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COUNCIL OF Brussels, 28 November 2011
THE EUROPEAN UNION
17324/11
Interinstitutional File:
2010/0253 (COD) -
TRANS 324 CODEC 2145
NOTE
from:
General Secretariat of the Council
to: Coreper/Council
No. prev. doc. : 11784/11 TRANS 188 CODEC 1005
No Cion prop. : 13789/10 TRANS 238 CODEC 862 + COR 1
Subject:
Proposal for a Directive of the European Parliament and of the Council establishing a single European railway area (Recast)
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Political agreement
INTRODUCTION
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2.The objective of the recast initiative is to provide legal simplification through consolidating
and clarifying the legislation on access to the rail market. This would facilitate proper
transposition and efficient implementation of Union law in all Member States. Furthermore,
the intention is to update the legislation by eliminating outdated provisions and by introducing
new provisions which respond more appropriately to the functioning of the railway market
today.
WORK WITHIN THE COUNCIL BODIES
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3.The Council Working Party on Land Transport started its examination of the above proposal
in September 2010, and decided to submit a progress report to the TTE Council on 2
December 2010 (doc. 6308/10). Its examination was pursued and as a result of intense work
aimed at finding compromise solutions, the Council adopted, at its meeting on 16 June 2011,
a general approach on the proposed Directive (doc. 11784/11).
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4.The European Parliament's vote at first reading took place on 16 November 2011. The
Working Party on Land Transport examined the European Parliament's amendments at its
meting on 25 November 2011 and, on the same day, the Polish Presidency put forward the
text of a draft political agreement, incorporating some amendments which are acceptable to
the Council.
CONCLUSION
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6.Coreper is invited to approve the text of the draft political agreement as set out in the Annex
to this report and to invite the TTE Council to adopt the political agreement at its meeting on
12 December 2011.
ANNEX
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)
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
Having regard to the opinion of the Committee of the Regions2,
Acting in accordance with the ordinary legislative procedure,
Whereas:
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(1) Council Directive 91/440/EEC of 29 July 1991 on the development of the Community's
railways3, Council Directive 95/18/EC of 19 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 have been substantially amended in 2004 and
2007. Since further amendments are necessary and given the link between these legal
provisions, those Directives should be recast and merged into a single act in the interest of
clarity.
91/440/EEC recital 1 (adapted)
(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 .
91/440/EEC recital 2
(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.
95/18/EC recital 5 (adapted)
Council
[...]
(4) Member States with an important share of rail traffic with third countries having the same
railway gauge, different from the main rail network within the Union, should be able to
have specific operational rules ensuring coordination between their infrastructure managers
and those of the third countries concerned and fair competition between railway
undertakings.
91/440/EEC recital 3 (adapted)
Council
(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
91/440/EEC recital 4 (adapted)
Council
(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.
Provided that these separation requirements are met, that no conflicts of interest arise
and that the confidentiality of commercially sensitive information is guaranteed,
infrastructure managers should have the possibility to [...] outsource specific
administrative tasks, such as the collection of charges, to entities other than those active in
railway transport services markets. [...]
95/18/EC recital 2
(7) The principle of freedom to provide services should be applied to the railway sector, taking
into account that sector's specific characteristics.
91/440/EEC recital 5 (adapted)
(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
91/440/EEC recital 6 (adapted)
(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.
91/440/EEC recital 7 (adapted)
1 Corrigendum, OJ L 305, 6.11.1991,
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p.22
Council
(10) Member States should ensure that infrastructure managers and
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 . [...] This is without
prejudice to the competence of the Member States regarding infrastructure planning and
financing.
[...]
(10a) Applicants should be given the opportunity to express their views on the content of the
business plan as far as the use, provision and development of the infrastructure are
(10aa) Since private branch lines and sidings, such as sidings and lines in private industrial
facilities, are not part of the [...] railway infrastructure as defined by this Directive,
managers of such infrastructures should not be subject to the obligations imposed on
infrastructure managers [...] under this Directive. However non discriminatory
access to branch lines and sidings should be guaranteed, irrespective of their ownership,
when [...] they are needed to get access to services facilities which are essential for
the provision of transport services and when serving or potentially serving more than one
final customer.
(10b) A Member State should be able to decide to cover infrastructure expenditure through
means other than direct State funding, such as Private Public Partnership and private sector
financing.
(10c) Accounts of an infrastructure manager should be balanced over a reasonable time period
which, once established, [...] might be exceeded [...] under exceptional
circumstances, such as a major and sudden deterioration in the economic situation in the
Member State [...] affecting substantively the level of traffic on its infrastructure or
[...] the level of available public financing.
[...]
2001/14/EC recital 8 (adapted)
95/18/EC recital 4 (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.
2007/58/EC recital 7 (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.
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
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 road6 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.
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.
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.
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.
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.
2007/58/EC recital 16 (adapted)
(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.
2007/58/EC recital 17
(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.
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Council
(22) In order to ensure fair competition between railway undertakings and guarantee full
transparency and non-discriminatory access to and supply of services , 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 [...] when the operator of the service facility belongs to a body or
firm which is also active and holds a dominant position at national level in at least one of
the railway transport markets for the carriage of goods or passengers for which the facility
is used. Such independence should not imply the requirement of the establishment of a
separate body or firm for service facilities. [...]
[...]
(22a) Cross-border agreements between Member States and third countries should facilitate in
providing an equal market access for EU railway undertakings and those of third countries
on a reciprocal basis.
95/18/EC Recital 9 (adapted)
(23) In order to ensure dependable and adequate services, it is necessary to ensure that ,at all
95/18/EC Recital 10 (adapted)
Council
(24) For the protection of customers and third parties concerned it is [...] essential
to ensure that railway undertakings are sufficiently insured [...] against
liability [...] . Coverage of its liability in the event of accidents through guarantees
provided by banks or other undertakings should also be allowed, provided that such
coverage is offered under market conditions, [...] does not result in [...] State
aid and does not contain elements of discrimination against other railway
undertakings .
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.
95/18/EC Recital 14 (adapted)
(26) The procedures for granting, maintaining and amending operating licences
2001/14/EC recital 5 (adapted)
Council
(27) To ensure transparency and non-discriminatory access to rail infrastructure and
[...] services in service facilities for all railway undertakings, all the
information required to use access rights is to be published in a network statement.
2001/14/EC recital 6
Council
(28) Appropriate capacity-allocation schemes for rail infrastructure coupled with competitive
operators will result in a better balance of transport between modes.
[...]
(28a) Infrastructure managers should be given incentives to reduce the level of access charges
and the costs of providing infrastructure, such as bonuses for managing directors.
[...]
(28b) The obligation of Member States to ensure that the infrastructure manager performance
targets and medium to long term incomes are implemented through a contractual
agreement between the competent authority and the infrastructure manager should be
without prejudice to the competence of the Member States regarding planning of and
2001/14/EC recital 7
Council
(29) Encouraging optimal use of the railway infrastructure will lead to a reduction in the cost of
transport to society.
(29a) Methods for apportioning costs established by infrastructure managers should be based on
the best available understanding of cost causation and should apportion costs to the
different services offered to railway undertakings [...] and, where relevant, to types
of rail vehicles.
2001/14/EC recital 10 (adapted)
Council
(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 .
(30a) When levying mark ups, distinct market segments should be defined by the infrastructure
manager when the costs of providing the transport services, their market prices or their
requirements for service quality differ considerably.
2001/14/EC recital 16
(32) The charging and capacity allocation schemes should allow fair competition in the
provision of railway services.
2001/14/EC recital 12
(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.
2001/14/EC recital 13
(34) Railway undertakings should receive clear and consistent signals from capacity allocation
schemes which lead them to make rational decisions.
2001/14/EC recital 35
Council
(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.
(35a) Rolling noise caused by brake blocks with cast iron technology, used on freight wagons, is
one of the causes of noise emissions that could be reduced with appropriate technical
solutions [...] . Noise differentiated infrastructure charges should primarily address
the freight wagons that do not fulfill the requirements of Commission Decision
2006/66/EC7 (TSI Noise). When such differentiation results in a loss of revenues for the
infrastructure manager, it should be without prejudice to Union rules on State aids.
[...]
(35b) Infrastructure managers [...] may modify the charging system through a temporary
[...] differentiation for trains equipped with European Train Control System (ETCS)
in order to accelerate its installation onboard the locomotives. The infrastructure managers
should be able to ensure that such a [...] differentiation does not result in a loss of
revenues.
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.
2001/14/EC recital 9 (adapted)
(38) Member States should have the option of allowing purchasers of railway services to
enter the capacity-allocation process directly .
2001/14/EC recital 17
(39) It is important to have regard to the business requirements of both applicants and the
infrastructure manager.
2001/14/EC recital 18 (adapted)
(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.
2001/14/EC recital 19
(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
2001/14/EC recital 23 (adapted)
(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.
2001/14/EC recital 24
(44) Services operated under contract to a public authority may require special rules to
safeguard their attractiveness to users.
2001/14/EC recital 25
(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.
2001/14/EC recital 26 (adapted)
(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.
2001/14/EC recital 29 (adapted)
(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.
2001/14/EC recital 30 (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.
2001/14/EC recital 31 (adapted)
(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.
2001/14/EC recital 32
(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
2001/14/EC recital 33
(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.
2001/14/EC recital 34 (adapted)
(53) Investment in railway infrastructure is necessary and infrastructure charging
schemes should provide incentives for infrastructure managers to make appropriate
investments economically attractive.
2001/14/EC recital 36 (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.
2001/14/EC recital 37
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(55) It is desirable to ensure that account is taken of external costs when making transport
2001/14/EC recital 38
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(56) It is important to ensure that charges for 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.
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 .
2001/14/EC recital 40
(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.
2001/14/EC recital 41 (adapted)
2001/14/EC recital 42 (adapted)
(60) Discounts which are allowed to railway undertakings must relate to actual administrative
cost savings made, in particular transaction costs savings . Discounts may also be
used to promote the efficient use of infrastructure.
2001/14/EC recital 43
(61) It is desirable for railway undertakings and the infrastructure manager to be provided with
incentives to minimise disruption of the network.
2001/14/EC recital 44
(62) The allocation of capacity is associated with a cost to the infrastructure manager, payment
for which should be required.
2001/14/EC recital 46 (adapted)
Council
(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
2001/14/EC recital 47 (adapted)
(64) Specific measures are required to take account of the specific geopolitical and geographical
situation of certain Member States and the particular organisation of the railway
sector in various Member States while ensuring the integrity of the internal market.
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Council
(65) [...] In order to [objective], the power to adopt acts in accordance with Article 290
of the Treaty on the Functioning of the European Union should be delegated to the
Commission in respect of [content and scope]. It is of particular importance that the
Commission carry out appropriate consultations during its preparatory work, including at
expert level. The Commission, when preparing and drawing-up delegated acts, should
ensure a simultaneous, timely and appropriate transmission of relevant documents to the
European Parliament and Council.8
2001/14/EC recital 48
Council
(66) [...] In order to ensure uniform conditions for the implementation of this
Directive, implementing powers should be conferred on the Commission. Those powers
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.
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(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
2007/58/EC Recital 21 (adapted)
Council
(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 Chapters II and IV of this Directive . Therefore, such Member
States should be exempted from that obligation.
2007/58/EC Recital 23 (adapted)
(70) In accordance with point 34 of the Interinstitutional Agreement on better law-making10,
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.
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(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,
2001/14/EC (adapted)
HAVE ADOPTED THIS DIRECTIVE:
CHAPTER I
GENERAL PROVISIONS
91/440/EEC (adapted)
Article 1
Subject-matter and Scope
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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 .
2001/13/EC Art. 1(1) (adapted)
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 .
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2.This Directive applies to the use of railway infrastructure for domestic and international rail
services.
Corrigendum, OJ L 305, 6.11.1991, p.
22 (adapted)
Council
Article 2
Exclusions from the scope
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1.Chapter II [...] shall not apply to railway undertakings which only
operate urban, suburban or regional services [...] on local and regional stand-alone
networks for services on railway infrastructure or on networks intended only for the operation of
urban or suburban rail services.
Notwithstanding the first subparagraph, when such a railway undertaking [...] is under the
2001/13/EC Art. 1(1) (adapted)
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2.Member States may exclude the following from the scope of this Directive application
of Chapter III :
2001/13/EC Art. 1(1)
Council
(a) undertakings which only operate rail passenger services on local and regional stand-alone
railway infrastructure;
(b) [...] undertakings which only operate urban or suburban rail passenger services;
2001/13/EC Art. 1(1) (adapted)
Council
(c) [...] undertakings which only operate regional rail freight services;
(d) undertakings which only operate freight services on privately owned
railway infrastructure that exists solely for use by the infrastructure owner for its own
2001/14/EC (adapted)
Council
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3.Member States may exclude the following from the application of Articles 7, 8, 13
and Chapter IV :
(a) local and regional stand-alone networks for passenger services on railway
infrastructure;
(b) networks intended only for the operation of urban or suburban rail passenger
services;
(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;
2001/14/EC
(d) privately owned railway infrastructure that exists solely for use by the infrastructure owner
for its own freight operations;
2007/58/EC Art. 2.1 (adapted)
Council
[...]
(3a) Without prejudice to paragraph 3, Member States may exclude local and regional railway
infrastructures which do not have any strategic importance for the functioning of the rail
market [...] from the application of Article 8(3) and local railway infrastructures
which do not have any strategic importance for the functioning of the rail market from the
application of Chapter IV. Member States shall notify the Commission their intention to
exclude [...] such railway infrastructures [...] . In accordance with the advisory
procedure referred to in Article 64(2), the Commission shall decide whether such railway
infrastructure may be considered without any strategic importance taking into account the
lentgh of railway lines concerned, their level of use and the traffic volume potentially
impacted. [...]
(3b) Member States may exclude from the application of Article 31(5) [...] , vehicles
operated or intended to be operated from and to third countries, running on a network
whose track gauge is different from the main rail network within the Union.
(3c) Member States may decide time periods and deadlines for the schedule for capacity
allocation different from those referred to in Article 43(2), Annex VIII point 4(b) and
Annex IX points 3, 4 and 5 for [...] train paths to be established in cooperation with
(3ca) Member States may decide to publish the charging framework and charging rules
applicable specifically to international freight services from and to third countries operated
on a network whose track gauge is different from the main rail network within the Union
with different instruments and deadlines than those provided under Article 29(1) when this
is required to ensure fair competition.
(3d) Member States may exclude from the application of Chapter IV railway infrastructure,
whose track gauge is different from the main rail network within the Union, connecting
cross-border stations of a Member State to the territory of a third country.
2001/12/EC Art. 1.3 (adapted)
Council
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4.This Directive [...] shall not apply to undertakings the train operations of
which are limited to providing solely shuttle services for road vehicles through undersea
tunnels [...] and transport operations in the form of shuttle services for road vehicles
through such tunnels [...] except Articles 6(1), 6 (4), 10, 11, 12 and 28.
2007/58/EC Art. 1.1 (adapted)
Council
91/440/EEC (adapted)
Article 3
Definitions
For the purpose of this Directive , the following definitions apply :
2001/12/EC Art. 1.4(a) (adapted)
Council
(1) `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;
(2) `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 ;
2001/12/EC Art. 1.4(b) (adapted)
(4) `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;
2007/58/EC Art. 1.3 (adapted)
(5) `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;
91/440/EEC (adapted)
Council
(6) `urban and suburban services' means transport services whose principal purpose
is [...] to meet the transport needs of an urban centre or conurbation , including
a cross-border conurbation, together with transport needs between such a
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centre or conurbation and surrounding areas;
2007/58/EC Art. 1.4 (adapted)
Council
(8) "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 ;
(8a) "service facility" means the installation, including ground area, building and equipment,
which has been specially arranged, as a whole or in part, to allow the supply of one or
more services referred to in Annex III, points (2) to (4);
(8b) "operator of service facility" means any public or private entity responsible for managing
[...] one or more service facilities [...] or supplying one or more services to
railway undertakings referred to in Annex III, points (2) to (4);
(8c) "cross-border agreement" means any [...] agreement between two or more States
intended to facilitate the provision of cross-border rail services;
95/18/EC (adapted)
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(9) "licence" means an authorisation issued by a [...] licensing authority to
an undertaking, by which its capacity to provide rail transport services as a railway
(10a) "contractual agreement" means an agreement or, mutatis mutandis , an [...]
arrangement within the framework of administrative or regulatory measures.
(10aa) "reasonable profit" means a rate of return on own capital that takes account of the risk,
including that to revenue, or the absence of such risk, incurred by the operator of the
service facility and [...] is in line with the average rate for the sector concerned in
recent years.
2001/14/EC
(11) `allocation' means the allocation of railway infrastructure capacity by an infrastructure
manager;
2001/14/EC (adapted)
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(12) `applicant' means a railway undertaking or an international grouping of railway
undertakings [...] or [...] 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 [...] ;
(13) `congested infrastructure' means an element of infrastructure for which demand for
(14) `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';
(15) `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;
(16) `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;
2001/14/EC
(17) `infrastructure capacity' means the potential to schedule train paths requested for an
element of infrastructure for a certain period;
2001/14/EC (adapted)
(18) `network' means the entire railway infrastructure managed by an infrastructure manager;
(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;
2001/14/EC
(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
91/440/EEC (adapted)
CHAPTER II
DEVELOPMENT OF THE UNION RAILWAYS
SECTION 1
2001/12/EC Art. 1.5
MANAGEMENT INDEPENDENCE
2001/12/EC Art. 1.6 (adapted)
Article 4
Independence of railway undertakings and infrastructure managers
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1.Member States shall ensure that as regards management, administration and internal control over
administrative, economic and accounting matters railway undertakings directly or indirectly
91/440/EEC (adapted)
1 Corrigendum, OJ L 305, 6.11.1991,
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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.
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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;
1 they must
also indicate the means of obtaining these objectives.
91/440/EEC
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(a) establish their internal organisation, without prejudice to the provisions of Articles 7, 29
and 39 [...] ;
(b) control the supply and marketing of services and fix the pricing thereof [...] ;
(c) take decisions on staff, assets and own procurement;
(d) expand their market share, develop new technologies and new services and adopt any
innovative management techniques;
91/440/EEC (adapted)
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(e) establish new activities in fields associated with the railway business.
This paragraph is without prejudice to Regulation (EC) No 1370/2007.
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SECTION 2
SEPARATION - OF - INFRASTRUCTURE MANAGEMENT AND TRANSPORT
OPERATIONS AND OF DIFFERENT TYPES OF TRANSPORT OPERATIONS -
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.
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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
2001/12/EC Art. 1.10 (adapted)
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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 [...]
in consistency with Article 7 of Regulation (EC) No 1370/2007 in the relevant accounts and
shall not be transferred to activities relating to the provision of [...] other transport
services or any other business.
2001/12/EC Art. 1.7 (adapted)
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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 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
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1.Member States shall ensure that the essential functions determining equitable and non-
discriminatory access to infrastructure, [...] are entrusted to bodies or firms that do not
themselves provide any rail transport services. Regardless of organisational [...]
structures , this objective must be shown to have been achieved.
The essential functions shall be:
decision making on train path allocation, including both the definition and the assessment
of availability and the allocation of individual train paths, and
decision making on infrastructure charging, including determination and collection of the charges,
without prejudice to Article 29(1).
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[...]
2001/12/EC Art. 1.7 (adapted)
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Member States may, however, assign to railway undertakings or any other body [...] the
2001/14/EC (adapted)
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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 2 and 3
[...] 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.
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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.
91/440/EEC
SECTION 3
IMPROVEMENT OF THE FINANCIAL SITUATION
2001/12/EC Art. 1.8 (adapted)
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Article 8
[...] financing of the infrastructure manager
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1.Member States shall develop their national railway infrastructure by taking into
account, where necessary, the general needs of the Union , including the need to cooperate
with neighbouring third countries . For this purpose, they shall publish at the latest two
years after the entry into force of this Directive [...] an indicative rail infrastructure
development strategy with a view to meeting future mobility needs in terms of maintenance,
renewal and development of the infrastructure based on [...] sustainable financing of the
railway system. The strategy shall cover a period of at least five years and be renewable.
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3.Within the framework of general policy determined by the Member State and taking into
account the [...] strategy referred to in paragraph 1 and the financing provided by the
Member States referred to in paragraph 2 , 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. The infrastructure
manager shall ensure that [...] known applicants and, upon their request, potential
applicants [...] have access to the information and are given the opportunity to express their
views on the content of the business plan as far as the conditions for access and use, the nature,
provision and development of the infrastructure are concerned before [...] its approval
by the infrastructure manager [...] .
2001/14/EC (adapted)
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4.Member States shall ensure that, under normal business conditions and over a [...]
reasonable reasonable period [...] which shall [...] not exceed the period of
the contractual agreement referred to in Article 30(2) , the accounts of an infrastructure
manager shall at least balance income from infrastructure charges, surpluses from other commercial
activities and State and private funding on the one hand, including advance payments from
the State, where appropriate, and infrastructure expenditure, including for long-term asset
2001/14/EC
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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. [...]
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.
91/440/EEC (adapted)
1 Corrigendum, OJ L 305, 6.11.1991,
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Article 9
Transparent debt relief
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1.Without prejudice to the Union rules on state aids and in accordance with Articles 93, 107 and
108 of the Treaty In conjunction with
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.
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2.For the purposes referred to in paragraph 1 , Member States [...] may
require a separate debt amortisation unit to be set up within the accounting departments of such
railway undertakings.
The balance sheet of the unit may be charged, until they are extinguished, with all the loans raised
by the railway undertaking both to finance investment and to cover excess operating
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3.Paragraphs 1 and 2 shall [...] apply only to debts or interest due on such debts
incurred by publicly owned or controlled railway undertakings [...] by the date of
market opening for all or part of rail transport services in the Member State concerned [...]
and in any case at the latest by 15 March 2001 or the date of accession to the Union for Member
States which joined the Union after 15 March 2001.
2001/12/EC Art. 1.9
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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.
91/440/EEC (adapted)
SECTION 4
ACCESS TO RAILWAY INFRASTRUCTURE - AND SERVICES
2001/12/EC Art. 1.11 (adapted)
Article 10
Conditions of access to railway infrastructure
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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.
2004/51/EC Art. 1.2(a) (adapted)
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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 railway infrastructure in all Member States for the purpose of operating all types
of rail freight services. This shall include [...] access to [...] infrastructure
connecting maritime and inland ports and other service facilities referred to in Annex III,
point 2, and to infrastructure serving or potentially serving more than one final customer.
2007/58/EC Art. 1.8 (adapted)
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2.Railway undertakings within the scope of this Directive shall be granted by 1 January
2010 the right of access to [...] railway infrastructure in all Member States for the
purpose of operating an international passenger service. Railway undertakings shall, in the course of
an 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. This shall include access to infrastructure connecting service facilities referred to in Annex
III, point 2.
2007/58/EC Art. 1.8
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
2007/58/EC Art. 1.8 (adapted)
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.
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Based on the experience [...] of regulatory bodies, competent authorities and railway
undertakings and on the activities of the working group referred to in Article 57(1) the
Commission may adopt [...] measures setting out the details of the procedure and criteria to
be followed for the application of this paragraph. Those implementing acts [...] shall be
adopted [...] in accordance with the examination procedure referred to in Article
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.
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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 :
2007/58/EC Art. 1.8
(a) the competent authority or competent authorities that awarded 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.
2007/58/EC Art. 1.8 (adapted)
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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 ,
2007/58/EC Art. 1.8
(a) the relevant competent authority or competent authorities;
(b) the infrastructure manager;
(c) the railway undertaking performing the public service contract;
(d) the railway undertaking seeking access.
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4.Based on the experience [...] of regulatory bodies, competent authorities and railway
undertakings and on the activities of the working group referred to in Article 57(1) the
Commission may adopt [...] 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 [...]
implementing acts , [...] shall be adopted [...] in accordance with the
examination procedure referred to in Article [...] 64 (3).
2007/58/EC Art. 1.8 (adapted)
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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
Article 12
Levy on railway undertakings providing passenger services
2007/58/EC Art. 1.8
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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.
2007/58/EC Art. 1.8 (adapted)
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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.
2007/58/EC Art. 1.8
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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.
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5.Based on the experience of regulatory bodies, competent authorities and railway undertakings
and on the activities of the working group referred to in Article 57(1) the Commission may adopt
measures setting out the details of the procedure and criteria to be followed for the application of
this Article. Those implementing acts shall be adopted in accordance with the examination
procedure referred to in Article 64(3).
2001/12/EC Art. 1.11
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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
2004/51/EC Art. 1.2(c)
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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.
2001/14/EC (adapted)
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Article 13
Conditions of access to services
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1.Infrastructure managers shall supply to all railway undertakings [...] , on a non-
discriminatory basis, [...] the minimum access package [...] laid down in Annex
III, point 1.
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2.Operators of service facilities shall supply to railway undertakings the services referred to
in Annex III, point 2, [...] in a non-discriminatory manner and requests by railway
undertakings may only be rejected if viable alternatives under market conditions exist. If the
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2a To guarantee full transparency and non-discrimination of access to the [...] service
facilit [...] ies referred to in Annex III, point 2 items (a), (b), (c) [...] and (g) and the
supply of services in these facilities where the operator of such a service facility is under direct or
indirect control of [...] a body or firm which is also active and holds a dominant position
[...] in [...] national railway transport services markets for which the facility is
used, the operator s of these service facilities shall be organised in such a way that [...]
they are independent [...] of this body or firm in organisational and decision-making
terms. Such independence shall not imply the requirement of the establishment of a separate body
or firm for service facilities and may be fulfilled with the organisation of distinct divisions within a
single undertaking. [...]
For all service facilities referred to in Annex III, point 2, the [...] operator and this body or
firm shall have separate accounts, including separate balance sheets and profit and loss accounts.
[...]
When operation of the service facility is ensured by an infrastructure manager or the operator of the
service facility [...] is under direct or indirect control of an infrastructure manager compliance
with [...] the requirements set out in this paragraph shall be deemed demonstrated by the
fulfilment of the requirements set out in Article 7.
2b Requests by railway undertakings for access to , and supply of services in 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 or alternative routes [...] under
economically acceptable conditions. This shall not oblige the operator of the service facility to
make investments in resources or facilities in order to accomodate all requests by railway
undertakings.
When requests by railway undertakings concern access to, and supply of services in a service
facility managed by an operator of service facility referred to in paragraph 2a, the operator of the
service facility shall justify any negative decision and indicate [...] viable alternatives
[...] in other facilities [...] .
2c When [...] an operator of the service facility referred to in Annex III, point
2, encounters conflicts between different requests, [...] it 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 applicant may complain to the regulatory body referred to in Article 55 which shall
examine the case [...] and take [...] action , where appropriate, to ensure that
an appropriate part of the capacity is devoted to such applicant [...] .
2d Where [...] a service facility referred to in Annex III, point 2, has not
been in use for at least [...] three consecutive years and interest by railway
undertakings for access to this facility has been expressed to the operator of such service facility on
the basis of demonstrated needs, its owner shall publicise the operation of the facility as being for
lease or rent as a rail service facility [...] , as a whole or in part, unless the operator of such
service facility demontrates that an on-going process of reconversion prevents its use by any
railway undertaking.
2001/14/EC (adapted)
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3.Where the [...] operator of the service facility [...] produces any of the range of
services described in Annex III, point 3 as additional services [...] it shall supply them
upon request to railway undertakings in a non-discriminatory manner .
2001/14/EC
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4.Railway undertakings may request a further range of ancillary services, listed in Annex III, point
4 from the infrastructure manager or from other [...] operators of service facility . The
[...] operator of the service facility is not obliged to supply these services. Where the
operator of the service facility decides to offer to others any of the range of these services, it shall
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[...]
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5.Based on the experience of regulatory bodies and operators of service facilities and on the
activities of the working group referred to in Article 57(1) the Commission may adopt measures
setting out the details of the procedure and criteria to be followed for access to the services to be
supplied in the service facilities referred to in Annex III, points 2 to 4. Those implementing acts
shall be adopted in accordance with the examination procedure referred to in Article 64(3).
2001/12/EC Art. 1.12
Article 10a
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1.The Trans-European Rail Freight Network consists of the following elements:
-
a)Railway lines as indicated in the maps in Annex I.
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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.
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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.
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SECTION 5
CROSS-BORDER AGREEMENTS
Article 14
General principles for cross-border agreements
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1.Member States shall ensure that [...] provisions contained in cross-border agreements
[...] do not discriminate between railway undertakings, or [...] restrict the freedom
of railway undertakings to operate cross-border services [...] .
[...] 1a. Member States [...] shall [...] notify [...] the Commission of
any cross-border agreement at the latest six months after the entry into force of this Directive for
agreements concluded before this date and [...] before their conclusion for new or revised
agreements between Member States . The Commission shall decide whether such agreements
are in [...] compliance [...] with [...] Union law within [...] nine
months from notification for agreements concluded before the entry into force of this Directive and
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2.Without prejudice to the division of competencies between the Union and the Member States, in
accordance with Union law, [...] Member States shall notify the Commission of their
intention to enter into negotiations on and to conclude [...] new or revised cross-
border agreements between Member States and third countries [...] .
2a. If within two months of the receipt of the notification of a Member State intention to enter
into negotiations referred to in paragraph 2, the Commission concludes that the negotiations are
likely to undermine the objectives of Union negotiations under way with the third countries
concerned and/or to lead to an agreement which is incompatible with Union law, it shall inform the
Member State accordingly.
Member States shall keep the Commission [...] regularly informed of any such negotiations
and, where appropriate, invite [...] it to participate as an observer.
2aa. [...] Member States [...] shall be authorised to [...] apply provisionally and/or
to conclude new or revised cross-border agreements [...] with third countries, provided that
they are compatible with EU law and do not harm the object and purpose of the transport policy of
the Union. The Commission shall adopt such authorisation decisions. Those implementing acts shall
be adopted in accordance with the [...] advisory procedure referred to in Article 64 (2).
[...]
2001/12/EC Art. 1.13 (adapted)
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SECTION 6
MONITORING TASKS OF THE COMMISSION
Article 15
Scope of market monitoring
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1.Not later than 15 September 2001The Commission 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.
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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.
2001/12/EC Art. 1.13
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4.The Commission shall report [...] every two years to the European Parliament
and the Council on:
(a) the evolution of the internal market in rail services;
2001/12/EC Art. 1.13 (adapted)
(b) the framework conditions , including for public passenger transport services by rail;
2004/51/EC Art. 1.3
(c) the state of the European railway network;
2001/12/EC Art. 1.13
(d) the utilisation of access rights;
(e) barriers to more effective rail services;
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5.For the purposes of the Commission's market monitoring, Member States shall supply to the
Commission on an annual basis the necessary information on the use of the networks
and the evolution of framework conditions in the rail sector. [...]
5a The Commission may adopt measures to ensure consistency in the reporting obligations of
Member States. Those implementing acts shall be adopted in accordance with the examination
procedure referred to in Article 64(3).
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
2001/13/EC Art. 1(3)
Each Member State shall designate the body responsible for issuing licences and for carrying out
the obligations imposed by this Chapter .
95/18/EC (adapted)
SECTION 2
C ONDITIONS FOR OBTAINING A LICENCE
Article 17
General requirements
95/18/EC
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1.A railway undertaking shall be entitled to apply for a licence in the Member State in which it is
established [...] .
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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.
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3.A railway undertaking which fulfils the requirements imposed in this Chapter shall be authorised
95/18/EC (adapted)
However, such a licence shall not , in itself, entitle the holder to access the railway
infrastructure.
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5.The Commission may adopt [...] measures setting out the details for the use of
[...] a common template for the licence and, if needed to ensure fair and efficient
competition in rail transport markets, details on the procedure to be followed for the application of
this Article. Those [...] implementing acts [...] shall be adopted [...] in
accordance with the examination procedure referred to in Article [...] 64 (3).
95/18/EC (adapted)
Article 18
Conditions for obtaining a licence
95/18/EC (adapted)
For these purposes, each applicant shall provide all relevant information.
Article 19
Requirements relating to good repute
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:
95/18/EC Art. 5 and 6
(a) have not been convicted of serious criminal offences, including offences of a commercial
nature;
(b) have not been declared bankrupt;
(c) have not been convicted of serious offences against specific legislation applicable to
95/18/EC (adapted)
Article 20
Requirements relating to financial fitness
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.
95/18/EC (adapted)
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The licensing authority shall verify financial fitness especially by means of a railway
undertaking's annual accounts or, in the case of applicant railway undertakings unable to present
annual accounts, a balance sheet. [...] Each applicant railway undertaking shall
[...] provide at least the [...] information listed in Annex V.
The licensing authority may require the submission of an audit report and suitable documents from
a bank, public savings bank, accountant or auditor. These documents shall include the information
listed in Annex V.
The Commission shall be empowered to adopt delegated acts in accordance with Article 60
concerning certain amendments to Annex V. Thus Annex V may be amended to specify the
information to be provided by applicant railway undertakings or supplement it in the light of
the experience gained by licensing authorities or the evolution of the rail transport
market [...]
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
possesses the knowledge or experience necessary to exercise safe and reliable operational control
and supervision of the type of operations specified in the licence.
95/18/EC (adapted)
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Article 22
Requirements relating to cover for civil liability
95/18/EC
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[...] Without prejudice to the Union rules on state aids and in accordance with Articles 93,
107 and 108 of the Treaty, a railway undertaking shall be adequately insured or make equivalent
arrangements or have guarantees under market conditions for cover, in accordance with
national and international law, of its liabilities in the event of accidents, in particular in respect of
passengers, luggage, passengers, luggage, freight, mail and third parties. [...]
95/18/EC (adapted)
SECTION 3
VALIDITY OF THE LICENCE
Article 23
Spatial and temporal validity
2001/13/EC Art.1(4) (adapted)
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1.A licence shall be valid throughout the territory of the Union .
95/18/EC (adapted)
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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.
95/18/EC (adapted)
Article 24
Temporary licence, suspension and approval
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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.
95/18/EC
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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.
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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
95/18/EC Art. 11 (adapted)
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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.
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.
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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.
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6.Where a railway undertaking intends significantly to change or extend its activities, its licence
shall be resubmitted to the licensing authority for review.
95/18/EC Art. 11 (adapted)
2001/13/EC Art.1(6)
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8.When a licensing authority issues, suspends, revokes or amends a licence, [...] it shall
immediately inform the [...] European Railway Agency accordingly. The [...]
European Railway Agency shall inform the licensing authorities of other Member States
forthwith.
[...]
2001/13/EC Art. 1(7)
Article 12
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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) specific technical and operational requirements for rail services;
(b) safety requirements applying to staff, rolling stock and the internal organisation of the
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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.
95/18/EC (adapted)
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Article 25
Procedure for granting licences
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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 without delay . A
refusal shall state the grounds on which it is based .
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
2001/14/EC
Member States shall ensure that charging and capacity allocation schemes for railway infrastructure
2001/14/EC (adapted)
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Article 27
Network statement
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1.The infrastructure manager shall, after consultation with the interested parties [...]
develop and publish a network statement obtainable against payment of a fee which
shall not exceed the cost of publication of that statement. 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 on the web portal of the
[...] infrastructure manager and accessible through [...] a common web portal
[...] which infrastructure managers shall set up in the framework of their cooperation in
accordance with Articles 37 and 40 .
2001/14/EC
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[...]
2001/14/EC (adapted)
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3.The network statement shall be kept up to date and amended as necessary.
2001/14/EC
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4.The network statement shall be published no less than four months in advance of the deadline for
requests for infrastructure capacity.
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
2001/14/EC (adapted)
SECTION 2
INFRASTRUCTURE - AND SERVICES - CHARGES
2001/14/EC
Article 29
Establishing, determining and collecting charges
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1.Member States shall establish a charging framework while respecting the management
independence laid down in Article 4.
2001/14/EC Art. 4
Subject to the condition of management independence, Member States shall also establish specific
charging rules or delegate such powers to the infrastructure manager.
2001/14/EC (adapted)
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The infrastructure manager shall determine and collect the charge for the use of
infrastructure in accordance with the established charging framework and charging rules.
Without prejudice to the management independence laid down in Article 4 and provided that this
right has been directly conferred by constitutional law at least two years before the date of entry
into force of this Directive, the national parliament may have the right to scrutinize and, when
appropriate, review the level of charges determined by the infrastructure manager. Such review, if
any, shall ensure that charges comply with this Directive, the established charging framework and
charging rules.
[...]
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[...]
2001/14/EC
2001/14/EC (adapted)
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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.
2001/14/EC
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5.An infrastructure manager or charging body shall respect the commercial confidentiality of
information provided to it by applicants.
2001/14/EC (adapted)
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Article 30
Infrastructure cost and accounts
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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.
Member States shall ensure that contractual agreements in force at the time of entry into force of
this Directive are modified to align them with its provisions at the time of their expiry or at the
latest within three years after the entry into force of the Directive.
[...]
2a. Member States shall implement the incentives [...] referred to in paragraph 1 [...]
either through the contractual agreement referred to in paragraph 2 or through regulatory measures
[...] or [...] through [...] a combination of incentives to reduce costs in the
contractual agreement and the level of charges through regulatory [...] measures.
2b. [...] If a Member State decides to implement [...] the incentives [...] referred
to in paragraph 1 [...] through regulatory measures, [...] this shall be based on an
analysis of the achievable cost reductions [...] . This is without prejudice to the powers of the
regulatory body to review charges according to Article 56.
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3.Where a contractual agreement exists, The terms of the [...] contractual agreement
referred to in paragraph 2, 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
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[...]
3b [...] Member States shall ensure that applicants and, upon their request, potential
applicants are informed [...] by the competent authority and the infrastructure manager
[...] and are given the opportunity to express their views on the content of the contractual
agreement before it is signed. The contractual agreement shall be published within one month of
concluding it.
The infrastructure manager shall ensure [...] consistency between the provisions of the
contractual agreement and the business plan .
[...]
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4.Infrastructure managers shall develop and maintain [...] a [...] register of their
assests and the [...] assets they are responsible for managing which would be used to assess
the financing needed to repair or replace them. [...] This shall be accompanied by details of
expenditure on renewal and upgrading of the infrastructure.
2001/14/EC (adapted)
2001/14/EC (adapted)
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Article 31
Principles of charging
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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.
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2.Member States shall require the infrastructure manager and the service facility
operator to provide the regulatory body with all necessary information on the charges
imposed in order to allow the regulatory body to perform its tasks as referred to in Article 56.
The infrastructure manager and the service facility operator must, in this regard, be able to
demonstrate [...] that 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.
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3.Without prejudice to paragraphs 4 or 5 of this Article or to Article 32, the charges for the
minimum access package and for access to infrastructure connecting service facilities and
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Before the deadline for transposition set in Article 66(1), the Commission [...] shall adopt
[...] measures setting out the methodology for the calculation of the cost that is directly
incurred as a result of operating the train [...] . Those [...] implementing acts [...]
shall be adopted [...] in accordance with the examination procedure referred to in Article
[...] 64 (3).
The infrastructure manager may decide to gradually adapt to this methodology during a period of no
more than five years after the deadline for transposition set out in Article 66(1).
2001/14/EC (adapted)
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4.The infrastructure charges referred to in paragraph 3 may include a charge which
reflects the scarcity of capacity of the identifiable section of the infrastructure during periods
of congestion.
2001/14/EC (adapted)
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5.The infrastructure charges referred to in paragraph 3 may be modified to take
account of the cost of [...] environmental effects caused by the operation of the train
[...] Any such modification [...] shall be differentiated according to the
magnitude of the effect caused.
[...]
[...] Based on the experience gained by infrastructure managers, railway undertakings,
regulatory bodies and competent authorities, and recognising existing schemes on noise
differentiation, the Commission [...] may adopt implementing measures setting out the
modalities to be followed for the application of the charging for the cost of noise effects including
its duration of application and enabling the differentiation of infrastructure [...] charges
[...] to take into account, where appropriate, the sensitivity of the area affected, in particular
in terms of the size of population affected [...] and the train composition with an impact on
the level of noise emissions. Those [...] implementing acts [...] shall be adopted
[...] in accordance with the examination procedure referred to in Article [...] 64 (3).
Charging of [...] 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 [...]
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[...] Member States shall ensure that the necessary information is kept and
[...] that the origin of the charging of environmental costs and its [...] application
can be traced. Member States shall provide the Commission with this information upon its
request. [...]
2001/14/EC
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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.
2001/14/EC (adapted)
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7.[...] The charge imposed for track access within service facilities referred to in Annex
III, point 2, and the supply of services in such [...] facilities 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.
2001/14/EC
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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.
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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 or shall indicate a web [...] site where such information is made
available free of charge in electronic format according to Article 27.
2001/14/EC (adapted)
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Article 32
Exceptions to charging principles
2001/14/EC
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.
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[...] Before approving the levy of such mark-ups, Member States shall ensure that the
infrastructure managers evaluate their relevance for specific market segments, considering at least
the pairs [...] listed in Annex VIII, point 3 and retaining the relevant ones. [...] The list
of market segments defined by infrastructure managers shall contain at least the three following
ones: freight services, passenger services within the framework of a public service contract and
other passenger services. Infrastructure managers may further distinguish [...] market
segments according to commodity or passengers transported.
Market segments in which railway undertakings are not currently operating but may provide
services during the period of validity of the charging system shall also be defined. The
infrastructure manager shall not include a mark-up in the charging system for these market
2001/14/EC (adapted)
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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 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.
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3.[...] The infrastructure charge s [...] may be differentiated to [...] give
incentives to equip [...] trains with the European Train Control System (ETCS) compliant
with the version adopted by the Commission on 23 April 2008 and successive versions. [...]
[...]
[...] Following an impact assessment, the Commission [...] may adopt [...]
measures setting out the modalities to be followed for the application of the [...]
differentiation of the infrastructure charge including its duration of application. Those [...]
2001/14/EC Art. 8 (adapted)
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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.
2001/14/EC
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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 of the
deadline for the publication of the network statement according to Article 27(4) .
2001/14/EC (adapted)
Article 33
Discounts
2001/14/EC
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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.
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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.
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4.Discounts may relate only to charges levied for a specified infrastructure section.
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5.Similar discount schemes shall apply for similar services. 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
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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.
2001/14/EC
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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.
2001/14/EC (adapted)
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4.Member States shall ensure that the scheme is compatible with Articles 93, 107 and 108
of the Treaty.
2001/14/EC (adapted)
Article 35
Performance scheme
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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
2001/14/EC
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2.The basic principles of the performance scheme as listed in Annex VIII, point 4 shall apply
throughout the network.
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The Commission shall be empowered to adopt delegated acts in accordance with Article 60
concerning [...] amendments to Annex VIII, point 4(c). Thus Annex VIII, point 4 (c)
may be amended in the light of the evolution of the rail market and experience gained by
regulatory bodies referred to in Article 55, infrastructure managers and railway undertakings.
[...] Such amendments shall [...] adapt the classes of delay to the best practices
developed by industry. [...]
2001/14/EC (adapted)
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Article 36
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Article 37
Cooperation in relation to charging systems on more than one network
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1.The Member States shall ensure that infrastructure managers cooperate to
enable the application of efficient charging schemes and associate to
coordinate the charging or to charge for the operation of train services which cross more than
one infrastructure network of the rail system within the Union . Infrastructure managers
shall, in particular, aim to guarantee the optimal competitiveness of international rail freight
services and ensure the efficient use of the railway networks . To this end
they shall establish appropriate procedures, subject to the rules set out in this Directive.
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2.For the purpose of paragraph 1, 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 of the rail system
2001/14/EC
SECTION 3
ALLOCATION OF INFRASTRUCTURE CAPACITY
2001/14/EC (adapted)
Article 38
Capacity rights
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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.
2001/14/EC
Any trading in infrastructure capacity shall be prohibited and shall lead to exclusion from the
further allocation of capacity.
2001/14/EC
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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.
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.
2001/14/EC (adapted)
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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.
2007/58/EC Art. 2.3 (adapted)
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4.When an applicant intends to request infrastructure capacity with a view to operating an
international passenger service as defined in Article [...] 3, 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
2001/14/EC (adapted)
Article 39
Capacity allocation
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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.
2001/14/EC
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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.
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2.Infrastructure managers and allocation bodies shall respect the commercial confidentiality of
Article 40
Cooperation in the allocation of infrastructure capacity on more than one network
2001/14/EC (adapted)
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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 of the rail
system within the Union , 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 , and organise [...] train
paths crossing more than one network accordingly .
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 ,
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.
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2.The Commission [...] shall be informed of and invited to attend as observer
[...] main meetings at which common principles and practices for the allocation of
infrastructure are developed. [...] Regulatory bodies shall receive sufficient information
about the development of common principles and practices for the allocation of infrastructure
and from IT-based allocation systems, [...] to allow them to perform their regulatory
supervision in accordance with the provisions of Article 56 .
2001/14/EC
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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.
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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.
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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.
2001/14/EC (adapted)
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Article 41
Applicants
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1.Requests for infrastructure capacity may be made by [...] applicants within the
meaning of this Directive . [...] In order to use such infrastructure capacity, applicants
shall appoint a railway undertaking to conclude an agreement with the infrastructure manager in
accordance with Article 28. This is without prejudice to the right of applicants to conclude
agreements with infrastructure managers under Article 44(1).
2001/14/EC
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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. They shall be
specified in the network statement as referred to in point 3 (b) of Annex VI. 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
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3.Before the deadline for transposition set in Article 66(1), the Commission [...]
shall adopt implementing measures setting out the details of the criteria to be followed for the
application of paragraph 2. Those [...] implementing acts shall be adopted [...] in
accordance with the examination procedure referred to in Article [...] 64 (3).
2001/14/EC (adapted)
Article 42
Framework agreements
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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.
2001/14/EC
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2.Framework agreements shall not be such as to preclude the use of the relevant infrastructure by
other applicants or services.
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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.
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4.The framework agreement may contain penalties should it be necessary to modify or terminate
the agreement.
2007/58/EC Art. 2.4
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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.
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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.
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.
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.
2001/14/EC
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7.While respecting commercial confidentiality, the general nature of each framework agreement
shall be made available to any interested party.
2001/14/EC
Article 43
Schedule for the allocation process
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1.The infrastructure manager shall adhere to the schedule for capacity allocation set out in Annex
IX.
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The Commission shall be empowered to adopt delegated acts in accordance with Article 60
concerning certain amendments to Annex IX. Thus, after consultation of all infrastructure
managers, Annex IX may be amended [...] to take into account operational
considerations of the allocation process. [...] These amendments shall be based on what is
necessary in the light of experience to ensure an efficient allocation process and reflect the
operational concerns of the infrastructure managers.
2001/14/EC
2001/14/EC (adapted)
Article 44
Application
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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 .
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2.Requests relating to the regular working timetable shall comply with the deadlines set out
in Annex IX.
2001/14/EC
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3.An applicant who is a party to a framework agreement shall apply in accordance with that
agreement.
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4.[...] For train paths crossing more than one network infrastructure managers shall ensure
that applicants may apply to a one-stop shop that is either [...] a joint body established by the
infrastructure managers [...] or [...] one single infrastructure manager [...]
involved in the train path. Such infrastructure manager shall be permitted to act on behalf of the
Article 45
Scheduling
2001/14/EC
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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.
2001/14/EC Art. 20
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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.
2001/14/EC (adapted)
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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
2001/14/EC
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5.The infrastructure manager shall take appropriate measures to deal with any concerns that are
expressed.
Article 46
Coordination process
2001/14/EC (adapted)
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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.
2001/14/EC Art. 21
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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
2001/14/EC (adapted)
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3.The infrastructure manager shall attempt, through consultation with the appropriate applicants, to
resolve any conflicts. Such consultation shall be based on the disclosure of the following
information within a reasonable time, free of charge and in written or electronic form:
(a) train paths requested by all other applicants on the same routes,
(b) train paths allocated on a preliminary basis to all other applicants on the same routes,
(c) alternative train paths proposed on the relevant routes in accordance with paragraph 2,
(d) full details of the criteria being used in the capacity allocation process.
In accordance with Article 39(2), this information shall be provided without disclosing the identity
of other applicants, unless applicants concerned have agreed to such disclosure.
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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.
Article 47
Congested infrastructure
2001/14/EC (adapted)
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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.
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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.
2001/14/EC
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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.
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.
2001/14/EC
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5.The importance of freight services and in particular international freight services shall be given
adequate consideration in determining priority criteria.
2001/14/EC (adapted)
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6.The procedures to be followed and the criteria to be used where
infrastructure is congested shall be set out in the network statement.
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.
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
2001/14/EC (adapted)
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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.
2001/14/EC
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3.A capacity analysis shall be completed within six months of the identification of infrastructure as
congested.
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.
-
2.A capacity enhancement plan shall be developed after consultation with users of the relevant
congested infrastructure.
It shall identify:
(a) the reasons for the congestion;
(b) the likely future development of traffic;
(c) the constraints on infrastructure development;
(d) the options and costs for capacity enhancement, including likely changes to access charges.
2001/14/EC (adapted)
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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. [...]
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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
2001/14/EC (adapted)
Article 52
Use of train paths
-
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.
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3.The infrastructure manager shall inform , as soon as possible, [...] interested parties
about the unavailability of infrastructure capacity due to unscheduled maintenance work.
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.
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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
SECTION 4
REGULATORY BODY
2001/14/EC (adapted)
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Article 55
Regulatory body
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1.Each Member State shall establish a single national regulatory body for the
railway sector . Without prejudice to paragraph 2, this body, which can be the Ministry
responsible for transport matters or any other body, shall be a stand-alone authority which is, in
organisational, functional, hierarchical and decision-making terms, legally distinct and independent
from any other private or public [...] entity . 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. It shall furthermore be functionally
independent from any competent authority involved in the award of a public service contract.
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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.
The [...] regulatory body for the rail sector [...] may also be [...] joined in
organisational term with the national competition authority referred to in Article 11 of Council
Regulation (EC) No 1/2003 of 16 December 200211, the licensing authority referred to in Chapter
III or the safety authority established under Directive 2004/49/EC of 29 April 200412, if this joint
body fulfils the independence requirements set out in paragraph 1.
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3.Member States shall ensure that the regulatory body is staffed and managed in a way that
guarantees its independence. They shall in particular ensure that the [...] persons
[...] in charge of decisions to be taken by [...] the regulatory body [...] in
accordance with Article 56, such as members of its [...] executive board, where relevant,
[...] act independently from any market interest related to the railway sector, and shall
therefore not have any interest or business relationship with any of the regulated undertakings or
entities, and do not seek or take [...] instructions from any government or other public or
private entity when carrying out the functions of the regulatory body.
The persons [...] in charge of decisions to be taken by the regulatory body in accordance with
Article 56 shall have [...] full authority over the recruitment and management of the staff of
2001/14/EC (adapted)
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Article 56
Functions of the regulatory body
-
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 or the operator of a service facility concerning:
2001/14/EC
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(a) the network statement in its provisional and final versions ;
2001/14/EC (adapted)
(b) the criteria set out in it;
2001/14/EC (adapted)
(e) the level or structure of infrastructure charges which it is, or may be,
required to pay;
2004/49/EC Art. 30.2
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(f) arrangements for access in accordance with Articles 10, 11, [...] 12 and 13 ;
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(g) access to and charging for services in accordance with Article 13.
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2.Without prejudice to the competences of the national competition authorities for securing
competition in the rail services markets, the regulatory body shall [...] have the power to
monitor the [...] competitive situation in the rail services markets and shall, in
particular, [...] control points (a) to (g) of paragraph 1 on its own initiative and with a view
to preventing discrimination [...] against 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 [...] against applicants.
2b The regulatory body shall have the necessary organisational capacity to carry out [...]
its tasks.
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 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.
2001/14/EC (adapted)
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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. 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.
2001/14/EC
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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. Without
prejudice to the competences of the national competition authorities for securing competition in the
rail service markets [...] the regulatory body shall , where appropriate, 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.
2001/14/EC
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.
2001/14/EC
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6.Member States shall ensure that decisions taken by the regulatory body are subject to judicial
review. The appeal may have suspensive effect on the decision of the regulatory body only when
[...] the immediate effect of the regulatory body's decision may cause irretrievable or
manifestly excessive damages for the appellant. This provision is without prejudice to the
powers of the court hearing the appeal as [...] conferred by constitutional law, where
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7.[...] Member States shall ensure that decisions taken by the regulatory body are
published.
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8.The regulatory body shall have the power to carry out audits or initiate external audits with
infrastructure managers , operators of service facilities and, when relevant, railway
undertakings, to verify compliance with accounting separation provisions laid down in Article 6.
In this respect, the regulatory body shall be entitled to ask for any relevant information. In
particular the regulatory body shall have the power to request infrastructure manager, operators of
service facilities 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) and Article 13 to
provide all or part of the accounting information listed in Annex X with a sufficient level of detail
as deemed necessary and proportionate.
[...] 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. This is
without prejudice to the existing competences of the authorities responsible for state aid issues.
The Commission shall be empowered to adopt delegated acts in accordance with Article 60
concerning certain amendments to Annex X. Thus Annex X may be amended [...] to
adapt it to the evolution of accounting and oversight practices and/or to supplement it with
2001/14/EC (adapted)
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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 . For this purpose they shall participate and work
together in a working group that [...] convenes at regular intervals. To ensure active
cooperation between the appropriate regulatory bodies, the Commission shall [...] support
them in this task. [...] .
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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
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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.
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7.Regulatory bodies shall develop common principles and practices for making decisions for which
they are empowered under this Directive. Based on the experience [...] of regulatory
bodies and on the activities of the working group referred to in paragraph 1, and if needed to ensure
efficient cooperation of regulatory bodies the Commission may adopt [...] measures setting
out such common principles and practices. Those [...] implementing acts [...]
shall be adopted [...] in accordance with the examination procedure referred to in
91/440/EEC
CHAPTER V
FINAL PROVISIONS
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).
2007/58/EC Art. 1.11
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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).
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 13.
2001/14/EC
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Article 59
Derogations
-
1.For a period of five years from Until 15 March 2003 2013 , the following Member
States:
2001/14/EC (adapted)
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
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 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
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.
2001/14/EC
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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
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Article 60
Exercise of delegation
[...]
-
1.The power to adopt delegated acts is conferred on the Commission subject to the conditions
laid down in this Article.
-
2.The delegation of power referred to in Article[s] [X] shall be conferred on the Commission for a
period of five years from the entry into force of this Directive. The Commission shall draw up a
report in respect of the delegation of power not later than nine months before the end of the five-
year period. The delegation of power shall be tacitly extended for periods of an identical duration,
unless the European Parliament or the Council opposes such extension not later than three months
before the end of each period.
-
3.The delegation of powers referred to in Articles{X} may be revoked at any time by the European
Parliament or by the Council. A decision of revocation shall put an end to the delegation of the
power specified in that decision. It shall take effect the day following the publication of the decision
in the Official Journal of the European Union or at a later date specified therein. It shall not affect
-
5.A delegated act adopted pursuant to Article [X] shall enter into force only if no objection has
been expressed either by the European Parliament or the Council within a period of two months of
notification of that act to the European Parliament and the Council or if, before the expiry of that
period, the European Parliament and the Council have both informed the Commission that they will
not object. That period shall be extended by two months at the initiative of the European Parliament
or the Council.
[...]
2001/14/EC
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Article 63
[...] Measures of application
[...]
2004/49/EC Art. 30.4 (adapted)
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[...] At the request of a Member State or on its own initiative the Commission shall [...]
examine specific measures adopted by national authorities in relation with the application
2001/14/EC (adapted)
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[...]
2007/58/EC Art. 2.6 (adapted)
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[...]
2001/14/EC
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Article 64
Committee procedures
-
1.The Commission shall be assisted by a committee . That committee shall be a committee
within the meaning of Regulation (EU) N° 182/2011 of 16 February 2011
-
2.Where reference is made to this paragraph, Article 4 of Regulation (EU) N° 182/2011 of 16
February 2011 [...] shall apply [...] .
2001/14/EC
Article 65
Report
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.
2007/58/EC Art. 1.9
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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.
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
2007/58/EC Art. 1.10 (adapted)
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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 legislative measures to facilitate any such opening, and
shall assess the impact of any such measures.
[...]
Article 66
Transposition
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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 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.
Article 55(1) shall apply from 60 months from the entry into force of this Directive.
2007/58/EC Art. 2.8
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The obligations for transposition and implementation of Chapter II and IV of this Directive
shall not apply to Cyprus and Malta for as long as no railway system is established within their
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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.
2001/14/EC (adapted)
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Article 68
Entry into force
This Directive shall enter into force on the [...] day following that of its publication in
the Official Journal of the European Union .
2001/14/EC
Article 69
Addressees
This Directive is addressed to the Member States.
Done at [...]
For the European Parliament For the Council
2001/12/EC Annex I
ANNEX I
PORTS
BELGIE/BELGIQUE
Antwerpen/Anvers
Gent/Gand
Zeebrugge/Zeebruges
2006/103/EC Art. 1 and Annex B -
Act of Accession
(OJ L 2003/236)
Art. 20 and Annex II, p. 456
CESKÁ REPUBLIKA
2001/12/EC Annex I
DANMARK
Ålborg
Århus
Esbjerg
Fredericia
København
Nyborg
Cuxhaven
Emden
Hamburg
Kiel
Lübeck
Nordenham
Puttgarden
Rostock
Sassnitz
Wilhelmshaven
Wismar
Act of Accession
(OJ L 2003/236)
Paldiski põhjasadam
Paldiski lõunasadam
Kopli põhjasadam
Kopli lõunasadam
Bekkeri sadam
Kunda sadam
Barcelona
Bilbao
Cartagena-Escombreras
Gijón
Huelva
Tarragona
Valencia
Vigo
FRANCE
Bayonne
Bordeaux
Boulogne
Le Havre
Nantes
Port-la-Nouvelle
Rouen
Sète
St-Nazaire
IRELAND
Cork
Dublin
ITALIA
Ancona
Bari
Brindisi
Livorno
Napoli
Piombino
Ravenna
Salerno
Savona
Taranto
Trieste
Venezia
Act of Accession
(OJ L 2003/236)
Art. 20 and Annex II, p. 456 -
LIETUVA
Klaipëda
2001/12/EC Annex I
LUXEMBOURG
Act of Accession
(OJ L 2003/236)
Art. 20 and Annex II, p. 456
MAGYARORSZÁG
MALTA
2001/12/EC Annex I
NEDERLAND
ÖSTERREICH
Act of Accession
(OJ L 2003/236)
Art. 20 and Annex II, p. 456
POLSKA
Szczecin
winoujcie
Gdask
Gdynia
2001/12/EC Annex I
PORTUGAL
Leixões
2006/103/EC Art. 1 and Annex .B
ROMÂNIA
Constana
Mangalia
Midia
Tulcea
Galai
Brila
Medgidia
Oltenia
Giurgiu
Zimnicea
Act of Accession
(OJ L 2003/236)
Art. 20 and Annex II, p. 456
SLOVENIJA
Koper
SLOVENSKO
2001/12/EC Annex I
SUOMI/FINLAND
Hamina
Hanko
Helsinki
Kemi
Tornio
Turku
SVERIGE
Göteborg-Varberg
Helsingborg
Luleå
Malmö
Norrköping
Oxelösund
Stockholm
Trelleborg-Ystad
Umeå
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ANNEX I
List of railway 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 , including in passenger stations and freight terminals ; 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.;
-
-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 , including a proportion of installations
for the collection of transport charges .
2001/12/EC Art. 1.7 (adapted)
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2001/14/EC (adapted)
ANNEX III
Services to be supplied to the railway undertakings
(referred to in Article 13)
2001/14/EC
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1.The minimum access package shall comprise:
2001/14/EC (adapted)
(a) handling of requests for railway infrastructure capacity;
2001/14/EC
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(b) the right to utilise capacity which is granted;
(c) use of the railway infrastructure, including running track points and junctions;
(d) train control including signalling, regulation, dispatching and the communication and
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(e) use of electrical supply equipment for traction current, where available;
[...]
2001/14/EC
(g) all other information required to implement or operate the service for which capacity
has been granted.
2001/14/EC
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2.Access , including track access, shall [...] be given to the following
services facilities , when they exist, and to the [...] services [...]
supplied in these [...] facilities [...] shall comprise:
2001/14/EC
(a) passenger stations, their buildings and other facilities , including travel
information [...] display and location for ticketing [...]
services ;
(b) freight terminals;
(c) marshalling yards and train formation facilities, including shunting facilities ;
[...]
(e) storage sidings;
(f) maintenance facilities, with the exception of heavy maintenance services supplied
in maintenance facilities exclusively dedicated to specific types of rolling stock
[...] and other technical facilities , including cleaning and washing
facilities ;
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(g) maritime and inland port facilities which are linked to rail activities;
(h) relief facilities [...] ;
(i) refuelling facilities and supply of fuel in these facilities, charges for which shall be
2001/14/EC
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3.Additional services may comprise [...] :
(a) traction current , charges for which shall be shown on the invoices separately from
charges for using the electrical supply equipment ;
(b) pre-heating of passenger trains;
[...]
(d) tailor-made contracts for:
-
-control of transport of dangerous goods,
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-assistance in running abnormal trains;
[...]
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4.Ancillary services may comprise:
(a) access to telecommunication networks;
(b) provision of supplementary information;
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95/18/EC (adapted)
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ANNEX V
Financial fitness
(referred to in Article 20)
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1.[...] The information to be provided by applicant railway undertakings in
accordance with Article 20 covers [...] the following aspects:
95/18/EC
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(a) available funds, including the bank balance, pledged overdraft provisions and loans;
(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;
2001/14/EC (adapted)
ANNEX VI
Contents of the network statement
(referred to in Article 27)
2001/14/EC
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The network statement referred to in Article 27 shall contain the following information:
-
1.A section setting out the nature of the infrastructure which is available to railway
undertakings and the conditions of access to it. The information in this section shall be
made consistent , on an annual basis, with or refer to the rail infrastructure
registers to be published in accordance with Article 35 of Directive 2008/57/EC.
2001/14/EC Annex I
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2001/14/EC
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3.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 and the procedures which
shall be followed to request information on the scheduling [...] and the
procedures for scheduling planned and unforeseen maintenance work. ;
(d) the principles governing the coordination process and the dispute resolution
system made available as part of this process ;
2001/14/EC
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(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. 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.
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4.A section on information relating to the application for a licence referred to in Article 25
and rail safety certificates issued in accordance with Directive 2004/49/EC14 or
indicating a web [...] site where such information is made available free of charge in
electronic format.
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5.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
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6.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 or shall indicate a web [...] site where such information is
made available free of charge in electronic format.
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7.A model agreement for the conclusion of framework agreements between an infrastructure
manager and an applicant in accordance with Article 42.
ANNEX VII
Basic principles and parameters of contractual agreements between competent authorities
and infrastructure managers
(referred to in Article 30)
The contractual agreement shall specify the provisions of Article 30 and include at least the
following elements [...] :
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1.the scope of the agreement as regards infrastructure and service facilities, structured
according to Annex III. It shall cover all aspects of infrastructure [...]
management , including maintenance and renewal of the infrastructure already in
operation [...] ;
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2.the structure of [...] payments or funds allocated [...] to the infrastructure
services listed in Annex III, to maintenance [...] and to dealing with existing
maintenance backlogs. [...] ;
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3.user-oriented performance targets, in the form of indicators and quality criteria covering
elements such as :
(a) train performance , such as in terms of line speed [...] and reliability, and
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4.the amount of possible maintenance backlog [...] and the assets which will be phased
out of use and therefore trigger different financial flows;
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5.the incentives [...] referred to in Article 30(1), with the exception of those
incentives implemented through regulatory decisions in accordance with Article 30(2a)
[...]
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6.minimum reporting obligations for the infrastructure manager in terms of content and
frequency of reporting, including information to be published annually;
[...]
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8.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, where
appropriate, and the charging framework and rules set by the State;
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9.rules for dealing with major disruptions of operations and emergency situations, including
contingency plans [...] and early termination of the contractual agreement, and
information of users;
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10.remedial measures to be taken if either of the parties is in breach of its contractual
obligations, or in exceptional circumstances affecting the availability of public
funding ; this includes conditions and procedures for renegotiation and early termination
ANNEX VIII
[...] Requirements for costs and charges related to railway infrastructure
(referred to in Articles [...] 32(1) [...] and [...] 35)
[...]
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3.[...] The pairs to be considered by infrastructure managers when they
define a list of market segments with a view to introducing mark-ups in the charging system
according to Article 32(1) [...] include at least the following [...] ones:
(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.
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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 [...] performance and not to endanger the
economic viability of a service, the infrastructure manager shall agree with
applicants [...] 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 .The infrastructure manager may apply a shorter notice period in case
of force majeure or late alterations of the timetable ;
(c) All delays shall be attributable to one of the following delay classes and sub-classes:
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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
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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
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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
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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
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7.Causes attributable to other railway undertakings
7.1. Caused by next railway undertaking
7.2. Caused by previous railway undertaking
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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
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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
(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
[...] 56 , in case of disputes relating to the performance scheme, a dispute
resolution system shall be made available in order to settle such matters promptly.
This dispute resolution system shall be impartial towards the parties involved.
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
[...] performance achieved by the railway undertakings on the basis of the
main parameters agreed in the performance scheme.
2001/14/EC (adapted)
ANNEX IX
Schedule for the allocation process
(referred to in Article 43)
2001/14/EC
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1.The working timetable shall be established once per calendar year.
2002/844/EC Art. 1
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2.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.
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4.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 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.
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5.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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ANNEX X
[...] Accounting information to be supplied to the regulatory body upon
request
(referred to in Article 56(8))
[...]
1. Account separation
[...]
(a) [...] separate profit and loss accounts and balance sheets for freight, passenger
and infrastructure management activities;
(b) [...] 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) [...] cost and profit categories making it possible to determine whether cross-
(e) [...] methodology used to allocate costs between different activities.
(f) where the regulated firm is part of a group structure, [...] full details of
inter-company payments [...] .
2. Monitoring of track access charges
[...]
(a) [...] 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) [...] 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
individual services and total revenues for individual services paid by internal and
external customers;
(c) [...] 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
(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.
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 only Point B of the Annex
(OJ L 363, 20.12.2006, p. 344)
Directive 2007/58/EC of the European Parliament and of the Council only Article 1
(OJ L 315, 3.12.2007, p. 44)
Council Directive 95/18/EC (OJ L 143, 27.6.1995, p. 70)
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 only Article 30
(OJ L 164, 30.4.2004, p. 44)
Directive 2007/58/EC of the European Parliament and of the Council only Article 2
(OJ L 315, 3.12.2007, p. 44)
Part B
List of time-limits for transposition into national law
(referred to in Article 67)
Directive Time-limit for transposition
91/440/EEC 1 January 1993
95/18/EC 27 June 1997
2001/12/EC 15 March 2003
2001/13/EC 15 March 2003
2001/14/EC 15 March 2003
2004/49/EC 30 April 2006
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) Article 1(1)
subparagraph 1
Article 1(2) Article 1(2)
Article 2(2) Article 2(1)
Article 1(2) Article 2(2)
Article 1(3) Article 2(3)
Article 2(3) Article 1(3) Article 1(4) Article 2(4)
Article 2(4) Article 2(5)
Article 3 Article 3(1) to (8)
Article 2(b) and (c) Article 3(9) and (10)
Article 2 Article 3(11) to (21)
Article 9(4) Article 6(3)
Article 6 (1) second Article 6(4)
subparagraph
Article 6(3) Article 7(1)
Articles 4(2) Article 7(2)
and 14(2)
Article 7(1), (3) Article 8(1), (2)
and (4) and (3)
Article 6(1) Article 8(4)
Article 9(1) and (2) Article 9(1) and (2)
Article 10(3) and (3a) Article 10(1) and (2),
first, second and third
subparagraph
Article 10(3b) Article 11(1), (2)
and (3)
Article 10b Article 15
Article 3 Article 16
Article 4(1) to (4) Article 17(1) to (4)
Article 5 Article 18
Article 6 Article 19
Article 7 Article 20
Article 8 Article 21
Article 9 Article 22
Article 4(5) Article 23(1)
Article 10 Article 23(2) and (3)
Article 11 Article 24
Article 15 Article 25
Article 1(1) Article 26
Article 7 Article 31
Article 8 Article 32
Article 9 Article 33
Article 10 Article 34
Article 11 Article 35
Article 12 Article 36
Article 13 Article 38
Article 14(1) and (3) Article 39
Article 15 Article 40
Article 16 Article 41
Article 17 Article 42
Article 18 Article 43
Article 19 Article 44
Article 20(1), (2) Article 45(1), (2)
Article 23 Article 48
Article 24 Article 49
Article 25 Article 50
Article 26 Article 51
Article 27 Article 52
Article 28 Article 53
Article 29 Article 54
Article 30(1) Article 55
Article 30(2) Article 56(1)
Article 31 Article 57
Article 12 Article 58
Article 14a Article 33(1),(2) Article 59
and (3)
Article 38 Article 66
Article 67
Article 17 Article 39 Article 68
Article 16 Article 18 Article 40 Article 69
Annex I
Annex II Annex II
Annex II Annex III
Annex IV
Annex Annex V
Annex I Annex VI
Annex VII
Annex VIII
Annex III Annex IX
Annex X
| publicatiedatum | 28-11-2011 |
|---|---|
| kenmerk | 17324/11 |
