European Railway Agency Applied Methodology … of...PAGE 1 OF 18 European Railway Agency Applied Methodology Guidelines for Studies: 1) Merging of HS and CR TSIs, and 2) splitting

PAGE 1 OF 18

European Railway Agency

Applied Methodology Guidelines for

Studies: 1) Merging of HS and CR TSIs, and 2) splitting of the “transversal” TSIs

Reference: ERA/REP/13-2011/INT Document type: Report

Annex 1

Version : 0.1

Date : 15.07.2010

Prepared by Reviewed by Approved by

Name Gergana Simeonova et al.

A. Magnien

A. Magnien

Unit Interoperability

Eonomic Evaluation

Head of EE Unit

Date

&

Signat.


Studies: 1) Merging of HS and CR TSIs, and

2) splitting of the “transversal” TSIs

Version 0.1 Page 2/18

AMENDMENT RECORD

Version Date Section

number

Modification/description Author

0.1 15.07.2010 All Creation AM, GS et al.





CONTENTS

1 INTRODUCTION ............................................................................................................................................ 5

2 REFERENCES, TERMS AND ABBREVIATIONS ................................................................................................ 6

2.1 Reference Documents ..................................................................................................................... 6

2.2 Definitions and Terms .................................................................................................................... 6

3 PROBLEM DESCRIPTION / OBJECTIVES ........................................................................................................ 8

3.1 Inventory of TSIs ............................................................................................................................. 8

3.2 Correspondence between TSIs and Physical items .................................................................... 8

3.3 Overlaps, gaps, redundancies, inconsistencies ........................................................................... 8

3.4 Concerned stakeholders ................................................................................................................. 9

4 SCENARIOS .................................................................................................................................................. 10

4.1 Reference scenario ......................................................................................................................... 10

4.2 Project scenario .............................................................................................................................. 10

5 IMPACTS ...................................................................................................................................................... 11

5.1 Characterization of impacts ......................................................................................................... 11

5.2 HS and CR TSIs relating to Infrastructure, Energy and Locomotives and Passenger

Rolling Stock. ............................................................................................................................................ 11

5.3 Locomotives and Passenger Rolling Stock ................................................................................ 12

5.3.1 Background information ...................................................................................................... 12

5.3.2 Applicability of the RST TSIs ............................................................................................... 13

5.4 Merging of CR and HS ENE TSIs ................................................................................................ 14

5.5 Merging of HS and CR INF TSIs ................................................................................................. 14

5.6 Registers .......................................................................................................................................... 15





5.7 Splitting the “transversal” TSIs - SRT TSI, PRM TSI and NOI TSI ........................................ 15

5.7.1 Splitting the SRT TSI ............................................................................................................. 15

5.7.2 Splitting the PRM TSI ........................................................................................................... 16

5.7.3 Splitting of the NOI TSI ........................................................................................................ 16

6 DEVELOPMENT OF THE IMPACT ASSESSMENT .......................................................................................... 18





1 INTRODUCTION

The European Railway Agency (ERA) has to carry out several complementary studies in relation

to the Mandate by the European Commission (Commission Decision C(2010)2576 final for

extending the scope of the technical specifications for interoperability (TSIs) in accordance with

Article 8(2) of Directive 2008/57/EC). Two of these studies as defined in Point 2.2 of the Annex are:

“a) Complementary study on the pertinence of merging the HS and CR TSIs relating to Infrastructure, Energy and Locomotives and Passenger Rolling Stock subsystems in one single TSI for each subsystem. As an alternative, this complementary study shall consider keeping for each subsystem two separate documents (one for HS and one for CR) but revising them in order to ensure their consistency with each other. Advantages and disadvantages of both options shall be analysed.

b) Complementary study on the pertinence of including the requirements established in the "transversal" TSIs relating to Safety in Railway Tunnels (Decision 2008/163/EC), Persons with Reduced Mobility (Decision 2008/164/EC) and Rolling Stock – Noise (Decision 2006/66/EC TSI) directly in the TSIs related to the different subsystems. Advantages and disadvantages of both options (including the requirements in the TSIs related to the different subsystems vs. keeping separate transversal TSIs) shall be analysed. In any case the scope and the contents of these TSIs shall be dealt with in a manner coherent with the TSIs related to the different subsystems.”

The planned delivery date of the two studies, defined in the Mandate is 4 November 2010.





2 REFERENCES, TERMS AND ABBREVIATIONS

2.1 REFERENCE DOCUMENTS

2.2 DEFINITIONS AND TERMS

Term Definition

Agency The European Railway Agency (ERA)

Mandate For the purpose of this questionnaire the term Mandate refers to

the Commission Decision C(2010)2576 final

Abbreviation Full Text

CCS Command Control and Signaling

CR Conventional rail

CR TSI Conventional Rail Technical Specification for Interoperability

ENE Energy subsystem

ERA European Railway Agency

HS High speed

HS TSI High Speed Technical Specification for Interoperability

ICs Interoperability Constituents

IM Infrastructure manager

INF Infrastructure subsystem

LOC & PAS Locomotives and passenger rolling stock

MS Member State





Abbreviation Full Text

NoBo Notified Body

NOI Noise

NSA National Safety Authority

OPE Operation and traffic management

PRM Persons with reduced mobility

RST Rolling Stock

RU Railway Undertaking

SRT Safety in railway tunnels

TSI Technical Specification for Interoperability

WAG Freight wagons





3 PROBLEM DESCRIPTION / OBJECTIVES

Merging and splitting of TSIs may address three different problems: inventory of TSIs,

correspondence between TSIs and physical items, and overlaps and redundancies between TSIs.

3.1 INVENTORY OF TSIS

TSIs are pieces of European law. The corpus of EU law has sometimes been criticized as extensive

and complex. Merging or splitting of TSIs, as suggested by the Mandate, would reduce the

number and, possibly, size1 of legal texts. It remains to be examined whether a) such reduction

would provide significant overall benefits, and b) whether the resulting complexity of TSIs would

be, overall, reduced or increased.

3.2 CORRESPONDENCE BETWEEN TSIS AND PHYSICAL ITEMS

Each TSI may address one subsystem, or several subsystems, or a part of a subsystem. Examples:

The Energy Subsystem (ENE) is covered by the ENE TSI

The Noise TSI addresses certain aspects of rolling stock

The SRT TSI concerns several subsystems (rolling stock, infrastructure, operations)

This leads to some complexity. When placing a physical item, say, a series of vehicles into service,

a set of TSIs has to be applied: RST, CCS (for the onboard part only), NOI, PRM (if the vehicles

carry passengers)…

The checking of compliance of the physical item with different TSIs may lead to the appointment

of different Notified Bodies (that may have different areas of competence) for the same project.

Whether this is a real problem or not, remains to be checked.

3.3 OVERLAPS, GAPS, REDUNDANCIES, INCONSISTENCIES

TSI scopes may be different: the distinction between “High Speed TSIs” and “Conventional Rail

TSIs” is commonly encountered, with few exceptions (SRT, PRM).

Care has been taken (previously by AEIF, now by ERA) to draft the different TSIs in a complete

and consistent manner. One must check whether the resulting TSIs are satisfactory. If this were

not the case, TSIs should be revised, no matter if merging & splitting is envisaged or not.

1 If (for instance) redundancies were eliminated





Merging or splitting TSIs may facilitate the removal of inconsistencies, but this removal would

have to take place anyway, and is not a specific benefit of merging or splitting.

On the contrary, removal of redundancies would be a direct benefit of merging or splitting.

3.4 CONCERNED STAKEHOLDERS

The concerned stakeholders are:

Member States, as far as they are supposed to notify national rules “filling the gaps” in TSIs,

and to notify bodies for verifications against TSIs;

NSAs, as far as they are supposed to check whether EC declarations of verification take

account of all TSIs that are in force and applicable; also in their role as custodians of

national registers;

Notified Bodies, as TSIs are their primary reference material;

Applicants and suppliers, for the same reason;

The European Commission, being the lawmaking body (each TSI is a “law” generally

enforced by a Decision of the European Commission);

The Agency, being the body drafting or revising TSIs, in close cooperation with the NSAs

and the railway sector; also in its role of keeper of registers (e.g. ERATV European register

of authorized types of vehicles).

NSAs, Notified Bodies and Representative Bodies will be formally consulted through a

questionnaire. The questionnaire is based on the preliminary analysis that has been carried out in

the present document. As the timeframe of the study is limited, the others will not be consulted

except if necessary, based on the preliminary results of the questionnaire.





4 SCENARIOS

4.1 REFERENCE SCENARIO

The reference scenario is “what would happen if the Agency won’t take any action”.

The study will consider the present breakdown of TSIs as the reference scenario. This scenario

includes the (ongoing) merging of:

HS and CR CCS TSI

HS and CR OPE TSI

4.2 PROJECT SCENARIO

The project scenario is: the practical implementation of any results of the study (e.g. “split the NOI

TSI”, “merge the HS and CR ENE TSIs…”), supposing that it would be put into practice, in the

coming years.

The merits of each split or merge will be considered independently, as there is no obvious

interdependence of the various splits and merges envisaged in the mandate.

There may be several project scenarios, either introduced by the Agency or by the respondents.

The impact assessment and the study overall will try and determine the optimal project scenario.

The possible effects of each particular split or merge are envisaged under the following section 5.





5 IMPACTS

5.1 CHARACTERIZATION OF IMPACTS

The impacts will consider the following aspects:

1. Consistency;

2. User friendliness, readability;

3. Simplification (lesser redundancies, interfaces clarified with other subsystems and with

registers);

4. Facilitate future maintenance (revision) of the TSIs;

5. and : Economic impact of the above, if it can be qualified and quantified.

Items 1 to 4 will be estimated on a qualitative scale : big improvement / small improvement /

neutral / small impairment / big impairment. Underlying advantages or disadvantages will also be

requested.

Item 5 will be estimated on:

A qualitative scale : favourable impact / neutral or negligible impact / unfavourable impact

An estimate of the order of magnitude of the impact by the respondent, if possible; details

will be provided with each question, if deemed useful.

5.2 HS AND CR TSIS RELATING TO INFRASTRUCTURE , ENERGY AND LOCOMOTIVES AND

PASSENGER ROLLING STOCK.

The ERA is mandated by the European Commission to carry out a study and consequently issue a

report advising the Commission on the pertinence of merging the HS and CR TSIs relating to

Infrastructure, Energy and Locomotives and Passenger Rolling Stock. 2

The study will analyse the advantages and disadvantages of the two possible scenarios:

Reference scenario: keeping for each subsystem two separate documents (one for HS and

one for CR) but revising them in order to ensure their consistency with each other.

Project scenario: merging the HS and CR TSIs relating to Infrastructure, Energy and

Locomotives and Passenger Rolling Stock subsystems in one single TSI for each subsystem

2 SRT and PRM TSIs already apply to HS and CR; OPE (High Speed and Conventional) and CCS TSIs (High Speed and

Conventional) are in the process to be merged.





5.3 LOCOMOTIVES AND PASSENGER ROLLING STOCK

5.3.1 BACKGROUND INFORMATION

Whereas (10) of Commission Decision 2002/735/EC on High Speed RST TSI (repealed by

Commission Decision 2008/232/CE):

“In its current version, the TSI, which is the subject of this Decision, covers features specific to the high-speed system. As a general rule, it does not address the common aspects of the high-speed and conventional rail system. The interoperability of the latter is the subject of another Directive (2). Given that verification of interoperability has to be established by reference to the TSIs, in accordance with Article 16(2) of Directive 96/48/EC, it is necessary, during the transition period between the publication of this Decision and the publication of the Decisions adopting the conventional rail TSIs, to lay down the conditions to be complied with in addition to the TSI attached. For these reasons it is necessary that each Member State informs the other Member States and the Commission of the relevant national technical rules in use for achieving interoperability and meeting the essential requirements of Directive 96/48/EC…”

Article 2 (1) of Commission Decision 2002/735/EC on High Speed RST TSI (repealed by

Commission Decision 2008/232/CE):

“With regard to the aspects that are common to the high-speed and the conventional rail systems, but not covered in the attached TSI, the conditions to be complied with for the verification of the interoperability within the meaning of Article 16(2) of Directive 96/48/EC are the applicable technical rules in use in the Member State which authorizes the placing in service of the subsystem concerned by this Decision.”

Report from AEIF on the revised HS RST TSI (Commission Decision 2008/232/EC):

“5.8 Topics not treated in the approved TSIs as not specific to HS and examined during the revision process

Annex L of HS RST TSI gives the list of aspects not specified in this TSI, and for which notification of national rules is required, till some open points are closed or some other CR TSIs, to which it will be possible to be referred, are approved.

This list was dramatically reduced during the HS RST TSI revision process.

For some remaining aspects, CR RST TSI could be referred to by priority, because some of its requirements may be applicable for HS RST.”

It appears from the extracts above that the initial HS RST TSI 2002 was developed without

consideration of aspects common to HS and CR rail systems; the report on the HS RST TSI 2008

mentions that the common aspects not covered in the revised HS RST TSI 2008 are listed in

Annex L (open points) and that CR RST TSI could be referred to by priority to national rules for

these open points.

In addition, according to the CR LOC&PAS TSI, a RST operated on the CR network, whatever its

maximum speed, shall comply to the CR LOC&PAS TSI; as a consequence, a RST of maximum





speed higher or equal to 190 km/h, and likely to operate on both CR and HS network shall comply

to both HS RST TSI and CR LOC&PAS TSI.

Directive 2008/57/EC Annex I 2.2 Vehicles:

“In addition, vehicles designed to operate with a maximum speed lower than 200 km/h which are likely to travel on all or part of the trans-European high-speed network, where compatible with the performance levels of this network, shall fulfill the requirements ensuring safe operation on this network. To this end, the TSIs for conventional vehicles shall also specify requirements for safe operation of conventional vehicles on high-speed networks”

Locomotives and passenger RST having a design maximum operating speed lower than 200km/h

intended to be operated on the HS network shall fulfil the requirements specified in the CR

LOC&PAS TSI. The additional requirements specific to their operation on the HS network remain

an open point. The closure of this open point will consider the interfaces with CR and HS INF and

ENE subsystems.CR LOC&PAS TSI (voted by the RISC, pending adoption by the European

Commission): See clauses 6.1.4 and 6.2.4 covering conformity assessment against HS RST TSI and

CR LOC&PAS TSI.

The CR LOC&PAS TSI identifies the requirements equally specified in both TSIs, for which an

assessment against the HS RST TSI may be referred to for CR.

5.3.2 APPLICABILITY OF THE RST TSIS

The table below shows how the 2 RST TSIs (CR and HS) apply, depending on the network on

which the RST is intended to be operated and on the design maximum operating speed of the

RST:





ROLLING STOCK : Design max. operating speed (km/h)

190 200 250 350

NE

TW

OR

K

Co

nve

ntio

na

lH

igh

Sp

ee

d

CR LOC & PAS TSI

NOT

APPLICABLE

NOT

APPLICABLE

HS RST TSI

Class 1Class 2

Open

point

CR LOC & PAS TSI for open points

by priority to national rules for open points

CR LOC & PAS TSI

(+ open points)

5.4 MERGING OF CR AND HS ENE TSIS

CR and HS ENE TSI were developed under the same approach. The requirements – in both TSIs -

for subsystem and for interoperability constituent are similar with (generally) speed distinctions.

Technically speaking, merging these two TSIs should be easy. In other words, if the merging

coincides with a revision of both TSIs, the merging will not represent any significant additional

workload for the Agency (drafting entity).

The effects on other stakeholders remain to be checked. For that purpose, the criteria under

section Error! Reference source not found. will be used in the questionnaire.

5.5 MERGING OF HS AND CR INF TSIS

These HS and CR TSIs were developed with slightly different assumptions and applied some

different solutions. They need harmonisation in description of some requirements, especially for

ICs. Reference to modules must be re-worked to introduce new modules to HS. Merging will be

the good chance for removal of mistakes observed in HS TSI since its publication. Merging both

TSI may need also harmonisation of the TSI Categories of Line and their description.





5.6 REGISTERS

Registers (Infrastructure Register, and European register of authorized types of vehicles) are in

the process of development; they will be common for both CR and HS rail systems. A merging of

the TSIs should not result in any change here.

5.7 SPLITTING THE “TRANSVERSAL” TSIS - SRT TSI, PRM TSI AND NOI TSI

The ERA is mandated by the European Commission to carry out a study and consequently issue a

report advising the Commission on the pertinence of splitting up the “transversal” TSIs (SRT TSI,

PRM TSI and NOI TSI) and include all of their requirements into the other TSIs dealing with the

respective subsystems.

The study will consider the aspects indicated in 5.1.

For this purpose each “transversal” TSI will be analysed separately and for each “transversal” TSI

there are several project scenarios considered.

5.7.1 SPLITTING THE SRT TSI

Quotes from the Commission Decision 2008/163/EC on SRT TSI:

(Whereas 17) “*...+ This TSI prescribes only minimal requirements: TSI conformity does not constitute per se a guarantee for safe placing in service and safe operation. *...+”

(Whereas 19) “Member States are free to request for specific situations more stringent measures, as long as these measures do not hamper interoperability *...+”

(Whereas 19) “*...+ Such higher requirements may be based on a scenario analysis and risk analysis and may concern the subsystems ‘infrastructure’, ‘energy’ and ‘operation’. *...+”

(Clause 1.1.2 of the SRT TSI) “*...+ Tunnels of more than 20 km in length require a special safety investigation that may lead to the specification of additional safety measures not included in this TSI in order to admit interoperable trains (trains complying with the relevant TSIs) in an acceptable fire-safety environment.*...+”

(Clause 1.1.3.2. of the SRT TSI) “Rolling stock which is designed and built to operate in all tunnels of the trans-European Network is defined as category B.*...+”

The aim is to set out requirements for interoperable rolling stock to be able to run through longer

tunnels and accordingly to adapt (if necessary) the construction of the tunnel to interoperable

trains.

According to the Mandate, as part of the complementary study on the possible inclusion of the

“transversal” TSIs into the respective TSIs for the subsystems, ERA has to carry out analysis on

whether or not to split up the SRT TSI and include all of its requirements into the other TSIs

dealing with the respective subsystems: ENE, INF, RST and OPE.





The following scenarios are identified:

0. Scenario ZERO. Retain the SRT TSI which contains requirements for all subsystems involved

in safe tunnel operation. However MSs may impose more stringent requirements

concerning fixed installations if this is necessary to safely run TSI compliant trains through

the tunnel.

A. SPLIT scenario. All requirements from the SRT TSI are divided over the RST, ENE, INF, CCS

and OPE TSIs.

B. LIMITED TSI scenario. Remove the RST requirements from the SRT TSI. The remaining SRT

TSI will set out the minimum requirements for fixed installations of tunnels; however MSs

may impose more stringent requirements if this is necessary to safely run TSI compliant

trains through the tunnel.

C. NATIONAL RULES scenario. The current SRT TSI requirements related RST will be

incorporated into the RST TSI(s), the specific design rules for the safety of fixed

installations should be governed by national rules. These national rules must ensure that

TSI compliant trains can safely run through the tunnel and must be authorised to run on

this fixed installation without specific check.

5.7.2 SPLITTING THE PRM TSI

According to the Mandate as part of the complementary study on the possible inclusion of the


whether or not to split up the PRM TSI and include all of its requirements into the other TSIs

dealing with the respective subsystems: Operations, Rolling Stock and Infrastructures.

Several scenarios are considered that are listed below:

0. Keep all requirements in a dedicated PRM TSI as in the current situation (Scenario Zero)

A. Split all requirements directly in existing TSIs. This can easily be achieved for RST and

OPE requirements. The INF TSI that mostly deals with lines and tracks would need to be

adapted to incorporate station accessibility requirements.

B. Split all OPE and RST requirements. Keep a dedicated PRM TSI for the station accessibility

and platform requirements.

C. Split all OPE and RST requirements. Include all platform requirements (§ 4.1.2.18 to §

4.1.2.22 of current PRM TSI) in the INF TSI. Find an alternative solution (for example

specific “Station” TSI) for the station accessibility requirements.

These scenarios do not foresee any modification of the scope of the PRM TSI nor of its

requirements. They consider only the requirements distribution throughout documents.

5.7.3 SPLITTING OF THE NOI TSI

Background information:

The NOI TSI applies to LOC&PAS as well as to WAG types of RST.





Noise requirements for high speed RST are included in the HS RST TSI.

Today the NOI TSI describes only the noise aspects of the RST subsystem for conventional

rail. No requirements related to the infrastructure are (yet) included. For this, the NOI TSI

is not a “transversal” TSI; however it could become one after revision.

During the forthcoming full revision of the NOI TSI, the Agency will study the possibility to

introduce the noise parameters related to the INF subsystem, either in the NOI TSI, or in

the INF TSI.

According to the Mandate, as part of the complementary study on the possible inclusion of the


whether or not to split up the NOI TSI and its requirements into the other TSIs dealing with the

respective subsystems. For the NOI TSI as it exists today, this would imply that a part would be

included in the CR LOC&PAS TSI and the other part would be combined with the CR WAG TSI.

On the other hand, in case the NOI TSI would be retained as a separate TSI, the question arises to

take the noise requirements out of the HS RST TSI and merge them with the NOI TSI.

In case the NOI TSI would be split up into the RST TSIs, the requirements would appear in all RST

TSIs: CR WAG, CR LOC&PAS and HS RST. Potential future infrastructure parameters would then

need to be included in the INF TSI(s). The alternative is to keep the NOI TSI, with or without INF

requirements.





6 DEVELOPMENT OF THE IMPACT ASSESSMENT

Date Step

Mid July 2010 Sending of questionnaire to NSAs, Representative Bodies,

Notified Bodies, together with the present document.

9 September 2010 Deadline for answers to questionnaire. The responses to the

questionnaires will determine the depth of the impact

assessment.

4 November 2010 Due date for present study, including impact assessment (as an

annex).