HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"L 343/32
EN
Official Journal of the European Union
14.12.2012
DIRECTIVES
DIRECTIVE 2012/34/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 21 November 2012
establishing a single European railway area
(recast)
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
market, and the railways are a vital part of the Union
EUROPEAN UNION,
transport sector moving towards achieving sustainable
mobility.
Having regard to the Treaty on the Functioning of the European
Union, and in particular Article 91 thereof,
(3) The
efficiency
of
the
railway
system
should
be
improved,
in order to integrate it into a competitive market, whilst
taking account of the special features of the railways.
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national
(4) Member
States
with
an
important
share
of
rail
traffic
parliaments,
with third countries which have the same railway
gauge which is different from the main rail network
within the Union should be able to have specific oper
Having regard to the opinion of the European Economic and
ational rules ensuring both coordination between their
Social Committee ( 1 ),
infrastructure managers and those of the third countries
concerned and fair competition between railway under
takings.
Having regard to the opinion of the Committee of the
Regions ( 2 ),
(5) In
order
to
render
railway
transport
efficient
and
competitive with other modes of transport, Member
Acting in accordance with the ordinary legislative procedure ( 3 ),
States should ensure that railway undertakings have the
status of independent operators behaving in a
commercial manner and adapting to market needs.
Whereas:
(1) Council
Directive
91/440/EEC
of
29
July
1991
on
the (6) In
order
to
ensure
the
future
development
and
efficient
development of the Community's railways (
operation of the railway system, a distinction should be

4 ), Council
Directive 95/18/EC of 19 June 1995 on the licensing
made between the provision of transport services and the
of railway undertakings (
operation of infrastructure. Given that situation, it is

5 ) and Directive 2001/14/EC of
the European Parliament and of the Council of
necessary for these two activities to be managed
26 February 2001 on the allocation of railway infra
separately and to have separate accounts. Provided that
structure capacity and the levying of charges for the
those separation requirements are met, that no conflicts
use of railway infrastructure (
of interest arise and that the confidentiality of commer

6 ) have been substantially
amended. Since further amendments are necessary,
cially sensitive information is guaranteed, infrastructure
those Directives should be recast and merged into a
managers should have the possibility to outsource
single act in the interest of clarity.
specific administrative tasks, such as the collection of
charges, to entities other than those active in railway
transport services markets.
(2)
Greater integration of the Union transport sector is an
essential element of the completion of the internal
(7) The
principle
of
freedom
to
provide
services
should
be
applied to the railway sector, taking into account that
( 1 ) OJ C 132, 3.5.2011, p. 99.
sector's specific characteristics.
( 2 ) OJ C 104, 2.4.2011, p. 53.
( 3 ) Position of the European Parliament of 16 November 2011 (not yet
published in the Official Journal) and Position of the Council at first
reading of 8 March 2012 (OJ C 108 E, 14.4.2012, p. 8). Position of
(8) In
order
to
boost
competition
in
railway
service
the European Parliament of 3 July 2012 and decision of the Council
management in terms of improved comfort and the
of 29 October 2012.
services provided to users, Member States should retain
( 4 ) OJ L 237, 24.8.1991, p. 25.
( 5 ) OJ L 143, 27.6.1995, p. 70.
general responsibility for the development of the appro
( 6 ) OJ L 75, 15.3.2001, p. 29.
priate railway infrastructure.

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EN
14.12.2012 Official
Journal
of
the
European
Union L
343/33
(9) In
the
absence
of
common
rules
on
allocation
of
infra
(16) In
order
to
ensure
that
access
rights
to
railway
infra
structure costs, Member States should, after consulting
structure are applied throughout the Union in a
the infrastructure manager, lay down rules providing
uniform and non-discriminatory manner, it is appro
for railway undertakings to pay for the use of railway
priate to introduce a licence for railway undertakings.
infrastructure. Such rules should not discriminate
between railway undertakings.
(17) In
the
case
of
journeys
with
intermediate
stops,
new
market entrants should be authorised to pick up and
(10) Member States should ensure that infrastructure
set down passengers along the route in order to ensure
managers and existing publicly owned or controlled
that such operations are economically viable and to avoid
railway transport undertakings are given a sound
placing potential competitors at a disadvantage compared
financial structure, having due regard to Union rules on
to existing operators.
State aid. This is without prejudice to the competence of
the Member States regarding infrastructure planning and
financing.
(18) The introduction of new, open-access, international
passenger services with intermediate stops should not
be used to open up the market for domestic passenger
(11) Applicants
should
be
given
the
opportunity
to
express
services, but should merely focus on stops that are
their views on the content of the business plan as far as
ancillary to the international route. The principal
the use, provision and development of the infrastructure
purpose of the new services should be to carry
are concerned. This should not necessarily entail full
passengers travelling on an international journey. When
disclosure of the business plan developed by the infra
assessing whether that is the service's principal purpose,
structure manager.
criteria such as the proportion of turnover, and of
volume, derived from transport of domestic or inter
national passengers, and the length of the service
should be taken into account. The assessment of the
service's principal purpose should be carried out by the
(12) Since
private
branch
lines
and
sidings,
such
as
sidings
respective national regulatory body at the request of an
and lines in private industrial facilities, are not part of
interested party.
the railway infrastructure as defined by this Directive,
managers of those infrastructures should not be subject
to the obligations imposed on infrastructure managers
under this Directive. However, non-discriminatory
access to branch lines and sidings should be guaranteed,
(19) Regulation (EC) No 1370/2007 of the European
irrespective of their ownership, where they are needed to
Parliament and of the Council of 23 October 2007 on
get access to services facilities which are essential for the
public passenger transport services by rail and by road ( 1 )
provision of transport services and where serving or
authorises Member States and local authorities to award
potentially serving more than one final customer.
public service contracts which may contain exclusive

rights to operate certain services. It is therefore
necessary to ensure that the provisions of that Regulation
are consistent with the principle of opening up inter
national passenger services to competition.
(13) Member
States
should
be
able
to
decide
to
cover
infra
structure expenditure through means other than direct
State funding, such as public private partnership and
private sector financing.
(20) Opening up international passenger services to
competition may have implications for the organisation
and financing of rail passenger services provided under a
public service contract. Member States should have the
(14) The
profit
and
loss
account
of
an
infrastructure
manager
option of limiting the right of access to the market where
should be balanced over a reasonable time period, which,
that right would compromise the economic equilibrium
once established, might be exceeded under exceptional
of those public service contracts and where approval is
circumstances, such as a major and sudden deterioration
given by the relevant regulatory body on the basis of an
in the economic situation in a Member State affecting
objective economic analysis, following a request from the
substantially the level of traffic on its infrastructure or
competent authorities that awarded the public service
the level of available public financing. In accordance with
contract.
international accounting rules, the amount of loans to
finance infrastructure projects does not appear in such
profit and loss accounts.
(21) The
assessment
of
whether
the
economic
equilibrium
of
the public service contract has been compromised should
take into account predetermined criteria such as the
(15) An
efficient freight sector, especially across borders,
requires action to open up the market.
( 1 ) OJ L 315, 3.12.2007, p. 1.

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L 343/34
EN
Official Journal of the European Union
14.12.2012
impact on the profitability of any services which are
goods or passengers for which the facility is used. Such
included in a public service contract, including the
independence should not entail the establishment of a
resulting impacts on the net cost to the competent
separate legal entity for service facilities.
public authority that awarded the contract, passenger
demand, ticket pricing, ticketing arrangements, location
and number of stops on both sides of the border and
timing and frequency of the proposed new service. In
(27) Non-discriminatory
access
to
service
facilities
and
the
accordance with such an assessment and the decision
supply of rail-related services in these facilities should
of the relevant regulatory body, Member States should
allow railway undertakings to offer better services to
be able to authorise, modify or deny the right of access
passengers and freight users.
for the international passenger service sought, including
the levying of a charge on the operator of a new inter
national passenger service, in line with the economic
analysis and in accordance with Union law and the prin
(28) While
Directive
2009/72/EC
of
the
European
Parliament
ciples of equality and non-discrimination.
and of the Council of 13 July 2009 concerning common
rules for the internal market in electricity ( 1 ) provides for
the opening of the European electricity market, traction
current should be supplied to railway undertakings upon
(22) In order to contribute to the operation of passenger
request in a non-discriminatory manner. When there is
services on lines fulfilling a public service obligation,
only one supplier available, the charge imposed for such
Member States should be able to authorise the authorities
service should be set under uniform charging principles.
responsible for those services to impose a levy on
passenger services which fall within the jurisdiction of
those authorities. That levy should contribute to the
financing of public service obligations laid down in
(29) In respect of relations with third countries, special
public service contracts.
consideration should be given to the existence of
reciprocal access for Union railway undertakings to the
rail market of those third countries and this should be
facilitated through the cross-border agreements.
(23) The
regulatory
body
should
function
in
a
way
which
avoids any conflict of interests and any possible
involvement in the award of the public service contract
(30) In
order
to
ensure
dependable
and
adequate
services,
it
is
under consideration. The powers of the regulatory body
necessary to ensure that, at all times, railway under
should be extended to allow for an assessment of the
takings meet certain requirements in relation to good
purpose of an international service and, where appro
repute, financial fitness and professional competence.
priate, of the potential economic impact on existing
public service contracts.
(31) For the protection of customers and the third parties
concerned it is essential to ensure that railway under
(24) In
order
to
invest
in
services
using
specialised
infra
takings are sufficiently insured against liability.
structure, such as high-speed railway lines, applicants
Coverage of that liability in the event of accidents
need legal certainty given the substantial long-term
through guarantees provided by banks or other under
investment involved.
takings should also be allowed, provided that such
coverage is offered under market conditions, does not
result in State aid and does not contain elements of
discrimination against other railway undertakings.
(25) The
regulatory
bodies
should
exchange
information
and,
where relevant in individual cases, should coordinate the
principles and practice of assessing whether the
economic equilibrium of a public service contract is
(32) A
railway
undertaking
should
also
be
required
to
comply
compromised. They should progressively develop
with national and Union law on the provision of railway
guidelines based on their experience.
services, applied in a non-discriminatory manner, which
are intended to ensure that it can carry on its activity in
complete safety and with due regard to health, social
conditions and the rights of workers and consumers on
(26) In
order
to
ensure
fair
competition
between
railway
specific stretches of track.
undertakings and to guarantee full transparency and the
non-discriminatory access to and supply of services, a
distinction should be made between the provision of
transport services and the operation of service facilities.
(33) The
procedures
for
granting,
maintaining
and
amending
Thus, it is necessary for these two types of activity to be
licences for railway undertakings should be transparent
managed independently where the operator of the service
and in accordance with the principle of non-discrimi
facility belongs to a body or firm which is also active and
nation.
holds a dominant position at national level in at least
one of the railway transport markets for the carriage of
( 1 ) OJ L 211, 14.8.2009, p. 55.

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EN
14.12.2012 Official
Journal
of
the
European
Union L
343/35
(34) To
ensure
transparency
and
non-discriminatory
access
to
encourage railway infrastructure managers to optimise
rail infrastructure, and to services in service facilities, for
use of their infrastructure.
all railway undertakings, all the information required to
use access rights should be published in a network
statement. The network statement should be published
in at least two official languages of the Union in line
(44) Railway
undertakings
should
receive
clear
and
consistent
with existing international practices.
economic signals from capacity-allocation schemes and
from charging schemes which lead them to make rational
decisions.
(35) Appropriate
capacity-allocation
schemes
for
rail
infra
structure coupled with competitive operators will result
in a better balance of transport between modes.
(45) Rolling
noise
caused
by
brake
blocks
with
cast
iron
tech
nology, used on freight wagons, is one of the causes of
noise emissions that could be reduced with appropriate
(36) Infrastructure
managers
should
be
given
incentives,
such
technical solutions. Noise differentiated infrastructure
as bonuses for managing directors, to reduce the level of
charges should primarily address the freight wagons
access charges and the costs of providing infrastructure.
that do not fulfil the requirements of Commission
Decision 2006/66/EC of 23 December 2005 concerning
the technical specification for interoperability relating to
(37) The
obligation
of
Member
States
to
ensure
that
the
infra
the subsystem 'rolling stock — noise' of the trans-
structure manager performance targets and medium to
European conventional rail system ( 1 ). When such differ
long-term incomes are implemented through a
entiation results in a loss of revenue for the infrastructure
contractual agreement between the competent authority
manager, it should be without prejudice to Union rules
and the infrastructure manager should be without
on State aid.
prejudice to the competence of the Member States
regarding planning of and financing for railway infra
structure.
(46) Noise-differentiated infrastructure charges should
complement other measures to reduce noise produced
by rail traffic, such as the adoption of technical specifi
(38) Encouraging
optimal
use
of
the
railway
infrastructure
will
cations for interoperability (TSI) setting maximum levels
lead to a reduction in the cost of transport to society.
of noise produced by railway vehicles, noise mapping
and action plans to reduce noise exposure under
Directive 2002/49/EC of the European Parliament and
(39) Methods
for apportioning costs established
by infra
of the Council of 25 June 2002 relating to the
structure managers should be based on the best
assessment and management of environmental noise ( 2 )
available understanding of cost causation and should
as well as Union and national public funding for the
apportion costs to the different services offered to
retrofitting of rail vehicles and for noise-reduction infra
railway undertakings and, where relevant, to types of
structures.
rail vehicles.
(47) Noise-reduction
measures
equivalent
to
those
adopted
for
(40) Appropriate charging schemes for rail infrastructure
the rail sector should be considered for other modes of
coupled with appropriate charging schemes for other
transport.
transport infrastructures and competitive operators
should result in an optimal balance of different
transport modes on a sustainable basis.
(48) In order to accelerate the installation of the European
Train Control System (ETCS) on board locomotives,
(41) When
levying
mark-ups,
distinct
market
segments
should
infrastructure managers should modify the charging
be defined by the infrastructure manager where the costs
system through a temporary differentiation for trains
of providing the transport services, their market prices or
equipped with ETCS. Such a differentiation should give
their requirements for service quality differ considerably.
appropriate incentives to equip trains with ETCS.
(42) The
charging and capacity-allocation
schemes should
(49) In
order
to
take
into
account
the
need
of
users,
or
permit equal and non-discriminatory access for all under
potential users, of railway infrastructure capacity to
takings and should attempt, as far as possible, to meet
plan their business, and the needs of customers and
the needs of all users and traffic types in a fair and non-
funders, it is important that infrastructure managers
discriminatory manner. Such schemes should allow fair
ensure that infrastructure capacity is allocated in a way
competition in the provision of railway services.
which reflects the need to maintain and improve service
reliability levels.
(43) Within the framework set out by Member States,
( 1 ) OJ L 37, 8.2.2006, p. 1.
charging and capacity-allocation schemes should
( 2 ) OJ L 189, 18.7.2002, p. 12.

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L 343/36
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Official Journal of the European Union
14.12.2012
(50) It is desirable for railway undertakings and the infra
(62) A
lack
of
information
about
other
railway
undertakings'
structure manager to be provided with incentives to
requests and about the constraints within the system may
minimise disruption and improve performance of the
make it difficult for railway undertakings to seek to
network.
optimise their infrastructure capacity requests.
(51) Member States
should have the option of allowing
(63) It is important to ensure better coordination of allocation
purchasers of railway services to enter the capacity-allo
schemes in order to improve the attractiveness of rail for
cation process directly.
traffic which uses the network of more than one infra
structure manager, in particular for international traffic.
(52) It is important to have regard to the business
requirements of both applicants and the infrastructure
(64) It is important to minimise the distortions of
manager.
competition which may arise, either between railway
infrastructures or transport modes, from significant
differences in charging principles.
(53) It is important to maximise the flexibility available to
infrastructure managers with regard to the allocation of
infrastructure capacity, but this should be consistent with
(65) It
is
desirable
to
define
those
components
of
the
infra
satisfying the applicant's reasonable requirements.
structure service which are essential to enable an
operator to provide a service and which should be
provided in return for minimum access charges.
(54) The capacity-allocation process should prevent the
imposition of undue constraints on the wishes of other
undertakings, holding, or intending to hold, rights to use
(66) Investment
in railway
infrastructure
is
necessary
and
the infrastructure, to develop their business.
infrastructure charging schemes should provide incentives
for infrastructure managers to make appropriate
investments economically attractive.
(55) Capacity
allocation
and
charging
schemes
may
need
to
take account of the fact that different components of the
rail infrastructure network may have been designed with
(67) To
enable
the
establishment
of
appropriate
and
fair
levels
different principal users in mind.
of infrastructure charges, infrastructure managers need to
record and establish the value of their assets and develop
a clear understanding of the factors which determine the
(56) As different users and types of users will frequently have
cost of operating the infrastructure.
a different impact on infrastructure capacity, the needs of
different services need to be properly balanced.
(68) It
is
desirable
to
ensure
that
account
is
taken
of
external
costs when making transport decisions and that rail
(57) Services
operated
under
contract
to
a
public
authority
infrastructure charging can contribute to the internali
may require special rules to safeguard their attractiveness
sation of external costs in a coherent and balanced way
to users.
across all modes of transport.
(58) The
charging and capacity-allocation
schemes should
(69) It
is
important
to
ensure
that
charges
for
domestic
and
take account of the effects of increasing saturation of
international traffic are such as to permit rail to meet the
infrastructure capacity and, ultimately, the scarcity of
needs of the market. Consequently, infrastructure
capacity.
charging should be set at the cost that is directly
incurred as a result of operating the train service.
(59) The different time-frames for planning traffic types
should ensure that requests for infrastructure capacity
(70) The
overall
level
of
cost
recovery
through
infrastructure
which are made after the completion of the process for
charges affects the necessary level of government
establishing the annual working timetable can be
contribution. Member States may require different levels
satisfied.
of overall cost recovery. However, any infrastructure
charging scheme should allow traffic which can at least
pay for the additional cost which it imposes to use the
(60) To
ensure
the
optimum
outcome
for
railway
under
rail network.
takings, it is desirable to require an examination of the
use of infrastructure capacity when the coordination of
requests for capacity is required to meet the needs of
(71) Railway
infrastructure
is
a
natural
monopoly
and
it
is
users.
therefore necessary to provide infrastructure managers
with incentives to reduce costs and to manage their infra
structure efficiently.
(61) In
view
of
their
monopolistic
position,
infrastructure
managers should be required to examine the available
infrastructure capacity, and methods of enhancing it
(72) The
development
of
railway
transport
should
be
achieved
when the capacity-allocation process is unable to meet
by using, inter alia, the Union instruments available,
the requirements of users.
without prejudice to priorities already established.

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EN
14.12.2012 Official
Journal
of
the
European
Union L
343/37
(73) Discounts
which
are
granted
to
railway
undertakings
Commission, when preparing and drawing up delegated
should relate to actual administrative cost savings
acts, should ensure a simultaneous, timely and appro
made, in particular transaction costs savings. Discounts
priate transmission of relevant documents to the
may also be granted to promote the efficient use of
European Parliament and to the Council.
infrastructure.
(81) In
order
to
ensure
uniform
conditions
for
the
implemen
(74) It is desirable for railway undertakings and the infra
tation of this Directive, implementing powers should be
structure manager to be provided with incentives to
conferred on the Commission. Those powers should be
minimise disruption of the network.
exercised in accordance with Regulation (EU) No
182/2011 of the European Parliament and of the
Council of 16 February 2011 laying down the rules
(75) The
allocation
of
capacity
is
associated
with
a
cost
to
the
and general principles concerning mechanisms for
infrastructure manager, payment for which should be
control by Member States of the Commission's exercise
required.
of implementing powers ( 1 ).
(76) The
efficient
management
and
fair
and
non-discrimi
(82) Implementing
acts
related
to
the
principal
purpose
of
rail
natory use of rail infrastructure require the establishment
services, the assessment of impact of new international
of a regulatory body that oversees the application of the
services on the economic equilibrium of public service
rules set out in this Directive and acts as an appeal body,
contracts, the levies on railway undertakings providing
without prejudice to the possibility of judicial review.
passenger services, access to the services to be supplied
Such a regulatory body should be able to enforce its
in essential service facilities, the details on the procedure
information requests and decisions by means of appro
to be followed to obtain a licence, the modalities for the
priate penalties.
calculation of direct cost for the application of the
charging for the cost of noise effects and for the appli
cation of the differentiation of the infrastructure charge
to give incentives to equip trains with ETCS and the
(77) The
financing
of
the
regulatory
body
should
guarantee
its
common principles and practices for the regulatory
independence and should come either from the State
bodies decision-making should not be adopted by the
budget or from contributions of the sector levied in a
Commission where the committee established pursuant
compulsory way, while respecting the principles of
to this Directive delivers no opinion on the draft imple
fairness, transparency, non-discrimination and propor
menting act presented by the Commission.
tionality.
(83) Since the objectives of this Directive, namely to foster the
(78) Appropriate procedures for appointing staff should
development of the Union railways, to set out broad
contribute to guaranteeing the independence of the regu
principles for granting licences to railway undertakings
latory body, ensuring in particular that the appointment
and to coordinate arrangements in the Member States
of persons in charge of decisions is made by a public
governing the allocation of railway infrastructure
authority which does not directly exert ownership rights
capacity and the charges made for the use thereof,
over regulated undertakings. Provided that that condition
cannot be sufficiently achieved by the Member States
is met, such an authority could be, for example, a
on account of the manifestly international dimension
parliament, a President or a Prime Minister.
of issuing such licences and operating significant
elements of the railway networks, and of the need to
ensure fair and non-discriminatory terms for access to
(79) Specific
measures
are
required
to
take
account
of
the
the infrastructure, and can therefore, by reason of their
specific geopolitical and geographical situation of
trans-national implications, be better achieved at Union
certain Member States and the particular organisation
level, the Union may adopt measures in accordance with
of the railway sector in various Member States while
the principle of subsidiarity as set out in Article 5 of the
ensuring the integrity of the internal market.
Treaty on European Union. In accordance with the
principle of proportionality, as set out in that Article,
this Directive does not go beyond what is necessary to
achieve those objectives.
(80) In order to take into account the evolution of the rail
market, the power to adopt acts in accordance with
Article 290 of the Treaty on the Functioning of the
European Union (TFEU) should be delegated to the
(84) The
obligation
to
transpose
this
Directive
into
national
Commission in respect of the technical amendments to
law should be confined to those provisions which
the information to be provided by the undertaking
represent a substantive change as compared with the
applying for a licence, to the list of classes of delay, to
earlier Directives. The obligation to transpose the
the schedule for the allocation process, and to the
provisions of this Directive, which are substantively
accounting information to be supplied to the regulatory
unchanged as compared with the earlier Directives,
bodies. It is of particular importance that the
arises under those Directives.
Commission carry out appropriate consultations during
its preparatory work, including at expert level. The
( 1 ) OJ L 55, 28.2.2011, p. 13.

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Official Journal of the European Union
14.12.2012
(85) The
Member
States
which
have
no
railway
system,
and
Notwithstanding the first subparagraph, when such a railway
no immediate prospect of having one, would be subject
undertaking is under the direct or indirect control of an under
to a disproportionate and pointless obligation if they had
taking or another entity performing or integrating rail transport
to transpose and implement Chapters II and IV of this
services other than urban, suburban or regional services, Articles
Directive. Therefore, such Member States should be
4 and 5 shall apply. Article 6 shall also apply to such a railway
exempted from that obligation.
undertaking with regard to the relationship between the railway
undertaking and the undertaking or entity which controls it
directly or indirectly.
(86) In
accordance
with
the
Joint
Political
Declaration
of
Member States and the Commission of 28 September
2011 on explanatory documents ( 1 ), Member States
2. Member
States
may
exclude
the
following
from
the
appli
have undertaken to accompany, in justified cases, the
cation of Chapter III:
notification of their transposition measures with one or
more documents explaining the relationship between the
components of a Directive and the corresponding parts
(a) undertakings which only operate rail passenger services on
of national transposition instruments. With regard to this
local and regional stand-alone railway infrastructure;
Directive, the legislator considers the transmission of
such documents to be justified.
(b) undertakings which only operate urban or suburban rail
passenger services;
(87) This
Directive
should
be
without
prejudice
to
the
time
limits set out in Part B of Annex IX, within which
Member States are to comply with the earlier Directives,
(c) undertakings which only operate regional rail freight
services;
HAVE ADOPTED THIS DIRECTIVE:
(d) undertakings which only operate freight services on
privately owned railway infrastructure that exists solely for
CHAPTER I
use by the infrastructure owner for its own freight oper
GENERAL PROVISIONS
ations.
Article 1
3. Member
States
may
exclude
the
following
from
the
appli
Subject-matter and scope
cation of Articles 7, 8 and 13 and Chapter IV:
1. This
Directive
lays
down:
(a) local and regional stand-alone networks for passenger
(a) the rules applicable to the management of railway infra
services on railway infrastructure;
structure and to rail transport activities of the railway under
takings established or to be established in a Member State as
set out in Chapter II;
(b) networks intended only for the operation of urban or
suburban rail passenger services;
(b) the criteria applicable to the issuing, renewal or amendment
of licences by a Member State intended for railway under
(c) regional networks which are used for regional freight
takings which are or will be established in the Union as set
services solely by a railway undertaking that is not
out in Chapter III;
covered under paragraph 1 until capacity on that network
is requested by another applicant;
(c) the principles and procedures applicable to the setting and
collecting of railway infrastructure charges and the allo
(d) privately owned railway infrastructure that exists solely for
cation of railway infrastructure capacity as set out in
use by the infrastructure owner for its own freight oper
Chapter IV.
ations.
2. This
Directive
applies
to
the
use
of
railway
infrastructure 4. Without
prejudice
to
paragraph
3,
Member
States
may
for domestic and international rail services.
exclude local and regional railway infrastructures which do
not have any strategic importance for the functioning of the
rail market from the application of Article 8(3) and local
Article 2
railway infrastructures which do not have any strategic
Exclusions from the scope
importance for the functioning of the rail market from the
application of Chapter IV. Member States shall notify the
1. Chapter
II
shall
not
apply
to
railway
undertakings
which Commission of their intention to exclude such railway infra
only operate urban, suburban or regional services on local and
structures. In accordance with the advisory procedure referred
regional stand-alone networks for transport services on railway
to in Article 62(2), the Commission shall decide whether such
infrastructure or on networks intended only for the operation of
railway infrastructure may be considered to be without any
urban or suburban rail services.
strategic importance taking into account the length of railway
lines concerned, their level of use and the traffic volume poten
( 1 ) OJ C 369, 17.12 2011, p. 14.
tially impacted.

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EN
14.12.2012 Official
Journal
of
the
European
Union L
343/39
5. Member
States
may
exclude
from
the
application
of (2) 'infrastructure manager' means any body or firm
Article 31(5) vehicles operated or intended to be operated
responsible in particular for establishing, managing and
from and to third countries, running on a network whose
maintaining railway infrastructure, including traffic
track gauge is different from the main rail network within the
management and control-command and signalling; the
Union.
functions of the infrastructure manager on a network or
part of a network may be allocated to different bodies or
firms;
6. Member
States
may
decide
time
periods
and
deadlines
for
the schedule for capacity allocation which are different from
those referred to in Article 43(2), point 2(b) of Annex VI and
(3) 'railway infrastructure' means the items listed in Annex I;
points 3, 4 and 5 of Annex VII if the establishment of inter
national train paths in cooperation with infrastructure managers
of third countries on a network whose track gauge is different
from the main rail network within the Union has a significant
(4) 'international freight service' means a transport service
impact on the schedule for capacity allocation in general.
where the train crosses at least one border of a Member
State; the train may be joined and/or split and the different
sections may have different origins and destinations,
7. Member
States
may
decide
to
publish
the
charging
provided that all wagons cross at least one border;
framework and charging rules applicable specifically to inter
national freight services from and to third countries operated
on a network whose track gauge is different from the main rail
(5) 'international passenger service' means a passenger service
network within the Union with different instruments and
where the train crosses at least one border of a Member
deadlines than those provided under Article 29(1) where this
State and where the principal purpose of the service is to
is required to ensure fair competition.
carry passengers between stations located in different
Member States; the train may be joined and/or split, and
the different sections may have different origins and desti
8. Member
States
may
exclude
from
the
application
of
nations, provided that all carriages cross at least one
Chapter IV railway infrastructure, whose track gauge is
border;
different from the main rail network within the Union, and
which connects cross-border stations of a Member State to
the territory of a third country.
(6) 'urban and suburban services' means transport services
whose principal purpose is to meet the transport needs
of an urban centre or conurbation, including a cross-
9. This
Directive
shall
not
apply
to
undertakings
the
business
border conurbation, together with transport needs
of which is limited to providing solely shuttle services for road
between such a centre or conurbation and surrounding
vehicles through undersea tunnels or to transport operations in
areas;
the form of shuttle services for road vehicles through such
tunnels except Article 6(1) and (4) and Articles 10, 11, 12
and 28.
(7) 'regional services' means transport services whose principal
purpose is to meet the transport needs of a region,
including a cross-border region;
10. Member
States
may
exclude
from
the
application
of
Chapter II, with the exception of Article 14, and Chapter IV,
any railway service carried out in transit through the Union.
(8) 'transit' means crossing territory of the Union without
loading or unloading goods, and/or without picking up
passengers or setting them down in territory of the Union;
11. Member
States
may
exclude
from
the
application
of
Article 32(4) trains not equipped with the European Train
Control System (ETCS) and used for regional passenger
services which have been placed into service for the first time
(9) 'alternative route' means another route between the same
before 1985.
origin and destination where there is substitutability
between the two routes for the operation of the freight
or passenger service concerned by the railway undertaking;
Article 3
Definitions
(10) 'viable alternative' means access to another service facility
For the purpose of this Directive, the following definitions
which is economically acceptable to the railway under
apply:
taking, and allows it to operate the freight or passenger
service concerned;
(1) 'railway undertaking' means any public or private under
taking licensed according to this Directive, the principal
(11) 'service facility' means the installation, including ground
business of which is to provide services for the transport
area, building and equipment, which has been specially
of goods and/or passengers by rail with a requirement that
arranged, as a whole or in part, to allow the supply of
the undertaking ensure traction; this also includes under
one or more services referred to in points 2 to 4 of
takings which provide traction only;
Annex II;

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Official Journal of the European Union
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(12) 'operator of service facility' means any public or private
(23) 'framework agreement' means a legally binding general
entity responsible for managing one or more service
agreement under public or private law, setting out the
facilities or supplying one or more services to railway
rights and obligations of an applicant and the infra
undertakings referred to in points 2 to 4 of Annex II;
structure manager in relation to the infrastructure
capacity to be allocated and the charges to be levied
over a period longer than one working timetable period;
(13) 'cross-border agreement' means any agreement between
two or more Member States or between Member States
and third countries intended to facilitate the provision of
(24) 'infrastructure capacity' means the potential to schedule
cross-border rail services;
train paths requested for an element of infrastructure for
a certain period;
(14) 'licence' means an authorisation issued by a licensing
authority to an undertaking, by which its capacity to
provide rail transport services as a railway undertaking is
(25) 'network' means the entire railway infrastructure managed
recognised; that capacity may be limited to the provision
by an infrastructure manager;
of specific types of services;
(26) 'network statement' means the statement which sets out in
(15) 'licensing authority' means the body responsible for
detail the general rules, deadlines, procedures and criteria
granting licences within a Member State;
for charging and capacity-allocation schemes, including
such other information as is required to enable appli
cations for infrastructure capacity;
(16) 'contractual agreement' means an agreement or, mutatis
mutandis, an arrangement within the framework of admin
istrative measures;
(27) 'train path' means the infrastructure capacity needed to run
a train between two places over a given period;
(17) 'reasonable profit' means a rate of return on own capital
that takes account of the risk, including that to revenue, or
the absence of such risk, incurred by the operator of the
(28) 'working timetable' means the data defining all planned
service facility and is in line with the average rate for the
train and rolling-stock movements which will take place
sector concerned in recent years;
on the relevant infrastructure during the period for which
it is in force;
(18) 'allocation' means the allocation of railway infrastructure
capacity by an infrastructure manager;
(29) 'storage siding' means sidings specifically dedicated to
temporary parking of railway vehicles between two assign
ments;
(19) 'applicant' means a railway undertaking or an international
grouping of railway undertakings or other persons or legal
entities, such as competent authorities under Regulation
(EC) No 1370/2007 and shippers, freight forwarders and
(30) 'heavy maintenance' means work that is not carried out
combined transport operators, with a public-service or
routinely as part of day-to-day operations and requires the
commercial interest in procuring infrastructure capacity;
vehicle to be removed from service.
(20) 'congested infrastructure' means an element of infra
CHAPTER II
structure for which demand for infrastructure capacity
cannot be fully satisfied during certain periods even after
DEVELOPMENT OF THE UNION RAILWAYS
coordination of the different requests for capacity;
SECTION 1
Management independence
(21) 'capacity-enhancement plan' means a measure or series of
Article 4
measures with a calendar for their implementation which
aim to alleviate the capacity constraints which led to the
Independence of railway undertakings and infrastructure
declaration of an element of infrastructure as 'congested
managers
infrastructure';
1. Member States shall ensure that, as regards management,
administration and internal control over administrative,
economic and accounting matters, railway undertakings
(22) 'coordination' means the process through which the infra
directly or indirectly owned or controlled by Member States
structure manager and applicants will attempt to resolve
have independent status in accordance with which they will
situations in which there are conflicting applications for
hold, in particular, assets, budgets and accounts which are
infrastructure capacity;
separate from those of the State.

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14.12.2012 Official
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European
Union L
343/41
2. While respecting the charging and allocation framework
company law of Member States relating to the appointment of
and the specific rules established by the Member States, the
board members.
infrastructure manager shall be responsible for its own
management, administration and internal control.
SECTION 2
Article 5
Separation of infrastructure management and transport
Management of the railway undertakings according to
operations and of different types of transport operations
commercial principles
Article 6
1. Member
States
shall
enable
railway
undertakings
to
adjust
Separation of accounts
their activities to the market and to manage those activities
under the responsibility of their management bodies, in the
1. Member
States
shall
ensure
that
separate
profit
and
loss
interests of providing efficient and appropriate services at the
accounts and balance sheets are kept and published, on the one
lowest possible cost for the quality of service required.
hand, for business relating to the provision of transport services
by railway undertakings and, on the other, for business relating
to the management of railway infrastructure. Public funds paid
Railway undertakings shall be managed according to the prin
to one of these two areas of activity shall not be transferred to
ciples which apply to commercial companies, irrespective of
the other.
their ownership. This shall also apply to the public service
obligations imposed on them by Member States and to public
service contracts which they conclude with the competent auth
2. Member
States
may
also
provide
that
this
separation
shall
orities of the State.
require the organisation of distinct divisions within a single
undertaking or that the infrastructure and transport services
2. Railway
undertakings
shall
determine
their
business
plans, shall be managed by separate entities.
including their investment and financing programmes. Such
plans shall be designed to achieve the undertakings' financial
equilibrium and other technical, commercial and financial
3. Member
States
shall
ensure
that
separate
profit
and
loss
management objectives; they shall also indicate the means of
accounts and balance sheets are kept and published, on the one
attaining those objectives.
hand, for business relating to the provision of rail freight
transport services and, on the other, for activities relating to
the provision of passenger transport services. Public funds
3. With
reference
to
the
general
policy
guidelines
issued
by paid for activities relating to the provision of transport
each Member State and taking into account national plans and
services as public-service remits shall be shown separately in
contracts (which may be multiannual) including investment and
accordance with Article 7 of Regulation (EC) No 1370/2007
financing plans, railway undertakings shall, in particular, be free
in the relevant accounts and shall not be transferred to activities
to:
relating to the provision of other transport services or any other
business.
(a) establish their internal organisation, without prejudice to the
provisions of Articles 7, 29 and 39;
4. The
accounts
for
the
different
areas
of
activity
referred
to
in paragraphs 1 and 3 shall be kept in a way that allows for
(b) control the supply and marketing of services and fix the
monitoring of the prohibition on transferring public funds paid
pricing thereof;
to one area of activity to another and the monitoring of the use
of income from infrastructure charges and surpluses from other
(c) take decisions on staff, assets and own procurement;
commercial activities.
(d) expand their market share, develop new technologies and
Article 7
new services and adopt any innovative management tech
niques;
Independence of essential functions of an infrastructure
manager
(e) establish new activities in fields associated with the railway
1. Member
States
shall
ensure
that
the
essential
functions
business.
determining equitable and non-discriminatory access to infra
structure, are entrusted to bodies or firms that do not them
selves provide any rail transport services. Regardless of organi
This paragraph is without prejudice to Regulation (EC) No
sational structures, this objective shall be shown to have been
1370/2007.
achieved.
4. Notwithstanding
paragraph
3,
shareholders
of
publicly
owned or controlled railway undertakings shall be able to
The essential functions shall be:
require their own prior approval for major business
management decisions in the same way as shareholders of
private joint-stock companies under the rules of the company
(a) decision-making on train path allocation, including both the
law of Member States. The provisions of this Article shall be
definition and the assessment of availability and the allo
without prejudice to the powers of supervisory bodies under the
cation of individual train paths; and

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(b) decision-making on infrastructure charging, including deter
means for these objectives to be achieved. The infrastructure
mination and collection of the charges, without prejudice to
manager shall ensure that known applicants and, upon their
Article 29(1).
request, potential applicants have access to the relevant
information and are given the opportunity to express their
views on the content of the business plan regarding the
Member States may, however, assign to railway undertakings or
conditions for access and use and the nature, provision and
any other body the responsibility for contributing to the devel
development of the infrastructure before its approval by the
opment of the railway infrastructure, for example through
infrastructure manager.
investment, maintenance and funding.
4. Member States shall ensure that, under normal business
2. Where
the
infrastructure
manager,
in
its
legal
form, conditions and over a reasonable period which shall not exceed
organisation or decision-making functions, is not independent
a period of five years, the profit and loss account of an infra
of any railway undertaking, the functions referred to in Sections
structure manager shall at least balance income from infra
2 and 3 of Chapter IV shall be performed respectively by a
structure charges, surpluses from other commercial activities,
charging body and by an allocation body that are independent
non-refundable incomes from private sources and State
in their legal form, organisation and decision-making from any
funding, on the one hand, including advance payments from
railway undertaking.
the State, where appropriate, and infrastructure expenditure, on
the other hand.
3. When the provisions of Sections 2 and 3 of Chapter IV
refer to the essential functions of an infrastructure manager,
Without prejudice to the possible long-term aim of user cover
they shall be understood as applying to the charging body or
of infrastructure costs for all modes of transport on the basis of
the allocation body for their respective powers.
fair, non-discriminatory competition between the various

modes, where rail transport is able to compete with other
modes of transport, within the charging framework of Articles
31 and 32, a Member State may require the infrastructure
SECTION 3
manager to balance his accounts without State funding.
Improvement of the financial situation
Article 8
Article 9
Financing of the infrastructure manager
Transparent debt relief
1. Member
States
shall
develop
their
national
railway
infra
1. Without
prejudice
to
Union
rules
on
State
aid
and
in
structure by taking into account, where necessary, the general
accordance with Articles 93, 107 and 108 TFEU, Member
needs of the Union, including the need to cooperate with neigh
States shall set up appropriate mechanisms to help reduce the
bouring third countries. For that purpose, they shall publish by
indebtedness of publicly owned or controlled railway under
16 December 2014, after consultation with the interested
takings to a level which does not impede sound financial
parties, an indicative rail infrastructure development strategy
management and which improves their financial situation.
with a view to meeting future mobility needs in terms of main
tenance, renewal and development of the infrastructure based
on sustainable financing of the railway system. That strategy
shall cover a period of at least five years and be renewable.
2. For
the
purposes
referred
to
in
paragraph
1,
Member
States may require a separate debt amortisation unit to be set
up within the accounting departments of such railway under
takings.
2. Having due regard to Articles 93, 107 and 108 TFEU,
Member States may also provide the infrastructure manager
with financing consistent with its functions as referred to in
point (2) of Article 3, the size of the infrastructure and
The balance sheet of the unit may be charged with all the loans
financial requirements, in particular in order to cover new
raised by the railway undertaking, both to finance investment
investments. Member States may decide to finance those
and to cover excess operating expenditure resulting from the
investments through means other than direct State funding. In
business of rail transport or from railway infrastructure
any case, Member States shall comply with the requirements
management, until such time as these loans are extinguished.
referred to in paragraph 4 of this Article.
Debts arising from subsidiaries' operations shall not be taken
into account.
3. Within
the
framework
of
general
policy
determined
by
the
Member State concerned and taking into account the strategy
3. Paragraphs
1
and
2
shall
apply
only
to
debts
or
interest
referred to in paragraph 1 and the financing provided by the
due on such debts incurred by publicly owned or controlled
Member States referred to in paragraph 2, the infrastructure
railway undertakings by the date of market opening for all or
manager shall adopt a business plan including investment and
part of rail transport services in the Member State concerned
financial programmes. The plan shall be designed to ensure
and in any case by 15 March 2001 or the date of accession to
optimal and efficient use, provision and development of the
the Union for the Member States which joined the Union after
infrastructure while ensuring financial balance and providing
that date.

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14.12.2012 Official
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European
Union L
343/43
SECTION 4
pre-determined criteria, after a request from any of the
following:
Access to railway infrastructure and services
Article 10
(a) the competent authority or competent authorities that
Conditions of access to railway infrastructure
awarded the public service contract;
1. Railway
undertakings
shall
be
granted,
under
equitable,
non-discriminatory and transparent conditions, the right to
(b) any other interested competent authority with the right to
access to the railway infrastructure in all Member States for
limit access under this Article;
the purpose of operating all types of rail freight services. That
right shall include access to infrastructure connecting maritime
(c) the infrastructure manager;
and inland ports and other service facilities referred to in point
2 of Annex II, and to infrastructure serving or potentially
serving more than one final customer.
(d) the railway undertaking performing the public service
contract.
2. Railway
undertakings
shall
be
granted
the
right
of
access The competent authorities and the railway undertakings
to railway infrastructure in all Member States for the purpose of
providing the public services shall provide the relevant regu
operating an international passenger service. Railway under
latory body or bodies with the information reasonably
takings shall, in the course of an international passenger
required to reach a decision. The regulatory body shall
service, have the right to pick up passengers at any station
consider the information provided by these parties, and, as
located along the international route and set them down at
appropriate, shall ask for relevant information from, and
another, including stations located in the same Member State.
initiate consultation with, all relevant parties, within one
That right shall include access to infrastructure connecting
month of receipt of the request. The regulatory body shall
service facilities referred to in point 2 of Annex II.
consult all the relevant parties as appropriate, and shall
inform the relevant parties of its reasoned decision within a
pre-determined, reasonable time, and, in any case, within six
3. Following
the
request
from
the
relevant
competent
auth
weeks of receipt of all relevant information.
orities or interested railway undertakings, the relevant regulatory
body or bodies referred to in Article 55 shall determine whether
3. The regulatory body shall give the grounds for its decision
the principal purpose of the service is to carry passengers
and specify the time period within which, and the conditions
between stations located in different Member States.
under which, any of the following may request a recon
sideration of the decision:
4. Based
on
the
experience
of
regulatory
bodies,
competent (a) the relevant competent authority or competent authorities;
authorities and railway undertakings and based on the activities
of the network referred to in Article 57(1), the Commission
shall adopt by 16 December 2016 measures setting out the
(b) the infrastructure manager;
details of the procedure and criteria to be followed for the
application of paragraph 3 of this Article. Those implementing
(c) the railway undertaking performing the public service
acts shall be adopted in accordance with the examination
contract;
procedure referred to in Article 62(3).
(d) the railway undertaking seeking access.
Article 11
4. Based
on
the
experience
of
regulatory
bodies,
competent
Limitation of the right of access and of the right to pick up
authorities and railway undertakings and based on the activities
and set down passengers
of the network referred to in Article 57(1), the Commission
1. Member
States
may
limit
the
right
of
access
provided
for shall adopt by 16 December 2016 measures setting out the
in Article 10 on services between a place of departure and a
details of the procedure and criteria to be followed for the
destination which are covered by one or more public service
application of paragraphs 1, 2 and 3 of this Article. Those
contracts which are in accordance with Union law. Such limi
implementing acts shall be adopted in accordance with the
tation shall not have the effect of restricting the right to pick up
examination procedure referred to in Article 62(3).
passengers at any station located along the route of an inter
national service and to set them down at another, including
5. Member
States
may
also
limit
the
right
to
pick
up
and
set
stations located in the same Member State, except where the
down passengers at stations within the same Member State
exercise of that right would compromise the economic equi
along the route of an international passenger service where an
librium of a public service contract.
exclusive right to convey passengers between those stations has
been granted under a concession contract awarded before
4 December 2007 on the basis of a fair competitive
2. Whether
the
economic
equilibrium
of
a
public
service tendering procedure and in accordance with the relevant prin
contract would be compromised shall be determined by the
ciples of Union law. Such a limitation may continue for the
relevant regulatory body or bodies referred to in Article 55
original duration of the contract, or 15 years, whichever is
on the basis of an objective economic analysis and based on
shorter.

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6. Member
States
shall
ensure
that
the
decisions
referred
to
Article 13
in paragraphs 1, 2, 3 and 5 are subject to judicial review.
Conditions of access to services
1. Infrastructure
managers
shall
supply
to
all
railway
under
takings, in a non-discriminatory manner, the minimum access
package laid down in point 1 of Annex II.
Article 12
Levy on railway undertakings providing passenger services
1. Without
prejudice
to
Article
11(2),
Member
States
may, 2. Operators
of
service
facilities
shall
supply
in
a
non-
under the conditions laid down in this Article, authorise the
discriminatory manner to all railway undertakings access,
authority responsible for rail passenger transport to impose a
including track access, to the facilities referred to in point 2
levy on railway undertakings providing passenger services for
of Annex II, and to the services supplied in these facilities.
the operation of routes which fall within the jurisdiction of that
authority and which are operated between two stations in that
Member State.
3. To
guarantee
full
transparency
and
non-discrimination
of
access to the service facilities referred to in points 2(a), (b), (c),
(d), (g) and (i) of Annex II, and the supply of services in these
facilities where the operator of such a service facility is under
In that case, railway undertakings providing domestic or inter
direct or indirect control of a body or firm which is also active
national rail passenger transport services shall be subject to the
and holds a dominant position in national railway transport
same levy on the operation of routes which fall within the
services markets for which the facility is used, the operators
jurisdiction of that authority.
of these service facilities shall be organised in such a way that
they are independent of this body or firm in organisational and
decision-making terms. Such independence shall not imply the
requirement of the establishment of a separate legal entity for
service facilities and may be fulfilled with the organisation of
2. The levy is intended to compensate the authority for
distinct divisions within a single legal entity.
public service obligations laid down in public service
contracts awarded in accordance with Union law. The revenue
raised from such a levy and paid as compensation shall not
exceed what is necessary to cover all or part of the cost
incurred in the relevant public service obligations taking into
For all service facilities referred to in point 2 of Annex II, the
account the relevant receipts and a reasonable profit for
operator and the body or firm shall have separate accounts,
discharging those obligations.
including separate balance sheets and profit and loss accounts.
Where operation of the service facility is ensured by an infra
3. The
levy
shall
be
imposed
in
accordance
with
Union
law, structure manager or the operator of the service facility is under
and shall respect in particular the principles of fairness, trans
the direct or indirect control of an infrastructure manager
parency, non-discrimination and proportionality, in particular
compliance with the requirements set out in this paragraph
between the average price of the service to the passenger and
shall be deemed to be demonstrated by the fulfilment of the
the level of the levy. The total levies imposed pursuant to this
requirements set out in Article 7.
paragraph shall not endanger the economic viability of the rail
passenger transport service on which they are imposed.
4. Requests
by
railway
undertakings
for
access
to,
and
supply
of services in the service facility referred to in point 2 of Annex
II shall be answered within a reasonable time limit set by the
4. The
relevant
authorities
shall
keep
the
information regulatory body referred to in Article 55. Such requests may
necessary to ensure that the origin of the levies and their use
only be refused if there are viable alternatives allowing them to
can be traced. Member States shall provide the Commission
operate the freight or passenger service concerned on the same
with this information.
or alternative routes under economically acceptable conditions.
This shall not oblige the operator of the service facility to make
investments in resources or facilities in order to accommodate
all requests by railway undertakings.
5. Based
on
the
experience
of
regulatory
bodies,
competent
authorities and railway undertakings and based on the activities
of the network referred to in Article 57(1), the Commission
Where requests by railway undertakings concern access to, and
shall adopt measures setting out the details of the procedure
supply of services in a service facility managed by an operator
and criteria to be followed for the application of this Article.
of the service facility referred to in paragraph 3, the operator of
Those implementing acts shall be adopted in accordance with
the service facility shall justify in writing any decision of refusal
the examination procedure referred to in Article 62(3).
and indicate viable alternatives in other facilities.

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5. Where
an
operator
of
the
service
facility
referred
to
in undertakings, or restrict the freedom of railway undertakings to
point 2 of Annex II encounters conflicts between different
operate cross-border services.
requests, it shall attempt to meet all requests in so far as
possible. If no viable alternative is available, and it is not
possible to accommodate all requests for capacity for the
relevant facility on the basis of demonstrated needs, the
2. Member
States
shall
notify
the
Commission
of
any
cross-
applicant may complain to the regulatory body referred to in
border agreement by 16 June 2013, for the agreements
Article 55 which shall examine the case and take action, where
concluded before that date, and before their conclusion for
appropriate, to ensure that an appropriate part of the capacity is
new or revised agreements between Member States. The
granted to that applicant.
Commission shall decide whether such agreements are in
compliance with Union law within nine months of notification
for agreements concluded before 15 December 2012 and
within four months of notification for new or revised
6. Where
a
service
facility
referred
to
in
point
2
of
Annex
II agreements between Member States. Those implementing acts
has not been in use for at least two consecutive years and
shall be adopted in accordance with the advisory procedure
interest by railway undertakings for access to this facility has
referred to in Article 62(2).
been expressed to the operator of that service facility on the
basis of demonstrated needs, its owner shall publicise the
operation of the facility as being for lease or rent as a rail
service facility, as a whole or in part, unless the operator of
3. Without
prejudice
to
the
division
of
competence
between
that service facility demonstrates that an ongoing process of
the Union and the Member States, in accordance with Union
reconversion prevents its use by any railway undertaking.
law, Member States shall notify the Commission of their
intention to enter into negotiations on, and to conclude, new
or revised cross-border agreements between Member States and
third countries.
7. Where the operator of the service facility provides any of
the services referred to in point 3 of Annex II as additional
services, it shall supply them upon request to railway under
4. If,
within
two
months
of
the
receipt
of
the
notification
of
takings in a non-discriminatory manner.
a Member State's intention to enter into the negotiations
referred to in paragraph 2, the Commission concludes that
the negotiations are likely to undermine the objectives of
Union negotiations underway with the third countries
8. Railway
undertakings
may
request,
as
ancillary
services, concerned and/or to lead to an agreement which is incom
further services referred to in point 4 of Annex II from the
patible with Union law, it shall inform the Member State
infrastructure manager or from other operators of the service
accordingly.
facility. The operator of the service facility is not obliged to
supply these services. Where the operator of the service
facility decides to offer to others any of these services, it shall
supply them upon request to railway undertakings in a non-
Member States shall keep the Commission regularly informed of
discriminatory manner.
any such negotiations and, where appropriate, invite the
Commission to participate as an observer.
9. Based
on
the
experience
of
regulatory
bodies
and 5. Member
States
shall
be
authorised
to
provisionally
apply
operators of service facilities and based on the activities of
and/or to conclude new or revised cross-border agreements with
the network referred to in Article 57(1), the Commission may
third countries, provided that they are compatible with Union
adopt measures setting out the details of the procedure and
law and do not harm the object and purpose of the transport
criteria to be followed for access to the services to be
policy of the Union. The Commission shall adopt such auth
supplied in the service facilities referred to in points 2 to 4
orisation decisions. Those implementing acts shall be adopted in
of Annex II. Those implementing acts shall be adopted in
accordance with the advisory procedure referred to in
accordance with the examination procedure referred to in
Article 62(2).
Article 62(3).


SECTION 6
SECTION 5
Monitoring tasks of the Commission
Cross-border agreements
Article 15
Article 14
Scope of market monitoring
General principles for cross-border agreements
1. The
Commission
shall
make
the
necessary
arrangements
1. Member
States
shall
ensure
that
the
provisions
contained to monitor technical and economic conditions and market
in cross-border agreements do not discriminate between railway
developments in Union rail transport.

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2. In
this
context,
the
Commission
shall
closely
involve
CHAPTER III
representatives of the Member States, including representatives
of the regulatory bodies referred to in Article 55, and represen
LICENSING OF RAILWAY UNDERTAKINGS
tatives of the sectors concerned in its work, including, where
SECTION 1
appropriate, the railway sector's social partners, users and repre
sentatives of local and regional authorities, so that they are
Licensing authority
better able to monitor the development of the railway sector
Article 16
and the evolution of the market, to assess the effect of the
measures adopted and to analyse the impact of the measures
Licensing authority
planned by the Commission. Where appropriate, the
Commission shall also involve the European Railway Agency,
Each Member State shall designate a licensing authority that
in accordance with its functions as provided for in Regulation
shall be responsible for issuing licences and for carrying out
(EC) No 881/2004 of the European Parliament and of the
the obligations imposed by this Chapter.
Council of 29 April 2004 establishing a European Railway
Agency (Agency Regulation) ( 1 ).
The licensing authority shall not provide rail transport services
itself and shall be independent of firms or entities that do so.
3. The
Commission
shall
monitor
the
use
of
the
networks
and the evolution of framework conditions in the rail sector, in
particular infrastructure charging, capacity allocation,
SECTION 2
investments made in railway infrastructure, developments as
regards prices and the quality of rail transport services, rail
Conditions for obtaining a licence
transport services covered by public service contracts,
licensing and the degree of market opening and harmonisation
Article 17
between Member States, development of employment and the
General requirements
related social conditions in the rail sector. These monitoring
activities are without prejudice to similar activities in Member
1. An
undertaking
shall
be
entitled
to
apply
for
a
licence
in
States and to the role of social partners.
the Member State in which it is established.
4. The
Commission
shall
report
every
two
years
to
the 2. Member
States
shall
not
issue
licences
or
extend
their
European Parliament and the Council on:
validity where the requirements of this Chapter are not
complied with.
(a) the evolution of the internal market in rail services and
services to be supplied to railway undertakings, as referred
to in Annex II;
3. An
undertaking
which
fulfils
the
requirements
set
out
in
this Chapter shall be authorised to receive a licence.
(b) the framework conditions referred to in paragraph 3,
including for public passenger transport services by rail;
4. No
undertaking
shall
be
permitted
to
provide
the
rail
transport services covered by this Chapter unless it has been
(c) the state of the Union railway network;
granted the appropriate licence for the services to be provided.
(d) the utilisation of access rights;
However, such a licence shall not, in itself, entitle the holder to
access the railway infrastructure.
(e) barriers to more effective rail services;
(f) infrastructure limitations;
5. The
Commission
shall
adopt
measures
setting
out
the
details for the use of a common template for the licence and,
if needed to ensure fair and efficient competition in rail
(g) the need for legislation.
transport markets, details on the procedure to be followed for
the application of this Article. Those implementing acts shall be
adopted in accordance with the examination procedure referred
5. For the purposes of market monitoring by the to in Article 62(3).
Commission, Member States shall, while respecting the role of
the social partners, supply to the Commission on an annual
basis the necessary information on the use of the networks
and the evolution of framework conditions in the rail sector.
Article 18
Conditions for obtaining a licence
6. The Commission may adopt measures to ensure An undertaking applying for a licence shall be required to be
consistency in the reporting obligations of Member States.
able to demonstrate to the licensing authorities of the Member
Those implementing acts shall be adopted in accordance with
State concerned before the start of its activities that it will at
the examination procedure referred to in Article 62(3).
any time be able to meet the requirements relating to good
repute, financial fitness, professional competence and cover
( 1 ) OJ L 164, 30.4.2004, p. 1.
for its civil liability as listed in Articles 19 to 22.

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For those purposes, each undertaking applying for a licence
Article 21
shall provide all relevant information.
Requirements relating to professional competence
Article 19
The requirements relating to professional competence shall be
met when an undertaking applying for a licence can demon
Requirements relating to good repute
strate that it has or will have a management organisation which
possesses the knowledge or experience necessary to exercise safe
Member States shall define the conditions under which the
and reliable operational control and supervision of the type of
requirement of good repute is met to ensure that an under
operations specified in the licence.
taking applying for a licence or the persons in charge of its
management:
Article 22
(a) have not been convicted of serious criminal offences,
Requirements relating to cover for civil liability
including offences of a commercial nature;
Without prejudice to Union rules on State aid and in
accordance with Articles 93, 107 and 108 TFEU, a railway
(b) have not been declared bankrupt;
undertaking shall be adequately insured or have adequate guar
antees under market conditions for cover, in accordance with
national and international law, of its liabilities in the event of
(c) have not been convicted of serious offences set out in
accidents, in particular in respect of passengers, luggage, freight,
specific legislation applicable to transport;
mail and third parties. Notwithstanding this obligation, the
specificities and the risk-profile of different types of services,
in particular of railway operations for cultural or heritage
(d) have not been convicted of serious or repeated failure to
purposes, may be taken into account.
fulfil social or labour law obligations, including obligations

under occupational safety and health legislation, and
customs law obligations in the case of a company seeking
SECTION 3
to operate cross-border freight transport subject to customs
procedures.
Validity of the licence
Article 23
Article 20
Spatial and temporal validity
Requirements relating to financial fitness
1. A
licence
shall
be
valid
throughout
the
territory
of
the
1. The
requirements
relating
to
financial
fitness
shall
be
met Union.
when an undertaking applying for a licence can demonstrate
that it will be able to meet its actual and potential obligations,
established under realistic assumptions, for a period of 12
2. A licence shall be valid as long as the railway undertaking
months.
fulfils the obligations laid down in this Chapter. A licensing
authority may, however, make provision for a regular review.
If so, the review shall be carried out at least every five years.
2. The
licensing
authority
shall
verify
financial
fitness
especially by means of a railway undertaking's annual
accounts or, in the case of undertakings applying for a licence
3. Specific
provisions
governing
the
suspension
or
revo
which are unable to present annual accounts, a balance sheet.
cation of a licence may be incorporated in the licence itself.
Each undertaking applying for a licence shall provide at least the
information listed in Annex III.
Article 24
Temporary licence, approval, suspension and revocation
3. The
licensing
authority
shall
not
consider
an
undertaking
applying for a licence to be financially fit if considerable or
1. If
there
is
serious
doubt
that
a
railway
undertaking
which
recurrent arrears of taxes or social security are owed as a
it has licensed complies with the requirements of this Chapter,
result of that undertaking's activity.
and in particular those of Article 18, the licensing authority
may, at any time, check whether that railway undertaking
does in fact comply with those requirements.
4. The
licensing
authority
may
require
the
submission
of
an
audit report and suitable documents from a bank, public savings
bank, accountant or auditor. Those documents shall include the
Where a licensing authority is satisfied that a railway under
information listed in Annex III.
taking can no longer meet the requirements, it shall suspend or
revoke the licence.
5. The
Commission
shall
be
empowered
to
adopt
delegated
acts in accordance with Article 60 concerning certain
2. Where
the
licensing
authority
of
a
Member
State
is
amendments to Annex III. Thus, Annex III may be amended
satisfied that there is serious doubt regarding compliance with
to specify the information to be provided by undertakings
the requirements laid down in this Chapter on the part of a
applying for a licence or supplemented in the light of the
railway undertaking to which a licence has been issued by the
experience gained by licensing authorities or the evolution of
licensing authority of another Member State, it shall inform the
the rail transport market.
latter authority without delay.

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3. Notwithstanding paragraph 1, where a licence is
CHAPTER IV
suspended or revoked on grounds of non-compliance with
the requirement for financial fitness, the licensing authority
LEVYING OF CHARGES FOR THE USE OF RAILWAY INFRA
may grant a temporary licence pending the reorganisation of
STRUCTURE AND ALLOCATION OF RAILWAY INFRA
the railway undertaking, provided that safety is not jeopardised.
STRUCTURE CAPACITY
A temporary licence shall not, however, be valid for more than
SECTION 1
six months after its date of issue.
General principles
4. Where
a
railway
undertaking
has
ceased
operations
for
six
Article 26
months or has not started operations within six months of the
Effective use of infrastructure capacity
grant of a licence, the licensing authority may decide that the
licence shall be required to be resubmitted for approval or be
Member States shall ensure that charging and capacity-allo
suspended.
cation schemes for railway infrastructure follow the principles
set down in this Directive and thus allow the infrastructure
manager to market and make optimum effective use of the
As regards the start of activities, the railway undertaking may
available infrastructure capacity.
ask for a longer period to be fixed, taking account of the
specific nature of the services to be provided.
Article 27
5. In the event of a change affecting the legal situation of an
Network statement
undertaking and, in particular, in the event of a merger or
takeover, the licensing authority may decide that the licence
1. The
infrastructure
manager
shall,
after
consultation
with
shall be resubmitted for approval. The railway undertaking in
the interested parties, develop and publish a network statement
question may continue operations, unless the licensing authority
which shall be obtainable against payment of a fee which shall
decides that safety is jeopardised. In that event, the grounds for
not exceed the cost of publication of that statement. The
such a decision shall be given.
network statement shall be published in at least two official
languages of the Union. The content of the network
statement shall be made available free of charge in electronic
6. Where
a
railway
undertaking
intends
to
significantly format on the web portal of the infrastructure manager and
change or extend its activities, its licence shall be resubmitted
accessible through a common web portal. That web portal
to the licensing authority for review.
shall be set up by the infrastructure managers in the
framework of their cooperation in accordance with Articles
37 and 40.
7. A
licensing
authority
shall
not
permit
a
railway
under
taking against which bankruptcy or similar proceedings have
commenced to retain its licence if that authority is convinced
2. The
network
statement
shall
set
out
the
nature
of
the
that there is no realistic prospect of satisfactory financial
infrastructure which is available to railway undertakings, and
restructuring within a reasonable period of time.
contain information setting out the conditions for access to
the relevant railway infrastructure. The network statement
shall also contain information setting out the conditions for
8. Where
a
licensing
authority
issues,
suspends,
revokes
or access to service facilities connected to the network of the infra
amends a licence, it shall immediately inform the European
structure manager and for supply of services in these facilities or
Railway Agency accordingly. The European Railway Agency
indicate a website where such information is made available free
shall inform the licensing authorities of other Member States
of charge in electronic format. The content of the network
forthwith.
statement is laid down in Annex IV.
Article 25
3. The
network
statement
shall
be
kept
up
to
date
and
Procedure for granting licences
amended as necessary.
1. The procedures for granting licences shall be made public
by the Member State concerned, which shall inform the
4. The
network
statement
shall
be
published
no
less
than
Commission thereof.
four months in advance of the deadline for requests for infra
structure capacity.
2. The
licensing
authority
shall
take
a
decision
on
an
appli
cation as soon as possible, but not more than three months
after all relevant information, notably the particulars referred to
Article 28
in Annex III, has been submitted. The licensing authority shall
Agreements between railway undertakings and
take into account all the available information. The decision
infrastructure managers
shall be communicated to the undertaking applying for a
licence without delay. A refusal shall state the grounds on
Any railway undertaking engaged in rail transport services shall
which it is based.
conclude the necessary agreements under public or private law
with the infrastructure managers of the railway infrastructure
used. The conditions governing such agreements shall be non-
3. Member
States
shall
ensure
that
the
licensing
authority's discriminatory and transparent, in accordance with this
decisions are subject to judicial review.
Directive.

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SECTION 2
ensure that a contractual agreement, fulfilling the basic prin
ciples and parameters set out in Annex V, is concluded
Infrastructure and services charges
between the competent authority and the infrastructure
Article 29
manager covering a period of not less than five years.
Establishing, determining and collecting charges
1. Member
States
shall
establish
a
charging
framework
while Member States shall ensure that contractual agreements in force
respecting the management independence laid down in
on 15 December 2012 are modified, if necessary, to align them
Article 4.
with this Directive upon their renewal, or at the latest by
16 June 2015.
Subject to that condition, Member States shall also establish
specific charging rules or delegate such powers to the infra
3. Member
States
shall
implement
the
incentives
referred
to
structure manager.
in paragraph 1 through the contractual agreement referred to in
paragraph 2 or through regulatory measures or through a
combination of incentives to reduce costs in the contractual
Member States shall ensure that the network statement contains
agreement and the level of charges through regulatory measures.
the charging framework and charging rules or indicates a
website where the charging framework and charging rules are
published.
4. If
a
Member
State
decides
to
implement
the
incentives
referred to in paragraph 1 through regulatory measures, this
shall be based on an analysis of the achievable cost reductions.
The infrastructure manager shall determine and collect the
This shall be without prejudice to the powers of the regulatory
charge for the use of infrastructure in accordance with the
body to review the charges referred to in Article 56.
established charging framework and charging rules.
5. The
terms
of
the
contractual
agreement
referred
to
in
Without prejudice to the management independence laid down
paragraph 2 and the structure of the payments agreed to
in Article 4 and provided that the right has been directly
provide funding to the infrastructure manager shall be agreed
conferred by constitutional law before 15 December 2010,
in advance to cover the whole of the contractual period.
the national parliament may have the right to scrutinise and,
where appropriate, review the level of charges determined by
the infrastructure manager. Any such review shall ensure that
6.
Member States shall ensure that applicants and, upon their
charges comply with this Directive, the established charging
request, potential applicants are informed by the competent
framework and charging rules.
authority and the infrastructure manager and are given the
opportunity to express their views on the content of the
contractual agreement before it is signed. The contractual
2. Except
where
specific
arrangements
are
made
under agreement shall be published within one month of concluding
Article 32(3), infrastructure managers shall ensure that the
it.
charging scheme in use is based on the same principles over
the whole of their network.
The infrastructure manager shall ensure consistency between the
3. Infrastructure
managers
shall
ensure
that
the
application provisions of the contractual agreement and the business plan.
of the charging scheme results in equivalent and non-discrimi
natory charges for different railway undertakings that perform
services of an equivalent nature in a similar part of the market
7. Infrastructure
managers
shall
develop
and
maintain
a
and that the charges actually applied comply with the rules laid
register of their assets and the assets they are responsible for
down in the network statement.
managing which would be used to assess the financing needed
to repair or replace them. This shall be accompanied by details
of expenditure on renewal and upgrading of the infrastructure.
4. An
infrastructure
manager
shall
respect
the
commercial
confidentiality of information provided to it by applicants.
8. Infrastructure
managers
shall
establish
a
method
for
apportioning costs to the different categories of services
Article 30
offered to railway undertakings. Member States may require
prior approval. That method shall be updated from time to
Infrastructure cost and accounts
time on the basis of the best international practice.
1. Infrastructure
managers
shall,
with
due
regard
to
safety
and to maintaining and improving the quality of the infra
structure service, be given incentives to reduce the costs of
Article 31
providing infrastructure and the level of access charges.
Principles of charging
1. Charges for the use of railway infrastructure and of service
2. Without
prejudice
to
their
competence
regarding
railway facilities shall be paid to the infrastructure manager and to the
infrastructure planning and financing, and to the budgetary
operator of service facility respectively and used to fund their
principle of annuality, where applicable, Member States shall
business.

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2. Member
States
shall
require
the
infrastructure
manager Charging of environmental costs which results in an increase in
and the operator of service facility to provide the regulatory
the overall revenue accruing to the infrastructure manager shall
body with all necessary information on the charges imposed
however be allowed only if such charging is applied to road
in order to allow the regulatory body to perform its functions
freight transport in accordance with Union law.
as referred to in Article 56. The infrastructure manager and the
operator of service facility shall, in this regard, be able to
demonstrate to railway undertakings that infrastructure and
If charging for environmental costs generates additional
service charges actually invoiced to the railway undertaking
revenue, it shall be for Member States to decide how the
pursuant to Articles 30 to 37 comply with the methodology,
revenue is to be used.
rules and, where applicable, scales laid down in the network
statement.
Member States shall ensure that the necessary information is
kept and that the origin of the charging of environmental costs
3. Without prejudice to paragraph 4 or 5 of this Article or
and its application can be traced. Member States shall provide
to Article 32, the charges for the minimum access package and
the Commission with this information upon request.
for access to infrastructure connecting service facilities shall be
set at the cost that is directly incurred as a result of operating
the train service.
6. To
avoid
undesirable
disproportionate
fluctuations,
the
charges referred to in paragraphs 3, 4 and 5 may be averaged
over a reasonable spread of train services and times. Never
Before 16 June 2015, the Commission shall adopt measures
theless, the relative magnitude of the infrastructure charge
setting out the modalities for the calculation of the cost that
shall be related to the costs attributable to the services.
is directly incurred as a result of operating the train. Those
implementing acts shall be adopted in accordance with the
examination procedure referred to in Article 62(3).
7. The
charge
imposed
for
track
access
within
service
facilities referred to in point 2 of Annex II, and the supply of
services in such facilities, shall not exceed the cost of providing
The infrastructure manager may decide to gradually adapt to
it, plus a reasonable profit.
those modalities during a period of no more than four years
after the entry into force of those implementing acts.
8. Where services listed in points 3 and 4 of Annex II, as
additional and ancillary services are offered by only one
4. The
infrastructure
charges
referred
to
in
paragraph
3
may supplier, the charge imposed for such a service shall not
include a charge which reflects the scarcity of capacity of the
exceed the cost of providing it, plus a reasonable profit.
identifiable section of the infrastructure during periods of
congestion.
9. Charges may be levied for capacity used for the purpose
of infrastructure maintenance. Such charges shall not exceed the
5. The
infrastructure
charges
referred
to
in
paragraph
3
may net revenue loss to the infrastructure manager caused by the
be modified to take account of the cost of environmental effects
maintenance.
caused by the operation of the train. Any such modification
shall be differentiated according to the magnitude of the
effect caused.
10. The operator of the facility for supply of the services
referred to in points 2, 3 and 4 of Annex II shall provide the
infrastructure manager with the information on charges to be
Based on the experience gained by infrastructure managers,
included in the network statement or shall indicate a website
railway undertakings, regulatory bodies and competent auth
where such information is made available free of charge in
orities, and recognising existing schemes on noise differenti
electronic format in accordance with Article 27.
ation, the Commission shall adopt implementing measures
setting out the modalities to be followed for the application
of the charging for the cost of noise effects including its
Article 32
duration of application and enabling the differentiation of infra
Exceptions to charging principles
structure charges to take into account, where appropriate, the
sensitivity of the area affected, in particular in terms of the size
1. In
order
to
obtain
full
recovery
of
the
costs
incurred
by
of population affected and the train composition with an
the infrastructure manager a Member State may, if the market
impact on the level of noise emissions. Those implementing
can bear this, levy mark-ups on the basis of efficient, trans
acts shall be adopted in accordance with the examination
parent and non-discriminatory principles, while guaranteeing
procedure referred to in Article 62(3). They shall not result in
optimal competitiveness of rail market segments. The charging
the undue distortion of competition between railway under
system shall respect the productivity increases achieved by
takings or affect the overall competitiveness of the rail sector.
railway undertakings.
Any such modification of infrastructure charges to take account
The level of charges shall not, however, exclude the use of
of the cost of noise effects shall support the retrofitting of
infrastructure by market segments which can pay at least the
wagons with the most economically viable low-noise braking
cost that is directly incurred as a result of operating the railway
technology available.
service, plus a rate of return which the market can bear.

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Before approving the levy of such mark-ups, Member States
Notwithstanding this obligation, Member States may decide that
shall ensure that the infrastructure managers evaluate their
this differentiation of infrastructure charges does not apply to
relevance for specific market segments, considering at least
railway lines specified in Decision 2009/561/EC on which only
the pairs listed in point 1 of Annex VI and retaining the
ETCS equipped trains may run.
relevant ones. The list of market segments defined by infra
structure managers shall contain at least the three following
segments: freight services, passenger services within the
framework of a public service contract and other passenger
Member States may decide to extend this differentiation to
services.
railway lines not specified in Decision 2009/561/EC.
Infrastructure managers may further distinguish market
Before 16 June 2015 and following an impact assessment, the
segments according to commodity or passengers transported.
Commission shall adopt measures setting out modalities to be
followed in applying the differentiation of the infrastructure
charge according to a time-frame consistent with the ERTMS
Market segments in which railway undertakings are not
European Deployment Plan established under Decision
currently operating but may provide services during the
2009/561/EC and ensuring that it does not result in any
period of validity of the charging system shall also be defined.
overall change in revenue for the infrastructure manager.
The infrastructure manager shall not include a mark-up in the
Those implementing measures shall adapt the modalities of
charging system for those market segments.
the differentiation applicable to trains operating local and
regional services using a limited section of the railway
corridors specified in Decision 2009/561/EC. Those imple
The list of market segments shall be published in the network
menting acts shall be adopted in accordance with the exam
statement and shall be reviewed at least every five years. The
ination procedure referred to in Article 62(3). They shall not
regulatory body referred to in Article 55 shall control that list
result in the undue distortion of competition between railway
in accordance with Article 56.
undertakings or affect the overall competitiveness of the rail
sector.
2. For
the
carriage
of
goods
from
and
to
third
countries
operated on a network whose track gauge is different from
5. To
prevent
discrimination,
Member
States
shall
ensure
the main rail network within the Union, infrastructure
that any given infrastructure manager's average and marginal
managers may set higher charges in order to obtain full costs
charges for equivalent use of its infrastructure are comparable
recovery of the costs incurred.
and that comparable services in the same market segment are
subject to the same charges. The infrastructure manager shall
show in the network statement that the charging system meets
3. For
specific
future
investment
projects,
or
specific these requirements in so far as this can be done without
investment projects that have been completed after 1988, the
disclosing confidential business information.
infrastructure manager may set or continue to set higher
charges on the basis of the long-term costs of such projects if
they increase efficiency or cost-effectiveness or both and could
not otherwise be or have been undertaken. Such a charging
6. If
an
infrastructure
manager
intends
to
modify
the
arrangement may also incorporate agreements on the sharing
essential elements of the charging system referred to in
of the risk associated with new investments.
paragraph 1 of this Article, it shall make them public at least
three months in advance of the deadline for the publication of
the network statement according to Article 27(4).
4. The
infrastructure
charges
for
the
use
of
railway
corridors
which are specified in Commission Decision 2009/561/EC ( 1 )
shall be differentiated to give incentives to equip trains with
Article 33
the ETCS compliant with the version adopted by the
Commission Decision 2008/386/EC
( 2 ) and successive
Discounts
versions. Such differentiation shall not result in any overall
change in revenue for the infrastructure manager.
1. Without
prejudice
to
Articles
101,
102,
106
and
107
TFEU and notwithstanding the direct cost principle laid down
in Article 31(3) of this Directive, any discount on the charges
( 1 ) Commission Decision 2009/561/EC of 22 July 2009 amending
levied on a railway undertaking by the infrastructure manager,
Decision 2006/679/EC as regards the implementation of the
for any service, shall comply with the criteria set out in this
technical specification for interoperability relating to the control-
Article.
command and signalling subsystem of the trans-European conven
tional rail system (OJ L 194, 25.7.2009, p. 60).
( 2 ) Commission Decision 2008/386/EC of 23 April 2008 modifying
Annex A to Decision 2006/679/EC concerning the technical spec
ification for interoperability relating to the control-command and
2. With
the
exception
of
paragraph
3,
discounts
shall
be
signalling subsystem of the trans-European conventional rail
limited to the actual saving of the administrative cost to the
system and Annex A to Decision 2006/860/EC concerning the
infrastructure manager. In determining the level of discount, no
technical specification for interoperability relating to the control-
command and signalling subsystem of the trans-European high-
account may be taken of cost savings already internalised in the
speed rail system (OJ L 136, 24.5.2008, p. 11).
charge levied.

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L 343/52
EN
Official Journal of the European Union
14.12.2012
3. Infrastructure
managers
may
introduce
schemes
available amended in the light of the evolution of the rail market and
to all users of the infrastructure, for specified traffic flows,
experience gained by regulatory bodies referred to in Article 55,
granting time-limited discounts to encourage the development
infrastructure managers and railway undertakings. Such
of new rail services, or discounts encouraging the use of
amendments shall adapt the classes of delay to the best
considerably underutilised lines.
practices developed by industry.
4. Discounts
may
relate
only
to
charges
levied
for
a
specified
infrastructure section.
Article 36
Reservation charges
5. Similar discount schemes shall apply for similar services.
Infrastructure managers may levy an appropriate charge for
Discount schemes shall be applied in a non-discriminatory
capacity that is allocated but not used. That non-usage charge
manner to any railway undertaking.
shall provide incentives for efficient use of capacity. The levy of
such a charge on applicants that were allocated a train path
shall be mandatory in the event of their regular failure to use
allocated paths or part of them. For the imposition of this
Article 34
charge, the infrastructure managers shall publish in their
Compensation schemes for unpaid environmental, accident
network statement the criteria to determine such failure to
and infrastructure costs
use. The regulatory body referred to in Article 55 shall
control such criteria in accordance with Article 56. Payments
1. Member
States
may
put
in
place
a
time-limited
compen
for this charge shall be made by either the applicant or the
sation scheme for the use of railway infrastructure for the
railway undertaking appointed in accordance with Article 41(1).
demonstrably unpaid environmental, accident and infrastructure
The infrastructure manager shall always be able to inform any
costs of competing transport modes in so far as these costs
interested party of the infrastructure capacity which has already
exceed the equivalent costs of rail.
been allocated to user railway undertakings.
2. Where
a
railway
undertaking
receiving
compensation
enjoys an exclusive right, the compensation shall be accom
Article 37
panied by comparable benefits to users.
Cooperation in relation to charging systems on more than
one network
3. The
methodology
used
and
calculations
performed
shall 1. Member
States
shall
ensure
that
infrastructure
managers
be publicly available. It shall in particular be possible to demon
cooperate to enable the application of efficient charging
strate the specific uncharged costs of the competing transport
schemes, and associate to coordinate the charging or to
infrastructure that are avoided and to ensure that the scheme is
charge for the operation of train services which cross more
granted on non-discriminatory terms to undertakings.
than one infrastructure network of the rail system within the
Union. Infrastructure managers shall, in particular, aim to
guarantee the optimal competitiveness of international rail
4. Member States shall ensure that the scheme is compatible
services and ensure the efficient use of the railway networks.
with Articles 93, 107 and 108 TFEU.
To this end they shall establish appropriate procedures, subject
to the rules set out in this Directive.
Article 35
Performance scheme
2. For the purpose of paragraph 1 of this Article, Member
States shall ensure that infrastructure managers cooperate to
1. Infrastructure
charging
schemes
shall
encourage
railway enable mark-ups, as referred to in Article 32, and performance
undertakings and the infrastructure manager to minimise
schemes, as referred to in Article 35, to be efficiently applied,
disruption and improve the performance of the railway
for traffic crossing more than one network of the rail system
network through a performance scheme. This scheme may
within the Union.
include penalties for actions which disrupt the operation of
the network, compensation for undertakings which suffer
from disruption and bonuses that reward better-than-planned
performance.
SECTION 3
Allocation of infrastructure capacity
2. The
basic
principles
of
the
performance
scheme
as
listed
Article 38
in point 2 of Annex VI shall apply throughout the network.
Capacity rights
1. Infrastructure
capacity
shall
be
allocated
by
an
infra
3. The
Commission
shall
be
empowered
to
adopt
delegated structure manager. Once allocated to an applicant, it shall not
acts in accordance with Article 60 concerning amendments to
be transferred by the recipient to another undertaking or
point 2(c) of Annex VI. Thus point 2(c) of Annex VI, may be
service.

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EN
14.12.2012 Official
Journal
of
the
European
Union L
343/53
Any trading in infrastructure capacity shall be prohibited and
structure capacity which crosses more than one network of the
shall lead to exclusion from the further allocation of capacity.
rail system within the Union, including under framework
agreements referred to in Article 42. Infrastructure managers
shall establish appropriate procedures, subject to the rules set
The use of capacity by a railway undertaking when carrying out
out in this Directive, and organise train paths crossing more
the business of an applicant which is not a railway undertaking
than one network accordingly.
shall not be considered as a transfer.
Member States shall ensure that representatives of infrastructure
2. The
right
to
use
specific
infrastructure
capacity
in
the managers whose allocation decisions have an impact on other
form of a train path may be granted to applicants for a
infrastructure managers associate in order to coordinate the
maximum duration of one working timetable period.
allocation of or to allocate all relevant infrastructure capacity
at an international level, without prejudice to the specific rules
contained in Union law on rail freight oriented networks. The
An infrastructure manager and an applicant may enter into a
principles and criteria for capacity allocation established under
framework agreement as laid down in Article 42 for the use of
this cooperation shall be published by infrastructure managers
capacity on the relevant railway infrastructure for a longer term
in their network statement in accordance with paragraph 3 of
than one working timetable period.
Annex IV. Appropriate representatives of infrastructure
managers from third countries may be associated with these
procedures.
3. The
respective
rights
and
obligations
of
infrastructure
managers and applicants in respect of any allocation of
capacity shall be laid down in contracts or in Member States'
2. The
Commission
shall
be
informed
of
and
invited
to
legislation.
attend as an observer at the main meetings at which
common principles and practices for the allocation of infra
structure are developed. Regulatory bodies shall receive
4. Where
an
applicant
intends
to
request
infrastructure sufficient information about the development of common prin
capacity with a view to operating an international passenger
ciples and practices for the allocation of infrastructure and from
service, it shall inform the infrastructure managers and the
IT-based allocation systems, to allow them to perform their
regulatory bodies concerned. In order to enable them to
regulatory supervision in accordance with Article 56.
assess whether the purpose of the international service is to
carry passengers on a route between stations located in
different Member States, and what the potential economic
impact on existing public service contracts is, regulatory
3. At
any
meeting
or
other
activity
undertaken
to
permit
the
bodies shall ensure that any competent authority that has
allocation of infrastructure capacity for trans-network train
awarded a rail passenger service on that route defined in a
services, decisions shall only be taken by representatives of
public service contract, any other interested competent
infrastructure managers.
authority with a right to limit access under Article 11 and
any railway undertaking performing the public service
contract on the route of that international passenger service is
4. The
participants
in
the
cooperation
referred
to
paragraph
informed.
1 shall ensure that its membership, methods of operation and
all relevant criteria which are used for assessing and allocating
infrastructure capacity be made publicly available.
Article 39
Capacity allocation
5. Working in cooperation, as referred to in paragraph 1,
1. Member
States
may
lay
down
a
framework
for
the
allo
infrastructure managers shall assess the need for, and may
cation of infrastructure capacity subject to the condition of
where necessary propose and organise international train
management independence laid down in Article 4. Specific
paths to facilitate the operation of freight trains which are
capacity-allocation rules shall be laid down. The infrastructure
subject to an ad hoc request as referred to in Article 48.
manager shall perform the capacity-allocation processes. In
particular, the infrastructure manager shall ensure that infra
structure capacity is allocated in a fair and non-discriminatory
Such prearranged international train paths shall be made
manner and in accordance with Union law.
available to applicants through any of the participating infra
structure managers.
2. Infrastructure
managers
shall
respect
the
commercial
confidentiality of information provided to them.
Article 41
Applicants
Article 40
1. Requests
for
infrastructure
capacity
may
be
made
by
appli
Cooperation in the allocation of infrastructure capacity on
cants. In order to use such infrastructure capacity, applicants
more than one network
shall appoint a railway undertaking to conclude an agreement
with the infrastructure manager in accordance with Article 28.
1. Member
States
shall
ensure
that
infrastructure
managers This is without prejudice to the right of applicants to conclude
cooperate to enable the efficient creation and allocation of infra
agreements with infrastructure managers under Article 44(1).

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L 343/54
EN
Official Journal of the European Union
14.12.2012
2. The
infrastructure
manager
may
set
requirements
with In such exceptional cases, the framework agreement may set out
regard to applicants to ensure that its legitimate expectations
the detailed characteristics of the capacity which is to be
about future revenues and utilisation of the infrastructure are
provided to the applicant for the duration of the framework
safeguarded. Such requirements shall be appropriate, transparent
agreement. Those characteristics may include the frequency,
and non-discriminatory. They shall be specified in the network
volume and quality of train paths. The infrastructure manager
statement as referred to in point 3(b) of Annex IV. They may
may reduce reserved capacity which, over a period of at least
only include the provision of a financial guarantee that shall not
one month, has been used less than the threshold quota
exceed an appropriate level which shall be proportional to the
provided for in Article 52.
contemplated level of activity of the applicant, and assurance of
the capability to prepare compliant bids for infrastructure
capacity.
As from 1 January 2010, an initial framework agreement may
be drawn up for a period of five years, renewable once, on the
basis of the capacity characteristics used by applicants operating
3. Before
16
June
2015,
the
Commission
shall
adopt
imple
services before 1 January 2010, in order to take account of
menting measures setting out the details of the criteria to be
specialised investments or the existence of commercial
followed for the application of paragraph 2. Those imple
contracts. The regulatory body referred to in Article 55 shall
menting acts shall be adopted in accordance with the exam
be responsible for authorising the entry into force of such an
ination procedure referred to in Article 62(3).
agreement.
Article 42
7. While
respecting
commercial
confidentiality,
the
general
Framework agreements
nature of each framework agreement shall be made available
to any interested party.
1. Without prejudice to Articles 101, 102 and 106 TFEU, a
framework agreement may be concluded between an infra
structure manager and an applicant. Such a framework
8. Based
on
the
experience
of
regulatory
bodies,
competent
agreement shall specify the characteristics of the infrastructure
authorities and railway undertakings and based on the activities
capacity required by and offered to the applicant over a period
of the network referred to in Article 57(1), the Commission
of time exceeding one working timetable period.
may adopt measures setting out the details of the procedure
and criteria to be followed for the application of this Article.
The framework agreement shall not specify a train path in
Those implementing acts shall be adopted in accordance with
detail, but shall be such as to meet the legitimate commercial
the examination procedure referred to in Article 62(3).
needs of the applicant. A Member State may require prior
approval of such a framework agreement by the regulatory
body referred to in Article 55 of this Directive.
Article 43
Schedule for the allocation process
2. Framework
agreements
shall
not
be
such
as
to
preclude 1. The
infrastructure
manager
shall
adhere
to
the
schedule
the use of the relevant infrastructure by other applicants or
for capacity allocation set out in Annex VII.
services.
2. The
Commission
shall
be
empowered
to
adopt
delegated
3. Framework
agreements
shall
allow
for
the
amendment
or acts in accordance with Article 60 concerning certain
limitation of its terms to enable better use to be made of the
amendments to Annex VII. Thus, after consultation of all infra
railway infrastructure.
structure managers, Annex VII may be amended to take into
account operational considerations of the allocation process.
Those amendments shall be based on what is necessary in the
4. Framework
agreements
may
contain
penalties
should
it
be light of experience in order to ensure an efficient allocation
necessary to modify or terminate the agreement.
process and to reflect the operational concerns of the infra
structure managers.
5. Framework
agreements
shall,
in
principle,
cover
a
period
of five years, renewable for periods equal to their original
duration. The infrastructure manager may agree to a shorter
3. Infrastructure
managers
shall
agree
with
the
other
relevant
or longer period in specific cases. Any period longer than five
infrastructure managers concerned which international train
years shall be justified by the existence of commercial contracts,
paths are to be included in the working timetable, before
specialised investments or risks.
commencing consultation on the draft working timetable.
Adjustments shall only be made if absolutely necessary.
6. For
services
using
specialised
infrastructure
referred
to
in
Article 49 which requires substantial and long-term investment,
Article 44
duly justified by the applicant, framework agreements may be
Applications
for a period of 15 years. Any period longer than 15 years shall
be permissible only in exceptional cases, in particular where
1. Applicants
may
apply
under
public
or
private
law
to
the
there is large-scale, long-term investment, and particularly
infrastructure manager to request an agreement granting rights
where such investment is covered by contractual commitments
to use railway infrastructure against a charge as provided for in
including a multiannual amortisation plan.
Section 2 of Chapter IV.

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EN
14.12.2012 Official
Journal
of
the
European
Union L
343/55
2. Requests relating to the regular working timetable shall
3. The
infrastructure
manager
shall
attempt,
through
consul
comply with the deadlines set out in Annex VII.
tation with the appropriate applicants, to resolve any conflicts.
Such consultation shall be based on the disclosure of the
following information within a reasonable time, free of charge
3. An
applicant
who
is
a
party
to
a
framework
agreement and in written or electronic form:
shall apply in accordance with that agreement.
(a) train paths requested by all other applicants on the same
4. For
train
paths
crossing
more
than
one
network,
infra
routes;
structure managers shall ensure that applicants may apply to a
one-stop shop that is either a joint body established by the
infrastructure managers or one single infrastructure manager
(b) train paths allocated on a preliminary basis to all other
involved in the train path. That infrastructure manager shall
applicants on the same routes;
be permitted to act on behalf of the applicant to seek
capacity with other relevant infrastructure managers. This
requirement is without prejudice to Regulation (EU) No
(c) alternative train paths proposed on the relevant routes in
913/2010 of the European Parliament and of the Council of
accordance with paragraph 2;
22 September 2010 concerning a European rail network for
competitive freight ( 1 ).
(d) full details of the criteria being used in the capacity-allo
cation process.
Article 45
Scheduling
In accordance with Article 39(2), that information shall be
1. The infrastructure manager shall, as far as possible, meet
provided without disclosing the identity of other applicants,
all requests for infrastructure capacity including requests for
unless applicants concerned have agreed to such disclosure.
train paths crossing more than one network, and shall, as far
as possible, take account of all constraints on applicants,
including the economic effect on their business.
4. The
principles
governing
the
coordination
process
shall
be
set out in the network statement. These shall, in particular,
reflect the difficulty of arranging international train paths and
2. The infrastructure manager may give priority to specific
the effect that modification may have on other infrastructure
services within the scheduling and coordination process but
managers.
only as set out in Articles 47 and 49.
5. Where
requests
for
infrastructure
capacity
cannot
be
3. The
infrastructure
manager
shall
consult
interested
parties satisfied without coordination, the infrastructure manager shall
about the draft working timetable and allow them at least one
attempt to accommodate all requests through coordination.
month to present their views. Interested parties shall include all
those who have requested infrastructure capacity and other
parties who wish to have the opportunity to comment on
6. Without
prejudice
to
the
current
appeal
procedures
and
to
how the working timetable may affect their ability to procure
Article 56, in the event of disputes relating to the allocation of
rail services during the working timetable period.
infrastructure capacity, a dispute resolution system shall be
made available in order to resolve such disputes promptly.
This system shall be set out in the network statement. If this
4. The infrastructure manager shall take appropriate system is applied, a decision shall be reached within a time limit
measures to deal with any concerns that are expressed.
of 10 working days.
Article 46
Article 47
Coordination process
Congested infrastructure
1. During
the
scheduling
process
referred
to
in
Article
45,
1. Where,
after
coordination
of
the
requested
train
paths
and
where the infrastructure manager encounters conflicts between
consultation with applicants, it is not possible to satisfy requests
different requests, it shall attempt, through coordination of the
for infrastructure capacity adequately, the infrastructure
requests, to ensure the best possible matching of all require
manager shall immediately declare that section of infrastructure
ments.
on which this has occurred to be congested. This shall also be
done for infrastructure which can be expected to suffer from
insufficient capacity in the near future.
2. Where
a
situation
requiring
coordination
arises,
the
infra
structure manager shall have the right, within reasonable limits,
to propose infrastructure capacity that differs from that which
2. Where
infrastructure
has
been
declared
to
be
congested,
was requested.
the infrastructure manager shall carry out a capacity analysis as
provided for in Article 50, unless a capacity-enhancement plan,
( 1 ) OJ L 276, 20.10.2010, p. 22.
as provided for in Article 51, is already being implemented.

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L 343/56
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Official Journal of the European Union
14.12.2012
3. Where
charges
in
accordance
with
Article
31(4)
have
not
2. Where
there
are
suitable
alternative
routes,
the
infra
been levied or have not achieved a satisfactory result and the
structure manager may, after consultation with interested
infrastructure has been declared to be congested, the infra
parties, designate particular infrastructure for use by specified
structure manager may, in addition, employ priority criteria to
types of traffic. Without prejudice to Articles 101, 102 and 106
allocate infrastructure capacity.
TFEU, where such designation has occurred, the infrastructure
manager may give priority to this type of traffic when allocating
infrastructure capacity.
4. The
priority
criteria
shall
take
account
of
the
importance
of a service to society relative to any other service which will
consequently be excluded.
Such designation shall not prevent the use of such infrastructure
by other types of traffic when capacity is available.
In order to guarantee the development of adequate transport
services within this framework, in particular to comply with
3. Where
infrastructure
has
been
designated
pursuant
to
public-service requirements or to promote the development of
paragraph 2, this shall be described in the network statement.
national and international rail freight, Member States may take
any measures necessary, under non-discriminatory conditions,
to ensure that such services are given priority when infra
Article 50
structure capacity is allocated.
Capacity analysis
1. The
objective
of
capacity
analysis
is
to
determine
the
Member States may, where appropriate, grant the infrastructure
constraints on infrastructure capacity which prevent requests
manager compensation corresponding to any loss of revenue
for capacity from being adequately met, and to propose
related to the need to allocate a given capacity to certain
methods of enabling additional requests to be satisfied. The
services pursuant to the second subparagraph.
capacity analysis shall identify the reasons for the congestion
and what measures might be taken in the short and medium
term to ease the congestion.
Those measures and that compensation shall include taking
account of the effect of this exclusion in other Member States.
2. The
capacity
analysis
shall
consider
the
infrastructure,
the
operating procedures, the nature of the different services
5. The
importance
of
freight
services,
and
in
particular
inter
operating and the effect of all these factors on infrastructure
national freight services, shall be given adequate consideration
capacity. Measures to be considered shall include in particular
in determining priority criteria.
rerouting services, retiming services, speed alterations and infra
structure improvements.
6. The procedures to be followed and the criteria to be used
where infrastructure is congested shall be set out in the network
3. A
capacity
analysis
shall
be
completed
within
six
months
statement.
of the identification of infrastructure as congested.
Article 48
Article 51
Ad hoc requests
Capacity-enhancement plan
1. The
infrastructure
manager
shall
respond
to
ad
hoc 1. Within six months of the completion of a capacity
requests for individual train paths as quickly as possible, and
analysis, the infrastructure manager shall produce a capacity-
in any event within five working days. Information supplied on
enhancement plan.
available spare capacity shall be made available to all applicants
who may wish to use this capacity.
2. A
capacity-enhancement
plan
shall
be
developed
after
consultation with users of the relevant congested infrastructure.
2. Infrastructure
managers
shall,
where
necessary,
undertake
an evaluation of the need for reserve capacity to be kept
available within the final scheduled working timetable to
It shall identify:
enable them to respond rapidly to foreseeable ad hoc requests
for capacity. This shall also apply in cases of congested infra
(a) the reasons for the congestion;
structure.
(b) the likely future development of traffic;
Article 49
Specialised infrastructure
(c) the constraints on infrastructure development;
1. Without
prejudice
to
paragraph
2,
infrastructure
capacity
shall be considered to be available for the use of all types of
service which conform to the characteristics necessary for
(d) the options and costs for capacity enhancement, including
operation on the train path.
likely changes to access charges.

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EN
14.12.2012 Official
Journal
of
the
European
Union L
343/57
On the basis of a cost benefit analysis of the possible measures
Article 54
identified, it shall also determine the action to be taken to
enhance infrastructure capacity, including a timetable for imple
Special measures to be taken in the event of disturbance
menting the measures.
1. In
the
event
of
disturbance
to
train
movements
caused
by
technical failure or accident the infrastructure manager shall
take all necessary steps to restore the situation to normal. To
The plan may be subject to prior approval by the Member State.
that end, it shall draw up a contingency plan listing the various
bodies to be informed in the event of serious incidents or
3. The
infrastructure
manager
shall
cease
to
levy
any
charges serious disturbance to train movements.
for the relevant infrastructure under Article 31(4) in cases
where:
2. In
an
emergency
and,
where
absolutely
necessary,
on
account of a breakdown making the infrastructure temporarily
(a) it does not produce a capacity-enhancement plan; or
unusable, the train paths allocated may be withdrawn without
warning for as long as is necessary to repair the system.
(b) it does not make progress with the actions identified in the
capacity enhancement plan.
The infrastructure manager may, if it deems this necessary,
require railway undertakings to make available to it the
4. Notwithstanding
paragraph
3
of
this
Article,
the
infra
resources which it feels are the most appropriate to restore
structure manager may, subject to the approval of the regu
the situation to normal as soon as possible.
latory body referred to in Article 55, continue to levy the
charges if:
3. Member
States
may
require
railway
undertakings
to
be
involved in assuring the enforcement and monitoring of their
(a) the capacity-enhancement plan cannot be realised for
own compliance with the safety standards and rules.
reasons beyond its control; or
(b) the options available are not economically or financially
SECTION 4
viable.
Regulatory body
Article 55
Article 52
Regulatory body
Use of train paths
1. Each Member State shall establish a single national regu
1. In the network statement, the infrastructure manager shall
latory body for the railway sector. Without prejudice to
specify conditions whereby it will take account of previous
paragraph 2, this body shall be a stand-alone authority which
levels of utilisation of train paths in determining priorities for
is, in organisational, functional, hierarchical and decision-
the allocation process.
making terms, legally distinct and independent from any
other public or private entity. It shall also be independent in
its organisation, funding decisions, legal structure and decision-
2. For
congested
infrastructure
in
particular,
the
infra
making from any infrastructure manager, charging body, allo
structure manager shall require the surrender of a train path
cation body or applicant. It shall furthermore be functionally
which, over a period of at least one month, has been used less
independent from any competent authority involved in the
than a threshold quota to be laid down in the network
award of a public service contract.
statement, unless this was due to non-economic reasons
beyond the applicant's control.
2. Member
States
may
set
up
regulatory
bodies
which
are
competent for several regulated sectors, if these integrated regu
Article 53
latory authorities fulfil the independence requirements set out in
Infrastructure capacity for maintenance work
paragraph 1 of this Article. The regulatory body for the rail
sector may also be joined in organisational term with the
1. Requests
for
infrastructure
capacity
to
enable
maintenance national competition authority referred to in Article 11 of
work to be performed shall be submitted during the scheduling
Council Regulation (EC) No 1/2003 of 16 December 2002
process.
on the implementation of the rules on competition laid down
in Articles 101 and 102 of the Treaty ( 1 ), the safety authority
established under Directive 2004/49/EC of the European
2. Adequate
account
shall
be
taken
by
the
infrastructure Parliament and of the Council of 29 April 2004 on safety
manager of the effect of infrastructure capacity reserved for
scheduled track maintenance work on applicants.
( 1 ) OJ L 1, 4.1.2003, p. 1.
Editorial note: The title of Council Regulation (EC) No 1/2003 has
3. The
infrastructure
manager
shall
inform,
as
soon
as
been adjusted to take account of the renumbering of the articles of
the Treaty establishing the European Community, in accordance
possible, interested parties about the unavailability of infra
with Article 5 of the Treaty of Lisbon; the original reference was:
structure capacity due to unscheduled maintenance work.
Articles 81 and 82 of the Treaty.

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L 343/58
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Official Journal of the European Union
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on the Community's railways ( 1 ) or the licensing authority
other way aggrieved, and in particular against decisions
referred to in Chapter III of this Directive, if the joint body
adopted by the infrastructure manager or where appropriate
fulfils the independence requirements set out in paragraph 1
the railway undertaking or the operator of a service facility
of this Article.
concerning:
(a) the network statement in its provisional and final versions;
3. Member
States
shall
ensure
that
the
regulatory
body
is
staffed and managed in a way that guarantees its independence.
They shall, in particular, ensure that the persons in charge of
(b) the criteria set out in it;
decisions to be taken by the regulatory body in accordance with
Article 56, such as members of its executive board, where
relevant, be appointed under clear and transparent rules
(c) the allocation process and its result;
which guarantee their independence by the national cabinet
or council of ministers or by any other public authority
which does not directly exert ownership rights over regulated
(d) the charging scheme;
undertakings.
(e) the level or structure of infrastructure charges which it is, or
Member States shall decide whether these persons are appointed
may be, required to pay;
for a fixed and renewable term, or on a permanent basis which
only allows dismissal for disciplinary reasons not related to their
decision-making. They shall be selected in a transparent
(f) arrangements for access in accordance with Articles 10
procedure on the basis of their merit, including appropriate
to 13;
competence and relevant experience, preferably in the field of
railways or other network industries.
(g) access to and charging for services in accordance with
Article 13.
Member States shall ensure that these persons act independently
from any market interest related to the railway sector, and shall
2. Without prejudice to the powers of the national
therefore not have any interest or business relationship with any
competition authorities for securing competition in the rail
of the regulated undertakings or entities. To this effect, these
services markets, the regulatory body shall have the power to
persons shall make annually a declaration of commitment and a
monitor the competitive situation in the rail services markets
declaration of interests, indicating any direct or indirect interests
and shall, in particular, control points (a) to (g) of paragraph 1
that may be considered prejudicial to their independence and
on its own initiative and with a view to preventing discrimi
which might influence their performance of any function. These
nation against applicants. It shall, in particular, check whether
persons shall withdraw from decision-making in cases which
the network statement contains discriminatory clauses or creates
concern an undertaking with which they had a direct or
discretionary powers for the infrastructure manager that may be
indirect connection during the year before the launch of a
used to discriminate against applicants.
procedure.
3. The
regulatory
body
shall
also
cooperate
closely
with
the
They shall not seek or take instructions from any government
national safety authority within the meaning of Directive
or other public or private entity when carrying out the
2008/57/EC of the European Parliament and of the Council
functions of the regulatory body, and have full authority over
of 17 June 2008 on the interoperability of the rail system
the recruitment and management of the staff of the regulatory
within the Community ( 2 ), and the licensing authority within
body.
the meaning of this Directive.
Member States shall ensure that these authorities jointly develop
After their term in the regulatory body, they shall have no
a framework for information-sharing and cooperation aimed at
professional position or responsibility with any of the
preventing adverse effects on competition or safety in the
regulated undertakings or entities for a period of not less
railway market. This framework shall include a mechanism for
than one year.
the regulatory body to provide the national safety and licensing
authorities with recommendations on issues that may affect
competition in the railway market and for the national safety
authority to provide the regulatory body and licensing authority
Article 56
with recommendations on issues that may affect safety. Without
Functions of the regulatory body
prejudice to the independence of each authority within the field
of their respective competences, the relevant authority shall
1. Without
prejudice
to
Article
46(6),
an
applicant
shall
have examine any such recommendation before adopting its deci
the right to appeal to the regulatory body if it believes that it
sions. If the relevant authority decides to deviate from these
has been unfairly treated, discriminated against or is in any
recommendations, it shall give reasons in its decisions.
( 1 ) OJ L 164, 30.4.2004, p. 44.
( 2 ) OJ L 191, 18.7.2008, p. 1.

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4. Member
States
may
decide
that
the
regulatory
body
is priate measures to correct discrimination against applicants,
given the task to adopt non-binding opinions on the
market distortion and any other undesirable developments in
provisional versions of the business plan referred to in
these markets, in particular with reference to points (a) to (g) of
Article 8(3), the contractual agreement and the capacity-
paragraph 1.
enhancement plan to indicate in particular whether these
instruments are consistent with the competitive situation in
the rail services markets.
A decision of the regulatory body shall be binding on all parties
covered by that decision, and shall not be subject to the control
of another administrative instance. The regulatory body shall be
5. The
regulatory
body
shall
have
the
necessary
organisa
able to enforce its decisions with the appropriate penalties,
tional capacity in terms of human and material resources,
including fines.
which shall be proportionate to the importance of the rail
sector in the Member State.
In the event of an appeal against a refusal to grant infrastructure
capacity, or against the terms of an offer of capacity, the regu
6. The regulatory body shall ensure that charges set by the
latory body shall either confirm that no modification of the
infrastructure manager comply with Section 2 of Chapter IV
infrastructure manager's decision is required, or it shall require
and are non-discriminatory. Negotiations between applicants
modification of that decision in accordance with directions
and an infrastructure manager concerning the level of infra
specified by the regulatory body.
structure charges shall only be permitted if these are carried
out under the supervision of the regulatory body. The regu
latory body shall intervene if negotiations are likely to
10. Member States shall ensure that decisions taken by the
contravene the requirements of this Chapter.
regulatory body are subject to judicial review. The appeal may
have suspensive effect on the decision of the regulatory body
only when the immediate effect of the regulatory body's
7. The
regulatory
body
shall,
regularly
and,
in
any
case,
at decision may cause irretrievable or manifestly excessive
least every two years, consult representatives of users of the rail
damages for the appellant. This provision is without prejudice
freight and passenger transport services, to take into account
to the powers of the court hearing the appeal as conferred by
their views on the rail market.
constitutional law, where applicable.
8. The
regulatory
body
shall
have
the
power
to
request 11. Member States shall ensure that decisions taken by the
relevant information from the infrastructure manager, applicants
regulatory body are published.
and any third party involved within the Member State
concerned.
12. The
regulatory
body
shall
have
the
power
to
carry
out
audits or initiate external audits with infrastructure managers,
Information requested shall be supplied within a reasonable
operators of service facilities and, where relevant, railway under
period set by the regulatory body that shall not exceed one
takings, to verify compliance with accounting separation
month, unless, in exceptional circumstances, the regulatory
provisions laid down in Article 6. In this respect, the regulatory
body agrees to, and authorises, a time-limited extension,
body shall be entitled to request any relevant information. In
which shall not exceed two additional weeks. The regulatory
particular the regulatory body shall have the power to request
body shall be able to enforce such requests with appropriate
infrastructure manager, operators of service facilities and all
penalties, including fines. Information to be supplied to the
undertakings or other entities performing or integrating
regulatory body includes all data which the regulatory body
different types of rail transport or infrastructure management
requires in the framework of its appeal function and in its
as referred to in Article 6(1) and (2) and Article 13 to provide
function of monitoring the competition in the rail services
all or part of the accounting information listed in Annex VIII
markets in accordance with paragraph 2. This includes data
with a sufficient level of detail as deemed necessary and propor
which are necessary for statistical and market observation
tionate.
purposes.
Without prejudice to the powers of the national authorities
9. The
regulatory
body
shall
consider
any
complaints
and,
as responsible for State aid issues, the regulatory body may also
appropriate, shall ask for relevant information and initiate
draw conclusions from the accounts concerning State aid issues
consultations with all relevant parties, within one month from
which it shall report to those authorities.
the receipt of the complaint. It shall decide on any complaints,
take action to remedy the situation and inform the relevant
parties of its reasoned decision within a pre-determined,
13. The
Commission
shall
be
empowered
to
adopt
delegated
reasonable time, and, in any case, within six weeks from
acts in accordance with Article 60 concerning certain
receipt of all relevant information. Without prejudice to the
amendments to Annex VIII. Thus, Annex VIII may be
powers of the national competition authorities for securing
amended to adapt it to the evolution of accounting and
competition in the rail service markets, the regulatory body
control practices and/or to supplement it with additional
shall, where appropriate, decide on its own initiative on appro
elements necessary to verify separation of accounts.

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Article 57
6. Member
States
shall
ensure
that
any
associated
represen
tatives of infrastructure managers as referred to in Article 40(1)
Cooperation between regulatory bodies
provide, without delay, all the information necessary for the
1. The
regulatory
bodies
shall
exchange
information
about purpose of handling the complaint or investigation referred to
their work and decision-making principles and practice and, in
in paragraph 3 of this Article and requested by the regulatory
particular, exchange information on the main issues of their
body of the Member State in which the associated representative
procedures and on the problems of interpreting transposed
is located. That regulatory body shall be entitled to transfer such
Union railway law. They shall otherwise cooperate for the
information regarding the international train path concerned to
purpose of coordinating their decision-making across the
the regulatory bodies referred to in paragraph 3.
Union. For this purpose, they shall participate and work
together in a network that convenes at regular intervals. The
Commission shall be a member, coordinate and support the
7. At
the
request
of
a
regulatory
body,
the
Commission
may
work of the network and make recommendations to the
participate in the activities listed under paragraphs 2 to 6 for
network, as appropriate. It shall ensure active cooperation of
the purpose of facilitating the cooperation of regulatory bodies
the appropriate regulatory bodies.
as outlined in those paragraphs.
Subject to the rules on data protection provided for in Directive
8. Regulatory
bodies
shall
develop
common
principles
and
95/46/EC of the European Parliament and of the Council of
practices for making the decisions for which they are
24 October 1995 on the protection of individuals with
empowered under this Directive. Based on the experience of
regard to the processing of personal data and on the free
regulatory bodies and on the activities of the network referred
movement of such data (
to in paragraph 1, and, if needed, to ensure efficient

1 ) and Regulation (EC) No 45/2001
of the European Parliament and of the Council of 18 December
cooperation of regulatory bodies, the Commission may adopt
2000 on the protection of individuals with regard to the
measures setting out such common principles and practices.
processing of personal data by the Community institutions
Those implementing acts shall be adopted in accordance with
and bodies and on the free movement of such data (
the examination procedure referred to in Article 62(3).

2 ), the
Commission shall support the exchange of the information
referred above among the members of the network, possibly
through electronic tools, respecting the confidentiality of
9. Regulatory
bodies
shall
review
decisions
and
practices
of
business secrets supplied by the relevant undertakings.
associations of infrastructure managers as referred to in
Article 37 and Article 40(1) that implement provisions of this
Directive or otherwise facilitate international rail transport.
2. The
regulatory
bodies
shall
cooperate
closely,
including
through working arrangements, for the purposes of mutual
assistance in their market monitoring tasks and handling
CHAPTER V
complaints or investigations.
FINAL PROVISIONS
Article 58
3. In
the
case
of
a
complaint
or
an
own-initiative
investi
Public procurement rules
gation on issues of access or charging relating to an inter
The provisions of this Directive shall be without prejudice to
national train path, as well as in the framework of monitoring
Directive 2004/17/EC of the European Parliament and of the
competition on the market related to international rail transport
Council of 31 March 2004 coordinating the procurement
services, the regulatory body concerned shall consult the regu
procedures of entities operating in the water, energy,
latory bodies of all other Member States through which the
transport and postal services sectors (
international train path concerned runs and, where appropriate,

3 ).
the Commission, and shall request all necessary information
from them before taking its decision.
Article 59
Derogations
4. The
regulatory
bodies
consulted
in
accordance
with 1. Until
15
March
2013,
Ireland,
as
a
Member
State
located
paragraph 3 shall provide all the information that they them
on an island, with a rail link to only one other Member State,
selves have the right to request under their national law. This
and the United Kingdom, in respect of Northern Ireland, on the
information may only be used for the purpose of handling the
same basis:
complaint or investigation referred to in paragraph 3.
(a) do not need to entrust to an independent body the
5. The regulatory body receiving the complaint or
functions determining equitable and non-discriminatory
conducting an investigation on its own initiative shall transfer
access to infrastructure, as provided for in the first
relevant information to the regulatory body responsible in order
subparagraph of Article 7(1) in so far as that Article
for that body to take measures regarding the parties concerned.
obliges Member States to establish independent bodies
performing the tasks referred to in Article 7(2);
( 1 ) OJ L 281, 23.11.1995, p. 31.
( 2 ) OJ L 8, 12.1.2001, p. 1.
( 3 ) OJ L 134, 30.4.2004, p. 1.

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(b) do not need to apply the requirements set out in Article 27,
shall be conferred on the Commission for a period of five
Article 29(2), Articles 38, 39 and 42, Article 46(4) and (6),
years from 15 December 2012. The Commission shall draw
Article 47, Article 49(3), and Articles 50 to 53, 55 and 56
up a report in respect of the delegation of power not later
on condition that decisions on the allocation of infra
than nine months before the end of the five-year period. The
structure capacity or the charging of fees are open to
delegation of power shall be tacitly extended for periods of an
appeal, if so requested in writing by a railway undertaking,
identical duration, unless the European Parliament or the
before an independent body which shall take its decision
Council opposes such extension not later than three months
within two months of the submission of all relevant
before the end of each period.
information and whose decision shall be subject to
judicial review.
3. The
delegation
of
powers
referred
to
in
Article
20(5),
2. Where
more
than
one
railway
undertaking
licensed
in Article 35(3), Article 43(2) and Article 56(13) may be
accordance with Article 17, or, in the case of Ireland and
revoked at any time by the European Parliament or by the
Northern Ireland, a railway company so licensed elsewhere,
Council. A decision to revoke shall put an end to the delegation
submits an official application to operate competing railway
of the power specified in that decision. It shall take effect the
services in, to or from Ireland or Northern Ireland, the
day following the publication of the decision in the Official
continued applicability of this derogation shall be decided
Journal of the European Union or at a later date specified
upon in accordance with the advisory procedure referred to
therein. It shall not affect the validity of any delegated acts
in Article 62(2).
already in force.
The derogations referred to in paragraph 1 shall not apply
4. As
soon
as
it
adopts
a
delegated
act,
the
Commission
shall
where a railway undertaking operating railway services in
notify it simultaneously to the European Parliament and to the
Ireland or Northern Ireland submits an official application to
Council.
operate railway services on, to or from the territory of another
Member State, with the exceptions of Ireland for railway under
takings operating in Northern Ireland and the United Kingdom
5. A
delegated
act
adopted
pursuant
to
Article
20(5),
for railway undertakings operating in Ireland.
Article 35(3), Article 43(2) and Article 56(13) shall enter into
force only if no objection has been expressed either by the
European Parliament or by the Council within a period of
Within one year from the receipt of either the decision referred
two months of notification of that act to the European
to in the first subparagraph of this paragraph or notification of
Parliament and the Council or if, before the expiry of that
the official application referred to in the second subparagraph of
period, the European Parliament and the Council have both
this paragraph, the Member State or States concerned (Ireland
informed the Commission that they will not object. That
or the United Kingdom with respect to Northern Ireland) shall
period shall be extended by two months at the initiative of
put in place legislation to implement the Articles referred to in
the European Parliament or of the Council.
paragraph 1.
3. A
derogation
referred
to
in
paragraph
1
may
be
renewed
Article 61
for periods not longer than five years. Not later than 12 months
before the expiry date of the derogation a Member State availing
Measures of application
itself of that derogation may address a request to the
At the request of a Member State, of a regulatory body or on its
Commission for a renewed derogation. Any such request shall
own initiative, the Commission shall examine specific measures
be justified. The Commission shall examine such a request and
adopted by national authorities in relation to the application of
adopt a decision in accordance with the advisory procedure
this Directive, concerning the conditions of access to railway
referred to in Article 62(2). That procedure shall apply to any
infrastructure and services, the licensing of railway undertakings,
decision related to the request.
infrastructure charging and capacity allocation within 12
months after adoption of those measures. The Commission
shall decide in accordance with the procedure referred to in
When adopting its decision, the Commission shall take into
Article 62(2) whether the related measure may continue to be
account any development in the geopolitical situation and the
applied within four months of receipt of such a request.
development of the rail market in, from and to the Member
State that requested the renewed derogation.
Article 62
Article 60
Committee procedure
Exercise of the delegation
1. The
Commission
shall
be
assisted
by
a
committee.
That
1. The
power
to
adopt
delegated
acts
is
conferred
on
the committee shall be a committee within the meaning of Regu
Commission subject to the conditions laid down in this Article.
lation (EU) No 182/2011.
2. The power to adopt delegated acts referred to in
2. Where
reference
is
made
to
this
paragraph,
Article
4
of
Article 20(5), Article 35(3), Article 43(2) and Article 56(13)
Regulation (EU) No 182/2011 shall apply.

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3. Where
reference
is
made
to
this
paragraph,
Article
5
of When Member States adopt those provisions, they shall contain
Regulation (EU) No 182/2011 shall apply. When the committee
a reference to this Directive or be accompanied by such a
delivers no opinion on a draft implementing act to be adopted
reference on the occasion of their official publication. They
pursuant to Article 10(4), Article 11(4), Article 12(5),
shall also include a statement that references in existing laws,
Article 13(9) and Article 17(5), Article 31(3) and (5),
regulations and administrative provisions to the Directives
Article 32(4) and Article 57(8), the Commission shall not
repealed by this Directive shall be construed as references to
adopt the draft implementing act and the third subparagraph
this Directive. Member States shall determine how such
of Article 5(4) of Regulation (EU) No 182/2011 shall apply.
reference is to be made and how that statement is to be formu
lated.
Article 63
2. Member
States
shall
communicate
to
the
Commission
the
Report
text of the main provisions of national law which they adopt in
1. By 31 December 2012 at the latest, the Commission shall
the field covered by this Directive.
submit to the European Parliament, the Council, the European
The obligations for transposition and implementation of
Economic and Social Committee and the Committee of the
Chapters II and IV of this Directive shall not apply to Cyprus
Regions a report on the implementation of Chapter II. This
and Malta for as long as no railway system is established within
report shall also assess the development of the market,
their territory.
including the state of preparation of a further opening-up of
the rail market. In its report the Commission shall also analyse
Article 65
the different models for organising this market and the impact
of this Directive on public service contracts and their financing.
Repeal
In so doing, the Commission shall take into account the imple
Directives 91/440/EEC, 95/18/EC and 2001/14/EC, as amended
mentation of Regulation (EC) No 1370/2007 and the intrinsic
by the Directives listed in Annex IX, Part A, are repealed with
differences between Member States (density of networks,
effect from 15 December 2012, without prejudice to the
number of passengers, average travel distance). The Commission
obligations of the Member States relating to the time limits
shall, if appropriate, propose legislative measures in relation to
for transposition into national law of the Directives set out in
the opening of the domestic rail passenger market and to
Part B of Annex IX.
develop appropriate conditions to ensure non-discriminatory
access to the infrastructure, building on the existing separation
References to the repealed Directives shall be construed as
requirements between infrastructure management and transport
references to this Directive and shall be read in accordance
operations, and shall assess the impact of any such measures.
with the correlation table in Annex X.
2. In light of the experience acquired through the network of
Article 66
regulatory bodies, the Commission shall, by 16 December
Entry into force
2014, submit to the European Parliament, the Council, the
European Economic and Social Committee and the Committee
This Directive shall enter into force on the day following that of
of Regions a report on cooperation between regulatory bodies.
its publication in the Official Journal of the European Union.
The Commission shall, if appropriate, propose complementary
measures to ensure a more integrated regulatory oversight of
Article 67
the European rail market, in particular for international services.
Addressees
To that end, legislative measures shall also be considered, if
appropriate.
This Directive is addressed to the Member States.
Article 64
Transposition
Done at Strasbourg, 21 November 2012.
1. Member
States
shall
bring
into
force
the
laws,
regulations
and administrative provisions necessary to comply with this
Directive including as regards compliance by undertakings,
For the European Parliament
For the Council
operators, applicants, authorities and other entities concerned
by 16 June 2015. They shall forthwith communicate to the
The President
The President
Commission the text of those provisions.
M. SCHULZ
A. D. MAVROYIANNIS

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ANNEX I
LIST OF RAILWAY INFRASTRUCTURE ITEMS
Railway infrastructure consists of the following items, provided they form part of the permanent way, including sidings,
but excluding lines situated within railway repair workshops, depots or locomotive sheds, and private branch lines or
sidings:
— Ground area,
— Track and track bed, in particular embankments, cuttings, drainage channels and trenches, masonry trenches, culverts,
lining walls, planting for protecting side slopes, etc.; passenger and goods platforms, including in passenger stations
and freight terminals; four-foot way and walkways; enclosure walls, hedges, fencing; fire protection strips; apparatus
for heating points; crossings etc.; snow protection screens,
— Engineering structures: bridges, culverts and other overpasses, tunnels, covered cuttings and other underpasses;
retaining walls, structures for protection against avalanches, falling stones, etc.,
— Level crossings, including appliances to ensure the safety of road traffic,
— Superstructure, in particular: rails, grooved rails and check rails; sleepers and longitudinal ties, small fittings for the
permanent way, ballast including stone chippings and sand; points, crossings, etc.; turntables and traverses (except
those reserved exclusively for locomotives),
— Access way for passengers and goods, including access by road and access for passengers arriving or departing on
foot,
— Safety, signalling and telecommunications installations on the open track, in stations and in marshalling yards,
including plant for generating, transforming and distributing electric current for signalling and telecommunications;
buildings for such installations or plant; track brakes,
— Lighting installations for traffic and safety purposes,
— Plant for transforming and carrying electric power for train haulage: substations, supply cables between substations
and contact wires, catenaries and supports; third rail with supports,
— Buildings used by the infrastructure department, including a proportion of installations for the collection of transport
charges.

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ANNEX II
SERVICES TO BE SUPPLIED TO THE RAILWAY UNDERTAKINGS
(referred to in Article 13)
1. The minimum access package shall comprise:
(a) handling of requests for railway infrastructure capacity;
(b) the right to utilise capacity which is granted;
(c) use of the railway infrastructure, including track points and junctions;
(d) train control including signalling, regulation, dispatching and the communication and provision of information on
train movement;
(e) use of electrical supply equipment for traction current, where available;
(f) all other information required to implement or operate the service for which capacity has been granted.
2. Access, including track access, shall be given to the following services facilities, when they exist, and to the services
supplied in these facilities:
(a) passenger stations, their buildings and other facilities, including travel information display and suitable location for
ticketing services;
(b) freight terminals;
(c) marshalling yards and train formation facilities, including shunting facilities;
(d) storage sidings;
(e) maintenance facilities, with the exception of heavy maintenance facilities dedicated to high-speed trains or to other
types of rolling stock requiring specific facilities;
(f) other technical facilities, including cleaning and washing facilities;
(g) maritime and inland port facilities which are linked to rail activities;
(h) relief facilities;
(i) refuelling facilities and supply of fuel in these facilities, charges for which shall be shown on the invoices
separately.
3. Additional services may comprise:
(a) traction current, charges for which shall be shown on the invoices separately from charges for using the electrical
supply equipment, without prejudice to the application of Directive 2009/72/EC;
(b) pre-heating of passenger trains;
(c) tailor-made contracts for:
— control of transport of dangerous goods,
— assistance in running abnormal trains.
4. Ancillary services may comprise:
(a) access to telecommunication networks;
(b) provision of supplementary information;
(c) technical inspection of rolling stock;
(d) ticketing services in passenger stations;
(e) heavy maintenance services supplied in maintenance facilities dedicated to high-speed trains or to other types of
rolling stock requiring specific facilities.

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the
European
Union L
343/65
ANNEX III
FINANCIAL FITNESS
(referred to in Article 20)
The information to be provided by undertakings applying for a licence in accordance with Article 20 covers the following
aspects:
(a) available funds, including the bank balance, pledged overdraft provisions and loans;
(b) funds and assets available as security;
(c) working capital;
(d) relevant costs, including purchase costs of payments to account for vehicles, land, buildings, installations and rolling
stock;
(e) charges on an undertaking's assets;
(f) taxes and social security contributions.

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L 343/66
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Official Journal of the European Union
14.12.2012
ANNEX IV
CONTENTS OF THE NETWORK STATEMENT
(referred to in Article 27)
The network statement referred to in Article 27 shall contain the following information:
1. A section setting out the nature of the infrastructure which is available to railway undertakings and the conditions of
access to it. The information in this section shall be made consistent, on an annual basis with, or shall refer to, the rail
infrastructure registers to be published in accordance with Article 35 of Directive 2008/57/EC.
2. A section on charging principles and tariffs. This shall contain appropriate details of the charging scheme as well as
sufficient information on charges as well as other relevant information on access applying to the services listed in
Annex II which are provided by only one supplier. It shall detail the methodology, rules and, where applicable, scales
used for the application of Articles 31 to 36, as regards both costs and charges. It shall contain information on
changes in charges already decided upon or foreseen in the next five years, if available.
3. A section on the principles and criteria for capacity allocation. This shall set out the general capacity characteristics of
the infrastructure which is available to railway undertakings and any restrictions relating to its use, including likely
capacity requirements for maintenance. It shall also specify the procedures and deadlines which relate to the capacity-
allocation process. It shall contain specific criteria which are employed during that process, in particular:
(a) the procedures according to which applicants may request capacity from the infrastructure manager;
(b) the requirements governing applicants;
(c) the schedule for the application and allocation processes and the procedures which shall be followed to request
information on the scheduling and the procedures for scheduling planned and unforeseen maintenance work;
(d) the principles governing the coordination process and the dispute resolution system made available as part of this
process;
(e) the procedures which shall be followed and criteria used where infrastructure is congested;
(f) details of restrictions on the use of infrastructure;
(g) conditions by which account is taken of previous levels of utilisation of capacity in determining priorities for the
allocation process.
It shall detail the measures taken to ensure adequate treatment of freight services, international services and requests
subject to the ad hoc procedure. It shall contain a template form for capacity requests. The infrastructure manager shall
also publish detailed information about the allocation procedures for international train paths.
4. A section on information relating to the application for a licence referred to in Article 25 of this Directive and rail
safety certificates issued in accordance with Directive 2004/49/EC or indicating a website where such information is
made available free of charge in electronic format.
5. A section on information about procedures for dispute resolution and appeal relating to matters of access to rail
infrastructure and services and to the performance scheme referred to in Article 35.
6. A section on information on access to and charging for service facilities referred to in Annex II. Operators of service
facilities which are not controlled by the infrastructure manager shall supply information on charges for gaining access
to the facility and for the provision of services, and information on technical access conditions for inclusion in the
network statement or shall indicate a website where such information is made available free of charge in electronic
format.
7. A model agreement for the conclusion of framework agreements between an infrastructure manager and an applicant
in accordance with Article 42.

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ANNEX V
BASIC PRINCIPLES AND PARAMETERS OF CONTRACTUAL AGREEMENTS BETWEEN COMPETENT
AUTHORITIES AND INFRASTRUCTURE MANAGERS
(referred to in Article 30)
The contractual agreement shall specify the provisions of Article 30 and include at least the following elements:
(1) the scope of the agreement as regards infrastructure and service facilities, structured in accordance with Annex II. It
shall cover all aspects of infrastructure management, including maintenance and renewal of the infrastructure already
in operation. Where appropriate, construction of new infrastructure may also be covered;
(2) the structure of payments or funds allocated to the infrastructure services listed in Annex II, to maintenance and
renewal and to dealing with existing maintenance and renewal backlogs. Where appropriate, the structure of
payments or funds allocated to new infrastructure may be covered;
(3) user-oriented performance targets, in the form of indicators and quality criteria covering elements such as:
(a) train performance, such as in terms of line speed and reliability, and customer satisfaction,
(b) network capacity,
(c) asset management,
(d) activity volumes,
(e) safety levels, and
(f) environmental protection;
(4) the amount of possible maintenance backlog and the assets which will be phased out of use and therefore trigger
different financial flows;
(5) the incentives referred to in Article 30(1), with the exception of those incentives implemented through regulatory
measures in accordance with Article 30(3);
(6) minimum reporting obligations for the infrastructure manager in terms of content and frequency of reporting,
including information to be published annually;
(7) the agreed duration of the agreement, which shall be synchronised and consistent with the duration of the infra
structure manager's business plan, concession or licence, where appropriate, and the charging framework and rules set
by the State;
(8) rules for dealing with major disruptions of operations and emergency situations, including contingency plans and
early termination of the contractual agreement, and timely information to users;
(9) remedial measures to be taken if either of the parties is in breach of its contractual obligations, or in exceptional
circumstances affecting the availability of public funding; this includes conditions and procedures for renegotiation
and early termination.

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L 343/68
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Official Journal of the European Union
14.12.2012
ANNEX VI
REQUIREMENTS FOR COSTS AND CHARGES RELATED TO RAILWAY INFRASTRUCTURE
(referred to in Article 32(1) and Article 35)
1. The pairs to be considered by infrastructure managers when they define a list of market segments with a view to
introducing mark-ups in the charging system according to Article 32(1) include at least the following:
(a) passenger versus freight services;
(b) trains carrying dangerous goods versus other freight trains;
(c) domestic versus international services;
(d) combined transport versus direct trains;
(e) urban or regional versus interurban passenger services;
(f) block trains versus single wagon load trains;
(g) regular versus occasional train services.
2. The performance scheme as referred to in Article 35 shall be based on the following basic principles:
(a) In order to achieve an agreed level of performance and not to endanger the economic viability of a service, the
infrastructure manager shall agree with applicants the main parameters of the performance scheme, in particular
the value of delays, the thresholds for payments due under the performance scheme relative both to individual
train runs and to all train runs of a railway undertaking in a given period of time;
(b) The infrastructure manager shall communicate to the railway undertakings the working timetable, on the basis of
which delays will be calculated, at least five days before the train run. The infrastructure manager may apply a
shorter notice period in case of force majeure or late alterations of the working timetable;
(c) All delays shall be attributable to one of the following delay classes and sub-classes:
1. Operation/planning
management
attributable
to
the
infrastructure
manager
1.1. Timetable compilation
1.2. Formation of train
1.3. Mistakes in operations procedure
1.4. Wrong application of priority rules
1.5. Staff
1.6. Other causes
2. Infrastructure
installations
attributable
to
the
infrastructure
manager
2.1. Signalling installations
2.2. Signalling installations at level crossings
2.3. Telecommunications installations
2.4. Power supply equipment
2.5. Track
2.6. Structures
2.7. Staff
2.8. Other causes
3. Civil
engineering
causes
attributable
to
the
infrastructure
manager
3.1. Planned construction work

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3.2. Irregularities in execution of construction work
3.3. Speed restriction due to defective track
3.4. Other causes
4. Causes
attributable
to
other
infrastructure
managers
4.1. Caused by previous infrastructure manager
4.2. Caused by next infrastructure manager
5. Commercial
causes
attributable
to
the
railway
undertaking
5.1. Exceeding the stop time
5.2. Request of the railway undertaking
5.3. Loading operations
5.4. Loading irregularities
5.5. Commercial preparation of train
5.6. Staff
5.7. Other causes
6. Rolling
stock
attributable
to
the
railway
undertaking
6.1. Roster planning/rerostering
6.2. Formation of train by railway undertaking
6.3. Problems affecting coaches (passenger transport)
6.4. Problems affecting wagons (freight transport)
6.5. Problems affecting cars, locomotives and rail cars
6.6. Staff
6.7. Other causes
7. Causes
attributable
to
other
railway
undertakings
7.1. Caused by next railway undertaking
7.2. Caused by previous railway undertaking
8. External
causes
attributable
to
neither
infrastructure
manager
nor
railway
undertaking
8.1. Strike
8.2. Administrative formalities
8.3. Outside influence
8.4. Effects of weather and natural causes
8.5. Delay due to external reasons on the next network
8.6. Other causes
9. Secondary
causes
attributable
to
neither
infrastructure
manager
nor
railway
undertaking
9.1. Dangerous incidents, accidents and hazards

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L 343/70
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Official Journal of the European Union
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9.2. Track occupation caused by the lateness of the same train
9.3. Track occupation caused by the lateness of another train
9.4. Turn-around
9.5. Connection
9.6. Further investigation needed;
(d) Wherever possible, delays shall be attributed to a single organisation, considering both the responsibility for
causing the disruption and the ability to re-establish normal traffic conditions;
(e) The calculation of payments shall take into account the average delay of train services of similar punctuality
requirements;
(f) The infrastructure manager shall, as soon as possible, communicate to the railway undertakings a calculation of
payments due under the performance scheme. This calculation shall encompass all delayed train runs within a
period of at most one month;
(g) Without prejudice to the existing appeal procedures and to the provisions of Article 56, in the case of disputes
relating to the performance scheme, a dispute resolution system shall be made available in order to settle such
matters promptly. This dispute resolution system shall be impartial towards the parties involved. If this system is
applied, a decision shall be reached within a time limit of 10 working days;
(h) Once a year, the infrastructure manager shall publish the annual average level of performance achieved by the
railway undertakings on the basis of the main parameters agreed in the performance scheme.

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ANNEX VII
SCHEDULE FOR THE ALLOCATION PROCESS
(referred to in Article 43)
1. The working timetable shall be established once per calendar year.
2. The change of working timetable shall take place at midnight on the second Saturday in December. Where a change or
adjustment is carried out after the winter, in particular to take account, where appropriate, of changes in regional
passenger traffic timetables, it shall take place at midnight on the second Saturday in June and at such other intervals
between these dates as are required. Infrastructure managers may agree on different dates and in this case they shall
inform the Commission if international traffic may be affected.
3. The final date for receipt of requests for capacity to be incorporated into the working timetable shall be no more than
12 months in advance of the entry into force of the working timetable.
4. No later than 11 months before the working timetable comes into force, the infrastructure managers shall ensure that
provisional international train paths have been established in cooperation with other relevant infrastructure managers.
Infrastructure managers shall ensure that as far as possible these are adhered to during the subsequent processes.
5. No later than four months after the deadline for submission of bids by applicants, the infrastructure manager shall
prepare a draft working timetable.

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L 343/72
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Official Journal of the European Union
14.12.2012
ANNEX VIII
ACCOUNTING INFORMATION TO BE SUPPLIED TO THE REGULATORY BODY UPON REQUEST
(referred to in Article 56(12))
1. Account separation
(a) separate profit and loss accounts and balance sheets for freight, passenger and infrastructure management activities;
(b) detailed information on individual sources and uses of public funds and other forms of compensation in a
transparent and detailed manner, including a detailed review of the businesses' cash flows in order to
determine in what way these public funds and other forms of compensation have been used;
(c) cost and profit categories making it possible to determine whether cross-subsidies between these different activities
occurred, according to the requirements of the regulatory body;
(d) methodology used to allocate costs between different activities;
(e) where the regulated firm is part of a group structure, full details of inter-company payments.
2. Monitoring of track access charges
(a) different cost categories, in particular providing sufficient information on marginal/direct costs of the different
services or groups of services so that infrastructure charges can be monitored;
(b) sufficient information to allow monitoring of the individual charges paid for services (or groups of services); if
required by the regulatory body, this information shall contain data on volumes of individual services, prices for
individual services and total revenues for individual services paid by internal and external customers;
(c) costs and revenues for individual services (or groups of services) using the relevant cost methodology, as required
by the regulatory body, to identify potentially anti-competitive pricing (cross-subsidies, predatory pricing and
excessive pricing).
3. Indication of financial performance
(a) a statement of financial performance;
(b) a summary expenditure statement;
(c) a maintenance expenditure statement;
(d) an operating expenditure statement;
(e) an income statement;
(f) supporting notes that amplify and explain the statements, where appropriate.

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ANNEX IX
PART A
REPEALED DIRECTIVES WITH LIST OF SUCCESSIVE AMENDMENTS
(referred to in Article 65)
Council Directive 91/440/EEC
(OJ L 237, 24.8.1991, p. 25)
Directive 2001/12/EC of the European Parliament and of the Council
(OJ L 75, 15.3.2001, p. 1)
Directive 2004/51/EC of the European Parliament and of the Council
(OJ L 164, 30.4.2004, p. 164)
Council Directive 2006/103/EC
only Point B of the Annex
(OJ L 363, 20.12.2006, p. 344)
Directive 2007/58/EC of the European Parliament and of the Council
only Article 1
(OJ L 315, 3.12.2007, p. 44)
Council Directive 95/18/EC
(OJ L 143, 27.6.1995, p. 70)
Directive 2001/13/EC of the European Parliament and of the Council
(OJ L 75, 15.3.2001, p. 26)
Directive 2004/49/EC of the European Parliament and of the Council
only Article 29
(OJ L 164, 30.4.2004, p. 44)
Directive 2001/14/EC of the European Parliament and of the Council
(OJ L 75, 15.3.2001, p. 29)
Commission Decision 2002/844/EC
(OJ L 289, 26.10.2002, p. 30)
Directive 2004/49/EC of the European Parliament and of the Council
only Article 30
(OJ L 164, 30.4.2004, p. 44)
Directive 2007/58/EC of the European Parliament and of the Council
only Article 2
(OJ L 315, 3.12.2007, p. 44)
PART B
LIST OF TIME LIMITS FOR TRANSPOSITION INTO NATIONAL LAW
(referred to in Article 65)
Directive Time
limit
for
transposition
91/440/EEC 1
January
1993
95/18/EC 27
June
1997
2001/12/EC 15
March
2003
2001/13/EC 15
March
2003
2001/14/EC 15
March
2003
2004/49/EC 30
April
2006
2004/51/EC 31
December
2005
2006/103/EC 1
January
2007
2007/58/EC 4
June
2009

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L 343/74
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Official Journal of the European Union
14.12.2012
ANNEX X
CORRELATION TABLE
Directive 91/440/EEC Directive
95/18/EC Directive
2001/14/EC This
Directive
Article 2(1) Article
1(1) Article
1(1),
first
Article 1(1)
subparagraph
Article 1(2) Article
1(2)
Article 2(2) Article
2(1)
Article 1(2) Article
2(2)
Article 1(3) Article
2(3)
Article 2(4) to (9)
Article 2(4) Article
2(10)
Article 2(11)
Article 3 Article
3(1)
to
(8)
Article 3(9) to (13)
Article 2(b) and (c) Article
3(14)
and
(15)
Article 3(16) and (17)
Article 2 Article
3(18)
to
(28)
Article 3(29) and (30)
Article 4 Article
4
Article 5 Article
5(1)
to
(3)
Article 5(4)
Article 6(1) and (2) Article
6(1)
and
(2)
Article 9(4) Article
6(3)
Article 6(1) second
Article 6(4)
subparagraph
Article 6(3) and Annex II Article
7(1)
Article 4(2) and
Article 7(2)
Article 14(2)

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Directive 91/440/EEC Directive
95/18/EC Directive
2001/14/EC This
Directive
Article 7(1), (3) and (4) Article
8(1),
(2)
and
(3)
Article 6(1) Article
8(4)
Article 9(1) and (2) Article
9(1)
and
(2)
Article 10(3) and (3a) Article
10(1)
and
(2)
Article 10(3b) Article
11(1),
(2)
and
(3)
Article 11(4)
Article 10(3c) and (3e) Article
11(5)
and
(6)
Article 10(3f) Article
12(1)
to
(4)
Article 12(5)
Article 5 Article
13
Article 14
Article 10b Article
15
Article 3 Article
16
Article 4(1) to (4) Article
17(1)
to
(4)
Article 5 Article
18
Article 6 Article
19
Article 7(1) Article
20(1)
Annex, Part I, point (1) Article
20(2)
Article 20(3)
Article 8 Article
21
Article 9 Article
22
Article 4(5) Article
23(1)
Article 10 Article
23(2)
and
(3)
Article 11 Article
24
Article 15 Article
25
Article 1(1), second
Article 26
subparagraph
Article 3 Article
27
Article 10(5) Article
28

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Directive 91/440/EEC Directive
95/18/EC Directive
2001/14/EC This
Directive
Article 4(1) and (3) to (6) Article
29
Article 6(2) to (5) Article
30
Article 7 Article
31
Article 8 Article
32
Article 9 Article
33
Article 10 Article
34
Article 11 Article
35
Article 12 Article
36
Article 37
Article 13 Article
38
Article 14(1) and (3) Article
39
Article 15 Article
40
Article 16 Article
41
Article 17 Article
42
Article 18 Article
43
Article 19 Article
44
Article 20(1), (2) and (3) Article
45(1),
(2)
and
(3)
Article 45(4)
Article 20(4) Article
45(5)
Article 21 Article
46
Article 22 Article
47
Article 23 Article
48
Article 24 Article
49
Article 25 Article
50

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Directive 91/440/EEC Directive
95/18/EC Directive
2001/14/EC This
Directive
Article 26 Article
51
Article 27 Article
52
Article 28 Article
53
Article 29 Article
54
Article 30(1) Article
55
Article 30(2) Article
56(1)
Article 31 Article
57
Article 12 Article
58
Article 14a Article
33(1),
(2)
and
(3) Article
59
Article 60
Article 34(2) Article
61
Article 11a Article
35(1),
(2)
and
(3) Article
62
Article 10(9) Article
63
Article 38 Article
64
Article 65
Article 17 Article
39 Article
66
Article 16 Article
18 Article
40 Article
67
Annex I
Annex II Annex
II
Annex Annex
III
Annex I Annex
IV
Annex V
Annex VI
Annex III Annex
VII
Annex VIII

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