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Document 02016L0798-20201023
Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety (recast) (Text with EEA relevance)Text with EEA relevance
Consolidated text: Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety (recast) (Text with EEA relevance)Text with EEA relevance
Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety (recast) (Text with EEA relevance)Text with EEA relevance
02016L0798 — EN — 23.10.2020 — 002.001
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
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DIRECTIVE (EU) 2016/798 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 11 May 2016 on railway safety (recast) (OJ L 138 26.5.2016, p. 102) |
Amended by:
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Official Journal |
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date |
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L 165 |
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27.5.2020 |
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REGULATION (EU) 2020/1530 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 21 October 2020 |
L 352 |
1 |
22.10.2020 |
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Corrected by:
DIRECTIVE (EU) 2016/798 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 11 May 2016
on railway safety
(recast)
(Text with EEA relevance)
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter
This Directive lays down provisions to ensure the development and improvement of the safety of the Union rail system and improved access to the market for rail transport services by:
harmonising the regulatory structure in the Member States;
defining responsibilities between the actors in the Union rail system;
developing common safety targets (‘CSTs’) and common safety methods (‘CSMs’) with a view to gradually removing the need for national rules;
setting out the principles for issuing, renewing, amending and restricting or revoking safety certificates and authorisations;
requiring the establishment, for each Member State, of a national safety authority and an accident and incident investigating body; and
defining common principles for the management, regulation and supervision of railway safety.
Article 2
Scope
This Directive shall not apply to:
metros;
trams and light rail vehicles, and infrastructure used exclusively by those vehicles; or
networks that are functionally separate from the rest of the Union rail system and intended only for the operation of local, urban or suburban passenger services, as well as undertakings operating solely on those networks.
Member States may exclude from the scope of the measures implementing this Directive:
privately owned railway infrastructure, including sidings, used by the owner or by an operator for the purpose of their respective freight activities or for the transport of persons for non-commercial purposes, and vehicles used exclusively on such infrastructure;
infrastructure and vehicles reserved for strictly local, historical or tourist use;
light rail infrastructure occasionally used by heavy rail vehicles under the operational conditions of the light rail system, where it is necessary for the purposes of connectivity of those vehicles only; and
vehicles primarily used on light rail infrastructure but equipped with some heavy rail components necessary to enable transit to be effected on a confined and limited section of heavy rail infrastructure for connectivity purposes only.
Article 3
Definitions
For the purposes of this Directive, the following definitions apply:
‘Union rail system’ means the Union rail system as defined in point (1) of Article 2 of Directive (EU) 2016/797;
‘infrastructure manager’ means an infrastructure manager as defined in point (2) of Article 3 of Directive 2012/34/EU of the European Parliament and of the Council ( 1 );
‘railway undertaking’ means a railway undertaking as defined in point (1) of Article 3 of Directive 2012/34/EU, and any other public or private undertaking, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking is to ensure traction, including undertakings which provide traction only;
‘technical specification for interoperability’ (TSI) means a specification adopted in accordance with Directive (EU) 2016/797 by which each subsystem or part of a subsystem is covered in order to meet the essential requirements and ensure the interoperability of the Union rail system;
‘common safety targets’ (CSTs) means the minimum safety levels that are to be reached by the system as a whole, and where feasible, by different parts of the Union rail system (such as the conventional rail system, the high-speed rail system, long railway tunnels or lines solely used for freight transport);
‘common safety methods’ (CSMs) means the methods describing the assessment of safety levels and achievement of safety targets and compliance with other safety requirements;
‘national safety authority’ means:
the national body entrusted with the tasks regarding railway safety in accordance with this Directive;
any body entrusted by several Member States with the tasks referred to in point (a) in order to ensure a unified safety regime;
any body entrusted by a Member State and a third country with the tasks referred to in point (a) in order to ensure a unified safety regime, provided that the Union has concluded an agreement to this effect with the third country concerned or that that Member State has concluded such agreement in accordance with an empowerment granted by the Union to that effect;
‘national rules’ means all binding rules adopted in a Member State, irrespective of the body issuing them, which contain railway safety or technical requirements, other than those laid down by Union or international rules, and which are applicable within that Member State to railway undertakings, infrastructure managers or third parties;
‘safety management system’ means the organisation, arrangements and procedures established by an infrastructure manager or a railway undertaking to ensure the safe management of its operations;
‘investigator-in-charge’ means a person responsible for the organisation, conduct and control of an investigation;
‘accident’ means an unwanted or unintended sudden event or a specific chain of such events which have harmful consequences; accidents are divided into the following categories: collisions; derailments; level crossing accidents; accidents to persons involving rolling stock in motion; fires and others;
‘serious accident’ means any train collision or derailment of trains resulting in the death of at least one person or serious injuries to five or more persons or extensive damage to rolling stock, the infrastructure or the environment, and any other accident with the same consequences which has an obvious impact on railway safety regulation or the management of safety; ‘extensive damage’ means damage that can be immediately assessed by the investigating body to cost at least EUR 2 million in total;
‘incident’ means any occurrence, other than an accident or serious accident, affecting the safety of railway operations;
‘investigation’ means a process conducted for the purpose of accident and incident prevention which includes the gathering and analysis of information, the drawing of conclusions, including the determination of causes and, when appropriate, the making of safety recommendations;
‘causes’ means actions, omissions, events or conditions, or a combination thereof, which led to an accident or incident;
‘light rail’ means an urban and/or suburban rail transport system with a crashworthiness of C-III or C-IV (in accordance with EN 15227:2011) and a maximum strength of vehicle of 800 kN (longitudinal compressive force in coupling area); light rail systems may have their own right of way or share it with road traffic and usually do not exchange vehicles with long-distance passenger or freight traffic;
‘conformity assessment body’ means a body that has been notified or designated to be responsible for conformity assessment activities, including calibration, testing, certification and inspection; a conformity assessment body is classified as a ‘notified body’ following notification by a Member State; a conformity assessment body is classified as a ‘designated body’ following designation by a Member State;
‘interoperability constituents’ means the interoperability constituents as defined in point (7) of Article 2 of Directive (EU) 2016/797;
‘keeper’ means the natural or legal person that, being the owner of a vehicle or having the right to use it, exploits the vehicle as a means of transport and is registered as such in a vehicle register referred to in Article 47 of Directive (EU) 2016/797;
‘entity in charge of maintenance’ (‘ECM’) means an entity in charge of the maintenance of a vehicle, and registered as such in a vehicle register referred to in Article 47 of Directive (EU) 2016/797;
‘vehicle’ means a railway vehicle suitable for circulation on wheels on railway lines, with or without traction; a vehicle is composed of one or more structural and functional subsystems;
‘manufacturer’ means the manufacturer as defined in point (36) of Article 2 of Directive (EU) 2016/797;
‘consignor’ means an enterprise which consigns goods either on its own behalf or for a third party;
‘consignee’ means any natural or legal person who receives goods pursuant to a contract of carriage; if the transport operation takes place without a contract of carriage, any natural or legal person that takes charge of the goods on arrivals shall be deemed to be the consignee;
‘loader’ means an enterprise which loads packaged goods, small containers or portable tanks into or onto a wagon or a container, or which loads a container, bulk-container, multiple-element gas container, tank-container or portable tank onto a wagon;
‘unloader’ means an enterprise which removes a container, bulk-container, multiple-element gas container, tank-container or portable tank from a wagon, or any enterprise which unloads packaged goods, small containers or portable tanks out of or from a wagon or a container, or any enterprise which discharges goods from a tank (tank-wagon, demountable tank, portable tank or tank-container), or from a battery-wagon or multiple-element gas container, or from a wagon, large container or small container for carriage in bulk or a bulk-container;
‘filler’ means an enterprise that loads goods into a tank (including a tank-wagon, wagon with demountable tank, portable tank or tank-container), into a wagon, large container or small container for carriage in bulk, or into a battery-wagon or multiple-element gas container;
‘unfiller’ means an enterprise that removes goods from a tank (including a tank-wagon, wagon with demountable tank, portable tank or tank-container), a wagon, a large container or small container for carriage in bulk, or from a battery-wagon or multiple-element gas container;
‘carrier’ means an enterprise which carries out a transport operation pursuant to a contract of carriage;
‘contracting entity’ means a public or private entity which orders the design and/or construction or the renewal or upgrading of a subsystem;
‘type of operation’ means the type characterised by passenger transport, including or excluding high-speed services, freight transport, including or excluding dangerous goods services, and shunting services only;
‘extent of operation’ means the extent characterised by the number of passengers and/or volume of goods and the estimated size of a railway undertaking in terms of number of employees working in the railway sector (i.e., as a micro, small, medium-sized or large enterprise);
‘area of operation’ means a network or networks within one or more Member States where a railway undertaking intends to operate.
CHAPTER II
DEVELOPMENT AND MANAGEMENT OF RAILWAY SAFETY
Article 4
Role of actors in the Union rail system in developing and improving railway safety
With the aim of developing and improving railway safety, Member States, within the limits of their competences, shall:
ensure that railway safety is generally maintained and, where reasonably practicable, continuously improved, taking into consideration the development of Union law and international rules and of technical and scientific progress, and giving priority to the prevention of accidents;
ensure that all applicable legislation is enforced in an open and non-discriminatory manner, fostering the development of a single European rail transport system;
ensure that measures to develop and improve railway safety take account of the need for a system-based approach;
ensure that the responsibility for the safe operation of the Union rail system and the control of risks associated with it is laid upon the infrastructure managers and railway undertakings, each for its part of the system, obliging them to:
implement necessary risk control measures as referred to in point (a) of Article 6(1), where appropriate in cooperation with each other;
apply Union and national rules;
establish safety management systems in accordance with this Directive;
without prejudice to civil liability in accordance with the legal requirements of the Member States, ensure that each infrastructure manager and each railway undertaking is made responsible for its part of the system and its safe operation, including supply of materials and contracting of services vis-à-vis users, customers, the workers concerned and other actors referred to in paragraph 4;
develop and publish annual safety plans setting out the measures envisaged to achieve the CSTs; and
where appropriate, support the Agency in its work to monitor the development of railway safety at Union level.
Railway undertakings and infrastructure managers shall:
implement the necessary risk control measures referred to in point (a) of Article 6(1), where appropriate in cooperation with each other and with other actors;
take account in their safety management systems of the risks associated with the activities of other actors and third parties;
where appropriate, contractually oblige the other actors referred to in paragraph 4 having a potential impact on the safe operation of the Union rail system to implement risk control measures; and
ensure that their contractors implement risk control measures through the application of the CSMs for monitoring processes set out in the CSMs on monitoring referred to in point (c) of Article 6(1), and that this is stipulated in contractual arrangements to be disclosed on request of the Agency or of the national safety authority.
Without prejudice to the responsibilities of railway undertakings and infrastructure managers referred to in paragraph 3, entities in charge of maintenance and all other actors having a potential impact on the safe operation of the Union rail system, including manufacturers, maintenance suppliers, keepers, service providers, contracting entities, carriers, consignors, consignees, loaders, unloaders, fillers and unfillers, shall:
implement the necessary risk control measures, where appropriate in cooperation with other actors;
ensure that subsystems, accessories, equipment and services supplied by them comply with specified requirements and conditions for use so that they can be safely operated by the railway undertaking and/or the infrastructure manager concerned.
Railway undertakings, infrastructure managers and any actor referred to in paragraph 4 who identifies or is informed of a safety risk relating to defects and construction non-conformities or malfunctions of technical equipment, including those of structural subsystems, shall, within the limits of their respective competence:
take any necessary corrective measure to tackle the safety risk identified;
report those risks to the relevant parties involved, in order to enable them to take any necessary further corrective action to ensure continuous achievement of the safety performance of the Union rail system. The Agency may establish a tool that facilitates this exchange of information among the relevant actors, taking into account the privacy of the users involved, the results of a cost-benefit analysis as well as the IT applications and registers already set up by the Agency.
Article 5
Common safety indicators (‘CSIs’)
Article 6
Common safety methods (‘CSMs’)
The CSMs shall describe how the safety levels, the achievement of safety targets and compliance with other safety requirements are assessed, including, where appropriate, through an independent assessment body, by elaborating and defining:
the risk evaluation and assessment methods;
the methods for assessing conformity with requirements in safety certificates and safety authorisations issued in accordance with Articles 10 and 12;
the methods for supervision to be applied by national safety authorities and the methods for monitoring to be applied by railway undertakings, infrastructure managers and entities in charge of maintenance;
the methods for assessing the safety level and the safety performance of railway operators at national and Union level;
the methods for assessing the achievement of safety targets at national and Union level; and
any other methods covering a process of the safety management system which need to be harmonised at Union level.
The drafting, adoption and review of CSMs shall take account of the opinions of users, the national safety authorities and stakeholders, including social partners, where appropriate. The recommendations shall enclose a report on the results of that consultation and a report assessing the impact of the new or amended CSM to be adopted.
The Commission shall be assisted by the committee for the tasks mentioned in the first subparagraph.
The Commission shall be assisted by the committee for the tasks mentioned in the first subparagraph.
Article 6a
Alignment of CSMs with revised deadlines
The Commission shall be empowered to adopt delegated acts in accordance with Article 27 to align the application dates of delegated acts adopted under Article 6(6) with the transposition deadline set out in Article 33(2a). The procedure provided for in Article 27a shall apply to delegated acts adopted pursuant to this Article.
Article 7
Common safety targets (‘CSTs’)
The CSTs shall establish the minimum safety levels to be reached by the system as a whole, and where feasible, by different parts of the rail system in each Member State and in the Union. The CSTs may be expressed in terms of risk acceptance criteria or target safety levels and shall take into consideration, in particular:
individual risks relating to passengers, staff including employees or contractors, level crossing users and others, and, without prejudice to existing national and international liability rules, individual risks relating to trespassers;
societal risks.
The Commission shall be assisted by the committee for the tasks mentioned in the first subparagraph.
The Commission shall be assisted by the committee for the tasks mentioned in the first subparagraph.
Article 8
National rules in the field of safety
National rules notified by 15 June 2016 pursuant to Directive 2004/49/EC shall apply if they:
fall into one of the types identified under Annex II; and
comply with Union law, including in particular TSIs, CSTs and CSMs; and
would not result in arbitrary discrimination or a disguised restriction on rail transport operation between Member States.
By 16 June 2018, Member States shall review the national rules referred to in paragraph 1 and repeal:
any national rule which was not notified or which does not meet the criteria specified in paragraph 1;
any national rule which has been made redundant by Union law, including in particular TSIs, CSTs and CSMs.
To that end, Member States may use the rule management tool referred to in Article 27(4) of Regulation (EU) 2016/796 and may request Agency to examine specific rules against the criteria specified in this paragraph.
Member States may lay down new national rules pursuant to this Directive only in the following cases:
where rules concerning existing safety methods are not covered by a CSM;
where operating rules of the railway network are not yet covered by TSIs;
as an urgent preventive measure, in particular following an accident or an incident;
where an already notified rule needs to be revised;
where rules concerning requirements in respect of staff executing safety-critical tasks, including selection criteria, physical and psychological fitness and vocational training are not yet covered by a TSI or by Directive 2007/59/EC of the European Parliament and of the Council ( 2 ).
Article 9
Safety management systems
The safety management system shall contain the following basic elements:
a safety policy approved by the organisation's chief executive and communicated to all staff;
qualitative and quantitative targets of the organisation for the maintenance and enhancement of safety, and plans and procedures for reaching these targets;
procedures to meet existing, new and altered technical and operational standards or other prescriptive conditions as laid down in TSIs, national rules referred to in Article 8 and Annex II, other relevant rules or authority decisions;
procedures to assure compliance with the standards and other prescriptive conditions throughout the life cycle of equipment and operations;
procedures and methods for identifying risks, carrying out risk evaluation and implementing risk-control measures whenever a change of operating conditions or the introduction of new material imposes new risks on the infrastructure or the man-machine-organisation interface;
the provision of programmes for the training of staff and systems to ensure that the staff's competence is maintained and that tasks are carried out accordingly, including arrangements with regard to physical and psychological fitness;
arrangements for the provision of sufficient information within the organisation and, where appropriate, between organisations of the railway system;
procedures and formats for the documentation of safety information and designation of procedure for the configuration control of vital safety information;
procedures to ensure that accidents, incidents, near misses and other dangerous occurrences are reported, investigated and analysed and that necessary preventive measures are taken;
the provision of actions plans, alerts and information in the event of an emergency, agreed upon with the appropriate public authorities; and
provisions for recurrent internal auditing of the safety management system.
Infrastructure managers and railway undertakings shall include any other element necessary to cover safety risks, in accordance with the assessment of risks arising from their own activity.
Safety management systems shall be developed with the aim of coordinating the emergency procedures of the infrastructure manager with all railway undertakings that operate on its infrastructure, and with the emergency services, so as to facilitate the rapid intervention of rescue services, and with any other party that could be involved in an emergency situation. For cross-border infrastructure, the cooperation between the relevant infrastructure managers shall facilitate the necessary coordination and preparedness of the competent emergency services on both sides of the border.
Following a serious accident, the railway undertaking shall provide assistance to victims helping them in complaints procedures under Union law, in particular Regulation (EC) No 1371/2007 of the European Parliament and of the Council ( 4 ), without prejudice to the obligations of other parties. Such assistance shall use channels for communicating with victims' families and include psychological support for accident victims and their families.
Before 31 May of each year, all infrastructure managers and railway undertakings shall submit to the national safety authority an annual safety report concerning the preceding calendar year. The safety report shall contain:
information on how the organisation's corporate safety targets are met and the results of safety plans;
an account of the development of national safety indicators, and of the CSIs referred to in Article 5, in so far as it is relevant to the reporting organisation;
the results of internal safety auditing;
observations on deficiencies and malfunctions of railway operations and infrastructure management that might be relevant for the national safety authority, including a summary of information provided by the relevant actors in accordance with point (b) of Article 4(5); and
a report on the application of the relevant CSMs.
CHAPTER III
SAFETY CERTIFICATION AND AUTHORISATION
Article 10
Single safety certificate
The purpose of the single safety certificate is to provide evidence that the railway undertaking concerned has established its safety management system and that it is able to operate safely in the intended area of operation.
The application for a single safety certificate shall be accompanied by a file including documentary evidence that:
the railway undertaking has established its safety management system in accordance with Article 9 and that it meets the requirements laid down in TSIs, CSMs and CSTs and in other relevant legislation in order to control risks and provide transport services safely on the network; and
the railway undertaking, where applicable, meets the requirements laid down in the relevant national rules notified in accordance with Article 8.
That application and information about all applications, the stages of the relevant procedures and their outcome, and, where applicable, the requests and decisions of the Board of Appeal, shall be submitted through the one-stop shop referred to in Article 12 of Regulation (EU) 2016/796.
The Agency shall issue a single safety certificate to railway undertakings having an area of operation in one or more Member States. In order to issue such a certificate, the Agency shall:
assess the elements set out in point (a) of paragraph 3; and
immediately refer the railway undertaking's file in its entirety to the national safety authorities concerned by the intended area of operation for an assessment of the elements set out in point (b) of paragraph 3.
As part of the above assessments, the Agency or the national safety authorities shall be authorised to undertake visits and inspections on the sites of the railway undertaking and audits, and may request relevant supplementary information. The Agency and the national safety authorities shall coordinate the organisation of such visits, audits and inspections.
The Agency shall take full account of the assessments under paragraph 5 before taking its decision on the issuing of the single safety certificate.
The Agency shall take full responsibility for any single safety certificates it issues.
Where the Board of Appeal agrees with the Agency, the Agency shall take a decision without delay.
Where the Board of Appeal agrees with the negative assessment of the national safety authority, the Agency shall grant a single safety certificate with an area of operations excluding the parts of the network which received a negative assessment.
Where the Agency disagrees with a positive assessment of one or more national safety authorities pursuant to point (b) of paragraph 5, it shall inform the authority or authorities in question, giving reasons for its disagreement. The Agency and the national safety authority or authorities shall cooperate with a view to agreeing on a mutually acceptable assessment. Where necessary, the Agency and the national safety authority or authorities may decide to involve the applicant. If no mutually acceptable assessment can be agreed on within 1 month after the Agency has informed the national safety authority or authorities of its disagreement, the Agency shall take its final decision.
The national safety authority shall take full responsibility for any single safety certificates it issues.
A Member State may allow third-country operators to reach a station in its territory designated for cross-border operations and close to the border of that Member State without requiring a single safety certificate, provided that an appropriate level of safety is ensured through:
cross-border agreement between the Member State concerned and the neighbouring third country; or
contractual arrangements between the third-country operator and the railway undertaking or infrastructure manager that has a single safety certificate or safety authorisation to operate on that network, provided that the safety-related aspects of those arrangements have been duly reflected in their safety management system.
By 16 June 2018, the Commission shall adopt, by means of implementing acts, practical arrangements specifying:
how the requirements for the single safety certificate laid down in this Article shall be fulfilled by the applicant and listing the documents required;
the details of the certification process, such as procedural stages and timeframes for each stage of the process;
how the requirements laid down in this Article shall to be complied with by the Agency and the national safety authority through the different stages of the application and certification process, including in the assessment of applicants' files; and
the period of validity of single safety certificates issued by the Agency or by the national safety authorities, in particular in the case of updates of any single safety certificate resulting from changes to type, extent and area of operation.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 28(3). They shall take into account the experience gained during the implementation of Commission Regulation (EC) No 653/2007 ( 5 ) and of Commission Regulation (EU) No 1158/2010 ( 6 ) and the experience gained during the preparation of the cooperation agreements referred to in Article 11(1).
If the negative decision of the Agency is confirmed, the applicant may bring an appeal before the Board of Appeal designated under Article 55 of Regulation (EU) 2016/796.
If the negative decision of a national safety authority is confirmed, the applicant may bring an appeal before an appeal body in accordance with national law. Member States may designate the regulatory body referred to in Article 56 of Directive 2012/34/EU for the purpose of this appeal procedure. In that case, Article 18(3) of this Directive shall apply.
If the railway undertaking has a single safety certificate in accordance with paragraph 8 and wishes to extend the area of operation within that Member State, it shall supplement the file with the relevant documents referred to in paragraph 3 concerning the additional area of operation. It shall submit the file, through the one-stop shop referred to in Article 12 of Regulation (EU) 2016/796, to the national safety authority, which shall, after following the procedures laid down in paragraph 8, issue an updated single safety certificate covering the extended area of operation.
Article 11
Cooperation between the Agency and national safety authorities on issuing single safety certificates
Article 12
Safety authorisation of infrastructure managers
The safety authorisation shall comprise an authorisation confirming acceptance of the infrastructure manager's safety management system as provided for in Article 9, and shall include the procedures and provisions fulfilling the requirements necessary for the safe design, maintenance and operation of the railway infrastructure, including, where appropriate, the maintenance and operation of the traffic control and signalling system.
The national safety authority shall explain the requirements for the safety authorisations and the documents required, where appropriate in the form of an application guidance document.
The national safety authority may require that the safety authorisation be revised following substantial changes to the safety regulatory framework.
Article 13
Access to training facilities
The training services shall include training on necessary route knowledge, operating rules and procedures, the signalling and control-command system and emergency procedures applied on the routes operated.
If the training services do not include examinations and granting of certificates, Member States shall ensure that staff of railway undertakings and infrastructure managers have access to such certificates.
The national safety authority shall ensure that the training services meet the requirements laid down respectively in Directive 2007/59/EC, in TSIs or in the national rules referred to in point (e) of Article 8(3) of this Directive.
Article 14
Maintenance of vehicles
Without prejudice to the responsibility of the railway undertakings and infrastructure managers for the safe operation of a train as provided for in Article 4, the entity in charge of maintenance shall ensure that the vehicles for the maintenance of which it is in charge are in a safe state of running. To that end, the entity in charge of maintenance shall establish a maintenance system for those vehicles and shall by means of that system:
ensure that vehicles are maintained in accordance with the maintenance file of each vehicle and the requirements in force, including maintenance rules and relevant TSI provisions;
implement the necessary risk evaluation and assessment methods established in the CSMs as referred to in point (a) of Article 6(1), where appropriate in cooperation with other actors;
ensure that its contractors implement risk control measures through the application of the CSM on monitoring referred to in point (c) of Article 6(1) and that this is stipulated in contractual arrangements to be disclosed on request of the Agency or the national safety authority; and
ensure the traceability of the maintenance activities.
The maintenance system shall be composed of the following functions:
a management function to supervise and coordinate the maintenance functions referred to in points (b) to (d) and to ensure the safe state of the vehicle in the railway system;
a maintenance development function responsible to manage the maintenance documentation, including the configuration management, based on design and operational data as well as on performance and return on experience;
a fleet-maintenance management function to manage the vehicle's removal for maintenance and its return to operation after maintenance;
a maintenance delivery function to deliver the required technical maintenance of a vehicle or parts of it, including the release to service documentation.
The entity in charge of maintenance shall carry out the management function itself, but may outsource the maintenance functions referred to in points (b) to (d), or parts thereof, to other contracting parties such as maintenance workshops.
The entity in charge of maintenance shall ensure that all the functions set out in points (a) to (d) comply with the requirements and assessment criteria set out in Annex III.
Maintenance workshops shall apply relevant sections of Annex III as identified in the implementing acts adopted pursuant to point (a) of paragraph 8, which correspond to the functions and activities to be certified.
In the case of freight wagons, and after the adoption of the implementing acts referred to in point (b) of paragraph 8 in the case of other vehicles, each entity in charge of maintenance shall be certified and be awarded an entity in charge of maintenance certificate (ECM certificate) by an accredited or recognised body or by a national safety authority in accordance with the following conditions:
the accreditation and recognition processes of certification processes shall be based on criteria of independence, competence and impartiality;
the system of certification shall provide evidence that an entity in charge of maintenance has established the maintenance system to ensure the safe state of running of any vehicle for which it is in charge of maintenance;
the ECM certification shall be based on an assessment of the ability of the entity in charge of maintenance to meet the relevant requirements and assessment criteria set out in Annex III and to apply them consistently. It shall include a system of surveillance to ensure continuing compliance with those requirements and assessment criteria after award of the ECM certificate;
the certification of maintenance workshops shall be based on the compliance with the relevant sections in Annex III applied to the corresponding functions and activities to be certified.
Where the entity in charge of maintenance is a railway undertaking or an infrastructure manager, compliance with the conditions set out in the first subparagraph may be checked by the national safety authority pursuant to the procedures referred to in Article 10 or 12 and may be confirmed on the certificates issued in accordance with those procedures.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 28(3).
The certification system applicable to freight wagons adopted by Commission Regulation (EU) No 445/2011 ( 7 ) shall continue to apply until the implementing acts referred to in this paragraph apply.
On the basis of the evaluation carried out by the Agency pursuant to paragraph 7, the Commission shall, by means of implementing acts, adopt, if appropriate, and, when necessary, subsequently amend detailed provisions identifying which of the requirements set out in Annex III shall apply for the purpose of:
maintenance functions carried out by maintenance workshops, including detailed provisions to ensure the uniform implementation of the certification of maintenance workshops, in compliance with the relevant CSM and TSIs;
the certification of entities in charge of maintenance of vehicles other than freight wagons, on the basis of the technical characteristics of such vehicles, including detailed provisions to ensure the uniform implementation of the certification conditions by the entity in charge of maintenance for vehicles other than freight wagons, in compliance with the relevant CSM and TSIs.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 28(3).
Article 15
Derogations from the system of certification of entities in charge of maintenance
Member States may fulfil the obligation to identify the entity in charge of maintenance through alternative measures with respect to the maintenance system established in Article 14, in the following cases:
vehicles registered in a third country and maintained in accordance with the law of that country;
vehicles used on networks or lines the track gauge of which is different from that of the main rail network within the Union and in respect of which fulfilment of the requirements laid down in Article 14(2) is ensured by international agreements with third countries;
freight wagons and passenger coaches which are in shared use with third countries the track gauge of which is different from that of the main rail network within the Union;
vehicles used on the networks referred to in Article 2(3), and military equipment and special transport requiring an ad hoc national safety authority permit to be delivered prior to their entry into service. In this case derogations shall be granted for periods not longer than 5 years.
The alternative measures referred to in paragraph 1 shall be implemented through derogations to be granted by the relevant national safety authority or by the Agency when:
registering vehicles pursuant to Article 47 of Directive (EU) 2016/797, as far as the identification of the entity in charge of maintenance is concerned;
delivering single safety certificates and safety authorisations to railway undertakings and infrastructure managers pursuant to Articles 10 and 12 of this Directive, as far as the identification or certification of the entity in charge of maintenance is concerned.
CHAPTER IV
NATIONAL SAFETY AUTHORITIES
Article 16
Tasks
The national safety authority shall be entrusted with at least the following tasks:
authorising the placing in service of the trackside control-command and signalling, energy and infrastructure subsystems constituting the Union rail system in accordance with Article 18(2) of Directive (EU) 2016/797;
issuing, renewing, amending and revoking vehicle authorisations for placing on the market in accordance with Article 21(8) of Directive (EU) 2016/797;
supporting the Agency in the issuing, renewal, amendment and revocation of vehicle authorisations for placing on the market in accordance with Article 21(5) of Directive (EU) 2016/797 and type authorisations of vehicle in accordance with Article 24 of Directive (EU) 2016/797;
supervising, in its territory, that interoperability constituents are in compliance with the essential requirements as required by Article 8 of Directive (EU) 2016/797;
ensuring that a vehicle number has been assigned in accordance with Article 46 of Directive (EU) 2016/797, without prejudice to Article 47(4) of that Directive;
supporting the Agency in the issuing, renewal, amendment and revocation of single safety certificates granted in accordance with Article 10(5);
issuing, renewing, amending and revoking single safety certificates granted in accordance with Article 10(8);
issuing, renewing, amending and revoking safety authorisations granted in accordance with Article 12;
monitoring, promoting, and, where appropriate, enforcing and updating the safety regulatory framework including the system of national rules;
supervising railway undertakings and infrastructure managers in accordance with Article 17;
where relevant, and in accordance with national law, issuing, renewing, amending and revoking train driving licences in accordance with Directive 2007/59/EC;
where relevant, and in accordance with national law, issuing, renewing, amending and revoking certificates granted to entities in charge of maintenance.
In the context of any international agreement referred to in the first subparagraph, the Member State concerned shall take all measures at its disposal under that international agreement to ensure that the specific safety authority complies with the Union law. To this effect, and where necessary for reasons of railway safety, the Member State concerned shall without delay make use of the right granted by that international agreement, whereby the national safety authority is entitled to assume sole competence for the part of the engineering structure situated in that Member State.
The provisions of Union law governing proceedings before the Court of Justice in accordance with Article 267 of the Treaty on the Functioning of the European Union shall apply mutatis mutandis to requests for a preliminary ruling of the Court of Justice made pursuant to the first subparagraph.
Where the arbitral tribunal fails to comply with any ruling of the Court of Justice delivered in accordance with the first subparagraph, the Member State concerned shall without delay make use of the right granted by the international agreement, whereby the national safety authority is entitled to assume sole competence for the part of the engineering structure situated in that Member State.
Article 17
Supervision
For that purpose, the national safety authorities shall apply the principles set out in the relevant CSMs for supervision referred to in point (c) of Article 6(1), ensuring that supervision activities include, in particular, checking the application by railway undertakings and infrastructure managers of:
the safety management system to monitor its effectiveness;
the individual or partial elements of the safety management system, including operational activities, the supply of maintenance and material and the use of contractors to monitor their effectiveness; and
the relevant CSMs referred to in Article 6. The supervision activities relating to this point shall also apply to entities in charge of maintenance, where appropriate.
In the event of disagreement between the Agency and the national safety authority, the arbitration procedure indicated in Article 10(7) shall apply. If the result of that arbitration procedure is that the single safety certificate is to be neither restricted nor revoked, the temporary safety measures referred to in paragraph 6 of this Article shall be suspended.
Where the national safety authority has itself issued the single safety certificate in accordance with Article 10(8), it may restrict or revoke the certificate, giving reasons for its decision, and shall inform the Agency.
The holder of a single safety certificate whose certificate has been restricted or revoked either by the Agency or by the national safety authority shall have the right to appeal in accordance with Article 10(12).
If the Agency finds that the holder of a single safety certificate no longer satisfies the conditions for certification, it shall immediately restrict or revoke that certificate.
If the Agency finds that the measures applied by the national safety authority are disproportionate, it may ask the national safety authority to withdraw or adapt those measures. The Agency and the national safety authority shall cooperate with a view to reaching a mutually acceptable solution. Where necessary, this process shall also involve the railway undertaking. If the latter procedure fails, the decision of the national safety authority to apply temporary measures shall remain in force.
The decision of the national safety authority relating to temporary safety measures shall be subject to national judicial review as referred to in Article 18(3). In such a case, the temporary safety measures may apply until the end of the judicial review, without prejudice to paragraph 5.
If the duration of a temporary measure is longer than 3 months, the national safety authority shall ask the Agency to restrict or revoke the single safety certificate and the procedure set out in paragraph 5 shall apply.
That cooperation shall ensure that the supervision has sufficient coverage and that the duplication of inspections and audits is avoided. The national safety authorities may develop a common supervision plan in order to ensure that audits and other inspections are carried out periodically, taking into account the type and extent of transport operations in each of the Member States concerned.
The Agency shall assist such coordination activities by developing guidelines.
Article 18
Decision-making principles
They shall promptly respond to requests and applications and communicate their requests for information without delay and adopt all their decisions within 4 months after all relevant information has been provided by the applicant. They may at any time request the technical assistance of infrastructure managers and railway undertakings or other qualified bodies when they are carrying out the tasks referred to in Article 16.
In the process of developing the national regulatory framework, the national safety authorities shall consult all actors and interested parties, including infrastructure managers, railway undertakings, manufacturers and maintenance providers, users and staff representatives.
Article 19
Annual report
National safety authorities shall publish an annual report concerning their activities in the preceding year and send them to the Agency by 30 September. The report shall contain information on:
the development of railway safety, including an aggregation at Member State level of the CSIs, in accordance with Article 5(1);
important changes in legislation and regulation concerning railway safety;
the development of safety certification and safety authorisation;
the results of, and experience relating to, the supervision of infrastructure managers and railway undertakings, including the number and outcome of inspections and audits;
the derogations decided in accordance with Article 15; and
the experience of the railway undertakings and infrastructure managers on the application of the relevant CSMs.
CHAPTER V
ACCIDENT AND INCIDENT INVESTIGATION
Article 20
Obligation to investigate
The investigating body may decide whether or not an investigation of such an accident or incident is to be undertaken. In making its decision it shall take into account:
the seriousness of the accident or incident;
whether it forms part of a series of accidents or incidents relevant to the system as a whole;
its impact on railway safety; and
requests from infrastructure managers, railway undertakings, the national safety authority or the Member States.
Article 21
Status of investigation
In accordance with their national legislation, Member States shall ensure full cooperation by the authorities responsible for any judicial inquiry, and shall ensure that the investigators are given access as soon as possible to information and evidence relevant for the investigation. In particular, they shall be granted:
immediate access to the site of the accident or incident as well as to the rolling stock involved, the related infrastructure and traffic control and signalling installations;
the right to an immediate listing of evidence and controlled removal of wreckage, infrastructure installations or components for examination or analysis purposes;
unrestricted access to, and use of, the contents of on-board recorders and equipment for the recording of verbal messages and registration of the operation of the signalling and traffic control system;
access to the results of examination of the bodies of victims;
access to the results of examinations of the train staff and other railway staff involved in the accident or incident;
the opportunity to question the railway staff involved in the accident or incident and other witnesses; and
access to any relevant information or records held by the infrastructure manager, railway undertakings, entities in charge of maintenance and national safety authority concerned.
Article 22
Investigating body
The investigating body shall decide, without delay and in any event no later than 2 months after receipt of the notification concerning the accident or incident, whether or not to start the investigation.
Without prejudice to paragraph 1, the Agency shall support the investigating bodies in the performance of this task in accordance with Article 38(2) of Regulation (EU) 2016/796.
The investigating bodies, with the support of the Agency in accordance with Article 38(2) of Regulation (EU) 2016/796, shall establish a programme of peer reviews where all investigating bodies are encouraged to participate so as to monitor their effectiveness and independence. The investigating bodies, with the support of the secretariat referred to in Article 38(2) of Regulation (EU) 2016/796, shall publish:
the common peer-review programme and the review criteria; and
an annual report on the programme, highlighting identified strengths and suggestions for improvements.
The peer review reports shall be provided to all investigating bodies and to the Agency. Those reports shall be published on a voluntary basis.
Article 23
Investigation procedure
Investigating bodies from other Member States shall be invited, if appropriate, to participate in an investigation where:
a railway undertaking established and licensed in one of those Member States is involved in the accident or incident; or
a vehicle registered or maintained in one of those Member States is involved in the accident or incident.
Investigating bodies from invited Member States shall be provided with the powers necessary to enable them, when requested, to assist in the collection of evidence for another Member State's investigating body.
Investigating bodies from invited Member States shall be provided with access to the information and evidence necessary to enable them to participate effectively in the investigation with due respect for national laws relating to judicial proceedings.
This paragraph shall not preclude Member States from agreeing that the relevant bodies shall carry out investigations in cooperation with each other in other circumstances.
Article 24
Reports
Taking into account experience gained by the investigating bodies, the Commission shall establish, by means of implementing acts, the reporting structure to be followed as closely as possible for accident and incident investigation reports. This reporting structure shall include the following elements:
a description of the occurrence and its background;
a record of the investigations and inquires, including on the safety management system, the rules and regulations applied, the functioning of rolling stock and technical installations, the organisation of man power, the documentation on the operating system and previous occurrences of a similar character;
analysis and conclusions with regard to the causes of the occurrence, including contributory factors, relating to:
actions taken by persons involved;
the condition of rolling stock or technical installations;
skills of the staff, procedures and maintenance;
the regulatory framework conditions; and
the application of the safety management system.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 28(3).
Article 25
Information to be sent to the Agency
Article 26
Safety recommendations
CHAPTER VI
TRANSITIONAL AND FINAL PROVISIONS
Article 27
Exercise of delegation
Article 27a
Urgency procedure
Article 28
Committee procedure
Article 29
Report and further Union action
The report shall be accompanied where necessary by proposals for further Union action.
By 16 December 2017, the Commission shall report to the European Parliament and to the Council on the actions taken with a view to achieving the following objectives:
the obligation for manufacturers to mark with an identification code the safety-critical components circulating on the European rail networks, ensuring that the identification code clearly identifies the component, the name of the manufacturer and the significant production data;
the full traceability of the safety-critical components, the traceability of their maintenance activities and the identification of their operational life; and
the identification of common mandatory principles for the maintenance of those components.
Article 30
Penalties
The Member States shall lay down the rules on penalties applicable to infringements of the national provisions adopted pursuant to this Directive and shall take all measures necessary to ensure that they are implemented. The penalties provided for must be effective, proportionate, non-discriminatory and dissuasive. The Member States shall notify those rules to the Commission by the date specified in Article 33(1) and shall notify it without delay of any subsequent amendment affecting them.
Article 31
Transitional provisions
Article 32
Recommendations and opinions of the Agency
The Agency shall provide recommendations and opinions in accordance with Article 13 of Regulation (EU) 2016/796 for the purpose of the application of this Directive. Those recommendations and opinions may be taken into account when the Union adopts legal acts pursuant to this Directive.
Article 33
Transposition
However, as soon as a public or private entity submits an official application to build a railway line with a view to its operation by one or more railway undertakings, the Member States concerned shall put in place measures to implement this Directive within 2 years of the receipt of the application.
Article 34
Repeal
Directive 2004/49/EC, as amended by the Directives listed in Annex IV, Part A, is repealed with effect from ►M1 31 October 2020 ◄ , without prejudice to the obligations of the Member States concerning the time limits for transposition into national law and application of the Directives set out in Annex IV, Part B.
References to the repealed Directive shall be construed as references to this Directive and shall be read in accordance with the correlation table in Annex V.
Article 35
Entry into force
This Directive shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
Article 36
Addressees
This Directive is addressed to the Member States.
ANNEX I
COMMON SAFETY INDICATORS
Common safety indicators (CSIs) shall be reported annually by the national safety authorities.
If new facts or errors are discovered after the submission of the report, the indicators for one particular year shall be amended or corrected by the national safety authority at the first convenient opportunity and at the latest in the next annual report.
Common definitions for the CSIs and methods to calculate the economic impact of accidents are laid down in the Appendix.
1. Indicators relating to accidents
|
1.1. |
Total and relative (to train-kilometres) number of serious accidents and a break-down for the following types of accidents:
—
collision of train with rail vehicle,
—
collision of train with obstacle within the clearance gauge,
—
derailment of train,
—
level crossing accident, including accident involving pedestrians at level crossing, and a further break-down for the five types of level crossings defined in point 6.2,
—
accident to persons involving rolling stock in motion, with the exception of suicides and attempted suicides,
—
fire in rolling stock,
—
other.
Each significant accident shall be reported under the type of the primary accident, even if the consequences of the secondary accident are more severe (e.g. a derailment followed by a fire). |
|
1.2. |
Total and relative (to train-kilometres) number of persons seriously injured and killed by type of accident divided into the following categories:
—
passenger (also relative to total passenger-kilometres and passenger train-kilometres),
—
employee or contractor,
—
level crossing user,
—
trespasser,
—
other person at a platform,
—
other person not at a platform.
|
2. Indicators relating to dangerous goods
Total and relative (to train-kilometres) number of accidents involving the transport of dangerous goods by rail divided into the following categories:
3. Indicators relating to suicides
Total and relative (to train-kilometres) number of suicides and attempted suicides
4. Indicators relating to precursors of accidents
Total and relative (to train-kilometres) number of precursors to accidents and a break down on the following types of precursor:
All precursors are to be reported, both those resulting and those not resulting in accidents. (A precursor resulting in a significant accident shall also be reported under indicators relating to precursors; a precursor not resulting in a significant accident shall only be reported under indicators relating to precursors).
5. Indicators to calculate the economic impact of accidents
Total in euro and relative (to train-kilometres):
National safety authorities shall report the economic impact of significant accidents.
The VPC is the value society attributes to the prevention of a casualty and as such shall not form a reference for compensation between parties involved in accidents.
6. Indicators relating to technical safety of infrastructure and its implementation
|
6.1. |
Percentage of tracks with Train Protection Systems (TPSs) in operation and percentage of train-kilometres using on-board TPSs, where these systems provide:
—
warning,
—
warning and automatic stop,
—
warning and automatic stop and discrete supervision of speed,
—
warning and automatic stop and continuous supervision of speed.
|
|
6.2. |
Number of level crossings (total, per line kilometre and track kilometre) by the following five types:
(a)
passive level crossing
(b)
active level crossing:
(i)
manual,
(ii)
automatic with user-side warning,
(iii)
automatic with user-side protection,
(iv)
rail-side protected. |
Appendix
Common definitions for the CSIs and methods of calculating the economic impact of accidents
1. Indicators relating to accidents
|
1.1. |
‘significant accident’ means any accident involving at least one rail vehicle in motion, resulting in at least one killed or seriously injured person, or in significant damage to stock, track, other installations or environment, or extensive disruptions to traffic, excluding accidents in workshops, warehouses and depots; |
|
1.2. |
‘significant damage to stock, track, other installations or environment’ means damage that is equivalent to EUR 150 000 or more; |
|
1.3. |
‘extensive disruptions to traffic’ means that train services on a main railway line are suspended for six hours or more; |
|
1.4. |
‘train’ means one or more railway vehicles hauled by one or more locomotives or railcars, or one railcar travelling alone, running under a given number or specific designation from an initial fixed point to a terminal fixed point, including a light engine, i.e. a locomotive travelling on its own; |
|
1.5. |
‘collision of train with rail vehicle’ means a front to front, front to end or a side collision between a part of a train and a part of another train or rail vehicle, or with shunting rolling stock; |
|
1.6. |
‘collision of train with obstacle within the clearance gauge’ means a collision between a part of a train and objects fixed or temporarily present on or near the track (except at level crossings if lost by a crossing vehicle or user), including collision with overhead contact lines; |
|
1.7. |
‘derailment of train’ means any case in which at least one wheel of a train leaves the rails; |
|
1.8. |
‘level crossing accident’ means any accident at level crossings involving at least one railway vehicle and one or more crossing vehicles, other crossing users such as pedestrians or other objects temporarily present on or near the track if lost by a crossing vehicle or user; |
|
1.9. |
‘accident to persons involving rolling stock in motion’ means accidents to one or more persons who are either hit by a railway vehicle or by an object attached to, or that has become detached from, the vehicle, this includes persons who fall from railway vehicles as well as persons who fall or are hit by loose objects when travelling on board vehicles; |
|
1.10. |
‘fire in rolling stock’ means a fire or explosion that occurs in a railway vehicle (including its load) when it is running between the departure station and the destination, including when stopped at the departure station, the destination or intermediate stops, as well as during re-marshalling operations; |
|
1.11. |
‘other (accident)’ means any accident other than a collision of train with rail vehicle, collision of train with obstacle within the clearance gauge, derailment of train, level crossing accident, an accident to person involving rolling stock in motion or a fire in rolling stock; |
|
1.12. |
‘passenger’ means any person, excluding a member of the train crew, who makes a trip by rail, including a passenger trying to embark onto or disembark from a moving train for accident statistics only; |
|
1.13. |
‘employee or contractor’ means any person whose employment is in connection with a railway and is at work at the time of the accident, including the staff of contractors, self-employed contractors, the crew of the train and persons handling rolling stock and infrastructure installations; |
|
1.14. |
‘level crossing user’ means any person using a level crossing to cross the railway line by any means of transport or by foot; |
|
1.15. |
‘trespasser’ means any person present on railway premises where such presence is forbidden, with the exception of a level crossing user; |
|
1.16. |
‘other person at a platform’ means any person at a railway platform who is not defined as ‘passenger’, ‘employee or contractor’, ‘level crossing user’, ‘other person not at a platform’ or ‘trespasser’; |
|
1.17. |
‘other person not at a platform’ means any person not at a railway platform who is not defined as ‘passenger’, ‘employee or contractor’, ‘level crossing user’, ‘other person at a platform’ or ‘trespasser’; |
|
1.18. |
‘death (killed person)’ means any person killed immediately or dying within 30 days as a result of an accident, excluding any suicide; |
|
1.19. |
‘serious injury (seriously injured person)’ means any person injured who was hospitalised for more than 24 hours as a result of an accident, excluding any attempted suicide. |
2. Indicators relating to dangerous goods
|
2.1. |
‘accident involving the transport of dangerous goods’ means any accident or incident that is subject to reporting in accordance with RID ( 8 )/ADR section 1.8.5; |
|
2.2. |
‘dangerous goods’ means those substances and articles the carriage of which is prohibited by RID, or authorised only under the conditions prescribed therein. |
3. Indicators relating to suicides
|
3.1. |
‘suicide’ means an act to deliberately injure oneself resulting in death, as recorded and classified by the competent national authority; |
|
3.2. |
‘attempted suicide’ means an act to deliberately injure oneself resulting in serious injury. |
4. Indicators relating to precursors of accidents
|
4.1. |
‘broken rail’ means any rail which is separated in two or more pieces, or any rail from which a piece of metal becomes detached, causing a gap of more than 50 mm in length and more than 10 mm in depth on the running surface; |
|
4.2. |
‘track buckle or other track misalignment’ means any fault related to the continuum and the geometry of track, requiring track to be placed out of service or immediate restriction of permitted speed; |
|
4.3. |
‘wrong side signalling failure’ means any technical failure of a signalling system (either to infrastructure or to rolling stock), resulting in signalling information less restrictive than that demanded; |
|
4.4. |
‘Signal Passed at Danger when passing a danger point’ means any occasion when any part of a train proceeds beyond its authorised movement and travels beyond the danger point; |
|
4.5. |
‘Signal Passed at Danger without passing a danger point’ means any occasion when any part of a train proceeds beyond its authorised movement but does not travel beyond the danger point. Unauthorised movement as referred to in points 4.4 and 4.5 above means to pass:
—
a trackside colour light signal or semaphore at danger, or an order to STOP where a Train Protection system (TPS) is not operational,
—
the end of a safety related movement authority provided in a TPS,
—
a point communicated by verbal or written authorisation laid down in regulations,
—
stop boards (buffer stops are not included) or hand signals.
Any case in which a vehicle without any traction unit attached or a train that is unattended runs away past a signal at danger is not included. Any case in which, for any reason, the signal is not turned to danger in time to allow the driver to stop the train before the signal is not included. National safety authorities may report separately on the four indices of unauthorised movement listed in the indents in this point and shall report at least an aggregate indicator containing data on all four items indices. |
|
4.6. |
‘broken wheel on rolling stock in service’ means a break affecting the wheel and creating a risk of accident (derailment or collision); |
|
4.7. |
‘broken axle on rolling stock in service’ means a break affecting the axle and creating a risk of accident (derailment or collision). |
5. Common methodologies to calculate the economic impact of accidents
|
5.1. |
The Value of Preventing a Casualty (VPC) is composed of:
(1)
Value of safety per se: Willingness to Pay (WTP) values based on stated preference studies carried out in the Member State for which they are applied.
(2)
Direct and indirect economic costs: cost values appraised in the Member State, composed of:
—
medical and rehabilitation cost,
—
legal court cost, cost for police, private crash investigations, the emergency service and administrative costs of insurance,
—
production losses: value to society of goods and services that could have been produced by the person if the accident had not occurred.
When calculating the costs of casualties, fatalities and serious injuries shall be considered separately (different VPC for fatality and serious injury). |
|
5.2. |
Common principles to appraise the value of safety per se and direct and/or indirect economic costs: For the value of safety per se, the assessment of whether available estimates are appropriate or not shall be based on the following considerations:
—
estimates shall relate to a system for valuation of mortality risk reduction in the transport sector and follow a WTP approach according to stated preference methods,
—
the respondent sample used for the values shall be representative of the population concerned. In particular, the sample has to reflect the age/income distribution along with other relevant socioeconomic and/or demographic characteristics of the population,
—
method for eliciting WTP values: survey design shall be such that questions are clear/meaningful to respondents.
Direct and indirect economic costs shall be appraised on the basis of the real costs borne by society. |
|
5.3. |
Definitions
|
6. Indicators relating to technical safety of infrastructure and its implementation
|
6.1. |
‘Train Protection System (TPS)’ means a system that helps to enforce obedience to signals and speed restrictions. |
|
6.2. |
‘On-board systems’ mean systems assisting the driver to observe line-side signalling and in cab signalling and thus providing protection of danger points and enforcement of speed limits. On-board TPSs are described as follows:
(a)
Warning, providing automatic warning to driver.
(b)
Warning and automatic stop, providing automatic warning to driver and automatic stop when passing a signal at danger.
(c)
Warning and automatic stop and discrete supervision of speed, providing protection of danger points, where ‘discrete supervision of speed’ means supervision of speed at certain locations (speed traps) at the approach of a signal.
(d)
Warning and automatic stop and continuous supervision of speed, providing protection of danger points and continuous supervision of the speed limits of the line, where ‘continuous supervision of speed’ means continuous indication and enforcement of the maximal allowed target speed on all sections of the line. Type (d) is regarded as Automatic Train Protection (ATP) system. |
|
6.3. |
‘level crossing’ means any level intersection between a road or passage and a railway, as recognised by the infrastructure manager and open to public or private users. Passages between platforms within stations are excluded, as well as passages over tracks for the sole use of employees. |
|
6.4. |
‘road’ means, for the purpose of railway accident statistics, any public or private road, street or highway, including adjacent footpaths and bicycle lanes. |
|
6.5. |
‘passage’ means any route, other than a road, provided for the passage of people, animals, vehicles or machinery. |
|
6.6. |
‘passive level crossing’ means a level crossing without any form of warning system or protection activated when it is unsafe for the user to traverse the crossing. |
|
6.7. |
‘active level crossing’ means a level crossing where the crossing users are protected from or warned of the approaching train by devices activated when it is unsafe for the user to traverse the crossing.
—
Protection by the use of physical devices includes:
—
half or full barriers,
—
gates.
—
Warning by the use of fixed equipment at level crossings:
—
visible devices: lights,
—
audible devices: bells, horns, klaxons, etc.
Active level crossings are classified as:
(a)
Manual: a level crossing where user-side protection or warning is manually activated by a railway employee.
(b)
Automatic with user-side warning: a level crossing where user-side warning is activated by the approaching train.
(c)
Automatic with user-side protection: a level crossing where user-side protection is activated by the approaching train. This shall include a level crossing with both user-side protection and warning.
(d)
Rail-side protected: a level crossing where a signal or other train protection system permits a train to proceed once the level crossing is fully user-side protected and is free from incursion. |
7. Definitions of the scaling bases
|
7.1. |
‘train-km’ means the unit of measure representing the movement of a train over one kilometre. The distance used is the distance actually run, if available, otherwise the standard network distance between the origin and destination shall be used. Only the distance on the national territory of the reporting country shall be taken into account. |
|
7.2. |
‘passenger-km’ means the unit of measure representing the transport of one passenger by rail over a distance of one kilometre. Only the distance on the national territory of the reporting country shall be taken into account. |
|
7.3. |
‘line km’ means the length measured in kilometres of the railway network in Member States, whose scope is laid down in Article 2. For multiple-track railway lines, only the distance between origin and destination is to be counted. |
|
7.4. |
‘track km’ means the length measured in kilometres of the railway network in Member States, whose scope is laid down in Article 2. Each track of a multiple-track railway line is to be counted. |
ANNEX II
NOTIFICATION OF NATIONAL SAFETY RULES
National safety rules notified in accordance with point (a) of Article 8(1) include:
rules concerning existing national safety targets and safety methods;
rules concerning requirements in respect of safety management systems and safety certification of railway undertakings;
common operating rules of the railway network that are not yet covered by TSIs, including rules relating to the signalling and traffic management system;
rules laying down requirements in respect of additional internal operating rules (company rules) that must be established by infrastructure managers and railway undertakings;
rules concerning requirements in respect of staff executing safety-critical tasks, including selection criteria, medical fitness and vocational training and certification, in so far as they are not yet covered by a TSI;
rules concerning the investigation of accidents and incidents.
ANNEX III
REQUIREMENTS AND ASSESSMENT CRITERIA FOR ORGANISATIONS APPLYING FOR AN ECM CERTIFICATE OR FOR A CERTIFICATE IN RESPECT OF MAINTENANCE FUNCTIONS OUTSOURCED BY AN ENTITY IN CHARGE OF MAINTENANCE
The organisation management must be documented in all relevant parts and shall in particular describe the distribution of responsibilities within the organisation and with subcontractors. It shall show how control by the management on different levels is secured, how staff and their representatives on all levels are involved and how continuous improvement is ensured.
The following basic requirements shall be applied to the four functions of an entity in charge of maintenance (ECM) to be covered by the organisation itself or through contracting arrangements:
|
1. |
Leadership — commitment to the development and implementation of the maintenance system of the organisation and to the continuous improvement of its effectiveness; |
|
2. |
Risk assessment — a structured approach to assess risks associated with the maintenance of vehicles, including those directly arising from operational processes and the activities of other organisations or persons, and to identify the appropriate risk control measures; |
|
3. |
Monitoring — a structured approach to ensure that risk control measures are in place, working correctly and achieving the organisation's objectives; |
|
4. |
Continuous improvement — a structured approach to analyse the information gathered through regular monitoring, auditing, or other relevant sources and to use the results to learn and to adopt preventive or corrective measures in order to maintain or improve the level of safety; |
|
5. |
Structure and responsibility — a structured approach to define the responsibilities of individuals and teams for secure delivery of the organisation's safety objectives; |
|
6. |
Competence management — a structured approach to ensure that employees have the competences required in order to achieve the organisation's objectives safely, effectively and efficiently in all circumstances; |
|
7. |
Information — a structured approach to ensure that important information is available to those making judgments and decisions at all levels of the organisation and to ensure the completeness and appropriateness of the information; |
|
8. |
Documentation — a structured approach to ensure the traceability of all relevant information; |
|
9. |
Contracting activities — a structured approach to ensure that subcontracted activities are managed appropriately in order for the organisation's objectives to be achieved and all competences and requirements are covered; |
|
10. |
Maintenance activities — a structured approach to ensure:
—
that all maintenance activities affecting safety and safety-critical components are identified and correctly managed and that all the necessary changes to those maintenance activities affecting safety are identified, properly managed based upon the return of experience and the application of Common Safety Methods for risk assessment in accordance with point (a) of Article 6(1) and properly documented;
—
conformity with the essential requirements for interoperability;
—
the implementation and check of maintenance facilities, equipment and tools specifically developed and required for maintenance delivery;
—
the analysis of the initial documentation related to the vehicle for providing the first maintenance file and to ensure its correct implementation through the development of maintenance orders;
—
that components (including spare parts) and materials are used as specified in the maintenance orders and supplier documentation; they are stored, handled and transported in an appropriate manner as specified in the maintenance orders and supplier documentation and comply with relevant national and international rules as well as with the requirements of relevant maintenance orders;
—
that suitable and adequate facilities, equipment and tools are determined, identified, provided, recorded and kept available to enable to deliver the maintenance services in accordance with maintenance orders and other applicable specifications, ensuring the safe delivery of maintenance, ergonomics and health protection;
—
that the organisation have processes to ensure that its measuring equipment, all facilities, equipment and tools are correctly used, calibrated, preserved and maintained in accordance with documented processes;
|
|
11. |
Control activities — a structured approach to ensure:
—
that vehicles are removed from operation for scheduled, conditional or corrective maintenance in due time, or whenever defects or other needs have been identified;
—
the necessary quality control measures;
—
that maintenance tasks are performed in accordance with the maintenance orders and to issue the notice to return to operation including possible restrictions on use;
—
that possible instance of non-compliance in the application of the management system that might result in accidents, incidents, near-misses or other dangerous occurrences are reported, investigated and analysed and that necessary preventive measures are taken in compliance with the common safety method for monitoring provided in point (c) of Article 6(1);
—
recurrent internal auditing and monitoring process compliant with the common safety method for monitoring provided in point (c) of Article 6(1).
|
ANNEX IV
PART A
Repealed Directive with a list of the successive amendments thereto
(referred to in Article 34)
|
Directive 2004/49/EC |
(OJ L 164, 30.4.2004, p. 44) |
|
Directive 2008/57/EC |
(OJ L 191, 18.7.2008, p. 1) |
|
Directive 2008/110/EC |
(OJ L 345, 23.12.2008, p. 62) |
|
Commission Directive 2009/149/EC |
(OJ L 313, 28.11.2009, p. 65) |
|
Corrigendum, 2004/49/EC |
(OJ L 220, 21.6.2004, p. 16) |
|
Commission Directive 2014/88/EU |
(OJ L 201, 10.7.2014, p. 9) |
PART B
Time limits for transposition into national law
(referred to in Article 34)
|
Directive |
Deadline for transposition |
|
2004/49/EC |
30 April 2006 |
|
2008/57/EC |
19 July 2010 |
|
2008/110/EC |
24 December 2010 |
|
Commission Directive 2009/149/EC |
18 June 2010 |
|
Commission Directive 2014/88/EU |
30 July 2015 |
ANNEX V
Correlation table
|
Directive 2004/49/EC |
This Directive |
|
Article 1 |
Article 1 |
|
Article 2 |
Article 2 |
|
Article 3 |
Article 3 |
|
Article 4 |
Article 4 |
|
Article 5 |
Article 5 |
|
Article 6 |
Article 6 |
|
Article 7 |
Article 7 |
|
Article 8 |
Article 8 |
|
Article 9 |
Article 9 |
|
Article 10 |
Article 10 |
|
— |
Article 11 |
|
Article 11 |
Article 12 |
|
Article 12 |
— |
|
Article 13 |
Article 13 |
|
Article 14a(1) to (7) |
Article 14 |
|
Article 14a(8) |
Article 15 |
|
Article 15 |
— |
|
Article 16 |
Article 16 |
|
— |
Article 17 |
|
Article 17 |
Article 18 |
|
Article 18 |
Article 19 |
|
Article 19 |
Article 20 |
|
Article 20 |
Article 21 |
|
Article 21 |
Article 22 |
|
Article 22 |
Article 23 |
|
Article 23 |
Article 24 |
|
Article 24 |
Article 25 |
|
Article 25 |
Article 26 |
|
Article 26 |
— |
|
— |
Article 27 |
|
Article 27 |
Article 28 |
|
Article 28 |
— |
|
Article 29 |
— |
|
Article 30 |
— |
|
Article 31 |
Article 29 |
|
Article 32 |
Article 30 |
|
— |
Article 31 |
|
— |
Article 32 |
|
Article 33 |
Article 33 |
|
— |
Article 34 |
|
Article 34 |
Article 35 |
|
Article 35 |
Article 36 |
|
Annex I |
Annex I |
|
Annex II |
Annex II |
|
Annex III |
— |
|
Annex IV |
— |
|
Annex V |
— |
|
— |
Annex III |
( 1 ) Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (OJ L 343, 14.12.2012, p. 32).
( 2 ) Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community (OJ L 315, 3.12.2007, p. 51).
( 3 ) Directive (EU) 2015/1535 of the European Parliament and the Council of 9 September 2015, laying down a procedure for the provision of information in the field of technical regulations and of rules on Information Society services (OJ L 241, 17.9.2015, p. 1).
( 4 ) Regulation (EC) No 1371/2007 of the European Parliament and of the Council of 23 October 2007 on rail passengers' rights and obligations (OJ L 315, 3.12.2007, p. 14).
( 5 ) Commission Regulation (EC) No 653/2007 of 13 June 2007 on the use of a common European format for safety certificates and application documents in accordance with Article 10 of Directive 2004/49/EC of the European Parliament and of the Council and on the validity of safety certificates delivered under Directive 2001/14/EC (OJ L 153, 14.6.2007, p. 9).
( 6 ) Commission Regulation (EU) No 1158/2010 of 9 December 2010 on a common safety method for assessing conformity with the requirements for obtaining railway safety certificates (OJ L 326, 10.12.2010, p. 11).
( 7 ) Commission Regulation (EU) No 445/2011 of 10 May 2011 on a system of certification of entities in charge of maintenance for freight wagons and amending Regulation (EC) No 653/2007 (OJ L 122, 11.5.2011, p. 22).
( 8 ) RID, Regulations concerning the International Carriage of Dangerous Goods by Rail, as adopted under Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).