, p. 1. 

EN 

25 

   EN 

 
 
 
 
 
                                                 
(cid:208) 95/18/EC (adapted) 

“licence” ⌦ means ⌫ an authorisation issued by a Member State to an undertaking, 
(9) 
by which its capacity ⌦ to provide rail transport services ⌫ is recognised; that capacity may 
be limited to the provision of specific types of services; 

(10) 

“licensing authority” ⌦ means ⌫ the body ⌦ responsible for ⌫ ⌦ granting ⌫ 
licences ⌦ within a Member State ⌫ ; 

(11) 

(12) 

(13) 

(14) 

(15) 

(16) 

‘allocation’  means 
infrastructure manager; 

the  allocation  of  railway 

infrastructure  capacity  by  an 

(cid:208) 2001/14/EC 

(cid:208) 2001/14/EC (adapted) 

‘applicant’ means a railway undertaking and other persons or legal entities, such as 
⌦ competent ⌫  authorities  under  Regulation  (EC)  No  1370/2007  and  shippers, 
freight  forwarders  and  combined  transport  operators,  ⌦ with  a  public-service  or 
commercial interest in procuring infrastructure capacity ⌫; 

‘congested  infrastructure’  means  ⌦ an  element ⌫  of  infrastructure  for  which 
demand  for  infrastructure  capacity  cannot  be  fully  satisfied  during  certain  periods 
even after coordination of the different requests for capacity; 

‘capacity enhancement plan’ means a measure or series of measures with a calendar 
for  their  implementation  ⌦ which  aim ⌫  to  alleviate  the  capacity  constraints 
⌦ which  led ⌫  to  the  declaration  of  ⌦ an  element ⌫  of  infrastructure  as 
‘congested infrastructure’; 

‘coordination’  means  the  process  through  which  the  ⌦ infrastructure  manager ⌫ 
and  applicants  will  attempt  to  resolve  situations  in  which  there  are  conflicting 
applications for infrastructure capacity; 

‘framework  agreement’  means  a  legally  binding  general  agreement  ⌦ under ⌫ 
public  or  private  law,  setting  out  the  rights  and  obligations  of  an  applicant  and  the 
infrastructure  manager  in  relation  to  the  infrastructure  capacity  to  be  allocated  and 
the charges to be levied over a period longer than one working timetable period; 

(17) 

‘infrastructure capacity’ means the potential to schedule train paths requested for an 
element of infrastructure for a certain period; 

(cid:208) 2001/14/EC 

(18) 

‘network’  means  the  entire  railway  infrastructure  managed  by  an  infrastructure 
manager; 

(cid:208) 2001/14/EC (adapted) 

EN 

26 

   EN 

 
 
 
 
 
(19) 

‘network  statement’  means  the  statement  which  sets  out  in  detail  the  general  rules, 
deadlines,  procedures  and  criteria  ⌦ for ⌫  charging  and  capacity  allocation 
schemes,  ⌦ including  ⌫  such  other  information  as  is  required  to  enable 
applications for infrastructure capacity; 

(20) 

‘train  path’  means  the  infrastructure  capacity  needed  to  run  a  train  between  two 
places over a given period; 

(21) 

‘working  timetable’  means  the  data  defining  all  planned  train  and  rolling-stock 
movements which will take place on the relevant infrastructure during the period for 
which it is in force; 

(cid:208) 2001/14/EC 

(cid:208) 91/440/EEC (adapted) 

⌦ CHAPTER II ⌫ 

⌦ DEVELOPMENT OF THE UNION RAILWAYS ⌫ 

SECTION 1 

MANAGEMENT INDEPENDENCE 

(cid:208) 2001/12/EC Art. 1.5 

(cid:208) 2001/12/EC Art. 1.6 (adapted) 

Article 4 

⌦ Independence of railway undertakings and infrastructure managers ⌫ 

1. Member States shall ensure that as regards management, administration and internal control 
over  administrative,  economic  and  accounting  matters  railway  undertakings  ⌦ directly  or 
indirectly  owned  or  controlled  by  the  Member  States ⌫  have  independent  status  in 
accordance  with  which  they  will  hold,  in  particular,  assets,  budgets  and  accounts  which  are 
separate from those of the State. 

2.  While  respecting  the  charging  and  allocation  ⌦ framework  and  the  specific ⌫  rules 
established by the Member States, the infrastructure manager shall ⌦ be responsible ⌫ for 
its own management, administration and internal control. 

EN 

27 

   EN 

 
 
 
 
(cid:208) 91/440/EEC (adapted) 
(cid:206)1 Corrigendum, OJ L 305, 
6.11.1991, p. 22 

Article 5 

⌦ Management of the railway undertakings according to commercial principles ⌫ 

1. Member States shall enable railway undertakings to adjust their activities to the market and 
to manage those activities under the responsibility of their management bodies, in the interests 
of  providing  efficient  and  appropriate  services  at  the  lowest  possible  cost  for  the  quality  of 
service required. 

Railway  undertakings  shall  be  managed  according  to  the  principles  which  apply  to 
commercial  companies  ⌦ ,  irrespective  of  their  ownership. ⌫  This  shall  also  apply  to 
⌦ the ⌫  public  ⌦ service ⌫  obligations  imposed  ⌦ on  them ⌫  by  ⌦ Member 
States ⌫  and  to  public  ⌦ service ⌫  contracts  which  they  conclude  with  the  competent 
authorities of the State. 

2. Railway undertakings shall determine their business plans, including their investment and 
financing  programmes.  Such  plans  shall  be  designed  to  achieve  the  undertakings'  financial 
equilibrium  and  other  technical,  commercial  and  financial  management  objectives; (cid:206)1 they 
must also ⌦ indicate ⌫ the means ⌦ of obtaining ⌫ these objectives.  

3.  ⌦ With  reference  to ⌫  the  general  policy  guidelines  ⌦ issued ⌫  by  ⌦ each 
Member ⌫ State and taking into account national plans and contracts (which may be multi-
annual) including investment and financing plans, railway undertakings shall, in particular, be 
free to:  

(cid:208) 91/440/EEC 

(a) 

(b) 

(c) 

(d) 

establish their internal organisation, without prejudice to the provisions of Articles 7, 
29 and 39 ; 

control  the  supply  and  marketing  of  services  and  fix  the  pricing  thereof,  without 
prejudice to Regulation (EC) No 1370/2007 ; 

take decisions on staff, assets and own procurement; 

expand their market share, develop new technologies and new services and adopt any 
innovative management techniques; 

(e) 

establish new activities in fields associated with ⌦ the ⌫ railway business. 

(cid:208) 91/440/EEC (adapted) 

EN 

28 

   EN 

 
 
 
(cid:216) new 

4.  If  the  Member  State  directly  or  indirectly  owns  or  controls  the  railway  undertaking,  its 
controlling rights in relation to management shall not exceed the management-related rights 
that  national  company  law  grants  to  shareholders  of  private  joint-stock  companies.  Policy 
guidelines, as mentioned in paragraph 3, which the State may set for companies in the context 
of exercise of shareholder control, may only be of a general nature and shall not interfere with 
specific business decisions of the management. 

(cid:208) 91/440/EEC (adapted) 
(cid:214) new 

SECTION 2 

SEPARATION ⌦ OF ⌫ INFRASTRUCTURE MANAGEMENT AND TRANSPORT 
OPERATIONS (cid:214) AND OF DIFFERENT TYPES OF TRANSPORT OPERATIONS  

(cid:208) 2001/12/EC Art. 1.7 (adapted) 

Article 6 

⌦ Separation of accounts ⌫ 

1.  Member  States  shall  ensure  that  separate  profit  and  loss  accounts  and  balance  sheets  are 
kept  and  published,  on  the  one  hand,  for  business  relating  to  the  provision  of  transport 
services by railway undertakings and, on the other, for business relating to the management of 
railway infrastructure. Public funds paid to one of these two areas of activity ⌦ shall ⌫ not 
be transferred to the other. 

2.  Member  States  may  also  provide  that  this  separation  shall  require  the  organisation  of 
distinct  divisions  within  a  single  undertaking  or  that  the  infrastructure  ⌦ and  transport 
services ⌫ shall be managed by separate ⌦ entities ⌫ . 

(cid:208) 2001/12/EC Art. 1.10 (adapted) 

3. ⌦ Member States shall ensure that separate ⌫ profit and loss accounts and balance sheets 
⌦ are ⌫ kept and published ⌦ , on the one hand, ⌫ for business relating to the provision 
of rail freight transport services ⌦ and, on the other, for activities relating to the provision of 
passenger  transport  services ⌫  .  ⌦ Public ⌫  funds  paid  for  activities  relating  to  the 
provision of transport services as public-service remits must be shown separately ⌦ for each 
public  service  contract ⌫  in  the  relevant  accounts  and  ⌦ shall ⌫  not  be  transferred  to 
activities relating to the provision of other transport services or any other business. 

EN 

29 

   EN 

 
 
 
 
(cid:208) 2001/12/EC Art. 1.7 (adapted) 
(cid:214) new 

4. The accounts for the ⌦ different ⌫ areas of activity ⌦ referred to in paragraphs 1 and 
3 ⌫  shall  be  kept  in  a  way  that  reflects  this  prohibition  (cid:214) allows  monitoring  of  the 
prohibition on transferring public funds paid to one area of activity to another . 

Article 7 

⌦ Independence of essential functions of an infrastructure manager ⌫ 

1.  Member  States  shall  ensure  that  the  functions  determining  equitable  and  non-
discriminatory access to infrastructure, listed in Annex II, are entrusted to bodies or firms that 
do not themselves provide any rail transport services. Regardless of organisational structure, 
this objective must be shown to have been achieved.  

Annex  II  may  be  amended  in  the  light  of  experience,  in  accordance  with  the  procedure 
referred to in Article 60. 

(cid:216) new 

(cid:208) 2001/12/EC Art. 1.7 (adapted) 

Member  States  may,  however,  assign  to  railway  undertakings  or  any  other  body  the 
responsibility for ⌦ contributing to the development of ⌫ the railway infrastructure, ⌦ for 
example through ⌫ investment, maintenance and funding. 

4.  The  application  of  paragraph  3  shall  be  subject  to  a  report  by  the  Commission  in 
accordance with Article 10 11 b, to be submitted by 15 March 2006. 

(cid:208) 2001/14/EC (adapted) 

2.  Where  the  infrastructure  manager,  in  its  legal  form,  organisation  or  decision-making 
functions, is not independent of any railway undertaking, the functions described in Sections 3 
and 4 of Chapter IV shall be performed ⌦ respectively ⌫ by a charging body ⌦ and by an 
allocation  body ⌫  that ⌦ are ⌫  independent  in ⌦ their ⌫  legal  form,  organisation  and 
decision-making from any railway undertaking. 

3.  When  the  provisions  of  Chapter  IV,  Sections  2  and  3  refer  to  essential  functions  of  an 
infrastructure  manager,  they  shall  be  understood  as  applying  to  the  charging  body  or  the 
allocation body for their respective competencies. 

(cid:216) new 

EN 

30 

   EN 

 
 
 
 
 
(cid:208) 91/440/EEC 

SECTION 3 

IMPROVEMENT OF THE FINANCIAL SITUATION 

(cid:208) 2001/12/EC Art. 1.8 (adapted) 
(cid:214) new 

Article 8 

⌦ Sound financing of the infrastructure manager ⌫ 

1. Member States shall ⌦ develop ⌫ their national railway infrastructure ⌦ by ⌫ taking 
into  account,  where  necessary,  the  general  needs  of  the  ⌦ Union ⌫.  (cid:214) For  this  purpose, 
they  shall  publish  at  the  latest  two  years  after  the  entry  into  force  of  this  Directive  a  rail 
infrastructure  development  strategy  with  a  view  to  meeting  future  mobility  needs  based  on 
sound and sustainable financing of the railway system. The strategy shall cover a period of at 
least five years and be renewable.  

2.  Having  due  regard  to  Articles ⌦ 93,  107  and  108 ⌫  of  the  Treaty, ⌦ Member  States 
may  also  provide  the  infrastructure  manager  with ⌫  financing  consistent  with  ⌦ its ⌫ 
tasks, ⌦ the ⌫ size ⌦ of the infrastructure ⌫ and financial requirements, in particular in 
order to cover new investments. 

3. Within the framework of general policy determined by the State (cid:214) and taking into account 
the  rail  infrastructure  development  strategy  referred  to  in  paragraph  1   ,  the  infrastructure 
manager shall ⌦ adopt ⌫ a business plan including investment and financial programmes. 
The  plan  shall  be  designed  to  ensure  optimal  and  efficient  use  ⌦ ,  provision ⌫  and 
development  of  the  infrastructure  while  ensuring  financial  balance  and  providing  means  for 
these objectives to be achieved. (cid:214) The infrastructure manager shall ensure that applicants are 
consulted before the business plan is approved. The regulatory body referred to in Article 55 
shall issue a non-binding opinion on whether the business plan is appropriate to achieve these 
objectives.  

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

4. Member States shall ensure that, under normal business conditions and over a reasonable 
period (cid:214) of no more than three years  , the accounts of an infrastructure manager shall at 
least balance income from infrastructure charges, surpluses from other commercial activities 
and State funding on the one hand, and infrastructure expenditure on the other ⌦ , including 
advance payments from the State, where appropriate ⌫ . 

EN 

31 

   EN 

 
 
 
(cid:208) 2001/14/EC 

Without  prejudice  to  the  possible  long-term  aim  of  user  cover  of  infrastructure  costs  for  all 
modes of transport on the basis of fair, non-discriminatory competition between the various 
modes,  where  rail  transport  is  able  to  compete  with  other  modes  of  transport,  within  the 
charging  framework  of  Articles  31  and  32,  a  Member  State  may  require  the  infrastructure 
manager to balance his accounts without State funding. 

(cid:208) 91/440/EEC 

Article 78 

The manager of the infrastructure shall charge a fee for the use of the railway infrastructure 
for which he is responsible, payable by railway undertakings using that infrastructure. After 
consulting the manager, Member States shall lay down the rules for determining this fee. 

The user fee, which shall be calculated in such a way as to avoid any discrimination between 
railway undertakings, may in particular take into account the mileage, the composition of the 
train and any specific requirements in terms of such factors as speed, axle load and the degree 
or period of utilization of the infrastructure. 

(cid:208) 91/440/EEC (adapted) 
(cid:206)1 Corrigendum, OJ L 305, 
6.11.1991, p. 22 
(cid:214) new 

Article 9 

⌦ Transparent debt relief ⌫ 

1. (cid:214) Without prejudice to the Union rules on state aids and in accordance with Articles 93, 
107  and  108  of  the  Treaty   In  conjunction  with  (cid:206)1 the  existing  publicly  owned  or 
controlled  railway  undertakings ,  Member  States  shall  set  up  appropriate  mechanisms  to 
help reduce the indebtedness of ⌦ publicly owned or controlled railway ⌫ undertakings to 
a  level  which  does  not  impede  sound  financial  management  and  to  improve  their  financial 
situation. 

2. ⌦ For the purposes referred to in paragraph 1 ⌫ , Member States ⌦ shall require ⌫ a 
separate  debt  amortisation  unit  to  be  set  up  within  the  accounting  departments  of  such 
undertakings. 

The balance sheet of the unit may be charged, until they are extinguished, with all the loans 
raised  by  the  undertaking  both  to  finance  investment  and  to  cover  excess  operating 
expenditure  resulting  from  the  business  of  rail  transport  or  from  railway  infrastructure 
management.  Debts  arising  from  subsidiaries'  operations  ⌦ shall ⌫  not  be  taken  into 
account. 

EN 

32 

   EN 

 
 
 
3.  Paragraphs  1  and  2  shall  not  apply  to  debts  or  interest  due  on  such  debts  incurred  by 
undertakings  after  15  March  2001  or  the  date  of  accession  to  the  Union  for  Member  States 
which joined the Union after 15 March 2001. 

(cid:216) new 

3.  Aid  accorded  by  Member  States  to  cancel  the  debts  referred  to  in  this  Article  shall  be 
granted in accordance with Articles 73, 87 and 88 of the Treaty. 

(cid:208) 2001/12/EC Art. 1.9 

(cid:208) 91/440/EEC (adapted) 

SECTION 4 

ACCESS TO RAILWAY INFRASTRUCTURE ⌦ AND SERVICES ⌫ 

(cid:208) 2001/12/EC Art. 1.11 (adapted) 

Article 10 

⌦ Conditions of access to railway infrastructure ⌫ 

2.  Railway  undertakings  within  the  scope  of  Article  2  1 shall  be  granted,  on  equitable 
conditions,  access  to  the  infrastructure  in  other  Member  States  for  the  purpose  of  operating 
international combined transport goods services. 

(cid:208) 2004/51/EC Art. 1.2(a) 
(adapted) 
(cid:214) new 

3.  Railway  undertakings  within  the  scope  of  Article 2  shall  be  granted,  on  equitable 
conditions, access to the Trans-European Rail Freight Network defined in Article 10 a and in 
Annex I  and,  at  the  latest  by  1 January 2006,  to  the  entire  rail  network,  for  the  purpose  of 
operating international freight services. 

1.  In  addition,  at  the  latest  by  1 January 2007,  Railway  undertakings  within  the  scope  of 
⌦ this  Directive ⌫  shall  be  granted,  on  equitable,  ⌦ non-discriminatory  and 
transparent ⌫ conditions, access to the infrastructure in all Member States for the purpose of 
operating all types of rail freight services. (cid:214) This shall include track access to ports.  

2.  Railway  undertakings  within  the  scope  of  ⌦ this  Directive ⌫  shall  be  granted  by 
1 January 2010 the right of access to the infrastructure in all Member States for the purpose of 
operating an international passenger service. Railway undertakings shall, in the course of an 

(cid:208) 2007/58/EC Art. 1.8 (adapted) 

EN 

33 

   EN 

 
 
 
 
 
 
international passenger service, have the right to pick up passengers at any station located on 
the  international  route  and  set  them  down  at  another,  including  stations  located  in  the  same 
Member State. 

The  right  of  access  to  the  infrastructure  of  the  Member  States  for  which  the  share  of 
international  carriage  of  passengers  by  train  constitutes  more  than  half  of  the  passenger 
turnover of railway undertakings in that Member State shall be granted by 31 December 2011. 

(cid:208) 2007/58/EC Art. 1.8 

⌦ Following  the  request  from  the  relevant  competent  authorities  or  interested  railway 
undertakings, the relevant regulatory body or bodies referred to in Article 55 shall determine 
whether ⌫  the  principal  purpose  of  the  service  is  to  carry  passengers  between  stations 
located in different Member States. 

(cid:208) 2007/58/EC Art. 1.8 (adapted) 

The Commission may adopt implementing measures setting out the details of the procedure 
and criteria to be followed for the application of this paragraph. Those measures, designed to 
ensure  the  implementation  of  this  Directive  under  uniform  conditions,  shall  be  adopted  as 
implementing acts in accordance with Article 63(3). 

(cid:216) new 

(cid:208) 2007/58/EC Art. 1.8 (adapted) 

⌦ Article 11 ⌫ 

⌦ Limitation of the right of access and of the right to pick up and set down 
passengers ⌫ 

1. Member States may limit the right of access ⌦ provided for ⌫ in Article 10 on services 
between  a  place  of  departure  and  a  destination  which  are  covered  by  one  or  more  public 
service  contracts  conforming  to  the  ⌦ Union ⌫  legislation  in  force.  Such  limitation 
⌦ shall ⌫  not  have  the  effect  of  restricting  the  right  to  pick  up  passengers  at  any  station 
located  on  the  route  of  an  international  service  and  to  set  them  down  at  another,  including 
stations  located  in  the  same  Member  State,  except  where  the  exercise  of  this  right  would 
compromise the economic equilibrium of a public service contract. 

2.  Whether  the  economic  equilibrium  ⌦ of  a  public  service  contract ⌫  would  be 
compromised  shall  be  determined  by  the  relevant  regulatory  body  or  bodies  referred  to  in 
Article 55 on  the  basis  of  an  objective  economic  analysis  and  based  on  pre-determined 
criteria, ⌦ after ⌫ a request from ⌦ any of the following ⌫ : 

(a) 

the  competent  authority  or  competent  authorities  that  awarded  the  public  service 
contract; 

(cid:208) 2007/58/EC Art. 1.8 

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(b) 

(c) 

(d) 

any  other  interested  competent  authority  with  the  right  to  limit  access  under  this 
Article; 

the infrastructure manager;  

the railway undertaking performing the public service contract. 

The  competent  authorities  and  the  railway  undertakings  providing  the  public  services  shall 
provide  the  relevant  regulatory  body  or  bodies  with  the  information  reasonably  required  to 
reach a decision. The regulatory body shall consider the information provided, consulting all 
the  relevant  parties  as  appropriate,  and  shall  inform  the  relevant  parties  of  its  reasoned 
decision  within  a  pre-determined,  reasonable  time,  and,  in  any  case,  within  two  months  of 
receipt of all relevant information.  

3.  The  regulatory  body  shall  give  the  grounds  for  its  decision  and  specify  the  time  period 
within  which,  and  the  conditions  under  which  ⌦ any  of  the  following  may  request  a 
reconsideration of the decision ⌫ , 

(cid:208) 2007/58/EC Art. 1.8 (adapted) 

(cid:208) 2007/58/EC Art. 1.8 

(a) 

(b) 

(c) 

(d) 

the relevant competent authority or competent authorities; 

the infrastructure manager; 

the railway undertaking performing the public service contract; 

the railway undertaking seeking access. 

4. The Commission may adopt implementing measures setting out the details of the procedure 
and criteria to be followed for the application of paragraphs 1, 2 and 3 of this Article. Those 
measures, designed to ensure the implementation of this Directive under uniform conditions 
shall be adopted as implementing acts in accordance with Article 63(3). 

(cid:216) new 

(cid:208) 2007/58/EC Art. 1.8 (adapted) 

5.  Member  States  may  also  limit  the  right  to  pick  up  and  set  down  passengers  at  stations 
within  the  same  Member  State  on  the  route  of  an  international  passenger  service  where  an 
exclusive  right  to  convey  passengers  between  those  stations  has  been  granted  under  a 
concession  contract  awarded  before  4 December  2007  on  the  basis  of  a  fair  competitive 
tendering procedure and in accordance with the relevant principles of ⌦ Union ⌫ law. This 
limitation  may  continue  for  the  original  duration  of  the  contract,  or 15 years,  whichever  is 
shorter. 

3d.  The  provisions  of  this  Directive  shall  not  require  a  Member  State  to  grant,  before 
1 January  2010,  the  right  of  access  referred  to  in  paragraph 3a  to  railway  undertakings  and 
their  directly  or  indirectly  controlled  subsidiaries,  licensed  in  a  Member  State  where  access 
rights of a similar nature are not granted. 

EN 

35 

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6.  Member  States  shall  ensure  that  the  decisions  referred  to  in  paragraphs 1,  2,  3  and  5  are 
subject to judicial review. 

⌦ Article 12 ⌫ 

⌦ Levy on railway undertakings providing passenger services ⌫ 

(cid:208) 2007/58/EC Art. 1.8 

1. Without prejudice to Article 11(2) , Member States may, under the conditions laid down in 
this Article, authorise the authority responsible for rail passenger transport to impose a levy 
on  railway  undertakings  providing  passenger  services  for  the  operation  of  routes  which  fall 
within the jurisdiction of that authority and which are operated between two stations in that 
Member State. 

In that case, railway undertakings providing domestic or international rail passenger transport 
services  shall  be  subject  to  the  same  levy  on  the  operation  of  routes  which  fall  within  the 
jurisdiction of that authority. 

(cid:208) 2007/58/EC Art. 1.8 (adapted) 

2. The levy is intended to compensate the authority for public service obligations laid down in 
public  service  contracts  awarded  in  conformity  with  ⌦ Union ⌫  law.  The  revenue  raised 
from such a levy and paid as compensation ⌦ shall ⌫ not exceed what is necessary to cover 
all or part of the cost incurred in the relevant public service obligations taking into account the 
relevant receipts and a reasonable profit for discharging those obligations. 

3.  The  levy  shall  be  imposed  in  accordance  with  ⌦ Union ⌫  law,  and  shall  respect  in 
particular  the  principles  of  fairness,  transparency,  non-discrimination  and  proportionality,  in 
particular between the average price of the service to the passenger and the level of the levy. 
The total levies imposed pursuant to this paragraph shall not endanger the economic viability 
of the rail passenger transport service on which they are imposed. 

4. The relevant authorities shall keep the information necessary to ensure that the origin of the 
levies  and  their  use  can  be  traced.  Member  States  shall  provide  the  Commission  with  this 
information. 

(cid:208) 2007/58/EC Art. 1.8 

(cid:208) 2001/12/EC Art. 1.11  

4.  At  the  request  of  a  Member  State  or  on  its  own  initiative  the  Commission  shall,  in  a 
specific case, examine the application and enforcement of this Article, and within two months 
of  receipt  of  such  a  request  and  after  consulting  the  Committee  referred  to  in  Article 
55 11a(2), decide whether the related measure may continue to be applied. The Commission 
shall  communicate  its  decision  to  the  European  Parliament,  the  Council  and  to  the  Member 
States. 

Without prejudice to Article 226 of the Treaty, any Member State may refer the Commission's 
decision to the Council within a time limit of one month. The Council, acting by a qualified 

EN 

36 

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majority,  may  in  exceptional  circumstances  take  a  different  decision  within  a  period  of  one 
month. 

(cid:208) 2004/51/EC Art. 1.2(c) 

6. Track access to, and supply of services in, the terminals and ports linked to rail activities 
referred  to  in  paragraphs 1,  2  and 3,  serving  or  potentially  serving  more  than  one  final 
customer,  shall  be  provided  to  all  railway  undertakings  in  a  non-discriminatory  and 
transparent manner and requests by railway undertakings may be subject to restrictions only if 
viable alternatives by rail under market conditions exist. 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

Article 13 

⌦ Conditions of access to services ⌫ 

1.  Railway  undertakings  shall,  on  a  non-discriminatory  basis,  be  entitled  to  the  minimum 
access package ⌦ laid down ⌫ in Annex III, point 1. 

2. The services referred to in Annex III, point 2, shall be ⌦ supplied ⌫ (cid:214) by all operators 
of service facilities  in a non-discriminatory manner and requests by railway undertakings 
may only be rejected if viable alternatives under market conditions exist. If the services are 
not offered by one infrastructure manager, the provider of the ‘main infrastructure’ shall use 
all reasonable endeavours to facilitate the provision of these services. 

(cid:216) new 

Where the operator of the service facility belongs to a body or firm which is also active and 
holds a dominant position in at least one of the railway transport services markets for which 
the  facility  is  used,  the  operator  shall  be  organised  in  such  a  way  that  it  is  independent,  in 
legal, organisational and decision-making terms, of this body or firm . 

Requests  by  railway  undertakings  for  access  to  the  service  facility  may  only  be  rejected  if 
there  are  viable  alternatives  allowing  them  to  operate  the  freight  or  passenger  service 
concerned  on  the  same  route  under  economically  acceptable  conditions.  The  burden  of 
proving for the existence of a viable alternative lies with the operator of the service facility. 

When the operator of the service facility encounters conflicts between different requests, he 
shall  attempt  the  best  possible  matching  of  all  requirements.  If  no  viable  alternative  is 
available,  and  it  is  not  possible  to  accommodate  all  requests  for  capacity  for  the  relevant 
facility on the basis of demonstrated needs, the regulatory body referred to in Article 55 shall 
on its own initiative or on the basis of a complaint take appropriate action to ensure that an 
appropriate part of the capacity is devoted to railway undertakings other than the ones which 
are part of the body or firm to which the facility operator also belongs. However newly built 
maintenance  and  other  technical  facilities  developed  for  specific  new  rolling  stock  may  be 
reserved to the use of one railway undertaking for a period of five years from the start of their 
operation. 

EN 

37 

   EN 

 
 
 
Where the service facility has not been in use for at least two consecutive years its owner shall 
publicise the operation of the facility as being for lease or rent. 

3.  Where  the  infrastructure  manager  offers  any  of  the  range  of  services  described  in 
Annex III,  point  3  as  additional  services,  he  shall  supply  them  upon  request  to  railway 
⌦ undertakings ⌫ ⌦ in a non-discriminatory manner ⌫ . 

(cid:208) 2001/14/EC (adapted) 

4. Railway undertakings may request a further range of ancillary services, listed in Annex III, 
point 4 from the infrastructure manager or from other suppliers. The infrastructure manager is 
not obliged to supply these services. 

(cid:208) 2001/14/EC 

5.  Annex  III  may  be  amended  in  the  light  of  experience  in  accordance  with  the  procedure 
referred to in Article 60.  

(cid:216) new 

(cid:208) 2001/12/EC Art. 1.12 

Article 10a 

1. The Trans-European Rail Freight Network consists of the following elements: 

a) Railway lines as indicated in the maps in Annex I. 

b)  Diversionary 
routes,  where  appropriate,  particularly  around  congested 
infrastructure  within  the  meaning  of  Directive  2000/14/EC.  When  these  routes  are 
offered, overall journey times shall be safeguarded as far as this is feasible. 

c)  Track  access  to  terminals  serving  or  potentially  serving  more  than  one  final 
customer and to other sites and facilities, including feeder lines to and from these. 

d) Track access to and from ports as listed in Annex I, including feeder lines. 

2. The feeder lines mentioned in paragraph 1(c) and (d) cover at either end of the journey 50 
km  or  20 %  of  the  length  of  the  journey  on  the  railway  lines  referred  to  in  paragraph  1(a), 
whichever is greater. 

Belgium and Luxembourg, as Member States with a relatively small or concentrated network, 
may limit the length of the feeder lines in the first year after 15 March 2003 to at least 20 km 
and until the end of the second year to at least 40 km. 

EN 

38 

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(cid:216) new 

SECTION 5 

CROSS-BORDER AGREEMENTS 

Article 14 

General principles for cross-border agreements  

1.  Any  provisions  contained  in  cross-border  agreements  between  Member  States  which 
discriminate  between  railway  undertakings,  or  which  restrict  the  freedom  of  railway 
undertakings to operate cross-border services are hereby superseded. 

These  agreements  shall  be  notified  to  the  Commission.  The  Commission  shall  examine  the 
compliance  of  such  agreements  with  this  Directive  and  decide  in  accordance  with  the 
procedure referred to in Article 64(2) whether the related agreements may continue to apply. 
The Commission shall communicate its decision to the European Parliament, the Council and 
the Member States. 

2.  Without  prejudice  to  the  division  of  competencies  between  the  Union  and  the  Member 
States,  in  accordance  with  Union  law,  the  negotiation  and  implementation  of  cross-border 
agreements  between  Member  States  and  third  countries  shall  be  subject  to  a  cooperation 
procedure between Member States and the Commission.  

The Commission may adopt implementing measures setting out the details of the procedure to 
be  followed  for  the  application  of  this  paragraph.  Those  measures,  designed  to  ensure  the 
implementation of this Directive under uniform conditions shall be adopted as implementing 
acts in accordance with Article 63(3). 

(cid:208) 2001/12/EC Art. 1.13 (adapted) 
(cid:214) new 

SECTION 6  

MONITORING TASKS OF THE COMMISSION 

Article 15 

⌦ Scope of market monitoring ⌫ 

1. Not later than 15 September 2001TheCommission shall make the necessary arrangements 
to monitor technical and economic conditions and market developments ⌦ in ⌫ European 
rail  transport.  The  Commission  shall  ensure  that  adequate  resources  are  made  available  to 
enable the effective monitoring of this sector. 

EN 

39 

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2. In this context, the Commission shall closely involve representatives of the Member States 
and  of  the  sectors  concerned  in  its  work,  including  users,  so  that  they  are  able  better  to 
monitor  the  development  of  the  railway  sector  and  the  evolution  of  the  market,  ⌦ to ⌫ 
assess  the  effect  of  the  measures  adopted  and ⌦ to ⌫  analyse  the  impact  of  the  measures 
planned by the Commission. 

3.  The  Commission  shall  monitor  the  use  of  the  networks  and  the  evolution  of  framework 
conditions  in  the  rail  sector,  in  particular  infrastructure  charging,  capacity  allocation,  safety 
regulation  (cid:214) investments  in  railway  infrastructure,  developments  as  regards  prices  and  the 
quality of rail transport services, rail transport services covered by public service contracts,  
licensing  and  the  degree  of  harmonisation  ⌦ between  Member  States ⌫.  It  shall  ensure 
active cooperation between the appropriate regulatory bodies in the Member States. 

(cid:208) 2001/12/EC Art. 1.13 
(cid:214) new 

4. The Commission shall report (cid:214) on a regular basis  to the European Parliament and the 
Council on: 

(a) 

the evolution of the internal market in rail services; 

(b) 

the  framework  conditions ⌦ ,  including  for  public  passenger  transport  services  by 
rail; ⌫ 

(cid:208) 2001/12/EC Art. 1.13 (adapted) 

(cid:208) 2004/51/EC Art. 1.3 

(cid:208) 2001/12/EC Art. 1.13 

(c) 

the state of the European railway network; 

(d) 

(e) 

(f) 

(g) 

the utilisation of access rights; 

barriers to more effective rail services; 

infrastructure limitations; 

the need for legislation. 

(cid:216) new 

5. For the purposes of the Commission's market monitoring, Member States shall supply on 
an  annual  basis  the  information  indicated  in  Annex  IV,  as  well  as  all  other  necessary  data 
requested by the Commission.  

Annex  IV  may  be  amended  in  the  light  of  experience  in  accordance  with  the  procedure 
referred to in Article 60. 

EN 

40 

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(cid:208) 2001/13/EC Art. 1(3) (adapted) 

⌦ CHAPTER III ⌫ 

⌦ LICENSING OF RAILWAY UNDERTAKINGS ⌫ 

⌦ SECTION 1⌫ 

⌦ BODY RESPONSIBLE FOR ISSUING LICENCES ⌫ 

Article 16 

⌦ Body responsible for railway licensing ⌫ 

Each Member State shall designate the body responsible for issuing licences and for carrying 
out the obligations imposed by this Chapter . 

(cid:208) 2001/13/EC Art. 1(3) 

The ⌦ designated ⌫ body ⌦ shall ⌫ not provide rail transport services itself and ⌦ shall 
be ⌫ independent of ⌦ firms or entities ⌫ that do so. 

(cid:208) 2001/13/EC Art. 1(3) (adapted) 

(cid:208) 95/18/EC (adapted) 

SECTION 2  

⌦ CONDITIONS FOR OBTAINING A LICENCE ⌫ 

Article 17 

⌦ General requirements ⌫ 

(cid:208) 95/18/EC 
(cid:214) new 

1. A railway undertaking shall be entitled to apply for a licence in the Member State in which 
it is established (cid:214) , provided that Member States or nationals of Member States own in total 
more  than  50%  of  this  railway  undertaking  and  effectively  control  it,  whether  directly  or 
indirectly through one or more intermediate undertakings, except where an agreement with a 
third country to which the European Union is a party provides otherwise . 

EN 

41 

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2. Member States shall not issue licences or extend their validity where the requirements of 
this Chapter are not complied with. 

3.  A  railway  undertaking  which  fulfils  the  requirements  imposed  in  this  Chapter  shall  be 
authorised to receive a licence. 

4. No railway undertaking shall be permitted to provide the rail transport services covered by 
this Chapter unless it has been granted the appropriate licence for the services to be provided. 

However,  such  a  licence  shall  not ⌦ ,  in ⌫  itself,  entitle  the  holder  to  access  the  railway 
infrastructure. 

(cid:208) 95/18/EC (adapted) 

5. The Commission may adopt implementing measures setting out the details of the procedure 
to be followed for the application of this Article including the use of a common template for 
the  licence.  Those  measures,  designed  to  ensure  the  implementation  of  this  Directive  under 
uniform conditions shall be adopted as implementing acts in accordance with Article 63(3). 

(cid:216) new 

(cid:208) 95/18/EC (adapted) 

Article 18 

⌦ Conditions for obtaining a licence ⌫ 

(cid:208) 95/18/EC 

A railway undertaking must be able to demonstrate to the licensing authorities of the Member 
State  concerned  before  the  start  of  its  activities  that  it  will  at  any  time  be  able  to  meet  the 
requirements relating to good repute, financial fitness, professional competence and cover for 
its civil liability listed in Articles 19 to 22 . 

For ⌦ these ⌫ purposes , each applicant shall provide all relevant information. 

(cid:208) 95/18/EC (adapted) 

Article 19 

⌦ Requirements relating to good repute ⌫ 

(cid:208) 95/18/EC 

Member States shall define the conditions under which the requirement of good repute is met 
to ensure that an applicant railway undertaking or the persons in charge of its management: 

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42 

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(a) 

(b) 

(c) 

(d) 

have  not  been  convicted  of  serious  criminal  offences,  including  offences  of  a 
commercial nature; 

(cid:208) 95/18/EC Art. 5 and 6 

have not been declared bankrupt; 

have not been convicted of serious offences against specific legislation applicable to 
transport; 

(cid:208) 2001/13/EC Art. 1(5) (adapted) 

have  not  been convicted  of  serious or repeated failure to  fulfil social or labour law 
obligations,  including  obligations  under  occupational  safety  and  health  legislation, 
and  customs  law  obligations  in  the  case  of  a  company  seeking  to  operate  cross-
border ⌦ freight ⌫ transport subject to customs procedures. 

(cid:208) 95/18/EC (adapted) 

Article 20 

⌦ Requirements relating to financial fitness ⌫ 

(cid:208) 95/18/EC 

The  requirements  relating  to  financial  fitness  shall  be  met  when  an  applicant  railway 
undertaking can demonstrate that it will be able to meet its actual and potential obligations, 
established under realistic assumptions, for a period of twelve months. 

For ⌦ these ⌫ purposes , each applicant shall give at least the particulars listed in Annex 
V . 

(cid:208) 95/18/EC (adapted) 

Annex  V  may  be  amended  in  the  light  of  experience  in  accordance  with  the  procedure 
referred to in Article 60. 

(cid:216) new 

(cid:208) 2004/49/EC Art. 29(1) 
(adapted) 

Article 21 

⌦ Requirements relating to professional competence ⌫ 

The requirements relating to professional competence shall be met when an applicant railway 
undertaking ⌦ can demonstrate that it ⌫ has or will have a management organisation which 

EN 

43 

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possesses  the  knowledge  or  experience  necessary  to  exercise  safe  and  reliable  operational 
control and supervision of the type of operations specified in the licence. 

(cid:208) 95/18/EC (adapted) 

Article 22 

⌦ Requirements relating to civil liability ⌫ 

(cid:208) 95/18/EC 
(cid:214) new 

(cid:214) Without  prejudice  to  Chapter  III  of  Regulation  (EC)  No  1371/2007  of  the  European 
Parliament and of the Council16,  a railway undertaking shall be adequately insured or make 
equivalent  arrangements  for  cover,  in  accordance  with  national  and  international  law,  of  its 
liabilities  in  the  event  of  accidents,  in  particular  in  respect  of  passengers,  luggage,  freight, 
mail and third parties. 

(cid:208) 95/18/EC (adapted) 

SECTION 3  

VALIDITY OF THE LICENCE 

Article 23 

⌦ Spatial and temporal validity ⌫ 

1. A licence shall be valid throughout the territory of the ⌦ Union ⌫.  

(cid:208) 2001/13/EC Art.1(4) (adapted) 

2. A licence shall be valid as long as the railway undertaking fulfils the obligations laid down 
in  this  Chapter.  A  licensing  authority  may,  however,  make  provision  for  a  regular  review. 
⌦ If so, the review shall be made at least every five years. ⌫ 

(cid:208) 95/18/EC (adapted) 

3.  Specific  provisions  governing  the  suspension  or  revocation  of  a  licence  may  be 
incorporated in the licence itself. 

(cid:208) 95/18/EC 

16 

OJ L 315, 3.12.2007, p. 14. 

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44 

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(cid:208) 95/18/EC (adapted) 

Article 24 

⌦ Temporary licence, suspension and approval ⌫ 

1. If there is serious doubt that a railway undertaking which it has licensed complies with the 
requirements of Sections 2 and 3 of this Chapter , and in particular ⌦ those of ⌫ Article 18, 
the licensing authority may, at any time, check whether that railway undertaking does in fact 
comply with those requirements. 

Where  a  licensing  authority  is  satisfied  that  a  railway  undertaking  can  no  longer  meet  the 
requirements, it shall suspend or revoke the licence. 

(cid:208) 95/18/EC 

2.  Where  the  licensing  authority  of  a  Member  State  is  satisfied  that  there  is  serious  doubt 
regarding compliance with the requirements laid down in this Chapter on the part of a railway 
undertaking to which a licence has been issued by the licensing authority of another Member 
State, it shall inform the latter authority without delay. 

3.  Notwithstanding  paragraph  1,  where  a  licence  is  suspended  or  revoked  on  grounds  of 
non-compliance with the requirement for financial fitness, the licensing authority may grant a 
temporary licence pending the re-organisation of the railway undertaking, provided that safety 
is not jeopardised. A temporary licence shall not, however, be valid for more than six months 
after its date of issue. 

4.  When  a  railway  undertaking  has  ceased  operations  for  six  months  or  has  not  started 
operations ⌦ within ⌫ six months ⌦ of ⌫ the grant of a licence, the licensing authority 
may decide that the licence shall be ⌦ resubmitted ⌫ for approval or be suspended. 

(cid:208) 95/18/EC Art. 11 (adapted) 

(cid:208) 95/18/EC 

As regards the  start  of  activities, the railway  undertaking may  ask for a longer period to be 
fixed, taking account of the specific nature of the services to be provided. 

5. In the event of a change affecting the legal situation of an undertaking and, in particular, in 
the event of a merger or takeover, the licensing authority may decide that the licence shall be 
resubmitted  for  approval.  The  railway  undertaking  in  question  may  continue  operations, 
unless the licensing authority decides that safety is jeopardised. In that event, the grounds for 
such a decision shall be given. 

6.  Where  a  railway  undertaking  intends  significantly  to  change  or  extend  its  activities,  its 
licence shall be resubmitted to the licensing authority for review. 

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45 

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7. A licensing authority shall not permit a railway undertaking against which bankruptcy or 
similar proceedings ⌦ have ⌫ commenced to retain its licence if that authority is convinced 
that  there  is  no  realistic  prospect  of  satisfactory  financial  restructuring  within  a  reasonable 
period of time. 

(cid:208) 95/18/EC Art. 11 (adapted) 

8.  When  a  licensing  authority  issues,  suspends,  revokes  or  amends  a  licence,  the  Member 
State  concerned  shall  immediately  inform  the  Commission  accordingly.  The  Commission 
shall inform the other Member States forthwith.  

(cid:208) 2001/13/EC Art.1(6) 

(cid:208) 2001/13/EC Art. 1(7) 

Article 12 

1. In addition to the requirements of this Directive, a railway undertaking shall also comply 
with national law and regulatory provisions which are compatible with Community law and 
are applied in a non-discriminatory manner, in particular: 

(a) 

(b) 

(c) 

(d) 

specific technical and operational requirements for rail services; 

safety  requirements  applying  to  staff,  rolling  stock  and  the  internal  organisation  of 
the undertaking; 

provisions  on  health,  safety,  social  conditions  and  the  rights  of  workers  and 
consumers; 

requirements applying to all undertakings in the relevant railway sector designed to 
offer benefits or protection to consumers. 

2.  A  railway  undertaking  may  at  any  time  refer  to  the  Commission  the  question  of  the 
compatibility of the requirements of national law with Community law and also the question 
of whether such requirements are applied in a non-discriminatory manner. 

If  the  Commission  considers  that  the  provisions  of  this  Directive  have  not  been  fulfilled,  it 
shall  deliver  an  opinion  on  the  correct  interpretation  of  the  Directive,  without  prejudice  to 
Article 226 of the Treaty.  

Article 13 

Railway undertakings shall respect the agreements applicable to international rail transport in 
force  in  the  Member  States  in  which  they  operate.  They  shall  observe  the  relevant  customs 
and tax provisions. 

EN 

46 

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(cid:208) 95/18/EC (adapted) 
(cid:214) new 

Article 25 

⌦ Procedure for granting licences ⌫ 

1. The procedures for granting licences shall be made public by the Member State (cid:214) licensing 
authority  concerned, which shall inform the Commission (cid:214) European Railway Agency  
thereof. 

2. The licensing authority shall take a decision on an application as soon as possible, but not 
more  than  three  months  after  all  relevant  information,  notably  the  particulars  referred  to  in 
Annex  V,  has  been  submitted.  ⌦ The  licensing  authority  shall  take  into  account  all  the 
available  information. ⌫  The  decision  shall  be  communicated  to  the  applicant  railway 
undertaking  (cid:214) without  delay   .  A  refusal  shall  state  the  grounds  ⌦ on  which  it  is 
based ⌫. 

3.  Member  States  shall  ensure  that  the  licensing  authority's  decisions  are  subject  to  judicial 
review. 

(cid:208) 2001/14/EC (adapted) 

CHAPTER IV 

⌦ LEVYING OF CHARGES FOR THE USE OF RAILWAY 
INFRASTRUCTURE AND ALLOCATION OF RAILWAY 
INFRASTRUCTURE CAPACITY ⌫ 

SECTION 1 

⌦ GENERAL PRINCIPLES ⌫ 

⌦ Article 26 ⌫ 

⌦ Effective use of infrastructure capacity ⌫ 

(cid:208) 2001/14/EC 

Member  States  shall  ensure  that  charging  and  capacity  allocation  schemes  for  railway 
infrastructure follow the principles set down in this Directive and thus allow the infrastructure 
manager to market and make optimum effective use of the available infrastructure capacity. 

EN 

47 

   EN 

 
 
 
(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

Article 27 

Network statement 

1.  The  infrastructure  manager  shall,  after  consultation  with  the  interested  parties  ⌦ , 
including  the  regulatory  body  referred  to  in  Article  55, ⌫  develop  and  publish  a  network 
statement obtainable against payment of a ⌦ fee ⌫ which ⌦ shall ⌫ not exceed the cost 
of  ⌦ publication  of ⌫  that  statement.  (cid:214) The  network  statement  shall  be  published  in  at 
least two official languages of the Union. The content of the network statement shall be made 
available free of charge in electronic format through the web portal of the European Railway 
Agency.  

(cid:208) 2001/14/EC 
(cid:214) new 

2.  The  network  statement  shall  set  out  the  nature  of  the  infrastructure  which  is  available  to 
railway undertakings. It shall contain information setting out the conditions for access to the 
relevant  railway  infrastructure  (cid:214) and  to  service  facilities   .  The  content  of  the  network 
statement is laid down in Annex VI. 

Annex  VI  may  be  amended  in  the  light  of  experience  in  accordance  with  the  procedure 
referred to in Article 60. 

(cid:216) new 

3. The network statement shall be kept up to date and ⌦ amended ⌫ as necessary. 

(cid:208) 2001/14/EC (adapted) 

4.  The  network  statement  shall  be  published  no  less  than  four  months  in  advance  of  the 
deadline for requests for infrastructure capacity. 

(cid:208) 2001/14/EC 

(cid:208) 2004/51/EC Art. 1.2(b) 
(adapted) 

⌦ Article 28 ⌫ 

⌦ Agreements between railway undertakings and infrastructure managers ⌫ 

Any  railway  undertaking  engaged  in  rail  transport  services  shall  conclude  the  necessary 
agreements ⌦ under ⌫ public or private law with the infrastructure managers of the railway 
infrastructure  used.  The  conditions  governing  such  agreements  shall  be  non-discriminatory 
and transparent, in conformity with the provisions of this Directive. 

EN 

48 

   EN 

 
 
 
 
 
 
(cid:208) 2001/14/EC (adapted) 

SECTION 2 

INFRASTRUCTURE ⌦ AND SERVICES ⌫ CHARGES 

(cid:208) 2001/14/EC 

Article 29 

Establishing, determining and collecting charges 

1.  Member  States  shall  establish  a  charging  framework  while  respecting  the  management 
independence laid down in Article 4. 

Subject  to  the  condition  of  management  independence,  Member  States  shall  also  establish 
specific charging rules or delegate such powers to the infrastructure manager.  

(cid:208) 2001/14/EC Art. 4 

Member States shall ensure that the charging framework and charging rules are published in 
the network statement. 

(cid:216) new 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

The  ⌦ infrastructure  manager  shall  determine  and  collect ⌫  the  charge  for  the  use  of 
infrastructure. 

2.  ⌦ The  Member  States  shall  ensure  that ⌫  infrastructure  managers  cooperate  to 
⌦ enable ⌫  the ⌦ application  of ⌫  efficient ⌦ charging  schemes  for  the ⌫  operation 
of  train  services  which  cross  more  than  one  infrastructure  network.  ⌦ Infrastructure 
managers ⌫  shall,  in  particular,  aim  to  guarantee  the  ⌦ optimal ⌫  competitiveness  of 
international rail freight (cid:214) services  and ensure the efficient ⌦ use ⌫ of the ⌦ railway 
networks ⌫. 

Member  States  shall  ensure  that  representatives  of  infrastructure  managers  whose  charging 
decisions  have  an  impact  on  other  infrastructures  associate  to  coordinate  the  charging  or  to 
charge for the use of relevant infrastructure at international level.  

(cid:216) new 

EN 

49 

   EN 

 
 
 
 
 
 
3. Except where specific arrangements are made under Article 32(2), infrastructure managers 
shall ensure that the charging scheme in use is based on the same principles over the whole of 
their network. 

(cid:208) 2001/14/EC  

4. Infrastructure managers shall ensure that the application of the charging scheme results in 
equivalent  and  non-discriminatory  charges  for  different  railway  undertakings  that  perform 
services  of ⌦ an ⌫  equivalent  nature  in  a  similar  part  of  the  market  and  that  the  charges 
actually applied comply with the rules laid down in the network statement. 

(cid:208) 2001/14/EC (adapted) 

5. An infrastructure manager or charging body shall respect the commercial confidentiality of 
information provided to it by applicants. 

(cid:208) 2001/14/EC 

(cid:208) 2001/14/EC (adapted) 

Article 30 

Infrastructure cost and accounts 

1. Infrastructure managers shall, with due regard to safety and to maintaining and improving 
the  quality  of  the  infrastructure  service,  be  ⌦ given ⌫  incentives  to  reduce  the  costs  of 
⌦ providing ⌫ infrastructure and the level of access charges. 

2.  Member  States  shall  ensure  that  paragraph  1  is  implemented  through  a  contractual 
agreement between the competent authority and ⌦ the ⌫ infrastructure manager covering a 
period  of  not  less  than  ⌦ five ⌫  years  which  provides  for  State  funding  or  through  the 
establishment of appropriate regulatory measures with adequate powers. 

3.  Where  a  contractual  agreement  exists,  The  terms  of  the  contract  and  the  structure  of  the 
payments agreed to provide funding to the infrastructure manager shall be agreed in advance 
to cover the whole of the ⌦ contractual ⌫ period.  

(cid:216) new 

Basic principles and parameters of such agreements are set out in Annex VII which may be 
amended in the light of experience in accordance with the procedure referred to in Article 60.  

Member  States  shall  consult  interested  parties  at  least  one  month  before  the  agreement  is 
signed and publish it within one month of concluding it.  

The infrastructure manager shall ensure that its business plan is consistent with the provisions 
of the contractual agreement.  

EN 

50 

   EN 

 
 
 
 
 
The regulatory body referred to in Article 55 shall assess the appropriateness of the envisaged 
medium  to  long-term  income  of  the  infrastructure  manager  for  meeting  the  agreed 
performance targets and shall make relevant recommendations, at least one month before the 
agreement is signed.  

The competent authority shall give justifications to the regulatory body if it intends to deviate 
from these recommendations.  

4. Infrastructure managers shall develop and maintain an inventory of assets that they manage, 
which  shall  contain  their  current  valuation  as  well  as  details  of  expenditure  on  renewal  and 
upgrading of the infrastructure. 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

5.  (cid:214) The  infrastructure  manager  and  the  operator  of  service  facilities  shall  establish  a 
methodology  for  apportioning  costs  to  the  different  services  offered  in  accordance  with 
Annex  III  and  to  types  of  rail  vehicles,  based  on  the  best  available  understanding  of  cost 
causation  and  the  principles  of  charging  referred  to  in  Article  31.   A  method  for 
apportioning  costs  shall  be  established.  Member  States  may  require  prior  approval.  This 
method  ⌦ shall ⌫  be  updated  from  time  to  time  to  ⌦ match ⌫  the  best  international 
practice. 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

Article 31 

Principles of charging 

1. Charges for the use of railway infrastructure ⌦ and of service facilities ⌫ shall be paid to 
the infrastructure manager ⌦ and to the service facility operator respectively ⌫ and used to 
fund ⌦ their ⌫ business. 

2.  Member  States  (cid:214) shall   require  the  infrastructure  manager  ⌦ and  the  service  facility 
operator ⌫  to  provide  (cid:214) the  regulatory  body  with   all  necessary  information  on  the 
charges imposed. The infrastructure manager ⌦ and the service facility operator ⌫ must, in 
that 
this  regard,  be  able 
infrastructure ⌦ and service ⌫ charges actually invoiced to ⌦ the railway undertaking ⌫ 
pursuant  to  Articles  30 to  37 ,  comply  with  the  methodology,  rules,  and,  where  applicable, 
scales laid down in the network statement. 

to  ⌦ demonstrate ⌫  (cid:214) to  each  railway  undertaking  

3. Without prejudice to paragraphs 4 or 5 of this Article or to Article 32, the charges for the 
minimum access package and track access to service facilities shall be set at the cost that is 
directly  incurred  as  a  result  of  operating  the  train  service  ⌦ ,  according  to  Annex  VIII, 
point 1 ⌫ . 

EN 

51 

   EN 

 
 
Annex  VIII,  point  1  may  be  amended  in  the  light  of  experience  in  accordance  with  the 
procedure referred to in Article 60. 

(cid:216) new 

4.  The  infrastructure  ⌦ charges ⌫  may  include  a  charge  which  reflects  the  scarcity  of 
capacity of the identifiable ⌦ section ⌫ of the infrastructure during periods of congestion. 

(cid:208) 2001/14/EC (adapted) 

(cid:216) new 

5. When charging for the cost of noise effects is allowed by Union legislation for road freight 
transport,  the  infrastructure  charges  shall  be  modified  to  take  account  of  the  cost  of  noise 
effects caused by the operation of the train in accordance with Annex VIII, point 2. 

Annex VIII,  point  2  may  be  amended  in  the  light  of  experience,  in  accordance  with  the 
procedure  referred  to  in  Article  60,  in  particular  to  specify  the  elements  of  differentiated 
infrastructure charges. 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

The infrastructure ⌦ charges ⌫ may be modified to take account of the cost of ⌦ other ⌫ 
environmental  effects  caused  by  the  operation  of  the  train (cid:214) not  referred  to  in  Annex  VIII, 
point 2  . ⌦ Any such ⌫ modification (cid:214), which may ensure the internalisation of external 
costs  of  air  pollutants  emitted  as  a  result  of  operating  the  train  service,   shall  be 
differentiated according to the magnitude of the effect caused. 

Charging  of  (cid:214) other   environmental  costs  which  results  in  an  increase  in  the  overall 
revenue  accruing  to  the  infrastructure  manager  shall  however  be  allowed  only  if  such 
charging  is  applied  (cid:214) allowed  by  Unionlegislation   at  a  comparable  level  (cid:214) for  road 
freight  to competing modes of transport. In the absence of any comparable level of ⌦ If 
the ⌫ charging of ⌦ these ⌫ environmental costs in other competing modes of (cid:214) for road 
freight   transport  (cid:214) is  not  allowed  by  Union  legislation   ,  such  modification  shall  not 
result in any overall change in revenue to the infrastructure manager.  

If  a  comparable  level  of  charging  ⌦ for ⌫  environmental  costs  generates  additional 
revenue, it shall be for Member States to decide how the revenue ⌦ is to ⌫ be used. 

The relevant authorities shall keep the necessary information to ensure that the origin of the 
charging  of  environmental  costs  and  its  use  can  be  traced.  Member  States  shall  provide  the 
Commission with this information on a regular basis. 

(cid:216) new 

EN 

52 

   EN 

 
 
 
 
 
6. To avoid undesirable disproportionate fluctuations, the charges referred to in paragraphs 3, 
4 and 5 may be averaged over a reasonable spread of train services and times. Nevertheless, 
the relative magnitudes of the infrastructure charge shall be related to the costs attributable to 
the services. 

(cid:208) 2001/14/EC  

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

7. The supply of services referred to in Annex III, point 2, shall not be covered by this Article. 
⌦ In  any  event ⌫,  (cid:214) the  charge  imposed  for  such  services  shall  not  exceed  the  cost  of 
providing  it,  plus  a  reasonable  profit   account  shall  be  taken,  in  setting  the  prices  for  the 
services set out in Annex II, point 2, of the competitive situation of rail transport. 

8. Where services listed in Annex III, points 3 and 4, as additional and ancillary services are 
offered  by  ⌦ only ⌫  one  supplier  the  charge  imposed  for  such  a  service  shall  (cid:214) not 
exceed   relate  to  the  cost  of  providing  it,  (cid:214) plus  a  reasonable  profit   calculated  on  the 
basis of the actual level of use. 

9.  Charges  may  be  levied  for  capacity  used  for  the  purpose  of  infrastructure  maintenance. 
Such charges shall not exceed the net revenue loss to the infrastructure manager caused by the 
maintenance. 

(cid:208) 2001/14/EC 

10. The operator of the facility for supply of the services referred to in Annex III, points 2, 3 
and 4 shall provide the infrastructure manager with the information on charges to be included 
in the network statement according to Article 27.  

(cid:216) new 

(cid:208) 2001/14/EC (adapted) 

Article 32 

Exceptions to charging principles 

1.  In  order  to  obtain  full  recovery  of  the  costs  incurred  by  the  infrastructure  manager  a 
Member  State  may,  if  the  market  can  bear  this,  levy  mark-ups  on  the  basis  of  efficient, 
transparent  and  non-discriminatory  principles,  while  guaranteeing  ⌦ optimal ⌫ 
competitiveness  in  particular  of  international  rail  freight.  The  charging  system  shall  respect 
the productivity increases achieved by railway undertakings. 

EN 

53 

   EN 

 
 
 
 
 
The level of charges must not, however, exclude the use of infrastructure by market segments 
which  can  pay  at  least  the  cost  that  is  directly  incurred  as  a  result  of  operating  the  railway 
service, plus a rate of return which the market can bear.  

(cid:208) 2001/14/EC 

(cid:216) new 

These  market  segments  shall  be  established  in  accordance  with  the  criteria  laid  down  in 
Annex VIII, point 3 subject to the prior approval of the regulatory body. For market segments 
for which there is no traffic, mark-upsshallnot be included in the charging system.  

Annex  VIII,  point  3  may  be  amended  in  the  light  of  experience  in  accordance  with  the 
procedure referred to in Article 60.  

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

2. For specific ⌦ future ⌫ investment projects, or ⌦ specific investment projects ⌫ that 
have  been  completed  not  more  than  15  years  before  the  entry  into  force  of  this  Directive 
(cid:214) after 1988  , the infrastructure manager may set or continue to set higher charges on the 
basis of the long-term costs of such projects if they increase efficiency or cost-effectiveness 
⌦ or  both ⌫  and  could  not  otherwise  be  or  have  been  undertaken.  Such  a  charging 
arrangement may also incorporate agreements on the sharing of the risk associated with new 
investments. 

(cid:216) new 

3.  Trains  equipped  with  the  European  Train  Control  System  (ETCS)  running  on  lines 
equipped  with  national  command  control  and  signalling  systems  shall  enjoy  a  temporary 
reduction of the infrastructure charge in accordance with Annex VIII, point 5.  

Annex  VIII,  point  5  may  be  amended  in  the  light  of  experience  in  accordance  with  the 
procedure referred to in Article 60.  

(cid:208) 2001/14/EC Art. 8 (adapted) 

4.  To  prevent  discrimination,  it  shall  be  ensured  that  any  given  infrastructure  manager's 
average and marginal charges for equivalent uses of ⌦ its ⌫ infrastructure are comparable 
and that comparable services in the same market segment are subject to the same charges. The 
infrastructure  manager  shall  show  in  the  network  statement  that  the  charging  system  meets 
these  requirements  in  so  far  as  this  can  be  done  without  disclosing  confidential  business 
information. 

EN 

54 

   EN 

 
 
 
 
 
5. If an infrastructure manager intends to modify the essential elements of the charging system 
referred to in paragraph 1, it shall make them public at least three months in advance (cid:214) of the 
deadline for the publication of the network statement according to Article 27(4) . 

(cid:208) 2001/14/EC 
(cid:214) new 

(cid:208) 2001/14/EC (adapted) 

Article 33 

Discounts 

1.  Without  prejudice  to  Articles  ⌦ 101,  102,  106  and  107 ⌫  of  the  Treaty  and 
notwithstanding ⌦ the direct cost principle laid down in ⌫ Article 31(3) of this Directive, 
any discount on the charges levied on a railway undertaking by the infrastructure manager, for 
any service, shall comply with the criteria set out in this Article. 

(cid:208) 2001/14/EC 
(cid:214) new 

2.  With  the  exception  of  paragraph  3,  discounts  shall  be  limited  to  the  actual  saving  of  the 
administrative  cost  to  the  infrastructure  manager.  In  determining  the  level  of  discount,  no 
account may be taken of cost savings already internalised in the charge levied. 

3. Infrastructure managers may introduce schemes available to all users of the infrastructure, 
for  specified  traffic  flows,  granting  time-limited  discounts  to  encourage  the  development  of 
new rail services, or discounts encouraging the use of considerably underutilised lines. 

4. Discounts may relate only to charges levied for a specified infrastructure section. 

5.  Similar  discount  schemes  shall  apply  for  similar  services.  (cid:214) Discount  schemes  shall  be 
applied in a non-discriminatory manner to any railway undertaking.  

Article 34 

Compensation schemes for unpaid environmental, accident and infrastructure costs 

1. Member States may put in place a time-limited compensation scheme for the use of railway 
infrastructure for the demonstrably unpaid environmental, accident and infrastructure costs of 
competing transport modes in so far as these costs exceed the equivalent costs of rail. 

2. Where ⌦ a railway undertaking ⌫ receiving compensation enjoys an exclusive right, the 
compensation must be accompanied by comparable benefits to users. 

(cid:208) 2001/14/EC (adapted) 

EN 

55 

   EN 

 
 
 
 
3.  The  methodology  used  and  calculations  performed  must  be  publicly  available.  It  shall  in 
particular be possible to demonstrate the specific uncharged costs of the competing transport 
infrastructure that are avoided and to ensure that the scheme is granted on non-discriminatory 
terms to undertakings. 

(cid:208) 2001/14/EC 

4.  Member  States  shall  ensure  that  the  scheme  is  compatible  with  Articles  ⌦ 93,  107  and 
108 ⌫ of the Treaty. 

(cid:208) 2001/14/EC (adapted) 

(cid:208) 2001/14/EC (adapted) 

Article 35 

Performance scheme 

1. Infrastructure charging schemes shall encourage railway undertakings and the infrastructure 
manager  to  minimise  disruption  and  improve  the  performance  of  the  railway  network 
⌦ through a performance scheme ⌫ . This may include penalties for actions which disrupt 
the operation of the network, compensation for undertakings which suffer from disruption and 
bonuses that reward better-than-planned performance. 

(cid:208) 2001/14/EC 
(cid:214) new 

2. The basic principles of the performance scheme (cid:214) as listed in Annex VIII, point 4  shall 
apply throughout the network. 

Annex  VIII,  point  4  may  be  amended  in  the  light  of  experience  in  accordance  with  the 
procedure referred to in Article 60. 

(cid:216) new 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

Article 36 

Reservation charges 

Infrastructure managers may levy an appropriate charge for capacity that is ⌦ allocated ⌫ 
but not used. This charge shall provide incentives for efficient use of capacity. (cid:214) If there is 
more than one applicant for a train path to be allocated under the annual timetable exercise, a 
reservation charge shall be levied.  

EN 

56 

   EN 

 
 
 
 
 
 
The  infrastructure  manager  shall  always  be  able  to  inform  any  interested  party  of  the 
infrastructure capacity which has ⌦ already ⌫ been allocated to user railway undertakings. 

(cid:216) new 

Article 37 

Cooperation in relation to charging systems on more than one network 

Member  States  shall  ensure  that  infrastructure  managers  cooperate  to  enable  mark-ups  as 
referred to in Article 32 and performance schemes as referred to in Article 35 to be efficiently 
applied,  for  traffic  crossing  more  than  one  network.  With  a  view  to  optimising  the 
competitiveness  of  international  rail  services,  infrastructure  managers  shall  establish 
appropriate procedures, subject to the rules set out in this Directive. 

(cid:208) 2001/14/EC 

SECTION 3 

ALLOCATION OF INFRASTRUCTURE CAPACITY 

(cid:208) 2001/14/EC (adapted) 

Article 38 

Capacity rights 

1.  Infrastructure  capacity  shall  be  allocated  by  an  infrastructure  manager  ⌦ .  Once ⌫ 
allocated  to  an  applicant  ⌦ ,  it shall ⌫  not  be  transferred  by  the  recipient  to  another 
undertaking or service. 

Any trading in infrastructure capacity shall be prohibited and shall lead to exclusion from the 
further allocation of capacity. 

(cid:208) 2001/14/EC 

The use of capacity by a railway undertaking when carrying out the business of an applicant 
⌦ which ⌫ is not a railway undertaking shall not be considered a transfer. 

(cid:208) 2001/14/EC (adapted) 

2. The right to use specific infrastructure capacity in the form of a train path may be granted 
to applicants for a maximum duration of one working timetable period. 

(cid:208) 2001/14/EC 

EN 

57 

   EN 

 
 
 
 
 
 
An  infrastructure  manager  and  an  applicant  may  enter  into  a  framework  agreement  as  laid 
down in Article 42 for the use of capacity on the relevant railway infrastructure for a longer 
term than one working timetable period. 

3.  The  respective  rights  and  obligations ⌦ of ⌫  infrastructure  managers  and  applicants  in 
respect  of  any  allocation  of  capacity  shall  be  laid  down  in  contracts  or  ⌦ in  Member 
States' ⌫ legislation. 

(cid:208) 2001/14/EC (adapted) 

(cid:208) 2007/58/EC Art. 2.3 (adapted) 

4.  When  an  applicant  intends  to  request  infrastructure  capacity  with  a  view  to  operating  an 
international  passenger  service  as  defined  in  Article 2 ,  it  shall  inform  the  infrastructure 
managers  and  the  regulatory  bodies  concerned.  In  order  to  enable  ⌦ them  to  assess 
whether ⌫  the  purpose  of  the  international  service  ⌦ is ⌫  to  carry  passengers  between 
stations  located  in  different  Member  States,  and ⌦ what ⌫  the  potential  economic  impact 
on  existing  public  service  contracts  ⌦ is ⌫  ,  regulatory  bodies  shall  ensure  that  any 
competent authority that has awarded a rail passenger service ⌦ on that route ⌫ defined in 
a public service contract, any other interested competent authority with a right to limit access 
under Article 9(3) and any railway undertaking performing the public service contract on the 
route of ⌦ that ⌫ international passenger service is informed. 

(cid:208) 2001/14/EC (adapted) 

Article 39 

Capacity allocation 

1.  Member  States  may  ⌦ lay  down ⌫  a  framework  for  the  allocation  of  infrastructure 
capacity  ⌦ subject  to ⌫  the  ⌦ condition  of ⌫  management  independence  laid  down  in 
Article  4.  Specific  capacity  allocation  rules  shall  be  ⌦ laid  down ⌫  .  The  infrastructure 
manager  shall  perform  the  capacity  allocation  processes.  In  particular,  the  infrastructure 
manager shall ensure that infrastructure capacity is allocated on a fair and non-discriminatory 
basis and in accordance with ⌦ Union ⌫ law. 

(cid:208) 2001/14/EC 

2.  Where  the  infrastructure  manager,  in  its  legal  form,  organisation  or  decision-making 
functions is not independent of any railway undertaking, the functions referred to in paragraph 
1 and described in this chapter shall be performed by an allocation body that is independent in 
its legal form, organisation and decision-making from any railway undertaking. 

2. Infrastructure managers and allocation bodies shall respect the commercial confidentiality 
of information provided to them. 

Cooperation in the allocation of infrastructure capacity on more than one network 

Article 40 

EN 

58 

   EN 

 
 
 
 
(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

1.  ⌦ Member  States  shall  ensure  that ⌫  infrastructure  managers  cooperate  to  enable  the 
efficient  creation  and  allocation  of  infrastructure  capacity  which  crosses  more  than  one 
network (cid:214) , including under framework agreements referred to in Article 42  . They shall 
organise  international  train  paths,  in  particular  within  the  framework  of  the  Trans-European 
Rail  Freight  Network.  ⌦ Infrastructure  managers ⌫  shall  establish  ⌦ appropriate ⌫ 
procedures, ⌦ subject to the rules set out in this Directive ⌫ (cid:214) , and organise international 
train paths accordingly  .  

(cid:214) Member  States  shall  ensure  that  representatives  of  infrastructure  managers  whose 
allocation decisions have an impact on other infrastructure managers associate in order  to 
coordinate  the  allocation  of  ⌦ or  to  allocate  all  relevant ⌫  infrastructure  capacity  at  an 
international level (cid:214) , without prejudice to the specific rules contained in Union legislation on 
rail freight oriented networks . shall associate representatives of infrastructure managers for 
all railway infrastructures whose allocation decisions have an impact on more than one other 
infrastructure manager. Appropriate representatives of infrastructure managers from ⌦ third 
countries ⌫ may be associated with these procedures. 

2.  The  Commission  (cid:214) and  representatives  of  the  regulatory  bodies,  which  co-operate 
according to Article 57,  shall be informed ⌦ of ⌫ and invited to attend (cid:214) as observers 
all meetings at which common principles and practices for the allocation of infrastructure are 
developed.  In  the  case  of  IT-based  allocation  systems,  the  regulatory  bodies  shall  receive 
sufficient  information  from  these  systems  to  allow  them  to  perform  their  regulatory 
supervision in accordance with the provisions of Article 56 . 

(cid:208) 2001/14/EC 

3.  At  any  meeting  or  other  activity  undertaken  to  permit  the  allocation  of  infrastructure 
capacity for trans-network train services, decisions shall only be taken by representatives of 
infrastructure managers. 

4. The participants in the cooperation referred to paragraph 1 shall ensure that its membership, 
methods  of  operation  and  all  relevant  criteria  which  are  used  for  assessing  and  allocating 
infrastructure capacity be made publicly available. 

5. Working in cooperation as referred to in paragraph 1, infrastructure managers shall assess 
the  need  for,  and  may  where  necessary  propose  and  organise  international  train  paths  to 
facilitate the operation of freight trains which are subject to an ad hoc request as referred to in 
Article 48. 

Such prearranged international train paths shall be made available to applicants via any of the 
participating infrastructure managers. 

EN 

59 

   EN 

 
 
(cid:208) 2001/14/EC (adapted) 

Article 41 

Applicants 

1.  ⌦ Requests ⌫  for  infrastructure  capacity  may  be  made  by  applicants  ⌦ within  the 
meaning of this Directive ⌫ . 

(cid:208) 2001/14/EC 

2. The infrastructure manager may set requirements with regard to applicants to ensure that its 
legitimate  expectations  about  future  revenues  and  utilisation  of  the  infrastructure  are 
safeguarded. Such requirements shall be appropriate, transparent and non-discriminatory. The 
requirements shall be published as part of the allocation principles in the network statement, 
and the Commission shall be informed.3. The requirements in paragraph 2 may only include 
the provision of a financial guarantee that must not exceed an appropriate level which shall be 
proportional  to  the  contemplated  level  of  activity  of  the  applicant,  and  assurance  of  the 
capability to prepare compliant bids for infrastructure capacity. 

3. The Commission may adopt implementing measures setting out the details of the criteria to 
be  followed  for  the  application  of  paragraph  2.  Those  measures,  designed  to  ensure  the 
implementation of this Directive under uniform conditions shall be adopted as implementing 
acts in accordance with Article 63(3).  

(cid:216) new 

(cid:208) 2001/14/EC (adapted) 

Article 42 

Framework agreements 

1.  Without  prejudice  to  Articles  ⌦ 101,  102  and  106 ⌫  of  the  Treaty,  a  framework 
agreement  may  be  concluded  between  ⌦ an  infrastructure  manager  and ⌫  an  applicant. 
Such  a  framework  agreement  ⌦ shall  specify ⌫  the  characteristics  of  the  infrastructure 
capacity required by and offered to the applicant over a period of time exceeding one working 
timetable  period.  The  framework  agreement  shall  not  specify  a  train  path  in  detail,  but 
⌦ shall ⌫ be such as to meet the legitimate commercial needs of the applicant. A Member 
State  may  require  prior  approval  of  such  a  framework  agreement  by  the  regulatory  body 
referred to in Article 55 of this Directive. 

2.  Framework  agreements  shall  not  be  such  as  to  preclude  the  use  of  the  relevant 
infrastructure by other applicants or services. 

(cid:208) 2001/14/EC 

EN 

60 

   EN 

 
 
 
 
 
3. A framework agreement shall allow for the amendment or limitation of its terms to enable 
better use to be made of the railway infrastructure. 

4.  The  framework  agreement  may  contain  penalties  should  it  be  necessary  to  modify  or 
terminate the agreement. 

(cid:208) 2007/58/EC Art. 2.4 

5.  Framework  agreements  shall  in  principle  cover  a  period  of  five  years,  renewable  for 
periods equal to their original duration. The infrastructure manager may agree to a shorter or 
longer  period  in  specific  cases.  Any  period  longer  than  five  years  shall  be  justified  by  the 
existence of commercial contracts, specialised investments or risks. 

6.  For  services  using  specialised  infrastructure  referred  to  in  Article 49  which  requires 
substantial and long-term investment, duly justified by the applicant, framework agreements 
may be for a period of 15 years. Any period longer than 15 years shall be permissible only in 
exceptional  cases,  in  particular  where  there  is  large-scale,  long-term  investment,  and 
particularly where such investment is covered by contractual commitments including a multi-
annual amortisation plan. 

(cid:208) 2007/58/EC Art. 2.4 (adapted) 

⌦ In  such  exceptional  cases,  the  framework  agreement  may  set  out  the ⌫  detailed 
characteristics ⌦ of the capacity ⌫ which ⌦ is ⌫ to be provided to the applicant for the 
duration  of  the  framework  agreement.  ⌦ These  characteristics  may  include  the  frequency, 
volume  and  quality  of  train  paths. ⌫  The  infrastructure  manager  may  reduce  reserved 
capacity  which,  over  a  period  of  at  least  one  month,  has  been  used  less  than  the  threshold 
quota provided for in Article 52. 

(cid:208) 2007/58/EC Art. 2.4 

As from 1 January 2010, an initial framework agreement may be drawn up for a period of five 
years,  renewable  once,  on  the  basis  of  the  capacity  characteristics  used  by  applicants 
operating services before 1 January 2010, in order to take account of specialised investments 
or the existence of commercial contracts. The regulatory body referred to in Article 55 shall 
be responsible for authorising the entry into force of such an agreement. 

7.  While  respecting  commercial  confidentiality,  the  general  nature  of  each  framework 
agreement shall be made available to any interested party. 

(cid:208) 2001/14/EC 

(cid:208) 2001/14/EC 

Article 43 

Schedule for the allocation process 

EN 

61 

   EN 

 
 
 
 
 
1.  The  infrastructure  manager  shall  adhere  to  the  schedule  for  capacity  allocation  set  out  in 
Annex IX. 

Annex  IX  may  be  amended  in  the  light  of  experience  in  accordance  with  the  procedure 
referred to in Article 60. 

(cid:216) new 

2.  Infrastructure  managers  shall  agree  with  the  other  relevant  infrastructure  managers 
concerned which international train paths are to be included in the working timetable, before 
commencing consultation on the draft working timetable. Adjustments shall only be made if 
absolutely necessary. 

(cid:208) 2001/14/EC 

(cid:208) 2001/14/EC (adapted) 

Article 44 

Application 

1. Applicants may apply ⌦ under ⌫ public or private law to the infrastructure manager to 
request an agreement granting rights to use railway infrastructure against a charge as provided 
for in Chapter IV, Section 2 . 

2. Requests relating to the regular working timetable ⌦ shall comply with⌫ the deadlines 
set out in Annex IX. 

(cid:208) 2001/14/EC 
(cid:214) new 

3. An applicant who is a party to a framework agreement shall apply in accordance with that 
agreement. 

4. Applicants (cid:214) shall  may request infrastructure capacity crossing more than one network 
by  applying  to  one  infrastructure  manager.  That  infrastructure  manager  shall  then  be 
permitted  to  act  on  behalf  of  the  applicant  to  seek  capacity  with  the  other  relevant 
infrastructure managers. 

5. Infrastructure managers shall ensure that, for infrastructure capacity crossing more than one 
network, applicants may apply direct to any joint body which the infrastructure managers may 
establish (cid:214) , such as a one-stop-shop for rail corridors  . 

Article 45 

Scheduling 

62 

EN 

   EN 

 
 
 
 
1.  The  infrastructure  manager  shall  as  far  as  possible  meet  all  requests  for  infrastructure 
capacity including requests for train paths crossing more than one network, and shall as far as 
possible take account of all constraints on applicants, including the economic effect on their 
business. 

(cid:208) 2001/14/EC 

2. The infrastructure manager may give priority to specific services within the scheduling and 
coordination process but only as set out in Articles 47 and 49. 

(cid:208) 2001/14/EC Art. 20 

(cid:208) 2001/14/EC (adapted) 

3.  The  infrastructure  manager  shall  consult  interested  parties  about  the  draft  working 
timetable  and  allow  them  at  least  one  month  to  present  their  views.  Interested  parties  shall 
include  all  those  who  have  requested  infrastructure  capacity  ⌦ and ⌫  other  parties  who 
wish  to  have  the  opportunity  to  comment  on  how  the  working  timetable  may  affect  their 
ability to procure rail services during the working timetable period. 

(cid:216) new 

4. The infrastructure manager shall, upon request, within a reasonable time and in due time 
for  the  coordination  process  referred  to  in  Article  46,  make  the  following  information 
available free of charge to applicants in written form for review: 

(a) 

(b) 

(c) 

(d) 

(e) 

train paths requested by all other applicants on the same routes, 

train paths allocated to all other applicants and outstanding train paths requests for all 
other applicants on the same routes, 

train  paths  allocated  to  all  other  applicants  on  the  same  routes  as  in  the  previous 
working timetable, 

remaining capacity available on the relevant routes, 

full details of the criteria being used in the capacity allocation process. 

5. The infrastructure manager shall take appropriate measures to deal with any concerns that 
are expressed. 

(cid:208) 2001/14/EC 

Article 46 

Coordination process 

EN 

63 

   EN 

 
 
 
 
 
1.  During  the  scheduling  process  referred  to  in  Article  45,  when  the  infrastructure  manager 
encounters conflicts between different requests ⌦ it ⌫ shall attempt, through coordination 
of the requests, to ensure the best possible matching of all requirements. 

(cid:208) 2001/14/EC (adapted) 

2.  When  a  situation  requiring  coordination  arises,  the  infrastructure  manager  shall  have  the 
right, within reasonable limits, to propose infrastructure capacity that differs from that which 
was requested. 

(cid:208) 2001/14/EC Art. 21 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

3.  The  infrastructure  manager  shall  attempt,  through  consultation  with  the  appropriate 
applicants, to ⌦ resolve ⌫ any conflicts. 

4.  The  principles  governing  the  coordination  process  shall  be ⌦ set  out ⌫  in  the  network 
statement. These shall in particular reflect the difficulty of arranging international train paths 
and the effect that modification may have on other infrastructure managers. 

5. ⌦ Where ⌫ requests for infrastructure capacity cannot be satisfied without coordination, 
the infrastructure manager shall attempt to accommodate all requests through coordination. 

6. Without prejudice to the existing appeal procedures and to Article 56, in ⌦ the event ⌫ 
of  disputes  relating  to  the  allocation  of  infrastructure  capacity,  a  dispute  resolution  system 
shall be made available in order to resolve such disputes promptly. (cid:214) This system shall be set 
out in the network statement.  If this system is applied, a decision shall be reached within a 
time limit of 10 working days. 

Article 47 

Congested infrastructure 

(cid:208) 2001/14/EC (adapted) 

1.  Where  after  coordination  of  the  requested  ⌦ train ⌫  paths  and  consultation  with 
applicants it is not possible to satisfy requests for infrastructure capacity adequately then the 
infrastructure  manager  must  immediately  declare  that  ⌦ section ⌫  of  infrastructure  on 
which this has occurred to be congested. This shall also be done for infrastructure which can 
be ⌦ expected to ⌫ suffer from insufficient capacity in the near future. 

2.  When  infrastructure  has  been  declared  to  be  congested,  the  infrastructure  manager  shall 
carry  out  a  capacity  analysis  as  ⌦ provided  for ⌫  in  Article  50,  unless  a  capacity 
enhancement plan as ⌦ provided for ⌫ in Article 51 is already being implemented. 

EN 

64 

   EN 

 
 
 
 
(cid:208) 2001/14/EC 

3. When charges in accordance with Article 31 (4) have not been levied or have not achieved 
a satisfactory result and the infrastructure has been declared to be congested, the infrastructure 
manager may in addition employ priority criteria to allocate infrastructure capacity. 

4. The priority criteria shall take account of the importance of a service to society, relative to 
any other service which will consequently be excluded. 

(cid:208) 2001/14/EC (adapted) 

In  order  to  guarantee  the  development  of  adequate  transport  services  ⌦ within  this 
framework ⌫  ,  in  particular  to  comply  with  public-service  requirements  or  promote  the 
development  of  rail  freight,  Member  States  may  take  any  measures  necessary,  under  non-
discriminatory conditions, to ensure that such services are given priority when infrastructure 
capacity is allocated. 

Member  States  may,  where  appropriate,  grant  the  infrastructure  manager  compensation 
corresponding to any loss of revenue related to the need to allocate a given capacity to certain 
services pursuant to the ⌦ second ⌫ subparagraph. 

⌦ These  measures  and  compensations ⌫  shall  include  taking  account of  the  effect  of  this 
exclusion in other Member States. 

5. The importance of freight services and in particular international freight services shall be 
given adequate consideration in determining priority criteria. 

(cid:208) 2001/14/EC 

6.  The  procedures  ⌦ to ⌫  be  followed  and  ⌦ the ⌫  criteria  ⌦ to  be ⌫  used  where 
infrastructure is congested shall be set out in the network statement. 

(cid:208) 2001/14/EC (adapted) 

(cid:208) 2001/14/EC 

Article 48 

Ad hoc requests 

1.  The  infrastructure  manager  shall  respond  to  ad  hoc  requests  for  individual  train  paths  as 
quickly  as  possible,  and  in  any  event,  within  five  working  days.  Information  supplied  on 
available  spare  capacity  shall  be  made  available  to  all  applicants  who  may  wish  to  use  this 
capacity. 

2.  Infrastructure  managers  shall  where  necessary  undertake  an  evaluation  of  the  need  for 
reserve capacity to be kept available within the final scheduled working timetable to enable 
them to respond rapidly to foreseeable ad hoc requests for capacity. This shall also apply in 
cases of congested infrastructure. 

EN 

65 

   EN 

 
 
 
 
 
Article 49 

Specialised infrastructure 

1. Without prejudice to paragraph 2, infrastructure capacity shall be considered to be available 
for the use of all types of service which conform to the characteristics necessary for operation 
on the train path. 

(cid:208) 2001/14/EC (adapted) 

2.  Where  there  are  suitable  alternative  routes,  the  infrastructure  manager  may,  after 
consultation  with  interested  parties,  designate  particular  infrastructure  for  use  by  specified 
types  of  traffic.  Without  prejudice  to  Articles  ⌦ 101,  102  and  106 ⌫  of  the  Treaty, 
⌦ where ⌫ such designation has occurred, the infrastructure manager may give priority to 
this type of traffic when allocating infrastructure capacity. 

Such designation shall not prevent the use of such infrastructure by other types of traffic when 
capacity is available. 

3.  ⌦ Where ⌫  infrastructure  has  been  designated  pursuant  to  paragraph  2,  this  shall  be 
described in the network statement. 

Article 50 

Capacity analysis 

1. The objective of capacity analysis is to determine the ⌦ constraints ⌫ on infrastructure 
capacity  which  prevent  requests  for  capacity  from  being  adequately  met,  and  to  propose 
methods of enabling additional requests to be satisfied. This analysis shall identify the reasons 
for the congestion and what measures might be taken in the short and medium term to ease the 
congestion. 

2.  The  analysis  shall  consider  the  infrastructure,  the  operating  procedures,  the  nature  of  the 
different  services  operating  and  the  effect  of  all  these  factors  on  infrastructure  capacity. 
Measures to be considered shall include in particular re-routing services, re-timing services, 
speed alterations and infrastructure improvements. 

3.  A  capacity  analysis  shall  be  completed  within  six  months  of  the  identification  of 
infrastructure as congested. 

(cid:208) 2001/14/EC 

Article 51 

Capacity enhancement plan 

1. Within six months of the completion of a capacity analysis, the infrastructure manager shall 
produce a capacity enhancement plan. 

EN 

66 

   EN 

 
 
2.  A  capacity  enhancement  plan  shall  be  developed  after  consultation  with  users  of  the 
relevant congested infrastructure. 

It shall identify: 

(a) 

(b) 

(c) 

(d) 

the reasons for the congestion; 

the likely future development of traffic; 

the constraints on infrastructure development; 

the  options  and  costs  for  capacity  enhancement,  including  likely  changes  to  access 
charges. 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

On the basis of a cost benefit analysis of the possible measures identified, ⌦ it shall also ⌫ 
determine ⌦ the ⌫ action ⌦ to ⌫ be taken to enhance infrastructure capacity, including a 
⌦ timetable ⌫ for ⌦ implementing ⌫ the measures. 

The  plan  may  be  subject  to  prior  approval  by  the  Member  State.  (cid:214) The  regulatory  body 
referred to in Article 55 may issue an opinion on whether the actions identified in the plan are 
appropriate.  

3. The infrastructure manager shall cease to levy any ⌦ charges ⌫ which are levied for the 
relevant infrastructure under Article 31(4) in cases where: 

(a)  ⌦ it ⌫ does not produce a capacity enhancement plan; or 

(b)  ⌦ it ⌫  does  not  make  progress  with  the ⌦ actions ⌫  identified  in  the  capacity 

enhancement plan. 

However,  the  infrastructure  manager  may,  subject  to  the  approval  of  the  regulatory  body 
referred to in Article 55 continue to levy ⌦ the charges ⌫ if: 

(a) 

the  capacity  enhancement  plan  cannot  be  realised  for  reasons  beyond  ⌦ its ⌫ 
control; or 

(b) 

the options available are not economically or financially viable. 

(cid:208) 2001/14/EC 

(cid:208) 2001/14/EC (adapted) 

Article 52 

Use of train paths 

EN 

67 

   EN 

 
 
 
1. ⌦ In the network statement, the ⌫ infrastructure manager ⌦ shall ⌫ specify conditions 
whereby  it  will  take  account  of  previous  levels  of  utilisation  of  train  paths  in  determining 
priorities for the allocation process. 

⌦ 2.  For  congested  infrastructure  in  particular,  the  infrastructure  manager  shall  require  the 
surrender of a train path which, over a period of at least one month, has been used less than a 
threshold  quota  to  be  laid  down  in  the  network  statement,  unless  this  was  due  to  non-
economic reasons beyond the operator's control. ⌫ 

Article 53 

Infrastructure capacity for scheduled maintenance ⌦ work ⌫ 

1.  Requests  for  infrastructure  capacity  to  enable  maintenance  ⌦ work ⌫  to  be  performed 
shall be submitted during the scheduling process. 

2. Adequate account shall be taken by the infrastructure manager of the effect of infrastructure 
capacity reserved for scheduled track maintenance ⌦ work ⌫ on applicants. 

3.  The  infrastructure  manager  shall  inform  in due  time  interested  parties  about  unscheduled 
maintenance work. 

(cid:216) new 

(cid:208) 2001/14/EC (adapted) 

Article 54 

Special measures to be taken in the event of disturbance 

1. In the event of disturbance to train movements caused by technical failure or accident the 
infrastructure  manager  must  take  all  necessary steps  to  restore  the  normal  situation.  To  that 
end ⌦ it ⌫ shall draw up a contingency plan listing the various bodies to be informed in the 
event of serious incidents or serious disturbance to train movements. 

2.  In  an  emergency  and  where  absolutely  necessary  on  account  of  a  breakdown  making  the 
infrastructure  temporarily  unusable,  the  ⌦ train ⌫  paths  allocated  may  be  withdrawn 
without warning for as long as is necessary to repair the system. 

The  infrastructure  manager  may,  if  ⌦ it ⌫  deems  ⌦ this ⌫  necessary,  require  railway 
undertakings to make available to ⌦ it ⌫ the resources which ⌦ it ⌫ feels are the most 
appropriate to restore the normal situation as soon as possible. 

3.  Member  States  may  require  railway  undertakings  to  be  involved  in  assuring  the 
enforcement  and  monitoring  of  their  own  compliance  ⌦ with ⌫  the  safety  standards  and 
rules. 

EN 

68 

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SECTION 4 

⌦ REGULATORY BODY ⌫ 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 
(cid:206)1 2007/58/EC Art. 2.5 

Article 55 

Regulatory body 

1. ⌦ Each ⌫ Member State shall establish a (cid:214) single national  regulatory body (cid:214) for the 
railway sector  . This body, which can be the Ministry responsible for transport matters or 
any  other  body,  shall  (cid:214) be  a  stand-alone  authority  which  is,  in  organisational,  functional, 
hierarchical  and  decision-making  terms,  legally  distinct  and  independent  from  any  other 
public  authority.  It  shall  also   be  independent  in  its  organisation,  funding  decisions,  legal 
structure  and  decision-making  from  any  infrastructure  manager,  charging  body,  allocation 
body  or  applicant. (cid:206)1 It  shall  furthermore  be  functionally  independent  from  any  competent 
authority  involved  in  the  award  of  a  public  service  contract.   The  body  shall  function 
according  to  the  principles  outlined  in  this  Article  whereby  appeal  and  regulatory  functions 
may be attributed to separate bodies. 

(cid:216) new 

2.  Member  States  may  set  up  regulatory  bodies  which  are  competent  for  several  regulated 
sectors, if these integrated regulatory authorities fulfil the independence requirements set out 
in paragraph 1. 

3.  The  president  and  governing  board  of  the  regulatory  body  for  the  railway  sector  shall  be 
appointed  for  a  fixed  and  renewable  term  under  clear  rules  which  guarantee  independence. 
They  shall  be  selected  from  among  persons  who  have  had  no  professional  position  or 
responsibility,  interest  or  business  relationship,  directly  or  indirectly,  with  the  regulated 
undertakings or entities for a period of three years before their appointment, and during their 
term of office. Afterwards, they shall have no professional position or responsibility, interest 
or business relationship with any of the regulated undertakings or entities for a period of not 
less than three years. They shall have full authority over the recruitment and management of 
the staff of the regulatory body. 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

⌦ Article 56 ⌫ 

⌦ Functions of the regulatory body ⌫ 

EN 

69 

   EN 

 
 
 
1.  ⌦ Without  prejudice  to  Article  46(6), ⌫  an  applicant  shall  have  ⌦ the ⌫  right  to 
appeal  to  the  regulatory  body  if  it  believes  that  it  has  been  unfairly  treated,  discriminated 
against  or  is  in  any  other  way  aggrieved,  and  in  particular  against  decisions  adopted  by  the 
infrastructure  manager  or  where  appropriate  the  railway  undertaking  (cid:214) or  the  operator  of  a 
service facility  concerning: 

(a) 

the network statement; 

(b)  ⌦ the ⌫ criteria ⌦ set out in ⌫ it; 

(cid:208) 2001/14/EC 

(cid:208) 2001/14/EC (adapted) 

(cid:208) 2001/14/EC 

(c) 

the allocation process and its result;(d) 

the charging scheme; 

(e)  ⌦ the ⌫ level or structure of infrastructure ⌦ charges ⌫ which it is, or may be, 

required to pay; 

(cid:208) 2001/14/EC (adapted) 

(f) 

arrangements for access in accordance with Articles 10, 11 and 12; 

(cid:208) 2004/49/EC Art. 30.2 

(g) 

access to and charging for services in accordance with Article 13. 

(cid:216) new 

2.  The  regulatory  body  shall  also  have  the  power  to  monitor  the  competition  in  the  rail 
services markets and review points (a) to (g) of paragraph 1 on its own initiative and with a 
view to preventing discrimination between applicants. It shall, in particular, check whether the 
network  statement  contains  discriminatory  clauses  or  creates  discretionary  powers  for  the 
infrastructure  manager  that  may  be  used  to  discriminate  between  applicants.  The  regulatory 
body shall have the necessary organisational capacity to carry out these tasks. 

(cid:208) 2001/12/EC Art. 1.11 

7.  Without  prejudice  to  Community  and  national  regulations  concerning  competition  policy 
and the institutions with responsibility in that area, the regulatory body established pursuant to 
Article  30  of  Directive  2000/14/EC,  or  any  other  body  enjoying  the  same  degree  of 
independence  shall  monitor  the  competition  in  the  rail  services  markets,  including  the  rail 
freight transport market. 

That body shall be set up in accordance with the rules in Article 30(1) of the said Directive. 
Any applicant or interested party may lodge a complaint with this body if it feels that it has 
been treated unjustly, has been the subject of discrimination or has been injured in any other 

EN 

70 

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way.  On  the  basis  of  the  complaint  and,  where  appropriate,  on  its  own  initiative,  the 
regulatory  body  shall  decide  at  the  earliest  opportunity  on  appropriate  measures  to  correct 
undesirable  developments  in  these  markets.  In  order  to  ensure  the  necessary  possibility  of 
judicial  control  and  the  requisite  cooperation  between  national  regulatory  bodies,  Article 
30(6) and Article 31 of the said Directive shall apply in this context. 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

3.  The  regulatory  body  shall  ensure  that  charges  set  by  the  infrastructure  manager  comply 
with  Chapter  IV,  Section  2  and  are  non-discriminatory.  ⌦ Negotiations ⌫  between 
applicants and an infrastructure manager concerning the level of infrastructure charges shall 
only be permitted  if these are carried out  under the supervision of the regulatory body. The 
regulatory  body  shall  intervene  if  negotiations  are  likely  to  contravene  the  requirements  of 
this Chapter . 

4.  The  regulatory  body  shall  have  the  power  to  request  relevant  information  from  the 
infrastructure  manager,  applicants  and  any  third  party  involved  within  the  Member  State 
concerned.  ⌦ Information  requested ⌫  must  be  supplied  without  undue  delay.  (cid:214) The 
regulatory  body  shall  be  enabled  to  enforce  such  requests  with  the  appropriate  sanctions, 
including fines. Information to be supplied to the regulatory body includes all data which the 
regulatory  body  requires  in  the  framework  of  its  appeal  function  and  in  its  function  of 
monitoring the competition in the rail services markets in accordance with paragraph 2. This 
includes data which are necessary for statistical and market observation purposes.  

(cid:208) 2001/14/EC 
(cid:214) new 

5.  The  regulatory  body  shall  be  required  to  decide  on  any  complaints  and  take  action  to 
remedy the situation within a maximum period of two months from receipt of all information. 
(cid:214) Where appropriate, it shall decide on its own initiative on appropriate measures to correct 
undesirable developments in these markets, in particular with reference to points (a) to (g) of 
paragraph 1.  

(cid:208) 2001/14/EC 
(cid:214) new 

A decision of the regulatory body shall be binding on all parties covered by that decision (cid:214) , 
and shall not be subject to the control of another administrative instance. The regulatory body 
must be able to enforce its decisions with the appropriate sanctions, including fines.  

In the event of an appeal against a refusal to grant infrastructure capacity, or against the terms 
of  an  offer  of  capacity,  the  regulatory  body  shall  either  confirm  that  no  modification  of  the 
infrastructure manager's decision is required, or it shall require modification of that decision 
in accordance with directions specified by the regulatory body. 

(cid:208) 2001/14/EC 

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(cid:208) 2001/14/EC 
(cid:214) new 

6.  Member  States  shall  ensure  that  decisions  taken  by  the  regulatory  body  are  subject  to 
judicial  review.  (cid:214) The  appeal  may  have  suspensive  effect  on  the  decision  of  the  regulatory 
body  only  when  the  court  hearing  the  appeal  establishes  that  the  immediate  effect  of  the 
regulatory body's decision may cause irretrievable damages for the appellant.  

(cid:216) new 

7. Member States shallensure that information about conflict resolution and appeal procedures 
related  to  decisions  of  infrastructure  managers  and  providers  of  services  listed  in  Annex  III 
are published by the regulatory body. 

8. The regulatory body shall have the power to carry out audits or initiate external audits with 
infrastructure managers and, when relevant, railway undertakings, to verify compliance with 
accounting separation provisions laid down in Article 6.  

Member States shall ensure that infrastructure managers and all undertakings or other entities 
performing  or  integrating  different  types  of  rail  transport  or  infrastructure  management  as 
referred to in Article 6(1) and (2) shall provide detailed regulatory accounts to the regulatory 
body so that it can carry out its different tasks. These regulatory accounts must contain at least 
the elements set out in Annex X. The regulatory body may also draw conclusions from these 
accounts  concerning  state  aid  issues  which  it  shall  report  to  the  authorities  responsible  for 
resolving these issues.  

Annex  X  may  be  amended  in  the  light  of  experience  in  accordance  with  the  procedure 
referred to in Article 60. 

(cid:208) 2001/14/EC (adapted) 
(cid:214) new 

Article 57 

Cooperation ⌦ between ⌫ regulatory bodies 

1. The national regulatory bodies shall exchange information about their work and decision-
making  principles  and  practice  ⌦ and  otherwise  cooperate ⌫  for  the  purpose  of 
coordinating  their  decision-making  across  the  ⌦ Union ⌫.  (cid:214) For  this  purpose  they  shall 
work together in a working group that convenes at regular intervals.  The Commission shall 
support ⌦ the regulatory bodies ⌫ in this task. 

(cid:216) new  

2.  The  regulatory  bodies  shall  be  enabled  to  cooperate  closely,  including  through  working 
arrangements, for purposes of mutual assistance in their market monitoring tasks and handling 
complaints or investigations. 

3. In the case of a complaint or an own-initiative investigation on issues of access or charging 
relating to an international train path, as well as in the framework of monitoring competition 

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on  the  market  related  to  international  rail  transport  services,  the  regulatory  body  concerned 
shall consult the regulatory bodies of all other Member States through which the international 
train path concerned runs and request all necessary information from them before taking its 
decision. 

4.  The  regulatory  bodies  consulted  in  accordance  with  paragraph  3  shall  provide  all  the 
information  that  they  themselves  have  the  right  to  request  under  their  national  legislation. 
This information may only be used for the purpose of handling the complaint or investigation 
referred to in paragraph 3.  

5.  The  regulatory  body  receiving  the  complaint  or  conducting  an  investigation  on  its  own 
initiative  shall  transfer  relevant  information  to  the  regulatory  body  responsible  in  order  for 
that body to take measures regarding the parties concerned. 

6. Member States shall ensure that any associated representatives of infrastructure managers 
as  referred  to  in  Article  40(1)  provide,  without  delay,  all  the  information  necessary  for  the 
purpose of handling the complaint or investigation referred to in paragraph 3 of this Article 
and  requested  by  the  regulatory  body  of  the  Member  State  in  which  the  associated 
representative  is  located.  This  regulatory  body  shall  be  entitled  to  transfer  such  information 
regarding  the  international  train  path  concerned  to  the  regulatory  bodies  referred  to  in 
paragraph 3. 

7. Regulatory bodies shall develop common principles and practices for making decisions for 
which  they  are  empowered  under  this  Directive.  The  Commission  may  adopt  implementing 
measures  setting  out  such  common  principles  and  practices.  Those  measures  designed  to 
ensure  the  implementation  of  this  Directive  under  uniform  conditions  shall  be  adopted  as 
implementing acts in accordance with Article 63(3). 

Regulatory  bodies  shall  also  review  decisions  and  practices  of  associations  of  infrastructure 
managers  as  referred  to  in  Article  40(1)  that  implement  provisions  of  this  Directive  or 
otherwise facilitate international rail transport.  

(cid:208) 91/440/EEC 

CHAPTER V 

FINAL PROVISIONS 

(cid:208) 2001/12/EC Art. 1.14 

Article 11 

1. Member States may bring any question concerning the implementation of this Directive to 
the  attention  of  the  Commission.  Appropriate  decisions  shall  be  adopted  by  use  of  the 
advisory procedure referred to in Article 11a(2). 

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2.  Measures  designed  to  amend  non-essential  elements  of  this  Directive  and  relating  to  the 
adaptation  of  the  Annexes  thereto  shall  be  adopted  in  accordance  with  the  regulatory 
procedure with scrutiny referred to in Article 11a(3). 

(cid:208) 2007/58/EC Art. 1.11 

(cid:208) 91/440/EEC (adapted) 

Article 58 

The provisions of this Directive shall be without prejudice to ⌦ Directive 2004/17/EC of the 
European Parliament and of the Council ⌫17. 

(cid:208) 2001/14/EC  
(cid:214) new 

Article 59 

Derogations 

1.  For  a  period  of  five  years  from  (cid:214) Until   15  March  2003  (cid:214) 2013 ,  the  following 
Member States: 

Ireland,  as  a  Member  State  located  on  an  island,  with  a  rail  link  to  only  one  other  Member 
State, ⌦ and ⌫ the United Kingdom, in respect of Northern Ireland, on the same basis 

(cid:208) 2001/14/EC (adapted) 

– 

Greece,  as  a  Member  State  that  does  not  have  any  direct  rail  link  to  any  other 
Member State, 

(cid:208) 2001/14/EC 

(cid:208) 2001/14/EC (adapted) 

⌦ (a)  do  not  need  to  entrust  to  an  independent  body  the  functions  determining  equitable 
and  non-discriminatory  access  to  infrastructure,  as  provided  for  in  Article  7(1) 
first subparagraph,  in  so  far  as  that  Article  obliges  Member  States  to  establish 
independent bodies performing the tasks referred to in Article 7(2); ⌫ 

(b)  ⌦ do not need to apply the requirements set out in ⌫ Articles 27, 29(2), 38, 39, 42, 
46(4),  46(6),  47,  49(3),  50  to  53,  55  and  56  on  condition  that  decisions  on  the 
allocation  of  infrastructure  capacity  or  the  charging  of  fees  are  open  to  appeal, 
⌦ if ⌫  so  requested  in  writing  by  a  railway  undertaking,  before  an  independent 

17 

OJ L 134, 30.4.2004, p. 1. 

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body  which  shall  take  its  decision  within  two  months  of  the  submission  of  all 
relevant information and whose decision shall be subject to judicial review. 

2.  Where  more  than  one  railway  undertaking  licensed  in accordance  with Article 17 , or, in 
the case of Ireland and Northern Ireland, a railway company so licensed elsewhere submits an 
official  application  to  operate  competing  railway  services  in,  to  or  from  Ireland  ⌦ or ⌫ 
Northern  Ireland  or  Greece,  the  continued  applicability  of  this  derogation  ⌦ shall ⌫  be 
decided upon in accordance with the procedure referred to in Article 64(2). 

⌦ The derogations referred to in paragraph 1 shall not apply where ⌫ a railway undertaking 
operating  railway  services  in  Ireland  or  Northern  Ireland  submits  an  official  application  to 
operate  railway  services  on,  to  or  from  the  territory  of  another  Member  State, ⌦ with  the 
exceptions ⌫  of  Ireland ⌦ for  railway  undertakings  operating  in  Northern  Ireland  and ⌫ 
the United Kingdom ⌦ for railway undertakings operating in Ireland ⌫. 

Within one year from the receipt of either the decision referred to in the first subparagraph of 
this paragraph or notification of the official application referred to in the second subparagraph 
of  this  paragraph,  the  Member  State  or  States  concerned  (Ireland  ⌦ or ⌫  the  United 
Kingdom  with  respect  to  Northern  Ireland,  or  Greece)  shall  put  in  place  legislation  to 
implement the Articles referred to in paragraph 1. 

3. A derogation referred to in  paragraph 1 may be renewed for periods not longer than five 
years.  Not  later  than  12  months  before  the  expiry  date  of  the  derogation  a  Member  State 
availing  itself  of  ⌦ that ⌫  derogation  may  address  a  request  to  the  Commission  for  a 
renewed derogation. Any such request must be substantiated. The Commission shall examine 
such  a  request  and  adopt  a  decision  in  accordance  with  the  procedure  referred  to  in  Article 
64(2). ⌦ That ⌫ procedure shall apply to any decision related to the request. 

When adopting its decision  the Commission  shall take into account any development in the 
geopolitical situation and the development of the rail market in, from and to the Member State 
⌦ that ⌫ requested the renewed derogation. 

(cid:208) 2001/14/EC 

4. Luxembourg as a Member State with a relatively small rail network does not need to apply 
until  31  August  2004  the  requirement  to  award  to  an  independent  body  the  functions 
determining  equitable  and  non-discriminatory  access  to  infrastructure,  as  provided  for  in 
Articles 4  and  14  in  so  far  as  they  oblige  Member  States  to  establish  independent  bodies 
performing the tasks referred to in those Articles. 

(cid:216) new 

Article 60 

Exercise of delegation 

1.  Powers  to  adopt  the  delegated  acts  referred  to  in  Articles  7(1)  second  subparagraph, 
13(5) second  subparagraph,  15(5)  second  subparagraph,  20 
third  paragraph,  27(2), 
30(3) second  subparagraph,  31(5)  second  subparagraph,  32(1)  third  subparagraph,  32(3), 

EN 

75 

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35(2),  43(1)  and  56(8)  third  subparagraph  shall  be  conferred  on  the  Commission  for  an 
indeterminate period of time. 

2. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the 
European Parliament and to the Council. 

3. Powers to adopt delegated acts are conferred on the Commission subject to the conditions 
laid down in Articles 61 and 62. 

Article 61 

Revocation of delegation 

1.  The  delegation  of  powers  referred  to  in  Article  60(1)  may  be  revoked  by  the  European 
Parliament or by the Council. 

2. The institution which has commenced an internal procedure for deciding whether to revoke 
the delegation of powers shall inform the other legislator and the Commission at the latest one 
month before the final decision is taken, stating the delegated powers which could be subject 
to revocation and the reasons for such revocation. 

3. The revocation decision shall put an end to the delegation of the powers specified in that 
decision. It shall take effect immediately or on a later date specified therein. It shall not affect 
the validity of delegated acts already in force. It shall be published in the Official Journal of 
the European Union. 

Article 62 

Objections to delegated acts 

1. The European Parliament and the Council may object to a delegated act within a period of 
two months from the date of notification. On the initiative of the European Parliament or the 
Council this period shall be extended by one month. 

2. If, on expiry of that period, neither the European Parliament nor the Council has objected to 
the delegated act, or if, before that date, the European Parliament and the Council have both 
informed  the  Commission  that  they  have  decided  not  to  raise  objections,  the  delegated  act 
shall enter into force on the date stated in its provisions. 

3. If the European Parliament or the Council objects to an adopted delegated act, it shall not 
enter into force. The institution concerned shall state the reasons for objecting to the delegated 
act. 

(cid:208) 2001/14/EC  

Article 63 

Implementing measures 

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1. Member States may bring any question concerning the implementation of this Directive to 
the attention of the Commission. Appropriate decisions shall be adopted in accordance with 
the procedure referred to in Article 64(2). 

(cid:208) 2004/49/EC Art. 30.4 (adapted) 

2.  At  the  request  of  a  Member  State  or  on  its  own  initiative  the  Commission  shall,  in  a 
specific  case,  examine  the  application  and  enforcement  of ⌦ the ⌫  provisions  ⌦ of  this 
Directive ⌫, and within two months of receipt of such a request decide in accordance with 
the  procedure  referred  to  in  Article  64(2)  whether  the  related  measure  may  continue  to  be 
applied.  The Commission  shall  communicate  its  decision  to  the  European  Parliament,  the 
Council and to the Member States. 

(cid:208) 2001/14/EC (adapted) 

Without  prejudice  to  Article  ⌦ 258 ⌫  of  the  Treaty,  any  Member  State  may  refer  the 
Commission's decision to the Council within a time limit of one month ⌦ from the date of 
the  decision ⌫.  The  Council,  acting  by  a  qualified  majority,  may  in  exceptional 
circumstances take a different decision within a period of one month ⌦ from the date of the 
referral ⌫ . 

3.  Measures  designed  to  ⌦ ensure  the  implementation  of  the  Directive  under  uniform 
conditions ⌫  shall  be  adopted  ⌦ by  the  Commission  as  implementing  acts ⌫  in 
accordance with the procedure with scrutiny referred to in Article 64(3). 

(cid:208) 2007/58/EC Art. 2.6 (adapted) 

(cid:208) 2001/14/EC 

Article 64 

Committee procedures 

1. The Commission shall be assisted by a Committee. 

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

3.  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. 

(cid:208) 2007/58/EC Art. 2.7 

(cid:208) 2001/14/EC 

Article 65 

Report 

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EN 

 
 
 
 
 
 
The  Commission  shall  by  15  March  2005  submit  to  the  European  Parliament  and  to  the 
Council  a  report  on  the  implementation  of  this  Directive,  accompanied  if  necessary  by 
proposals for further Community action. 

8. By 1 January 2009, the Commission shall submit to the European Parliament, the Council, 
the European Economic and Social Committee and the Committee of the Regions a report on 
the implementation of this Directive. 

(cid:208) 2007/58/EC Art. 1.9 

This report shall address: 

–  the implementation of this Directive in the Member States, and in particular its impact in 
the  Member  States  as  referred  to  in  the  second  subparagraph  of  paragraph 3a  and  the 
effective working of the various bodies involved; 

–  market developments, in particular international traffic trends, activities and market share 

of all market actors, including new entrants. 

By  31 December  2012  ⌦ at  the  latest ⌫  ,  the  Commission  shall  submit  to  the  European 
Parliament, the Council, the European Economic and Social Committee and the Committee of 
the Regions a report on the implementation of Chapter II. 

(cid:208) 2007/58/EC Art. 1.10 (adapted) 

(cid:208) 2007/58/EC Art. 1.10 (adapted) 

This report shall also assess the development of the market, including the state of preparation 
of a further opening-up of the rail market. In its report the Commission shall also analyse the 
different models for organising this market and the impact of this Directive on public service 
contracts  and  their  financing.  In  so  doing,  the  Commission  shall  take  into  account  the 
implementation  of  Regulation  (EC)  No 1370/2007  and  the  intrinsic  differences  between 
Member  States  (density  of  networks,  number  of  passengers,  average  travel  distance).  In  its 
report the Commission shall, if appropriate, propose complementary measures to facilitate any 
such opening, and shall assess the impact of any such measures. 

Article 66 

⌦ Transposition ⌫ 

(cid:216) new 

1.  Member  States  shall  bring  into  force  the  laws,  regulations  and  administrative  provisions 
necessary  to  comply  with  Articles  [...]  and  Annexes  [...]  by  […]  at  the  latest.  They  shall 
forthwith  communicate  to  the  Commission  the  text  of  those  provisions  and  a  table  showing 
the correlation between those provisions and this Directive. 

When Member States adopt those provisions, they shall contain a reference to this Directive 
or be accompanied by such a reference on the occasion of their official publication. They shall 
also  include  a  statement  that  references  in  existing  laws,  regulations  and  administrative 

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provisions to the Directives repealed by this Directive shall be construed as references to this 
Directive.  Member  States  shall  determine  how  such  reference  is  to  be  made  and  how  that 
statement is to be formulated. 

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. 

The  obligations  for  transposition  and  implementation  of  this  Directive  shall  not  apply  to 
Cyprus and Malta for as long as no railway system is established within their territory. 

(cid:208) 2007/58/EC Art. 2.8 

(cid:216) new 

Article 67 

Repeal 

Directives  91/440/EEC,  95/18/EC  and  2001/14/EC,  as  amended  by  the  Directives  listed  in 
Annex XI, Part A, are repealed with effect from […], without prejudice to the obligations of 
the  Member  States  relating  to  the  time  limits  for  transposition  into  national  law  of  the 
Directives set out in Annex XI, Part B. 

References  to  the  repealed  Directives  shall  be  construed  as  references  to  this  Directive  and 
shall be read in accordance with the correlation table in Annex XII. 

(cid:208) 2001/14/EC (adapted) 

Article 68 

Entry into force 

This  Directive  shall  enter  into  force  on  the  ⌦ twentieth  day  following  that ⌫  of  its 
publication in the Official Journal of the European Union. 

Articles [...] and Annexes [...] shall apply from […]. 

(cid:216) new 

(cid:208) 2001/14/EC  

Article 69 

Addressees 

EN 

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This Directive is addressed to the Member States. 

Done at […] 

For the European Parliament 
The President 

For the Council 
The President 

EN 

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   EN 

(cid:208) 2001/12/EC Annex I 

ANNEX I 

PORTS 

(cid:208) 2006/103/EC Art. 1 and 
Annex B 

(cid:208) Act of Accession  
(OJ L 2003/236)  
Art. 20 and Annex II, p. 456 

(cid:208) 2001/12/EC Annex I 

BELGIE/BELGIQUE 

Antwerpen/Anvers 

Gent/Gand 

Zeebrugge/Zeebruges 

БЪЛГАРИЯ 

Варна 

Бургас 

Русе 

Лом 

Видин 

ČESKÁ REPUBLIKA 

DANMARK 

Ålborg 

Århus 

Esbjerg 

Fredericia 

København 

EN 

81 

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Nyborg 

Odense 

DEUTSCHLAND 

Brake 

Bremen/Bremerhaven 

Brunsbüttel 

Cuxhaven 

Emden 

Hamburg 

Kiel 

Lübeck 

Nordenham 

Puttgarden 

Rostock 

Sassnitz 

Wilhelmshaven 

Wismar 

EESTI 

Muuga sadam 

Paljassaare sadam 

Vanasadam 

Paldiski põhjasadam 

Paldiski lõunasadam 

Kopli põhjasadam 

(cid:208) Act of Accession  
(OJ L 2003/236)  
Art. 20 and Annex II, p. 456 

EN 

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(cid:208) 2001/12/EC Annex I 

Kopli lõunasadam 

Bekkeri sadam 

Kunda sadam 

ΕΛΛΑΣ 

Αλεξανδρούπολις 

Ελευσίνα 

Πάτρα 

Πειραιάς 

Θεσσαλονίκη 

Βόλος 

ESPAÑA 

Algeciras 

Almería 

Barcelona 

Bilbao 

Cartagena-Escombreras 

Gijón 

Huelva 

Tarragona 

Valencia 

Vigo 

FRANCE 

Bayonne 

Bordeaux 

Boulogne 

EN 

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Calais 

Cherbourg 

Dunkerque 

Fos-Marseille 

La Rochelle 

Le Havre 

Nantes 

Port-la-Nouvelle 

Rouen 

Sète 

St-Nazaire 

IRELAND 

Cork 

Dublin 

ITALIA 

Ancona 

Bari 

Brindisi 

C. Vecchia 

Genova 

Gioia Tauro 

La Spezia 

Livorno 

Napoli 

Piombino 

Ravenna 

EN 

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Salerno 

Savona 

Taranto 

Trieste 

Venezia 

ΚΥΠΡΟΣ 

LATVIJA 

Rîga 

Ventspils 

Liepâja 

LIETUVA 

Klaipëda 

LUXEMBOURG 

MAGYARORSZÁG 

MALTA 

NEDERLAND 

Amsterdam Zeehaven 

(cid:208) Act of Accession  
(OJ L 2003/236)  
Art. 20 and Annex II, p. 456 

(cid:208) 2001/12/EC Annex I 

(cid:208) Act of Accession  
(OJ L 2003/236)  
Art. 20 and Annex II, p. 456 

(cid:208) 2001/12/EC Annex I 

EN 

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Delfzijl/Eemshaven 

Vlissingen 

Rotterdam Zeehaven 

Terneuzen 

ÖSTERREICH 

POLSKA 

Szczecin 

Świnoujście 

Gdańsk 

Gdynia 

PORTUGAL 

Leixões 

Lisboa 

Setúbal 

Sines 

ROMÂNIA 

Constanța 

Mangalia 

Midia 

Tulcea 

(cid:208) Act of Accession  
(OJ L 2003/236)  
Art. 20 and Annex II, p. 456 

(cid:208) 2001/12/EC Annex I 

(cid:208) 2006/103/EC Art. 1 and Annex 
.B 

EN 

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Galați 

Brăila 

Medgidia 

Oltenița 

Giurgiu 

Zimnicea 

Calafat 

Turnu Severin 

Orșova 

SLOVENIJA 

Koper 

SLOVENSKO 

SUOMI/FINLAND 

Hamina 

Hanko 

Helsinki 

Kemi 

Kokkola 

Kotka 

Oulu 

Pori 

Rauma 

(cid:208) Act of Accession  
(OJ L 2003/236)  
Art. 20 and Annex II, p. 456 

(cid:208) 2001/12/EC Annex I 

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Tornio 

Turku 

SVERIGE 

Göteborg-Varberg 

Helsingborg 

Luleå 

Malmö 

Norrköping 

Oxelösund 

Stockholm 

Trelleborg-Ystad 

Umeå 

UNITED KINGDOM 

All rail-connected ports 

EN 

88 

   EN 

 
EN 

89 

   EN 

 
 
 
EN 

90 

   EN 

 
 
 
EN 

91 

   EN 

 
 
 
EN 

92 

   EN 

 
 
 
EN 

93 

   EN 

 
 
 
EN 

94 

   EN 

 
 
 
EN 

95 

   EN 

 
 
 
______________

EN 

96 

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(cid:216) new 

ANNEX I 

List of railways infrastructure items  

Railway  infrastructure  consists  of  the  following  items,  provided  they  form  part  of  the 
permanent  way,  including  sidings,  but  excluding  lines  situated  within  railway  repair 
workshops, depots or locomotive sheds, and private branch lines or sidings:  

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

Ground area;  

Track  and  track  bed,  in  particular  embankments,  cuttings,  drainage  channels  and 
trenches, masonry trenches, culverts, lining walls, planting for protecting side slopes 
etc.; passenger and goods  platforms;  four-foot way and walkways;  enclosure walls, 
hedges,  fencing;  fire  protection  strips;  apparatus  for  heating  points;  crossings,  etc.; 
snow protection screens;  

Engineering  structures:  bridges,  culverts  and  other  overpasses,  tunnels,  covered 
cuttings and other underpasses; retaining walls, and structures for protection against 
avalanches, falling stones, etc.;  

Level crossings, including appliances to ensure the safety of road traffic;  

Superstructure,  in  particular:  rails,  grooved  rails  and  check  rails;  sleepers  and 
longitudinal  ties,  small  fittings  for  the  permanent  way,  ballast  including  stone 
chippings  and  sand;  points,  crossings,  etc.;  turntables  and  traversers  (except  those 
reserved exclusively for locomotives);  

Access way for passengers and goods, including access by road;  

Safety, signalling and telecommunications installations on the open track, in stations 
and  in  marshalling  yards,  including  plant  for  generating,  transforming  and 
distributing electric current for signalling and telecommunications; buildings for such 
installations or plant; track brakes;  

Lighting installations for traffic and safety purposes;  

Plant  for  transforming  and  carrying  electric  power  for  train  haulage:  sub-stations, 
supply cables between sub-stations and contact wires, catenaries and supports; third 
rail with supports;  

Buildings used by the infrastructure department. 

_____________ 

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(cid:208) 2001/12/EC Art. 1.7 (adapted) 

ANNEX II 

⌦ Essential functions of an infrastructure manager ⌫  

⌦ (referred to in Article 7) ⌫ 

List of essential functions referred to in Article 7 : 

(cid:208) 2001/12/EC Art. 1.7 

– 

– 

– 

– 

preparation  and  decision  making  related  to  the  licensing  of  railway  undertakings 
including granting of individual licenses, 

(cid:208) 2001/12/EC Art. 1.7 (adapted) 
(cid:214) new 

decision making ⌦ on train ⌫ path allocation, including both the definition and the 
assessment of availability and the allocation of individual train paths, 

decision  making  ⌦ on ⌫  infrastructure  charging,  (cid:214) including  determination  and 
collection of the charges,  

monitoring  observance  of  public  service  obligations  required  in  the  provision  of 
certain services. 

(cid:208) 2001/12/EC Art. 1.7 

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(cid:208) 2001/14/EC (adapted) 

ANNEX III 

Services to be supplied to the railway undertakings 

⌦ (referred to in Article 13) ⌫ 

1. 

The minimum access package shall comprise: 

(cid:208) 2001/14/EC 

(cid:208) 2001/14/EC (adapted) 

(a) 

handling of requests for ⌦ railway ⌫ infrastructure capacity; 

(b) 

the right to utilise capacity which is granted; 

(c) 

use of running track points and junctions; 

(cid:208) 2001/14/EC 

(d) 

train  control 
communication and provision of information on train movement; 

regulation,  dispatching  and 

signalling, 

including 

the 

(e) 

use of electrical supply equipment for traction current, where available; 

(f) 

refuelling facilities, where available; 

(cid:216) new 

g) 

all  other  information  required  to  implement  or  operate  the  service  for  which 
capacity has been granted. 

(cid:208) 2001/14/EC 

2. 

Access (cid:214) shall also be given  to services facilities and the supply of services (cid:214) in 
the following facilities  shall comprise: 

(cid:208) 2001/14/EC 
(cid:214) new 

(cid:208) 2001/14/EC 
(cid:214) new 

a) 

use of electrical supply equipment for traction current, where available; 

b) 

refuelling facilities;  

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(a) 

passenger  stations,  their  buildings  and  other  facilities  (cid:214) ,  including  ticketing 
and travel information  ; 

(b) 

freight terminals; 

(c)  marshalling yards; 

(d) 

train formation facilities; 

(e) 

storage sidings; 

(f)  maintenance and other technical facilities; 

(g)  port facilities which are linked to rail activities; 

(h) 

relief facilities, including towing. 

(cid:216) new 

3. 

Additional services may comprise: 

(cid:208) 2001/14/EC 
(cid:214) new 

(a) 

traction  current  (cid:214) ,  charges  for  which  shall  be  shown  on  the  invoices 
separately from charges for using the electrical supply equipment  ; 

(b)  pre-heating of passenger trains; 

(c) 

supply of fuel, (cid:214) charges for which shall be shown on the invoices separately 
from charges for using refuelling facilities  , shunting, and all other services 
provided at the access services facilities mentioned above; 

(d) 

tailor-made contracts for: 

– 

– 

control of transport of dangerous goods, 

assistance in running abnormal trains. 

4. 

Ancillary services may comprise: 

(a) 

access to telecommunication networks; 

(b)  provision of supplementary information; 

(c) 

technical inspection of rolling stock. 

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(cid:216) new 

ANNEX IV 

Information for Rail Market Monitoring 

(referred to in Article 15) 

1. 

Evolution  of  rail  transport  performance  and  compensation  of  Public  Service 
Obligations (PSO): 

2007 

%-variation 
compared to 
previous year 

%-variation 
compared to previous 
year 

2008 

Freight (in tkm) total 

International 

Transit 

National 

Passengers (in pkm) 
total 

international  

Transit 

national 

of which under PSO: 

Paid compensation 
for PSO (in euro): 

2. 

Shares  of  railway  undertakings  in  total  transport  performance  at  the  end  of 
2008 (listing railway undertakings with market shares in tkm/pkm ≥ 1%): 

Railway undertakings (FREIGHT) 

Share (% of 
tkm) 

Total market 
share of non-
incumbents 

Railway undertakings (PASSENGERS) 

Share (% of 
pkm) 

Total market 
share of non-
incumbents 

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3. 

Regulatory Bodies: 

No  of  staff  dealing  with  regulatory  issues  related  to  rail  market 
access: 

last year 

Year before 

No of complaints dealt with: 

No of ex officio investigations dealt with: 

No of decisions taken  

- on complaints: 

- on ex officio investigations: 

4. 

5. 

6. 

7. 

National legislation and regulatory acts relevant to railway transport issued last 
year. 

Relevant  developments  as  regards  restructuring  of  the  incumbent  railway 
undertaking and adoption/implementation of national transport strategies over 
the past year. 

Important training initiatives/measures in the field of railway transport taken in 
your country last year. 

Employment of railway undertakings and infrastructure managers at the end of 
last year. 

Total staff of railway undertakings 

- of which train drivers 

- of which other mobile staff working cross-border 

Total staff of infrastructure managers 

Other staff including in rail related service 
companies (e.g. maintenance workshops, terminal 
operators, training, train driver leasing, energy 
supply) 

EN 

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8. 

Status of the multi-annual infrastructure management contracts (MAC) in force 
last year: 

Infrastructure 
manager 

Length of the 
network 
covered by 
the contract 

Time span 
of the 
contract 
starting 
from [date] 

Definition of 
performance 
indicators 
agreed (Y/N)? 

If yes, please 
specify. 

Total 
compensation paid 

(in euro/year) 

9. 

Infrastructure expenditure (conventional network and high-speed network): 

Maintenance 

Renewals 

Enhancements 

Conventional lines last 
year.: 

(in euro) 

(in km worked on) 

Forecast for this year  

(in euro) 

(in km worked on) 

High-speed lines last 
year (in euro) 

(in km worked on) 

Forecast for this year  

(in euro) 

(in km worked on) 

10. 

Estimated infrastructure maintenance backlog at the end of last year. 

Conventional lines last year  

(in euro) 

(in km to be worked on) 

High-speed lines last year 

(in euro) 

(in km to be worked on) 

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11. 

Investments in the high-speed rail network: 

Lines 

Km of lines put into 
service last year 

Km being put into 
service at a 
conventional planning 
horizon (in 10/20 years)

12. 

Length of railway network at the end of last year: 

Conventional lines (in km) 

High-speed lines (in km) 

13. 

Track access charges last year. 

Train category 

Average charge in €/train km, excluding cost of 
the use of electricity 

1 000 gross tonne freight train 

500 gross tonne intercity passenger train 

140 gross tonne suburban passenger train 

14. 

Existence  of  a  performance  regime  set  up  according  to  Article  35  of  this 
Directive (if yes, its main features). 

15. 

Number of active licences issued by competent national authority 

Active licences 
on 31 December, 
last year 

Licences 
withdrawn 

New licences 
issued 

Active licences on 
31 December, one 
year before 

Total 

thereof:  

- for freight 
transport 

- for passenger 
transport 

16. 

17. 

Status of ERTMS deployment. 

Other relevant developments 

_____________ 

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(cid:208) 95/18/EC (adapted) 

ANNEX V 

⌦ Financial fitness ⌫ 

⌦ (referred to in Article 20) ⌫ 

1. 

Financial fitness will be verified by means of ⌦ a railway ⌫ undertaking's annual 
accounts or, in the case of applicant undertakings unable to present annual accounts, 
a balance sheet. Detailed particulars must be provided, in particular on the following 
aspects: 

(a) 

available funds, including the bank balance, pledged overdraft provisions and 
loans; 

(cid:208) 95/18/EC 

(b) 

funds and assets available as security; 

(c)  working capital; 

(d) 

relevant  costs,  including  purchase  costs  of  payments  to  account  for  vehicles, 
land, buildings, installations and rolling stock; 

(e) 

charges on an undertaking's assets. 

2. 

3. 

In  particular,  an  applicant  is  not  financially  fit  if  considerable  arrears  of  taxes  or 
social security are owed as a result of the undertaking's activity. 

The authority may in particular require the submission of an audit report and suitable 
documents  from  a  bank,  public  savings  bank,  accountant  or  auditor.  These 
documents must include information concerning the matters referred to in point 1. 

_____________ 

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(cid:208) 2001/14/EC (adapted) 

ANNEX VI 

Contents of the network statement 

⌦ (referred to in Article 27) ⌫ 

(cid:208) 2001/14/EC 
(cid:214) new 

The network statement referred to in Article 27 shall contain the following information: 

1. 

2. 

3. 

A  section  setting  out  the  nature  of  the  infrastructure  which  is  available  to  railway 
undertakings  and  the  conditions  of  access  to  it.  (cid:214) The  information  in  this  section 
shall be consistent with or refer to the rail infrastructure registers to be published in 
accordance with Article 35 of Directive 2008/57/EC.  

(cid:208) 2001/14/EC Annex I 
(cid:214) new 

A section on charging principles and tariffs. This shall contain appropriate details of 
the charging scheme as well as sufficient information on charges (cid:214) as well as other 
relevant information on access applying  to the services listed in Annex III which 
are provided by only one supplier. It shall detail the methodology, rules and, where 
applicable,  scales  used  for  the  application  of  Articles  31(4)  and  (5)  (cid:214) to  36,  as 
regards both costs and charges  . It shall contain information on changes in charges 
already decided upon or foreseen (cid:214) in the next five years . 

(cid:208) 2001/14/EC 
(cid:214) new 

A section on the principles and criteria for capacity allocation. This shall set out the 
general  capacity  characteristics  of  the  infrastructure  which  is  available  to  railway 
undertakings  and  any  restrictions  relating  to  its  use,  including  likely  capacity 
requirements  for  maintenance.  It  shall  also  specify  the  procedures  and  deadlines 
which relate to the capacity allocation process. It shall contain specific criteria which 
are employed during that process, in particular: 

(a) 

the  procedures  according  to  which  applicants  may  request  capacity  from  the 
infrastructure manager; 

(b) 

the requirements governing applicants; 

(c) 

the schedule for the application and allocation processes (cid:214) and the procedures 
which shall be followed to request information on the scheduling in accordance 
with Article 45(4) ; 

(d) 

the principles governing the coordination process (cid:214) and the dispute resolution 
system made available as part of this process ; 

EN 

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(e) 

the procedures which shall be followed and criteria used where infrastructure is 
congested; 

(f) 

details of restrictions on the use of infrastructure; 

(cid:208) 2001/14/EC 
(cid:214) new 

(g) 

conditions  by  which  account  is  taken  of  previous  levels  of  utilisation  of 
capacity in determining priorities for the allocation process. 

It  shall  detail  the  measures  taken  to  ensure  adequate  treatment  of  freight  services, 
international services and requests subject to the ad hoc procedure. (cid:214) It shall contain 
a template form for capacity requests. The infrastructure manager shall also publish 
detailed information about the allocation procedures for international train paths.  

(cid:216) new 

A  section  on  information  relating  to  the  application  for  a  licence  referred  to  in 
accordance  with 
certificates 
rail 
Article 25 
Directive 2004/49/EC18. 

issued 

safety 

and 

in 

A section on information about procedures for dispute resolution and appeal relating 
to matters of access to rail infrastructure and services and to the performance scheme 
referred to in Article 35. 

A section on information on access to and charging for service facilities referred to in 
Annex  III.  Operators  of  service  facilities  which  are  not  controlled  by  the 
infrastructure manager shall supply information on charges for gaining access to the 
facility  and  for  the  provision  of  services,  and  information  on  technical  access 
conditions for inclusion in the network statement.  

A  model  agreement  for  the  conclusion  of  framework  agreements  between  an 
infrastructure manager and an applicant in accordance with Article 42. 

_____________ 

4. 

5. 

6. 

7. 

18 

OJ L 164, 30.4.2004, p. 44. 

EN 

107 

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ANNEX VII 

Basic principles and parameters of contractual agreements between competent 
authorities and infrastructure managers 

The contractual agreement shall specify the provisions of Article 30 including:  

(referred to in Article 30) 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

the scope of the agreement as regards infrastructure and service facilities, structured 
according  to  Annex  III.  It  shall  cover  all  aspects  of  infrastructure  development, 
including  maintenance  and  renewal  of  the  infrastructure  already  in  operation. 
Construction of new infrastructure may be included as a separate item; 

the  structure  of agreed payments apportioned  to the infrastructure  services listed in 
Annex III, to maintenance, to construction of new infrastructure and to dealing with 
existing maintenance backlogs; 

user-oriented  performance  targets,  in  the  form  of  indicators  and  quality  criteria 
covering: 

(a) 

train performance and customer satisfaction,  

(b)  network capacity,  

(c) 

asset management,  

(d) 

activity volumes,  

(e) 

safety levels, and 

(f) 

environmental protection; 

the amount of possible maintenance backlog, the expenditure earmarked for dealing 
with it and the assets which will be phased out of use and therefore trigger different 
financial flows; 

the incentives in accordance with Article 30(1); 

minimum reporting obligations for the infrastructure manager in terms of content and 
frequency of reporting, including information to be published annually; 

a mechanism that ensures that a significant share of cost reductions is passed on to 
users in the form of a reduced level of charges;  

the  agreed  duration  of  the  agreement,  which  shall  be  synchronised  and  consistent 
with the duration of the infrastructure manager's business plan, concession or licence, 
and the charging framework and rules set by the State; 

rules  for  dealing  with  major  disruptions  of  operations  and  emergency  situations, 
including a minimum service level in case of strikes, if any, and early termination of 
the contractual agreement, and information of users; 

EN 

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10. 

remedial measures to be taken if either of the parties is in breach of its contractual 
obligations;  this  includes  conditions  and  procedures  for  renegotiation  and  early 
termination, including the role of the regulatory body. 

_____________ 

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ANNEX VIII 

Requirements for costs and charges related to railway infrastructure 

(referred to in Articles 31(3) and (5); 32(1) and (3) and Article 35) 

1. 

Direct  costs  of  the  train  service  referred  to  in  Article  31(3),  which  are  related  to 
infrastructure wear and tear, shall exclude the following items: 

(a)  Network-wide overhead costs, including salaries and pensions; 

(b) 

Interest payable on capital; 

(c)  More than one tenth of costs related to scheduling, train path allocation, traffic 

management, dispatching and signalling of a train run; 

(d)  Depreciation of information, communication or telecommunication equipment; 

(e)  Costs  related  to  real  estate  management,  in  particular  acquisition,  selling, 
dismantling,  decontamination,  recultivation  or  renting  of  land  or  other  fixed 
assets; 

(f) 

Social services, schools, kindergartens, restaurants; 

(g)  Costs related to acts of God, accidents, service disruptions. 

When  direct  costs  exceed,  on  a  network-wide  average,  35  %  of  average  costs  of 
maintaining,  managing  and  renewing  the  network  calculated  on  the  basis  of  a  train 
kilometer run, the infrastructure manager shall justify this in detail to the regulatory 
body.  The  average  costs  calculated  for  this  purpose  shall  exclude  cost  elements 
referred to in points (e), (f) or (g). 

2. 

Noise-differentiated infrastructure charges referred to in Article 31(5) shall meet the 
following requirements: 

(a)  The  charge  shall  be  differentiated  to  reflect  the  composition  of  a  train  of 
set  by  Commission 

limit  values 

for  noise 

vehicles 
Decision 2006/66/EC19 (TSI Noise). 

respecting 

(b)  Priority shall be given to freight wagons. 

(c)  Differentiation  according  to  the  noise  emission  levels  of  freight  wagons  shall 
allow  the  payback  of  investments  within  a  reasonable  period  for  retrofitting 
wagons  with  the  most  economically  viable  low-noise  braking  technology 
available. 

(d)  Further elements to differentiate charges may be considered such as: 

i) 

time of day, in particular night-time for noise emissions; 

19 

OJ L 37, 8.2.2006, p.1. 

EN 

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ii) 

train composition with an impact on the level of noise emissions; 

iii) 

sensitivity of the area affected by local emissions; 

iv) 

further  classes  for  noise  emissions  significantly  lower  than  the  one 
referred to under point (a). 

3. 

The infrastructure manager shall demonstrate to the regulatory body the ability of a 
train  service  to  pay  mark-ups  according  to  Article  32(1),  whereby  each  of  the 
services  listed  under  a  single  one  of  the  following  points  shall  belong  to  different 
market segments: 

(a)  Passenger vs freight services; 

(b)  Trains carrying dangerous goods vs other freight trains; 

(c)  Domestic vs international services; 

(d)  Combined transport vs direct trains; 

(e)  Urban or regional vs interurban passenger services; 

(f)  Block trains vs single wagon load trains; 

(g)  Regular vs occasional train services. 

4. 

The performance scheme as referred to in Article 35 shall be based on the following 
basic principles:  

(a) 

In order to achieve an agreed level of service quality and not to endanger the 
economic  viability  of  a  service,  the  infrastructure  manager  shall  agree  with 
applicants,  after  approval  by  the  regulatory  body,  the  main  parameters  of  the 
performance  scheme,  in  particular  the  value  of  delays,  the  thresholds  for 
payments  due  under  the  performance  scheme  relative  both  to  individual  train 
runs and to all train runs of a railway undertaking in a given period of time; 

(b)  The infrastructure manager shall communicate to the railway undertakings the 
timetable,  on  the  basis  of  which  delays  will  be  calculated,  at  least  five  days 
before the train run; 

(c)  All delays shall be attributable to one of the following delay classes and sub-

classes:  

1.  Operation/planning  management  attributable 

to 

the 

infrastructure 

manager  

1.1.  Time-table compilation 

1.2.  Formation of train 

1.3.  Mistakes in operations procedure 

1.4.  Wrong application of priority rules  

EN 

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1.5.  Staff 

1.6.  Other causes 

2. 

Infrastructure installations attributable to the infrastructure manager  

2.1.  Signalling installations  

2.2.  Signalling installations at level crossings 

2.3.  Telecommunications installations  

2.4.  Power supply equipment 

2.5.  Track  

2.6.  Structures 

2.7.  Staff 

2.8.  Other causes 

3. 

Civil engineering causes attributable to the infrastructure manager 

3.1.  Planned construction work 

3.2.  Irregularities in execution of construction work 

3.3.  Speed restriction due to defective track 

3.4.  Other causes 

4. 

Causes attributable to other infrastructure managers 

4.1.  Caused by previous infrastructure manager 

4.2.  Caused by next infrastructure manager 

5. 

Commercial causes attributable to the railway undertaking 

5.1.  Exceeding the stop time 

5.2.  Request of the railway undertaking 

5.3.  Loading operations 

5.4.  Loading irregularities 

5.5.  Commercial preparation of train 

5.6.  Staff 

5.7.  Other causes 

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6. 

Rolling stock attributable to the railway undertaking 

6.1.  Roster planning/ re-rostering 

6.2.  Formation of train by railway undertaking  

6.3.  Problems affecting coaches (passenger transport)  

6.4.  Problems affecting wagons (freight transport) 

6.5.  Problems affecting cars, locomotives and rail cars 

6.6.  Staff 

6.7.  Other causes 

7. 

Causes attributable to other railway undertakings  

7.1.  Caused by next railway undertaking  

7.2.  Caused by previous railway undertaking  

8. 

External causes attributable to neither infrastructure manager nor railway 
undertaking 

8.1.  Strike 

8.2.  Administrative formalities  

8.3.  Outside influence 

8.4.  Effects of weather and natural causes 

8.5.  Delay due to external reasons on the next network 

8.6.  Other causes 

9. 

Secondary  causes  attributable  to  neither  infrastructure  manager  nor 
railway undertaking 

9.1.  Dangerous incidents, accidents and hazards  

9.2.  Track occupation caused by the lateness of the same train 

9.3.  Track occupation caused by the lateness of another train 

9.4.  Turn-around 

9.5.  Connection 

9.6.  Further investigation needed  

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(d)  Wherever  possible,  delays  shall  be  attributed  to  a  single  organisation, 
considering both the responsibility for causing the disruption and the ability to 
re-establish normal traffic conditions.  

(e)  The calculation of payments shall take into account the average delay of train 

services of similar punctuality requirements.  

(f)  The  infrastructure  manager  shall  as  soon  as  possible  communicate  to  the 
railway  undertakings  a  calculation  of  payments  due  under  the  performance 
scheme. This calculation shall encompass all delayed train runs within a period 
of at most one month.  

(g)  Without  prejudice  to  the  existing  appeal  procedures  and  to  the  provisions  of 
Article  50,  in  case  of  disputes  relating  to  the  performance  scheme,  a  dispute 
resolution  system  shall  be  made  available  in  order  to  settle  such  matters 
promptly.  If  this  system  is  applied,  a  decision  shall  be  reached  within  a  time 
limit of 10 working days. 

(h)  Once a year, the infrastructure manager shall publish the annual average level 
of  service  quality  achieved  by  the  railway  undertakings  on  the  basis  of  the 
main parameters agreed in the performance scheme. 

5. 

The  temporary  reduction  of  the  infrastructure  charge  for  ETCS  equipped  trains,  as 
referred to in Article 32(3) shall be established as follows: 

For freight transport: 

Year 

2015  2016  2017  2018  2019  2020  2021  2022  2023  2024 

Discount  5% 

5% 

5% 

5% 

5% 

5% 

4% 

3% 

2% 

1% 

For passenger transport: 

Year 

2020  2021  2022  2023  2024 

Discount  5% 

5% 

5% 

5% 

5% 

_____________ 

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(cid:208) 2001/14/EC (adapted) 

ANNEX IX 

Schedule for the allocation process 

⌦ (referred to in Article 43) ⌫ 

1. 

The working timetable shall be established once per calendar year. 

(cid:208) 2001/14/EC 

2. 

3. 

4. 

5. 

(cid:208) 2002/844/EC Art. 1 

The change of working timetable shall take place at midnight on the second Saturday 
in  December.  Where  a  change  or  adjustment  is  carried  out  after  the  winter,  in 
particular to take account, where appropriate, of changes in regional passenger traffic 
timetables, it shall take place at midnight on the second Saturday in June and at such 
other  intervals  between  these  dates  as  are  required.  Infrastructure  managers  may 
agree  on  different  dates  and  in  this  case  they  shall  inform  the  Commission  if 
international traffic may be affected. 

(cid:208) 2001/14/EC  
(cid:214) new 

The final date for receipt of requests for capacity to be incorporated into the working 
timetable shall be no more than 12 months in advance of the entry into force of the 
working timetable. 

No  later  than  11  months  before  the  working  timetable  comes  into  force,  the 
infrastructure  managers  shall  ensure  that  provisional  international  train  paths  have 
been  established  in  cooperation  with  other  relevant  (cid:214) infrastructure  managers  
allocation bodies as set out in Article 15. Infrastructure managers shall ensure that as 
far as possible these are adhered to during the subsequent processes. 

No later than four months after the deadline for submission of bids by applicants, the 
infrastructure manager shall prepare a draft timetable. 

_____________ 

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(cid:216) new 

ANNEX X 

Regulatory accounts to be supplied to the regulatory body 

(referred to in Article 56(8)) 

The regulatory accounts tobe provided to the regulatory body according to Article 56(8) shall 
contain at least the following elements: 

1. 

Account separation 

The  regulatory  accounts,  to  be  supplied  by  infrastructure  managers  and  all 
undertakings  or  other  entities  performing  or  integrating  different  categories  of  rail 
transport or receiving public funds, shall: 

(a) 

include  separate  profit  and  loss  accounts  and  balance  sheets  for  freight, 
passenger and infrastructure management activities; 

(b)  give  detailed  information  on  individual  sources  and  uses  of  public  funds  and 
other forms of compensation in a transparent and detailed manner, including a 
detailed review of the businesses' cashflows in order to determine in what way 
these public funds and other forms of compensation have been used;  

(c) 

(d) 

(e) 

include  cost  and  profit  categories  making  it  possible  to  determine  whether 
cross-subsidies  between  these  different  activities  occurred,  according  to  the 
requirements of the regulatory body; 

contain  a  sufficient  level  of  detail  as  deemed  necessary  and  proportionate  by 
the regulatory body; 

be  accompanied  by  a  document  which  sets  out  the  methodology  used  to 
allocate costs between different activities. 

Where  the  regulated  firm  is  part  of  a  group  structure,  regulatory  accounts  shall  be 
prepared for the group as a whole, and for each subsidiary. In addition, full details of 
inter-company  payments  shall  be  included  in  the  regulatory  accounts  in  order  to 
ensure that public funds have been appropriately used. 

2. 

Monitoring of track access charges 

Regulatory  accounts,  to  be  supplied  by  infrastructure  managers  to  the  regulatory 
bodies, shall 

(a) 

set out different cost categories, in particular providing sufficient information 
on marginal/direct costs of the different services or groups of services so that 
infrastructure charges can be monitored; 

(b)  provide  sufficient  information  to  allow  monitoring  of  the  individual  charges 
paid for services (or groups of services); if required by the regulatory body, this 
information  shall  contain  data  on  volumes  of  individual  services,  prices  for 

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individual  services  and  total  revenues  for  individual  services  paid  by  internal 
and external customers; 

(c) 

state  costs  and  revenues  for  individual  services  (or  groups  of  services)  using 
the relevant cost methodology, as required by the regulatory body, to identify 
potentially  anti-competitive  pricing  (cross-subsidies,  predatory  pricing  and 
excessive pricing). 

3. 

Indication of financial performance 

Regulatory  accounts,  to  be  supplied  by  infrastructure  managers  to  the  regulatory 
bodies, shall include: 

(a) 

a statement of financial performance; 

(b) 

a summary expenditure statement; 

(c) 

a maintenance expenditure statement; 

(d) 

an operating expenditure statement; 

(e) 

an income statement; 

(f) 

supporting notes that amplify and explain the statements where appropriate. 

4. 

Other issues 

In the case of infrastructure managers, the regulatory accounts shall be audited by an 
independent auditor. The auditor's report shall be annexed to the regulatory accounts. 

The regulatory accounts shall contain profit and loss accounts and balance sheets and 
shall  be  reconciled  to  the  company’s  statutory  accounts  and  explanations  shall  be 
given for all reconciling items. 

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(cid:207) 

ANNEX XI 

Part A 

Repealed Directives with list of successive amendments 
(referred to in Article 67) 

Council Directive 91/440/EEC 
(OJ L 237, 24.8.1991, p. 25) 

Directive 2001/12/EC of the European 
Parliament and of the Council 
(OJ L 75, 15.3.2001, p. 1) 

Directive 2004/51/EC of the European 
Parliament and of the Council 
(OJ L 164, 30.4.2004, p. 164) 

Council Directive 2006/103/EC 
(OJ L 363, 20.12.2006, p. 344) 

Directive 2007/58/EC of the European 
Parliament and of the Council 
(OJ L 315, 3.12.2007, p. 44) 

Council Directive 95/18/EC 
(OJ L 143, 27.6.1995, p. 70) 

Directive 2001/13/EC of the European 
Parliament and of the Council 
(OJ L 75, 15.3.2001, p. 26) 

Directive 2004/49/EC of the European 
Parliament and of the Council 
(OJ L 164, 30.4.2004, p. 44) 

Directive 2001/14/EC of the European 
Parliament and of the Council 
(OJ L 75, 15.3.2001, p. 29) 

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

Directive 2004/49/EC of the European 
Parliament and of the Council 
(OJ L 164, 30.4.2004, p. 44) 

only Point B of the Annex 

only Article 1 

only Article 29 

only Article 30 

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Directive 2007/58/EC of the European 
Parliament and of the Council 
(OJ L 315, 3.12.2007, p. 44) 

only Article 2 

Part B 

List of time-limits for transposition into national law 
(referred to in Article 67) 

Directive 

Time-limit for transposition 

91/440/EEC 

95/18/EC 

2001/12/EC 

2001/13/EC 

2001/14/EC 

2004/49/EC 

2004/51/EC 

2006/103/EC 

2007/58/EC 

1 January 1993 

27 June 1997 

15 March 2003 

15 March 2003 

15 March 2003 

30 April 2006 

31 December 2005 

1 January 2007 

4 June 2009 

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ANNEX XII 

CORRELATION TABLE 

Directive 91/440/EEC  Directive 95/18/EC  Directive 2001/14/EC 

This Directive 

Article 2(1) 

Article 1(1)  

Article 1(1) 
subparagraph 1 

Article 1(1) 

Article 1(2) 

Article 1(2) 

Article 2(2) 

Article 1(2) 

Article 2(1) 

Article 2(2) 

Article 2(3)  

Article 1(3) 

Article 1(4) 

Article 2(4) 

Article 1(3) 

Article 2(3) 

Article 2(4) 

Article 3 

Article 4 

Article 5 

Article 6(1) and (2) 

Article 9(4) 

Article 6 (1) second 
subparagraph  

Article 6(3) 

Article 7(1), (3) 
and (4) 

Article 2(5) 

Article 3(1) to (8) 

Article 2(b) and (c) 

Article 3(9) and (10) 

Article 2 

Article 3(11) to (21) 

Article 4 

Article 5 

Article 6(1), (2)  

Article 6(3) 

Article 6(4)  

Article 7(1) 

Article 7(2) 

Article 8(1), (2) 
and (3) 

Articles 4(2) 
and 14(2) 

Article 9(1) and (2) 

Article 9(1) and (2)  

Article 6(1) 

Article 8(4) 

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Article 10(3) and (3a) 

Article 10(3b) 

Article 10(3c) 
and (3e) 

Article 10(3f) 

Article 10b 

Article 5 

Article 3 

Article 4(1) to (4) 

Article 5 

Article 6 

Article 7 

Article 8 

Article 9 

Article 4(5) 

Article 10 

Article 11 

Article 15 

Article 10(5) 

Article 1(1) 
subparagraph 2 

Article 3 

Article 4(1) and 
(3) to (6) 

Article 10(1) and (2) , 
first, second and third 
subparagraph 

Article 11(1), (2) 
and (3)  

Article 11(4)  

Article 11(5) and (6)  

Article 12 

Article 13 

Article 14 

Article 15  

Article 16 

Article 17(1) to (4)  

Article 18 

Article 19 

Article 20 

Article 21 

Article 22 

Article 23(1) 

Article 23(2) and (3) 

Article 24 

Article 25 

Article 26 

Article 27 

Article 28 

Article 29 

Article 6(2) to (5) 

Article 30 

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Article 7 

Article 8 

Article 9 

Article 10 

Article 11 

Article 12 

Article 13 

Article 31 

Article 32 

Article 33 

Article 34 

Article 35 

Article 36 

Article 38 

Article 14(1) and (3)  Article 39 

Article 15 

Article 16 

Article 17 

Article 18 

Article 19 

Article 40 

Article 41 

Article 42 

Article 43 

Article 44 

Article 20(1), (2) 
and (3)  

Article 45(1), (2) 
and (3)  

Article 45(4) 

Article 20(4)  

Article 45(5) 

Article 21 

Article 22 

Article 23 

Article 24 

Article 25 

Article 26 

Article 27 

Article 28 

Article 29 

Article 46 

Article 47 

Article 48 

Article 49 

Article 50 

Article 51 

Article 52 

Article 53 

Article 54 

Article 30(1) 

Article 55 

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Article 12 

Article 14a 

Article 11 

Article 11a 

Article 10(9) 

Article 16 

Annex II 

Article 17 

Article 18 

Annex 

Article 30(2) 

Article 56(1) 

Article 31 

Article 33(1),(2) 
and (3) 

Article 34 

Article 35(1),(2) 
and (3) 

Article 38 

Article 39 

Article 40 

Annex II 

Annex I 

Annex III 

Article 57 

Article 58 

Article 59 

Article 60 

Article 61 

Article 62 

Article 63 

Article 64 

Article 65 

Article 66 

Article 67 

Article 68 

Article 69 

Annex I 

Annex II 

Annex III 

Annex IV 

Annex V 

Annex VI 

Annex VII 

Annex VIII 

Annex IX 

Annex X 

_____________ 

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