Rules EUROPEAN UNION AGENCY FOR RAILWAYS Progress Report - cleaning-up Progress Report Rules cleaning-up Document Type: Report Document ID: Origin: ERA Activity Based Item: SPD 2016 Reducing technical barriers 5.2.2 point 10 Unit: Interoperability Sector: All Elaborated by Validated by Approved by Felice Ferrari Name. Andrzej Harassek.. Hubert Lavogiez Anna Gigantino Florinel Melinte Andreas Schirmer Position Project Officers Programme Manager HoU / Sponsor Date 31/03/2017 31/03/2017 31/03/2017 Signature Document History Version Date Comments 1 (July 2016) 27/07/2016 Progress report July 2016 (following RISC 76) 2 (October 2016) 19/10/2016 Progress report October 2016 (for RISC 77) 3 (January 2017) 16/01/2017 Progress report January 2017 (for RISC 78) 4 (March 2017) 31/03/2017 Progress report March 2017 1
1. CONTENTS 1. CONTENTS... 2 1.1. List of Figures... 2 1.2. List of Tables... 2 2. REFERENCES, DEFINITIONS AND ABBREVIATIONS... 3 2.1. Reference Documents... 3 2.2. Definitions and Abbreviations... 3 3. PROGRAMME DEFINITION... 3 3.1. Customer... 3 3.2. Projects... 3 3.3. Deliverables... 4 4. PROGRESS REPORT PER PROJECT... 6 4.1. Project 1.1 National rules under Interoperability Directive for vehicle (RST part) authorisation... 6 4.2. Project 1.2 National rules under Interoperability Directive applicable to ERTMS and GSM-R (on-board vehicle)... 9 4.3. Project 1.3 National rules under Interoperability Directive applicable to fixed installations... 10 4.4. Project 2 - National rules of types 1, 2 and 7 under Safety Directive... 10 4.5. Project 2 National rules of types 4 and 5 under Safety Directive / Revision of OPE TSI... 11 4.6. Project 3 Cleaning up of type 6 national rules under Safety Directive / Requirements on staff... 12 4.7. Project 4 Single Rule Database including transition from RDD and NOTIF-IT... 14 5. GLOBAL PROGRESS REPORT... 15 5.1. Main difficulties and mitigation actions... 15 5.2. Global progress state of the programme... 15 1.1. List of Figures Not Applicable 1.2. List of Tables Table 1 : Table of Reference Documents Table 2: Programme projects Table 3 : Programme deliverables 2
2. REFERENCES, DEFINITIONS AND ABBREVIATIONS 2.1. Reference Documents Table 1 : Table of Reference Documents [Ref. N ] Title Reference Version [1] Plan for Rules cleaning-up - Overview ERA-PRG-006-EXT 1.0 [2] Annex I - Remaining national technical rules applicable to vehicles ERA-PRG-006-Annex I 23/03/2106 [3] Annex II - Guidance on the bilateral meetings with Member States on the review and clean-up of type 4 NSRs and the TSI OPE 2.2. Definitions and Abbreviations 2.2.1. Standard Terms and Abbreviations See Plan [1]. 2.2.2. Specific Terms and Abbreviations See Plan [1]. 3. PROGRAMME DEFINITION 3.1. Customer The customers of this programme are: ERA-PRG-006-Annex II 09/03/2016 Member States: they will get guidance and advice from the Agency for the cleaning-up of their national rules; Stakeholders: they will be able to consult the cleaned-up rules in a transparent and open database; The Agency and the NSAs: while issuing vehicle authorisations and safety certificates, the Agency and NSAs will be able to refer to a set of transparent and cleaned-up national rules remaining in addition to TSIs; The European Commission services: this exercise is in line with the new Better Regulation principles of the Commission and with the EU objective of establishing a Single European Rail Area. 3.2. Projects Table 2: Programme projects 1.1 N Project Lead unit/sector Project Manager Identification and review of remaining national technical rules in addition to TSIs for vehicle (RST part) authorisation 1.2 Review of national rules applicable to ERTMS and GSM- R in addition to TSIs (on-board vehicle & track side) IU - Rolling Stock ERTMS F. Melinte H. Bierlein 1.3 Review of national rules applicable to fixed installations IU- Fixed install. G. Tavola 2 Revision of OPE TSI IU Operations K. Davies 3 Cleaning up of competency rules (type 6 safety rules) IU Operations O. Mette 4 Single Rule Database (including transition from RDD and NOTIF-IT) IU - CARS A. Schirmer (business manag.) 3
3.3. Deliverables Table 3: Programme deliverables Item/Project Milestone/Deliverable Description Time plan Objective 1: cleaning up of national rules under Interoperability Directive Project 1.1 National rules in addition to TSIs for vehicle (RST part) authorisation Kick-off meeting with MSs Meetings with MS to trigger national programmes for cleaning up, involving stakeholders where required March 2016 Remaining rules in RDD Analysis and validation of rules by MS and ERA Dec. 2016 ext. to June 2017 Project 1.2 National rules applicable to ERTMS and GSM-R in addition to TSIs (on-board vehicle) Remaining rules in database Analysis and validation of rules by MS and ERA Dec. 2016 ext. to June 2017 Up-load in RDD 2016 2017 Project 1.3 National rules applicable to fixed installations Remaining rules in database RINF Analysis and validation of rules by MS and ERA % of network covered/ms 2018 2016-2019 Objective 2 : cleaning-up of national rules under Safety Directive Project 2.1 Revision of OPE TSI Development of Appendix B Analysis of types 4 and 5 national rules, prioritisation and possible harmonisation July 2017 National implementation plans from MSs According to requirement in current TSI OPE July 2017 Project 2.2 Remaining national rules Remove rules of types 1, 2 and 7 De-notification from NOTIF-IT by MSs December 2016 Remove redundant national safety rules after entry into force of revised OPE TSI De-notification or renotification of national rules types 4 and 5 December 2018 Objective 3 : cleaning up of requirements on staff (type 6) national rules under Safety Directive Project 3.1 Analysis of rules Common work with NSAs and sector September 2016 Project 3.2 Revise relevant legislation Agency report Adoption by COM Development with NSAs and sector 2017 Depends on results of previous action 4
Item/Project Milestone/Deliverable Description Time plan Objective 4 : Transition from the Reference Rule Database (RDD) and NOTIF-IT to the SRD Project 4.1: Single Rule Database (including transition from RDD and NOTIF-IT) SRD Development Internal Agency project January 2017 June 2019 Transition from RDD and NOTIF-IT to SRD Subsequent data migration from RRD and NOTIF-IT. June 2019 5
4. PROGRESS REPORT PER PROJECT 4.1. Project 1.1 National rules under Interoperability Directive for vehicle (RST part) authorisation Guidelines [2] were made available to NSAs in March 2016; the first priority is to identify and make publicly available in RDD the national rules that are applicable for authorisation of new vehicles covered by TSIs, meaning the remaining rules applicable in addition to the latest TSIs with extended scope (LOC&PAS, WAG, PRM, Noise). The Agency will assess these rules. A report under RDD allowing an easy access to this set of rules and is available at: Remaining NTRs on top of the latest TSIs in force. Other national rules (e.g. for vehicles/subsystems not covered by TSIs, or in addition to repealed TSIs) will continue to be available in RDD; as they are already applied for on-going projects, and/or they are not supposed to be harmonised (for those applied to vehicles/subsystems not covered by TSIs), their assessment by the Agency is not seen as a priority under this programme. Those other national rules are not in the scope of the project 1.1. The above is illustrated in the following chart, which is the model for the progress charts related to national rules for vehicle authorisation. 6
The current state of the assessment of remaining national rules in addition to the latest TSIs is given below. As part of the work ongoing in MS, it is necessary to structure the remaining national rules according to revised list of parameters (Commission implementing decision (EU) 2015/2299 of 17 November 2015 amending decision 2009/965/EC as regards an updated list of parameters to be used for classifying national rules). This migration is not completed in several MSs, leading to a delay in the programme. Regarding the Agency s assessment, having the rules published in English in addition to the national language, as foreseen in RDD, is necessary for a common analysis between the Agency and MSs. For MSs not following this request, a delay due to translation may be encountered. Having the remaining national rules structured according to their purpose and TSI clauses (open point, specific case, compatibility with existing network) is also a way to ensure their consistence with TSIs; it is easier to assess individual rules covering one of the purposes listed above than a global rule. RDD provides the possibility to link the rules to the appropriate TSI reference. Following exchange of information end of 2016 progress was made in BG, ES, HU, HR, NO, SK. The Agency is still expecting information to start its assessment for 8 MSs. In order to give an overview on the relevance and impact of remaining rules, the Agency has prepared an evaluation report mapping the possible remaining rules in different groups (e.g. compatibility with train detection system, other rules for compatibility with existing infrastructure, rules linked to other EU directives) and allocating per MS the rules in these groups. It is planned to issue the first version of this report in April 2017; the Agency is in the process of submitting in advance to each NSA contact point for RDD the content of the report for their MS. 7
National Rules for authorisation of vehicles covered by TSIs, RDD status, MAR 2017 8
4.2. Project 1.2 National rules under Interoperability Directive applicable to ERTMS and GSM-R (on-board vehicle) Bilateral meetings are being organised with NSAs in order to identify national rules that are applicable to ETCS and GSM-R in addition to the TSI CCS. The status of this work is given below. MS Available NTRs GSM-R ( 12.1.2) Available NTRs ETCS ( 12.2.5) Status 16.01.2017 MS Available NTRs GSM-R ( 12.1.2) Available NTRs ETCS ( 12.2.5) Status 16.01.2017 AT 1 3 Meeting requested IE Contact established. BE X 2 Meeting requested IT 11 28 Follow-up meeting to be planned. BG 0 0 Finalised LT 0 0 Finalised CH 3 15 CZ 2 2 DE 3 9 Further discussion needed. Further discussion needed. 6 rules agreed with the Agency Further discussion needed. LU 0 4 Finalised LV 0 0 Contact established NL 2 10 DK 1 4 Finalised NO 2 1 1 rule agreed with the Agency, 11 rules under discussion Further discussion needed. EE 0 0 Finalised PL Contact established EL 0 0 Finalised PT Contact established ES 1 8 FI 0 1 FR X X 4 rules agreed with the Agency, 5 rules under discussion Further discussion needed. ERA is assessing the rules RO 0 0 Contact established SE X 1 1 rule agreed with the Agency, further rules expected SI 0 0 Contact established HU Contact established. SK 0 0 Finalised HR Contact established. UK X X Feedback received, waiting follow up meeting date For MSs where X is displayed, the number of expected rules is not yet available. A detailed report is available on the Agency website: http://www.era.europa.eu/core-activities/ertms/pages/ertms-national-technical-rules.aspx 9
4.3. Project 1.3 National rules under Interoperability Directive applicable to fixed installations The guidelines for analysis and cleaning-up of existing national rules are available and were published on the Agency website in December 2016. The following aspects are covered: identify rules that may export constraints to vehicles, identify other national rules (e.g. environmental protection, building law), ensure consistency with description of infrastructure in the Register of Infrastructure. The Agency has already started bilateral meetings with some MSs (France, 1 st of March last and additional meetings will be organised this year with MSs having rules available for analysis). The Agency will organise a workshop in autumn this year opened to all MSs representatives to explain the objectives and share views for this project. 4.4. Project 2 - National rules of types 1, 2 and 7 under Safety Directive The rules types are identified according to Safety Directive 2004/49/EC. Member States have to withdraw their remaining rules of types 1, 2 and 7 (including from NOTIF-IT), in accordance with the final report of the Task Force on national safety rules issued in 2012. The map below shows the number of rules to be withdrawn. This action, identified in 2012, should be undertaken by MSs without any additional delay. MSs should inform the Agency as soon as possible, in written form, about the status of their analysis and justify why the rules are not withdrawn (e.g. DE raised a concern in RISC 77 about possible evolutions since the report of the task force was issued in 2012, that may need further analysis). 10
4.5. Project 2 National rules of types 4 and 5 under Safety Directive / Revision of OPE TSI The rules types are identified according to Safety Directive 2004/49/EC. Guidelines [3] for the TSI OPE revision were made available to NSAs at the end of 2015, in particular for identification of rules to be harmonised (revision of Appendix B on common operating rules), and for agreement on remaining national rules. Bilateral meetings between the Agency and Member States are being organised to review the rules and agree on their evolution/reduction; the deadline for this work is end of 2017, in order to allow the working party revising the TSI OPE to take it into account. Country Meeting Number of rules type 4 Target Deadline Germany 02/02/2016 23 Max. 13 End 2016 Belgium 14/04/2016 72 TBD 2019 Portugal 09/06/2016 25 5 End 2017 France 12/09/2016 52 TBD July 2017 Italy 12/10/2016 52 TBD July 2017 Slovakia 25/11/2016 11 No target Austria 14/12/2016 7 Max. 4 July 2017 Poland 01/03/2017 7 No target July 2017 Finland 02/03/2017 13 1 or 2 End 2017 Luxembourg XX/04/2017 37 Spain XX/05/2017 11 Romania 16/05/2017 33 Bulgaria XX/05/2017 48 11
The map below shows the planning of bilateral meetings and the number of rules to be reviewed. With the inputs from the bilateral meetings, the working party in charge of the OPE TSI revision has to define and agree the fundamental operating principles / overarching statements which aim at ensuring the safe and timely delivery of people and goods. In addition, a certain number of topics e.g. checks and tests before departure, safety of loading have been included in the agenda of the WP on TSI OPE following bilateral meetings. An intermediate report on the revision of the TSI OPE has been made available to MSs under CIRCA, in which detailed information can be found on the status of work. 4.6. Project 3 Cleaning up of type 6 national rules under Safety Directive / Requirements on staff The rules types are identified according to Safety Directive 2004/49/EC. There is indication that the amount of 160 type 6 national rules that are currently notified and registered, will be reduced because wrong or outdated notifications are included. First bilateral discussions with NSA Portugal, Poland and Finland showed varying situations and underline the need of detailed and comprehensive analysis of both the currentness of notifications and the content of rules regarding scope of application and the character of specifications or provisions they establish. 12
In regard to Portugal out of 5 notified rules, one was already revoked (without update of its notification) and 2 rules will be revoked from 1/2017 on. The remaining 2 rules refer to specific elements regarding the education of staff dealing with the transport of dangerous goods. They cover not only rail transport staff but refer also to other transport modes such as road and see. Poland notified 2 national rules in this category which cover nevertheless many different job tasks and regulate several aspects for these staff groups. NSA and sector consider the current regulatory frame for safety relevant job tasks as adequate and helpful to manage safety. No changes are scheduled currently. Finland needs to update its notifications to changes that were made in recent years. A number of entries are outdated. Finland intends to revoke all national rules concerning staff requirements beside those concerning train drivers - within the coming 18 months. The Agency continues the analysis of notified rules and will develop the appropriate policy for the cleaning up process in this field. The relatively low number of notified type 6 rules suggests an approach which combines different methods of work. Bilateral meetings will be limited to MSs, where there is a rather broad scope of tasks affected or where there is a comparably detailed regulation on the field of staff requirements. In other cases the option of organising meetings covering more than one MS might be considered. For the time being discussions are organised in combination with bilateral meetings organised by the team working on project 2 (type 4 & 5 rules). Bilateral meetings considered for 2017 are listed in the table below, which will be updated along the project progress. Contact will be taken with NSAs in order to confirm these meetings, or make other arrangements. Country Meeting notified rules Revoked or wrongly notified Target Deadline PT June 2016 5 3 tbd PL March 2017 2 - tbd FI March 2017 14 tbd Tbd BG XX/XX/2017 19 BE/LU XX/XX/2017 18/8 LT/LV XX/XX/2017 14/8 DK/SE XX/XX/2017 1/8 EE XX/XX/2017 6 AT/DE XX/XX/2017 12/9 IT XX/XX/2017 6 UK XX/XX/2017 10 13
The map below shows the planning of bilateral meetings and the number of rules to be reviewed. 4.7. Project 4 Single Rule Database including transition from RDD and NOTIF-IT The Single Rule Database is the IT system intended to contain national rules under Safety and Interoperability Directive, and acceptable national means of compliance under Interoperability Directive; the system will also monitor the status of the examination/assessment of rules. The status of development is the following: - The Agency has finalised the terms of reference of the project aiming at developing the single rule database including the data migration from RDD and NOTIF-IT. The project starts in January 2017 and its finalisation is envisaged for June 2019. The key principles for vehicle authorisation, resulting from the ongoing workshops on vehicle authorization, will be taken into account. Next steps: - Drafting the project plan and presentation to MSs in the 1 st half of 2017. - Approval of SRD specifications in October 2017. - Definition of Data Modelling and Database Design in December 2017. - SRD application development until December 2018. - Data migration from RDD and NOTIF-IT until June 2019. - SRD to be in use by June 2019. In the transition phase until the SRD is in operation, it is recommended for making rules publicly available: - using RDD for rules (including draft rules) applicable for vehicle authorization; - using NOTIF-IT for rules under Safety Directive and rules for fixed installations. 14
5. GLOBAL PROGRESS REPORT 5.1. Main difficulties and mitigation actions It appears that the current structure of national rules under each national legislation leads to difficulties when the corresponding rules have to be aligned with the EU legislation. This was confirmed in several answers received recently regarding rules for vehicle authorisation. In fact, some MSs encounter difficulties to structure their national rules for vehicle authorisation in accordance with the latest list of parameters and TSIs (for open points, specific cases and rules for compatibility with existing fixed installations). It seems that it is also the case for allocating the relevant type to national rules under Safety Directive. At Agency level, the Single Rule Database to be developed under the 4 th RP as single entry point for national rules will address this difficulty by enforcing a structure aligned to the EU legislation. This will avoid overlaps between rules that are harmonised at EU level and remaining national rules. More globally, a common approach in implementing the 4 th RP at national level for the part related to rules may also be needed (to be further investigated with DG MOVE). 5.2. Global progress state of the programme In order to meet the global objective of the programme, the following actions still need to be carried out (short term deadline): - MSs to withdraw from NOTIF-IT redundant national rules of types 1, 2 and 7 under Safety Directive: MSs should inform the Agency as soon as possible, in written form, about the status of their analysis and justify why the rules are not withdrawn. - MSs and the Agency to ensure the publication in RDD of the remaining national rules for vehicle authorisation in addition to the latest TSIs in force before Mid-2017. Specific action plans are required urgently from MSs for which there is today limited visibility; the Agency is ready to support these MSs if necessary. - The projects related to national rules applicable to fixed installations, revision of TSI OPE, requirements on staff and transition to a Single Rule Database, are all launched as planned.. 15