REPORT on the proposal for a directive of the European Parliament and of the Council amending Directive 2004/49/EC on safety on the Community's railways

26.9.2007 - (COM(2006)0784 – C6‑0493/2006 – 2006/0272(COD)) - ***I

Committee on Transport and Tourism
Rapporteur: Paolo Costa

DRAFT EUROPEAN PARLIAMENT LEGISLATIVE RESOLUTION

on the proposal for a directive of the European Parliament and of the Council amending Directive 2004/49/EC on safety on the Community's railways

(COM(2006)0784 – C6‑0493/2006 – 2006/0272(COD))

(Codecision procedure: first reading)

The European Parliament,

–   having regard to the Commission proposal to the European Parliament and the Council (COM(2006)0784)[1],

–   having regard to Article 251(2) and Article 71(1) of the EC Treaty, pursuant to which the Commission submitted the proposal to Parliament (C6‑0493/2006),

–   having regard to Rule 51 of its Rules of Procedure,

–   having regard to the report of the Committee on Transport and Tourism (A6‑0346/2007),

1.  Approves the Commission proposal as amended;

2.  Calls on the Commission to refer the matter to Parliament again if it intends to amend the proposal substantially or replace it with another text.

3.  Instructs its President to forward its position to the Council and Commission.

Text proposed by the Commission	Amendments by Parliament
Amendment 1 RECITAL 9
(9) In particular, the Commission should be authorised to revise and adapt Annexes, to adopt and revise common safety measures and common safety objectives, and also to establish a maintenance certification system for keepers. Since these measures are of general scope and are designed to amend non-essential elements of Directive 2004/49/EC or to supplement it by the addition of new non-essential elements, they should be adopted in accordance with the regulatory control procedure provided for in Article 5a of Decision 1999/468/EC.	(9) In particular, the Commission should be empowered to revise and adapt Annexes, to adopt and revise common safety measures and common safety objectives, and also to establish a maintenance certification system for keepers, such measures being necessary for the implementation of Directive 2004/49/EC. Since those measures are of general scope and are designed to amend non-essential elements of the Directive 2004/49/EC, or to supplement it by the addition of new non-essential elements, they should be adopted in accordance with the regulatory procedure with scrutiny provided for in Article 5a of Decision 1999/468/EC. When, on imperative grounds of urgency, the normal time-limits for the regulatory procedure with scrutiny cannot be complied with, the Commission should be able to use the urgency procedure provided for in Article 5a(6) of Decision 1999/468/EC for the adoption of the measures provided for in this Directive.
Justification
Reference should be made to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC. The amendment makes the necessary adjustments in line with the new comitology procedure introducing the new procedure of 'Regulatory Committee with scrutiny' and provides additional transparency for the adoption of the revision of the relevant measures in this proposal.
Amendment 2 RECITAL 9 A (new)
	In accordance with paragraph 34 of the Inter-institutional agreement on better law-making1, Member States are encouraged to draw up, for themselves and in the interest of the Community, their own tables, which will, as far as possible, illustrate the correlation between this Directive and their transposition measures, and to make those tables public.
	_________________ 1OJ C 321, 31.12.2003, p. 1.
Amendment 3 ARTICLE 1, POINT -1 (new) Article 1, point (e a) (new) (Directive/2004/49/EC)
	(-1) The following point is added to Article 1:
	(ea) contributing to the achievement of the objectives of Directive 89/391/EEC on improving the safety and health of workers at work and laying down specific provisions in order to minimise the risks of railway operation for staff.
Justification
It should be guaranteed that specific national rules on health and safety at work continue to apply pending the drawing-up of European rules and are not replaced by inadequate TSI rules. Practical experience in ERA working parties shows that national and European provisions on health and safety at work are used as a reference. The specific risks are not adequately taken into account in the European rules.
Amendment 4 ARTICLE 1, POINT -1 A (new) Article 3 (Directive 2004/49/EC)
	(-1a) Article 3 shall be amended as follows:
Justification
Since modifications are introduced on definitions (Article 3 of Directive 2004/49/EC), the amendment is necessary for the coherence of the text.
Amendment 5 ARTICLE 1, POINT -1 A, POINT (A) (new) Article 3, point (h) (Directive 2004/49/EC)
	(a) Point (h) shall be replaced by the following:
	"(h) "national safety rules" means all rules laying down railway safety requirements imposed at Member State level in order to ensure that the rail system, the subsystems, the constituents, including the interfaces, meet the essential requirements and are applicable to more than one railway undertaking or one or more infrastructure managers, irrespective of the body issuing them;"
Justification
The amendment supplements the existing definition on national safety rules under Directive 2004/49/EC by determining the different elements that should be covered when issuing national safety rules. It will lend greater clarity on the fulfilment of the essential requirements that the railway undertakings or the infrastructure managers should apply.
Amendment 6 ARTICLE 1, POINT 1 Article 3 (Directive 2004/49/EC)
1) The following definition is added to Article 3:	b) The following points (ha) and (s) shall be added:
Justification
Since modifications are introduced on definitions (Article 3 of Directive 2004/49/EC), the amendment is necessary for the coherence of the text.
Amendment 7 ARTICLE 1, POINT 1 Article 3, point (h a) (new) (Directive 2004/49/EC)
	(ha) "essential requirements" means all the conditions set out in Annex III of Directive …/…/EC (*) [Directive on the interoperability of the rail system] which must be met by the rail system, the subsystems, and the interoperability constituents, including interfaces;
Justification
The introduction of the definition “essential requirements” is necessary as complement to the definition given on national safety rules. Its wording is aligned with the definition which is proposed under the Directive on the interoperability of the rail system.
Amendment 8 ARTICLE 1, POINT 1 Article 3, point (s) (Directive/2004/49/EC)
s) ‘keeper’ means the person or entity who, being the owner of a vehicle or having the right to dispose of it, exploits the vehicle economically in a permanent manner as a means of transport..	s) ‘keeper’ means the person or entity 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 the National Vehicle Register referred to in Article [...] of the Directive on the interoperability of the Community rail system.
Amendment 9 ARTICLE 1, POINT 2 Article 4, paragraph 4 (Directive/2004/49/EC)
Article 4(4) the term ‘wagon operator’ is replaced by ‘wagon keeper’.	2. In Article 4(4) the term ‘wagon operator’ is replaced by ‘vehicle keeper’.
Justification
Today keepers exploit not only wagons but also locomotives, coaches and multiple units. It is therefore more appropriate to extend the definition and replace the word wagons with vehicles which includes all types of railway operable units.
Amendment 10 ARTICLE 1, POINT 3 Article 5, paragraph 2 (Directive 2004/49/EC)
Before 30 April 2009, Annex I shall be revised, particularly with a view to incorporating therein the CSI common definitions and the common methods for calculating the cost of accidents. This measure, designed to amend non-essential elements of this Directive, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a).	Before 30 April 2009, Annex I shall be revised, particularly with a view to incorporating therein the CSI common definitions and the common methods for calculating the cost of accidents. The measures designed to amend non-essential elements of this Directive, including by supplementing it, relating to the implementation of this paragraph shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 27(2a). On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 27 (2b).
Justification
Reference should be made to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC. The amendment makes the necessary adjustments in line with the new comitology procedure and provides additional transparency for the adoption of the revision of the relevant measures in this proposal.
Amendment 11 ARTICLE 1, POINT 4, POINT (A) Article 6, paragraph 1 (Directive 2004/49EC)
1. An initial series of CSMs covering, as a minimum, the methods described in paragraph 3(a) shall be adopted by the Commission before 30 April 2008. They shall be published in the Official Journal of the European Union.	1. An initial series of CSMs covering, as a minimum, the methods described in paragraph 3(a) shall be adopted by the Commission before 30 April 2008. They shall be published in the Official Journal of the European Union.
A second series of CSMs covering the remaining methods described in paragraph 3 shall be adopted by the Commission before 30 April.2010. They shall be published in the Official Journal of the European Union.	A second series of CSMs covering the remaining methods described in paragraph 3 shall be adopted by the Commission before 30 April.2010. They shall be published in the Official Journal of the European Union.
These measures, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a).	The measures designed to amend non-essential elements of this Directive, including by supplementing it, relating to the implementation of this paragraph shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 27(2a). On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 27 (2b).
Justification
Reference should be made to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC. The amendment makes the necessary adjustments in line with the new comitology procedure and provides additional transparency for the adoption of the revision of the relevant measures in this proposal.
Amendment 12 ARTICLE 1, POINT 4, POINT (B) Article 6, paragraph 4 (Directive 2004/49EC)
4. The CSMs shall be revised at regular intervals, taking into account the experience gained from their application and the global development of railway safety and the obligations on Member States as laid down in Article 4(1). This measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a).	4. The CSMs shall be revised at regular intervals, taking into account the experience gained from their application and the global development of railway safety and the obligations on Member States as laid down in Article 4(1). The measures designed to amend non-essential elements of this Directive, including by supplementing it, relating to the implementation of this Article shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 27(2a). On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 27 (2b)..
Justification
Reference should be made to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC. The amendment makes the necessary adjustments in line with the new comitology procedure and provides additional transparency for the adoption of the revision of the relevant measures in this proposal.
Amendment 13 ARTICLE 1, POINT 5, POINT (A) Article 7, paragraph 3, indent 1 and 2 (Directive 2004/49/EC)
In paragraph (3), the first and second indents are replaced by the following:	In paragraph (3), the first and second subparagraphs shall be replaced by the following:
"The first set of draft CSTs shall be based on an examination of existing targets and safety performance in the Member States and shall ensure that the current safety performance of the rail system is not reduced in any Member State. They shall be adopted by the Commission before 30 April 2009 and shall be published in the Official Journal of the European Union. This measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a).	"The first set of draft CSTs shall be based on an examination of existing targets and safety performance in the Member States and shall ensure that the current safety performance of the rail system is not reduced in any Member State. They shall be adopted by the Commission before 30 April 2009 and shall be published in the Official Journal of the European Union.
The second set of draft CSTs shall be based on the experience gained from the first set of CSTs and their implementation. They shall reflect any priority areas where safety needs to be further improved. They shall be adopted by the Commission before 30 April 2011 and shall be published in the Official Journal of the European Union. This measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a)."	The second set of draft CSTs shall be based on the experience gained from the first set of CSTs and their implementation. They shall reflect any priority areas where safety needs to be further improved. They shall be adopted by the Commission before 30 April 2011 and shall be published in the Official Journal of the European Union. The measures designed to amend non-essential elements of this Directive, by supplementing it, relating to the first and second draft CSTs shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 27(2a)." On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 27 (2b). ".
Justification
Reference should be made to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC. The amendment makes the necessary adjustments in line with the new comitology procedure and provides additional transparency for the adoption of the revision of the relevant measures in this proposal.
Amendment 14 ARTICLE 1, POINT 5, POINT (A A) (new) Article 7, paragraph 3, third subparagraph (a) (new) (Directive/2004/49/EC)
	(aa) In paragraph (3), after the third subparagraph, the following subparagraph shall be inserted:
	Before drafting or revising CSTs, a cost-benefit analysis must demonstrate that the expected effect of the development of CSTs shall improve the level of transport safety and the optimum use of the railway system;
Justification
Safety should not be used as an excuse for the establishment of national safety rules hindering the approval and the placing in service of rolling stock. The development of Common Safety Targets should therefore be considered under the terms of cost-effectiveness analysis demonstrating the improvement of the level of transport safety as well as the optimum use of railway system, e.g. the interoperability of rolling stock. This will improve the regulatory environment by avoiding technical and operational barriers.
Amendment 15 ARTICLE 1, POINT 5, POINT (B) Article 7, paragraph 5 (Directive 2004/49/EC)
5. The CSTs shall be revised at regular intervals, taking into account the global development of railway safety. This measure, designed to amend non-essential elements of this Directive by supplementing it, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a)."	5. The CSTs shall be revised at regular intervals, taking into account the global development of railway safety. The measures designed to amend non-essential elements of this Directive, including by supplementing it, relating to the implementation of this paragraph shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 27(2a). On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 27 (2b).
Justification
Reference should be made to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC. The amendment makes the necessary adjustments in line with the new comitology procedure and provides additional transparency for the adoption of the revision of the relevant measures in this proposal.
Amendment 16 ARTICLE 1, POINT 6, POINT (A) Article 10, paragraph 1, subparagraph 2 (Directive 2004/49/EC)
The purpose of the safety certificate is to provide evidence that the railway undertaking has established its safety management system and can meet requirements laid down in TSIs and other relevant Community legislation and in national safety rules in order to control risks and provide transport services on the network in complete safety..	The purpose of the safety certificate is to provide evidence that the railway undertaking has established its safety management system and can meet requirements laid down in TSIs and other relevant Community legislation and in national safety rules in order to control risks and provide transport services on the network under a high level of safety.
Justification
There is no complete safety in absolute terms. Safety is a relative concept which cannot be seen in absolute terms and therefore any request for meeting such requirement can be used as a barrier to the development of railway market. In order to avoid abuse from requesting complete safety and without prejudice to the high level of level that can be legitimately requested, it is proposed to introduce a new wording ensuring that high level of safety is provided for the services of railway network.
Amendment 17 ARTICLE 1, POINT 6, POINT (B) Article 10, paragraph 2, point (b) (Directive 2004/49/EC)
(b) certification confirming acceptance of the provisions adopted by the railway undertaking to meet specific requirements necessary for the supply of its services on the relevant network in complete safety. These requirements may concern the application of the TSIs and national safety rules, including the network operating rules, acceptance of staff certificates and authorisation to operate the rolling stock used by the railway undertaking. The certification shall be based on documentation submitted by the railway undertaking as described in Annex IV..	(b) certification confirming acceptance of the provisions adopted by the railway undertaking to meet specific requirements necessary for the supply of its services on the relevant network under a high level of safety. These requirements may concern the application of the TSIs and national safety rules, including the network operating rules, acceptance of staff certificates and authorisation to operate the rolling stock used by the railway undertaking. The certification shall be based on documentation submitted by the railway undertaking as described in Annex IV..
Justification
There is no complete safety in absolute terms. Safety is a relative concept which cannot be seen in absolute terms and therefore any request for meeting such requirement can be used as a barrier to the development of railway market. In order to avoid abuse from requesting complete safety and without prejudice to the high level of safety that can be legitimately requested, it is proposed to introduce a new wording ensuring that high level of safety is provided for the services of railway network.
Amendment 18 ARTICLE 1, POINT 7 Article 14 (Directive 2004/49/EC)
Article 14	Article 14
Placing in service of existing stock	Placing in service of railway vehicles
1. Rolling stock that has been authorised to enter into service in one Member State under Article 10 shall be the subject of authorisation to enter into service in any other Member State pursuant to this Article, if such authorisation is required by the Member State(s) concerned.	Railway vehicles that have been authorisedto be placed in service in one Member State shall be subject to a further authorisation prior to being placed in service in any other Member State pursuant to the requirements laid down in Articles XXX of Directive .../...EC [Directive on the interoperability of the rail system]
However, in the case of rolling stock bearing an EC declaration of verification, Article 14(8) of Directive …/../EC (*) [Directive on the interoperability of the rail system] shall apply.
2. The applicant shall submit to the competent safety authority a complete technical file on the rolling stock or type of rolling stock together with details of planned use on the network. The file shall contain the following information:
a) documentary evidence that the placing in service of the rolling stock has been authorised in another Member State together with documentation on the procedure followed in order to show that the rolling stock complied with the safety requirements in force;
b) the technical data, the maintenance programme and the operational characteristics;
c) the records that show the rolling stock’s history of operation, maintenance and, where applicable, technical modifications undertaken after the authorisation;
d) evidence on technical and operational characteristics that shows that the rolling stock is compatible with the infrastructures and fixed installations (energy supply system, signalling and control command system, track gauge and infrastructure gauges, maximum permitted axle load and other constraints of the network).
3. The information referred to in paragraph 2(a) and (b) cannot be called into question by the safety authority, save where the latter is able to demonstrate the existence of a safety risk. After the adoption of the reference document referred to in Article 14a, the safety authority may not invoke in this regard any Group A rule listed in this document.
4. The safety authority may ask for additional information to be supplied, for risk analyses to be carried out or for tests to be conducted on the network in order to verify that the information referred to in paragraph 2(c) and (d) complies with the national rules in force as notified to the Commission pursuant to Article 8 of the present Directive or to Article 16 of Directive .../../EC [Directive on the interoperability of the rail system]. However, after the adoption of the reference document referred to in Article 14a of the present Directive, it will only be possible to carry out such verification on the basis of the national rules relating to Group B or C or featuring in this document.
The safety authority shall define, in agreement with the applicant, the scope and content of the additional information, the risk analyses or the tests requested. As far as the tests are concerned, the safety authority shall make representations to the infrastructure manager to ensure that they can take place within three months of the request.
5. All applications for an entry-into-service authorisation submitted in accordance with this Article shall be the subject of a decision by the safety authority, to be taken as soon as possible and not later than:
a) four months after submission of the technical dossier referred to in paragraph 2;
b) where applicable, two months after provision of the additional information or risk analyses requested by the safety authority pursuant to paragraph 4;
c) where applicable, two months after provision of the results of the tests requested by the safety authority pursuant to paragraph 4;
In the absence of a decision within the prescribed time limits, the rolling stock in question shall be deemed to have been authorised.
The entry-into-service authorisation may stipulate conditions of use and other restrictions.
6. Any negative decision taken by the competent safety authority shall be duly substantiated, and the applicant may, within a period of one month from notification, request that the decision be reviewed. The safety authority shall then have a month to confirm or reverse its decision. If its decision remains negative, the matter may be brought before the inspection body pursuant to Article 30 of Directive 2001/14/EC.
7. Whenever an item of rolling stock is due to be placed in service pursuant to this Article, the Agency may be approached with a request for technical advice pursuant to Article 8a of Regulation (EC) No 881/2004.
8. Member States may issue entry-into-service authorisations for existing items of rolling stock covering a series of rolling stock. To that end, the safety authorities shall notify the applicant of the procedure to be followed."
Justification
The relevant part of Article 14, which sets the placing in service of existing stock, is transferred to the Interoperability directive. This is proposed mainly for reasons of clarity and coherence of the text, as elements related to the cross acceptance can be gathered together under the new directive on interoperability of community rail system, thus simplifying the regulatory environment and avoiding the spread of the community rules. For reasons of clarity and coherence, a reference should be made to the directive on interoperability of community rail system.
Amendment 19 ARTICLE 1, POINT 8 Article 14a and 14b (Directive 2004/49/EC)
(8) The following Articles 14a and 14b are inserted:	(8) The following Article 14a is inserted:
Justification
The relevant part of the Article 14a and the related Annex which set out the Classification of the national rules of existing stock is transferred to the new Interoperability directive.
Amendment 20 ARTICLE 1, POINT 7 Article 14a (new) (Directive 2004/49/EC)
"Article 14a	deleted
Classification of the national rules
1. In order to facilitate the procedure for authorising the entry into service of the existing rolling stock referred to in Article 14, the national rules shall be assigned to three groups pursuant to Annex VI.
2. The Agency shall facilitate the allocation of the national rules in order to permit the adoption of a reference document pursuant to Article 8a of Regulation (EC) No 881/2004. The national authorities shall cooperate with the Agency in this task.
3. On the basis of the Agency’s recommendations and in accordance with the procedure described in Article 27(2), the Commission shall adopt the reference document as well as any decision to update."
Justification
The relevant part of Article 14a, which deals with the Classification of the national rules and the reference document for placing in service of existing stock, is transferred to the Interoperability directive. This is proposed mainly for reasons of clarity and coherence of the text, as elements related to the cross acceptance can be gathered together under the new directive on interoperability of community rail system, thus simplifying the regulatory environment and avoiding the spread of the community rules. For clarity and simplification of legislation, all provisions concerning the authorisation for placing in service of rolling stock shall be unified in one directive.
Amendment 21 ARTICLE 1, POINT 8 Article 14 b (Directive 2004/49/EC)
Article14b	Article14a
Maintenance of the rolling stock	Maintenance of the rolling stock
1. Whenever an item of rolling stock is placed in service, a legal entity to be responsible for maintenance shall be designated for each vehicle. This entity may be the railway undertaking itself, one of its subcontractors or the keeper of the vehicle.	1. Whenever a vehicle is placed in service, a keeper shall be designated for each vehicle. The keeper shall be responsible for the maintenance of the vehicle. A railway undertaking may be a keeper.
2. In order to demonstrate, in the context of the safety certification provided for in Article 10, that the rolling stock is being maintained in accordance with the requirements in force, the railway undertaking shall give details of the legal entities on which responsibility for maintenance has been conferred and shall provide documentation explaining the procedures applied by those entities in carrying out such maintenance.	2. The railway undertaking shall be responsible for the operating safety of vehicles placed in service on the network. In order to demonstrate, in the context of the safety certification provided for in Article 10, that the rolling stock is being maintained in accordance with the requirements in force, the railway undertaking shall give details of the keepers and shall provide documentation explaining the procedures applied by those keepers in carrying out such maintenance.
3. Where a railway undertaking uses wagons belonging to several keepers and where responsibility for maintenance has been conferred on those keepers, the railway undertaking shall put in place the procedures needed to verify compliance with the requirements in force. Where appropriate, the Commission shall establish a maintenance certification system for keepers based on a recommendation from the Agency. This measure, designed to amend non-essential elements of this Directive, by supplementing it, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a)."	3. Where a railway undertaking uses vehicles for which it is not the keeper, the railway undertaking shall put in place the procedures needed to verify compliance with the requirements in force including maintenance rules in accordance with the TSI provisions. In the event of a change of keeper, the previous keeper shall provide all the maintenance files in his possession to the new keeper before the change is recorded in the National Vehicle Register.
	4. The Commission shall establish, by 1 January 2010, a mandatory maintenance certification system for keepers of wagons and other vehicles based on a recommendation from the Agency. These measures, designed to amend non-essential elements of this Directive, including by supplementing it, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a). On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 27 (2b).
Justification
Clarity between keeper and railway undertaking (RU) is needed regarding responsibility on maintenance and operation of rolling stock. Vehicles placed in service, the overall responsibility to operate them safely in the network should be conferred to RU, thus avoiding confusion of legal obligations. Keepers shall be responsible for maintenance of their vehicles but this is assigned inside of the contractual relationship between them and RUs. A mandatory certification system should be established in order to ensure correct maintenance and safe operation of rolling stock. Under the new system set up under the 1999 COTIF Convention, which no longer obliges keepers of wagons and other vehicles to register their vehicle with a railway undertaking, a mandatory certification system for keepers of railway vehicles, whether wagons or other types of vehicle, would offer more guarantees and strengthen trust between railway undertakings and wagon keepers. This system should not cover only the keepers of wagons but should also apply to the keepers of other railway vehicles.
Amendment 22 ARTICLE 1, POINT 8 A(new) Article 17a (new) (Directive 2004/49/EC)
	(8a) The following Article 17a shall be inserted:
	Article 17a
	Decisions subject to opinions by the Agency
	The Agency may be requested, by an applicant, to provide a technical opinion on a decision in the negative taken by a safety authority as regards the granting of a safety certificate or a safety authorisation pursuant to Articles 10 and 11.
Justification
Where negative decisions are taken by the Safety Authorities in the Member States regarding the safety certificates or safety authorisations, applicants should have the possibility of requesting a technical opinion from the Agency. This can be seen as a complementary action regarding the control of the decisions taken pursuant to Articles 10 and 11.
Amendment 23 ARTICLE 1, POINT 9 Article 26 (Directive 2004/49/EC)
The Annexes shall be adapted to scientific and technical progress. This measure, designed to amend non-essential elements of this Directive, shall be adopted in accordance with the regulatory control procedure referred to in Article 27(2a)."	The measures designed to amend non-essential elements of this Directive, by adapting the Annexes to scientific and technical progress, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 27(2a). On imperative grounds of urgency, the Commission may use the urgency procedure referred to in Article 27 (2b).
Justification
Reference should be made to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC. The amendment makes the necessary adjustments in line with the new comitology procedure and provides additional transparency for the adoption of the revision of the relevant measures in this proposal.
Amendment 24 ARTICLE 1, POINT 10 Article 27, paragraph 2a (Directive 2004/49/EC)
(10) In Article 27, the following paragraph 2a is inserted:	(10) In Article 27, the following paragraphs 2a and 2b shall be inserted:
Justification
The modification is made for text adaptation to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC.
Amendment 25 ARTICLE 1, POINT 10 A (new) Article 27, paragraph 2b (new) (Directive 2004/49/EC)
	(10a) In Article 27, the following paragraph 2b shall be inserted:
	2b. Where reference is made to this paragraph, Article 5a(1), (2), (4) and (6) and Article 7 of Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof.
Justification
Reference should be made to the new regulatory procedure with scrutiny laid down in Article 5a of Council Decision 1999/468/EC as amended by Decision 2006/512/EC. The amendment makes the necessary adjustments in line with the new comitology procedure and provides additional transparency for the adoption of the revision of the relevant measures in this proposal.
Amendment 26 ARTICLE 1, POINT 11 Annex VI, (Directive 2004/49/EC)
(11) Annex VI, the text of which is reproduced in the Annex to this Directive, is hereby added.	deleted
Justification
The relevant part of the Annex which set out the Parameters to be checked in conjunction with the placing in service of existing stock and the Classification of the national rules is transferred to the new Interoperability directive.
Amendment 27 ANNEX
ANNEX	deleted
Parameters to be checked in conjunction with the placing in service of existing rolling stock and the classification of the national rules
1. List of Parameters
(1) Background information
- information relating to the national legal framework in force
- special national conditions
- maintenance book
- operational log book
(2) Infrastructure characteristics
- pantographs
- on-board supply equipment and electromagnetic compatibility impact
- loading gauge
- miscellaneous safety equipment, e.g. control and command, track-to-train communication systems
(3) Rolling stock characteristics
- vehicle dynamics
- vehicle superstructure
- draw and buffer gear
- bogie and running gear
- wheel set / wheel set bearing
- brake equipment
- technical systems requiring monitoring; e.g. compressed air system
- front / side windows
- doors
- devices for passing
- control systems (software)
- drinking water and wastewater systems
- environmental protection
- fire protection
- health and safety in the workplace
- tank and tank wagons
- pressure discharge containers
- load securing
- marking
- welding techniques
2. Classification of the rules
The national rules relating to the parameters identified above are attributed to one of the following three groups. Rules and restrictions of a strictly local nature are not involved; their verification involves checks to be put in place by mutual agreement between the railway undertakings and the infrastructure managers.
Group A
Group A covers:
- international standards,
- national rules deemed to be equivalent, in railway safety terms, to national rules of other Member States.
Group B
Group B covers all rules that do not fall within the scope of Group A or Group C, or that it has not yet been possible to classify in one of these groups.
Group C
Group C covers rules that are strictly necessary and are associated with technical infrastructure characteristics, in order to ensure safe and interoperable use in the network concerned (e.g. the loading gauge).
Justification
The relevant part of the Annex which set out the Parameters to be checked in conjunction with the placing in service of existing stock and the Classification of the national rules is transferred to the new Interoperability directive. This is proposed mainly for reasons of clarity and coherence of the text, as elements related to the cross acceptance can be gathered together under the new directive on interoperability of community rail system, thus simplifying the regulatory environment and avoiding the spread of the community rules.

• [1]  Not yet published in OJ.

EXPLANATORY STATEMENT

The new Commission's initiative on Community railways is subscribed under the objective of facilitating the free movement of trains and the approval of locomotives.

Three legislative proposals are proposed by the Commission for the improvement and simplification of the existing legislative framework: the directive on Interoperability of the Community rail system[1], which merges the two existing interoperability directives (Dir. 96/48/EC on high speed and Dir. 2001/16/EC on conventional rail system[2]) into one, the directive amending the existing Directive 2004/49/EC on safety on the Community's railways[3] and the regulation amending Regulation 881/2004/EC establishing the European Railway Agency[4].

In addition, the Commission presented a Communication on "Facilitating the movement of locomotives across the EU" accompanied by a guidance document aiming at the improvement of the technical part of the Community regulatory framework in the railway area and promoting the acceptance of railway rolling stock in EU[5].

1. The cross acceptance of rolling stock in the EU

Problem definition

Rolling stock accepted for operational services within one Member State is not necessarily cross-accepted in another Member State. Member State cannot decide on its own that the authorisation for placing in service which it issues will be valid on the territory of other Member States.

Definition of cross-acceptance

Cross-acceptance of rolling stock is the process by which a railway vehicle that has received an authorisation to be placed in service in one Member State, following checks against Technical Specifications of Interoperability (TSI) and/or National Technical Rules (in accordance with Directive 2001/16/EC, Article 16), receives further authorisations in other Member States, taking into due consideration all the checks carried out in the first Member State. [6]

Cross-acceptance can be achieved either through harmonisation or through the application of the mutual recognition principle. Regarding the rolling stock, a distinction should be made between placing on the market and placing in service. In the latter case, there is a need to ensure that the rolling stock is compatible with the national railway infrastructure. The only exception to this principle are restrictions imposed by the Member State of destination on the grounds described in Article 30 of the EC Treaty, e.g. public security, protection of health and life of humans, or on the basis of overriding requirements of general public importance as recognised by the Court of Justice’s case law, provided that they are proportionate.

Present situation

The Commission characterises the various obstacles to rolling stock-acceptance of technical, procedural or political nature which impose costs to railway undertakings and manufacturers when placing rolling stock into service. Today, the lack of adequate and transparent procedures for the approval of locomotives and traction units[7] are regarded as one of the main barriers to the creation of new railway and a major obstacle to the interoperability of the European railway system[8].

Article 14 of Railway Safety Directive (Dir. 2004/49/EC) covers the placing into service of the existing rolling stock bearing no 'EC' certificate in another or other Member States, while Interoperability Directives regulate how rolling stock should be accepted on the existing infrastructure. Therefore, the mutual recognition principle could be applied to existing rolling stock (not yet covered by the Interoperability Directives), at least for those characteristics not directly linked to specific infrastructures[9].

2. Commission’s proposal amending Directive 2004/49/EC on Safety on the Community's railways

Railway Safety Directive (RSD) is revised in order to solve the problem of existing rolling stock authorised for entry into service in one Member State but not automatically accepted in another one. The modifications proposed are related to the other two Commission's proposals on the new interoperability directive and on the regulation amending Regulation 881/2004/EC of ERA.

A new procedure for the certification of the existing rolling stock has been proposed to replace the existing article 14 of the RSD. The new system will be based on the principle of mutual recognition for rolling stock already issued by a Member State for placing equipment into service. According to the Commission, rolling stock already authorised to be placed into service in one Member State should be required to undergo complementary certification in another Member State concerning only a certain additional national requirements arising, for example from local system specification. Where the Safety Authority intends not to grant the certificate, it is called upon to demonstrate the existence of a safety risk.

In order to overcome national "obstacles" European Railway Agency (ERA) is seen to be attributed specific tasks for drawing up a tool (reference document) with the classification of national rules into three groups (Art. 14a and new Annnex). As soon as is it completed, it will be possible to specify which part of the authorisation must be mutually recognised and which one is strictly linked to the compatibility of the vehicle in question with the infrastructure referred to Art. 14.

The term "keeper" of a vehicle is proposed in line with the definition given in COTIF[10] 1999. Regarding the responsibility for operating the railway system and placing in service of rolling stock, it is proposed to establish clear distinction relationship between railway undertakings and wagon keepers for maintenance, and possibly, a maintenance certification system (new Art. 14b).

The new comitology procedure (regulatory procedure with scrutiny - Article 5a of Decision 1999/468/EC) is proposed for certain measures, e.g. the adoption of common safety methods and targets, the reference document and to the maintenance certification system for keepers.

Specific tasks to the ERA have been attributed, e.g. requirements governing the acceptance of rolling stock and the criteria for safety certification of the railway undertakings.

Concerning transposition, the Member States are asked to comply no later than two years after the adoption of the directive and set up a correlation table with the provisions necessary to comply with this Directive.

3. The main proposals of the Rapporteur

The Rapporteur supports the Commission's proposal amending Directive 2004/49/EC which will improve the regulatory framework, thus facilitating the free movement of trains. There is a need to clarify the process whereby only additional checks linked to the specificity of national infrastructure should be carried out and ensure that the mutual recognition of rolling stock will be applied without discriminations, while offering a high level of safety.

Safety and interoperability

The safety requirements should be part of the concept of interoperability and have to be seen together with the interoperability objectives of the European rail system.

The imperatives of safety should not be used as an excuse to hinder the approval of rolling stock and the creation of new railway undertakings. To this end, a better definition of “national safety rules” has been proposed in order to give clarity to the fulfilment of the essential requirements.

As regards safety certificates, it is proposed to introduce a new wording ensuring that high level of safety instead of "complete safety" is provided for the services of railway network. As there is no complete safety in absolute terms, requesting such condition could create obstacles.

Transfer of Article 14 and its relative provisions in the Interoperability directive

Provisions included into the new Article 14 - Placing in service of existing stock – as well as those of 14a – Classification of the national rules – and Annex - reference document - are transferred to the Interoperability directive for reasons of clarity and coherence of the text, thus simplifying the regulatory environment and avoiding the spread of the community rules.[11]

ERA opinion on negative decisions on granting safety certificates or authorisations

When negative decisions are taken by the Safety Authorities in the Member States regarding the safety certificates or authorisations, applicants should have the possibility of requesting a technical opinion from the Agency.

Maintenance certification system for keepers

Responsibility on safety should be defined more clearly between the railway undertaken and the keeper. A fixed date for the introduction of the maintenance certification system for keepers is, therefore, proposed in order to ensure the safety of the rolling stock and the compliance to the requirements set out by the safety directive.

New regulatory procedure with scrutiny

Adjustments in the wording of the new regulatory procedure with scrutiny are proposed.

ANNEX

Reference document to be drawn up by ERA

Under Article 14a, it is proposed that the ERA identifies the different national procedures and technical rules in force and draws up and updates a reference document cross-referencing all the national rules applied by Member States for putting rolling stock into service pursuant to Article 8a of Regulation 881/2004/EC.

In order to list the requirements that can be verified only once, the technical and safety rules in force in each Member State shall be classified into three groups on the basis of the parameters listed in Annex to the revised Railway Safety Directive (Dir. 2004/49/EC).

The classification document will include three groups, A, B and C:

Group A	internationally accepted standards (once checked by any Member State, do not need further checking for cross-acceptance)
Group B	all rules that do not fall within the scope of Group A or Group C, or that it has not yet been possible to classify them in one of these groups [12]
Group C	Rules that are strictly essential and necessary, associated with technical infrastructure characteristics, in order to ensure safe and interoperable use in the network concerned (e.g. the loading gauge).

The three Groups do not include "rules" for purely local requirements and restrictions that apply only to (minor) parts of a country's infrastructure.

• [1]  . COM (2006) 783, final
• [2]  . Both amended by Dir. 2004/50/EC of the European Parliament and of the Council of 29 April 2004 amending Council Directive 96/48/EC on the interoperability of the trans-European high-speed rail system and Directive 2001/16/EC of the European Parliament and of the Council on the interoperability of the trans-European conventional rail system.
• [3]  . COM (2006) 784, final
• [4]  . COM (2006) 785, final
• [5]  . COM(2006)782, final and SEC(2006) 1640.
• [6]  . See Commission's analysis in the document "Full impact assessment", SEC(2006) 1641.
• [7]  . Diesel multiple units (DMUs) and electric multiple units (EMUs).
• [8]  . As a quantifiable example, only 15% of the locomotives and traction units can interoperate in Europe, see Short Briefing Note on interoperability of Community rail system 2, commissioned by the Policy Department B of DG IPOL, No IP/B/TRAN/FWC/2006-156/lot [2]/C[1]/SC[2] Interoperability 2.
• [9]  . This option was proposed by the Commission's Task Force.
• [10]  . Convention relative aux Transports Internationaux Ferroviaires.
• [11]  . This view was confirmed by the Content of the Short Briefing Note on interoperability of Community rail system 1, commissioned by the Policy Department B of DG IPOL, No IP/B/TRAN/FWC/2006-156/lot [2]/C[1]/SC[1] Interoperability 1.
• [12]  . It covers requirements used in specific countries that might be fit for cross acceptance or technical characteristics of the infrastructure for safe and interoperable operation in the country in question. Under this Group, a vehicle could be accepted, if the applicant can prove that a standard equivalent to the relevant national requirements is ensured.

PROCEDURE

Title	Amendment of Directive 2004/49/EC on safety on the Community’s railways
References	COM(2006)0784 - C6-0493/2006 - 2006/0272(COD)
Date submitted to Parliament	13.12.2006
Committee responsible        Date announced in plenary	TRAN 17.1.2007
Rapporteur(s)        Date appointed	Paolo Costa 23.1.2007
Discussed in committee	12.4.2007		5.6.2007		10.9.2007
Date adopted	11.9.2007
Result of final vote	+: –: 0:	40 0 0
Members present for the final vote	Michael Cramer, Luis de Grandes Pascual, Arūnas Degutis, Christine De Veyrac, Petr Duchoň, Saïd El Khadraoui, Robert Evans, Emanuel Jardim Fernandes, Mathieu Grosch, Georg Jarzembowski, Stanisław Jałowiecki, Dieter-Lebrecht Koch, Jaromír Kohlíček, Sepp Kusstatscher, Bogusław Liberadzki, Eva Lichtenberger, Robert Navarro, Paweł Bartłomiej Piskorski, Luís Queiró, Reinhard Rack, Luca Romagnoli, Gilles Savary, Brian Simpson, Renate Sommer, Dirk Sterckx, Silvia-Adriana Ţicău, Yannick Vaugrenard, Roberts Zīle
Substitute(s) present for the final vote	Zsolt László Becsey, Johannes Blokland, Philip Bradbourn, Zita Gurmai, Jeanine Hennis-Plasschaert, Anne E. Jensen, Jelko Kacin, Antonio López-Istúriz White, Helmuth Markov, Willem Schuth, Catherine Stihler, Ari Vatanen