EUROPEAN UNION AGENCY FOR RAILWAYS Opinion
ERA/OPI/2019-10
OPINION
OPI-201 9-10
OF THE EUROPEAN UNION AGENCY FOR RAILWAYS
for
Norway
regarding
Negative assessment of National Rules of Norway in addition to the
latest TSIs in force for the Rolling Stock and on-board CCS
subsystems notified in the Reference Document Database by
Member States according to Articles 25 and 26 of the Agency
Regulation
Disclaimer:
The present document is a non-legally binding opinion of the European Union Agency for Railways. It does
not represent the view of other EU institutions and bodies, and is without prejudice to the decision-making
processes foreseen by the applicable EU legislation. Furthermore, a binding interpretation of EU law is the
sole competence of the Court of Justice of the European Union.
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EUROPEAN UNION AGENCY FOR RAILWAYS Opinion
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1. General Context
1.1 The scope extension ofTSls (with effect on 01 January 2015), the functional and technical harmonisation
of requirements within TSIs made a series of national rules redundant and unnecessary.
1.2 While Directive(EU) 2016/797 does not yet apply to Norway, the principle of non-duplication of TSI
requirements by national rules is already set in Directive 2008/57/EC, in particular in its Article 17. The
processes described below are thus in line with the principles set in Directive 2008/57/EC and the Agency
and the “Norway NSA” agreed to apply them.
1.3 The articles 13 and 14 of Directive(EU) 2016/797 indicate clearly cases where national rules may continue
to apply:- New national rules may only be adopted in of the following cases (article 14(4)),
o when a TSI does not fully meet the essential requirements;
o as an urgent preventive measure, in particular following an accident.- Existing national rules (article 13(2)) are limited to
o where the TSIs do not cover, or do not fully cover, certain aspects corresponding to the
essential requirements, including open points as referred to in Article 4(6)Case where non-
application of one or more TSls or parts of them has been notified under article 7 ofDirective(EU) 2016/797,
o Specific cases listed but not described in TSls,
o Ensure technical compatibility with existing network not yet in compliance with TSI,
o Vehicles excluded from the scope of TSIs,
o Urgent temporary preventive measure, in particular following an accident.
1.4 According to article 14 of Directive(EU) 2016/797, Member States had to notify existing national rulesbefore 16 December 2016. When notifying, Members States have to provide justification for the
existence of national rules (e.g. identification of the related open-point).
1.5 Member States shall notifiy their national rules for vehicle authorisation. According to the
communication of the Commission in RISC, until the Single Rules Database is available, the notification is
performed in the Reference Document Database (RDD).
1.6 Since 2016, in accordance to the ERA programme plan on cleaning-up of national rules ERA-PRG-006-
PPL, Member States and the Agency started the activity on identification and evaluation of national rules
in addition to the following TSls:- TSI WAG: Commission Regulation (EU) No 321/2013, amended by Regulation (EU) No 1236/2013,
- TSI LOC&PAS: Commission Regulation (EU) No 1302/2014,
- TSI PRM: Commission Regulation (EU) No 1300/2014,- TSI Noise: Commission Regulation (EU) No 1304/2014,
- TSI CCS: Commission Regulation (EU) No 2016/919 (including ERA/ERTMS/033281 rev 3.0 dated04/12/201).
1.7 From 16 June 2019 and pending the Single Rules Database, the Reference Document Database will be
the reference for applicants, NSAs and the Agency in terms of applicable national rules for vehicleauthorisation.
1.8 The scope of the technical opinion covers the examination of national rules (existing or draft) leading to
a negative assessment by the Agency.
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1.9 The complete assessment covering the examination of all national rules (existing or draft) in addition to
TSIs mentioned in section 1.5 is available in the Evaluation Report of remaining national rules ERA-PRG
006-REP-RST.
2. Legal Background
2.1 According to the provisions of article 13.2 of Directive (EU) 2016/797, national rules and where relevantacceptable national means of compliance shall apply in the cases defined below:
a) where the TSls do not cover, or do not fully cover, certain aspects corresponding to the essentialrequirements, including open points;
b) where non-application of one or more TSIs or parts of them;c) where a specific case requires the application of technical rules not included in the relevant TSI;d) national rules used to specify existing systems, limited to the aim of assessing technical compatibility
of the vehicle with the network;e) networks and vehicles not covered by TSls;
f) as an urgent temporary preventive measure, in particular following an accident.
2.2 According to the provisions of article 14 (9) of Directive (EU) 2016/797, draft national rules and nationalrules referred to in paragraph 1 shall be examined by the Agency in accordance with the procedures laiddown in Articles 25 and 26 of Regulation (EU) 2016/796.
2.3 According to the provisions of Article 25 (3) of the Agency Regulation 2016/796, where the examinationreferred to in paragraph 1 leads to a negative assessment, the Agency shall inform the Member Stateconcerned and ask it to state its position regarding that assessment. If, following that exchange of viewswith the Member State concerned, the Agency maintains its negative assessment, the Agency shall withina maximum period of 1 month:
(a) issue an opinion addressed to the Member State concerned, stating the reasons why the national rule
or rules in question should not enter into force and/or be applied; and
(b) inform the Commission of its negative assessment, stating the reasons why the national rule or rulesin question should nat enter into force and/or be applied.
This shall not prejudice the right of a Member State to adopt a new national rule in accordance with point(c) of Article 8(3) of Directive (EU) 201 6/798 or with point (b) of Article 14(4) of Directive (EU) 2016/797
2.4 According to the provisions of Article 26 (3) of the Agency Regulation 2016/796, where the examinationreferred to in paragraph 1 leads to a negative assessment, the Agency shall inform the Member Stateconcerned and ask it to state its position regarding that assessment. If, following that exchange of viewswith the Member State concerned, the Agency maintains its negative assessment, the Agency shall within
a maximum period of 1 month:
(a) issue an opinion addressed to the Member State concerned, stating that the national rule or rules inquestion has or have been the subject of a negative assessment and the reasons why the rule or rules inquestion should be modified or repealed; and
(b) inform the Commission of its negative assessment, stating the reasons why the national rule or rulesin question should be modified or repealed.
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3. Analysis
3.1. Tasks under the responsibility of the Member States:
In accordance to rules cleaning-up programm plan ERA-PRG-006-PPL from March 2016, Member states wereasked to
- Identify and remove national rules covered by TSls,- Relate national rules to the TSIs and to the list of parameters defined in decision 2015/2299/Eu,- Clearly refer national rules not related to open point(s) or specific case(s) to TSI requirements in order
to identify if they complement/contradict/replace TSls for compatibility with existing networks,- Ensure that the requirement is a mandatory rule. Acceptable national means of compliance in
accordance to the definition in article 2 (34) of Directive 2016/797 is not considered as a nationalrule,
- Identify and analyse requirements that don’t relate to any of the above, verify, in this case forexample if the TSI is deficient/non-exhaustive.
Based on the outcome of this activity, Member States should have:
- Published their national rules in the Reference Document Database and- Aligned their national legislation for vehicle authorisation with the Reference Document Database.
3.2. Tasks carried out by the Agency
During the project of cleaning up of national rules for vehicle authorisation covered by the Rules cleaning upprogram plan ERA-PRG-006-PPL, the Agency has
- Provided technical support to Member States in the cleaning up of the remaining rules by ensuring:o That rules relate to : Open points, Specific cases, Legacy system or rule duly justified for
compatibility with existing fixed installation (i.e. a specific case not declared up to now).O Consistency with the EU framework, including register of infrastructure and responsibilities
of actors as defined in the Safety Directive and TSI OPE.o That the rule is transparent and not discriminatory.o The update of the Reference Document Database.
- Assessed the relevance of the remaining national rules together with the Member states, using theReference Document Database as a reference.
- Provided regular reporting to European commission on the progress made.- Updated the Reference Document Database with the status of the evaluation.- In accordance with article 25(3) and 26(3) of Agency regulation 2016/797, the Agency informed
officialy the Member States and the European Commission through an assessment report, sent byemail, on the national rules in addition to latest TSIs (ERA-PRG-006-REP-RST). This report waspublished on the ERA websiste and uploaded on the CIRCABC.
- The Agency asked to the Member States to check the report, to provide comments and to take into
consideration the actions proposed.
- The Norwegian NSA provided feedback on the report and indicated that the highlighted clauses will
be reviewed and reworded. NSA Norway informed also the Agency that the Vehicle Regulation
containing the National Rules of Norway is being updated and will be adapted according to the
Interoperability Directive 2016/797. The update started and planned to be finalized by the end of
2019. The draft Vehicle regulation will be sent for national and EU — hearing in due time.
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EUROPEAN UNION AGENCY FOR RAILWAYS Opinion
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3.2.1. National rules subject to assessment by the Agency
The table 1 below provides an overview of national rules notified by Member States and subject or not to an
assessment by the Agency:
Table 1: Overview of national rules notified by Member States and subject or not to an assessment by the I
National Rules relates to Published’ Evaluated Remarks- in ROD
Yes This clearly identify where a national rule may be kept andnotified; traceability between TSis and possible remainingnational rules is clearly established, and thecorresponding rules are recorded in RDD.
The Agency checked if the national rule covers the scopeof the open point.
Corresponding rules are available in RDD. Anyway, it willhave to be decided at later stage with the Commissionhow to deal with these rules, considering the mentionedDirectives. As a general principle, the TSIs in force don’tcover subjects in the scope of these other EU Directives.
Corresponding parameters are defined in section 3.2.3 ofthe report ERA-PRG-006-REP-RST
Yes TSls clearly identify where a national rule may be kept andnotified. Traceability between TSls and possible remainingnational rules is clearly established, and thecorresponding rules are recorded in RDD.
The Agency checked if the national rule covers the scopeof the specific case.
Yes This includes vehicles with ETCS pre-baseline 2 versions(e.g. 2.2.2), additional functionality implemented on-board (e.g. NTRs from other MS) and TSl optionsimplemented trackside (e.g. infill).
No
Vehicles not covered byTS is
Article 13.2 (f): No
Urgent temporarypreventive measurefollowing an accident
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Yes Freight wagons, Locomotives, Trainsets / Electric or DieselMultiple Unit, Passenger coaches, Track machines/OTMs.
No
No
Vehicles in the scope of YesLoc&Pas and WAG TSls
Article 13.2(a): Yes
Open points listed in TSI5
Article 13.2(a): : Yes
Other Directives
Article 13.2 (b): No
Non application of TSI
Article 13.2 (c): Yes
Specific cases mentionedbut not described in TSI5
Article 13.2(d): Yes
Technical compatibilitybetween vehicle andexisting network(s)
Article 13.2 (e): No Concern vehicles such as Tram-Train, metric gaugevehicle.
No
EUROPEAN UNION AGENCY FOR RAILWAYS Opinion
ERA/OPI/2019-10
Table 1: Overview of national rules notified by Member States and subject or not to an assessment by theNational Rules relates to Published Evaluated Remari’
inRDD --
Yes National rules when accepted by the Agency are, maintained pending the resolution of the potential
deficiency.
No
3.2.2. Summary of the results of the examination of national rules
The table 2 below provides an overview of the number of national rules and acceptable national means ofcompliance notified by the Member State in addition to latest TSls and the results of the examination leadingto a positive or negative assessment.
The annex 1 provides details of the assessment leading to negative assessment. The national rules subjectto discussion/clarification with the Member State are also counted in the column “Negative assessment”.
Table 2: number of national rules notified byNumber —- of Results of the examination ‘
National rules (ordraft national
Member States rules) and PositiveAcceptable assessment
_______
national means ofcompliance
‘ ._.l_ —
28
TSI potentially deficient or Yesnot exhaustive
Previous versions of TSls Yesnot listed in section 3.1.2of the report ERA-PRG006-RE P-RST
Vehicle not TSI compliant Yesauthorised before TSls.
No — Rules are in RDD for reference/history and are not subjectto Agency evaluation.
‘-‘-‘s -“lts of the ‘aminr”9
Norway
Remarks
Negativeassessment
I
Norwegian NSA informed the Agencythat the Vehicle Regulationcontaining the National rules forvehicle authorisation is being revised.The process for adapting theregulations to the Directive is startedand planned to be finished by the endof 2019. The review of ERAs draftassessment report will be then a partof this revision.
11 National rules should be modified
5 National rules should be repealed
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EUROPEAN UNION AGENCY FOR RAILWAYS Opinion
ERA/OPI/2019-10
4. The opinion
In accordance with article 26(3) of Regulation 2016/796, the opinion covers the examination of national rules
by the Agency leading to a negative assessment.
The annex 1 provides to the Member State:
- The list of actions to be taken into account,- An assessment table with:
o The national rules concerned,o The Agency assessment of each rule and the reasons why this is not accepted,
o The status of the assessment indicating whether the rule(s) should be modified or repealed.
Valenciennes, 2019
Executive Director
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eria
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heel
ham
mer
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heel
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not
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edan
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of60
mm
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ngth
for
whe
els
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enci
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.+3
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6500
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a.eu
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eu
EU
RO
PE
AN
UN
IO
NA
GE
NC
YF
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RA
ILW
AY
SO
pin
ion
ER
A/O
PI/2
019-10
Su
by
stem
Distribution
of
National
ru
les
Exam
ination
of
natio
nal
ru
les
leading
to
an
eg
ativ
eA
gen
cy
rem
ain
in
gassessm
en
tassessm
ent
rules
status
over
oreq
ual
to92
0mm
,an
d40
mm
for
whe
els
wit
h
dia
met
eru
nd
er92
0mm
.A
ccep
ted
stan
dar
ds
shal
lbe
used
,fo
rin
stan
ce:
EN
1530
2:20
08,
EN13
715:
2006
,EN
1367
4-1:
2003
,EN
1436
3,U
IC51
8,U
IC51
9an
dU
IC51
0.
RST
Com
pati
bili
ty3.
2.3-
Whe
elpr
ofil
ean
dli
mit
s:S
eepar
amet
er3.
2.2
abov
eN
otac
cepte
d
wit
hex
isti
ngT
hew
heel
prof
ile
shal
lco
ntr
ibute
toa
stab
leru
nnin
gN
SA
Norw
ay
feed
back
on
th
eassessm
ent
report
ER
A-
Nat
iona
lru
le
net
wo
rkch
arac
teri
stic
.M
easu
rem
ents
and
proc
ess
ofth
ePR
G-0
06-R
EP-
RST
:sh
ould
be
mea
sure
dva
lues
shal
lbe
done
acco
rdin
gto
UIC
518
3.2.
3.w
illbe
revi
sed
-m
ainl
ysa
me
com
men
tsas
abov
e,m
odif
ied
orE
N14
363.
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elpr
ofil
esh
all
bein
acco
rdan
ce
wit
hU
IC51
0-2.
Gen
eral
lyac
cepte
dw
heel
prof
ile
is
5100
2.B
ased
onte
stin
gan
dsa
fety
asse
ssm
ents
can
oth
erw
heel
prof
iles
beac
cep
ted
.C
oord
inat
eta
ble
s
and
draw
ings
for
rail
-hea
dar
epr
ovid
edby
the
infr
astr
uct
ure
man
ager
.T
hesi
zeof
wea
rgr
oove
in
the
whe
eltr
ead
shal
lno
tbe
mor
eth
an2
mm
.W
heel
surf
ace
mat
eria
ldef
ects
(fla
ked-
off
mat
eria
l)an
d
whe
elh
amm
er-b
low
/wh
eel
flat
ssh
all
not
exce
edan
area
of60
mm
inle
ngth
for
whee
lsw
ith
dia
met
er
over
oreq
ual
to92
0mm
,an
d40
mm
for
whee
lsw
ith
dia
met
eru
nd
er92
0mm
.
Acc
epte
dst
andar
ds
shal
lbe
used
,fo
rin
stan
ce:
EN
1530
2:20
08,
EN13
715:
2006
,EN
1367
4-1:
2003
,EN
1436
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IC51
8,U
IC51
9og
UIC
510
RST
Com
pati
bili
ty3.
2.4-
Tra
cklo
adin
gco
mpa
tibi
lity
par
amet
ers:
The
nati
onal
rule
refe
rsto
clau
se4.
2.3.
4.2.
2of
Loc
&Pa
sTS
IN
otac
cepte
d
wit
hex
isti
ngT
hena
tion
alru
leat
tach
edto
this
par
amet
erm
ight
1302/2
014.
Nat
iona
lru
le
net
wo
rkha
vea
long
erte
xt
than
the
RD
Ddat
aba
seca
nst
ore
.N
SAN
Oal
read
yin
dica
ted
toth
eA
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yth
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me
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ldbe
The
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ple
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xt
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und
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ost
vali
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test
req
uir
emen
tsan
dm
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ied
fiel
dsa
fein
tegra
tion,
ref
for
spec
ific
atio
nsov
er25
tons,
the
rule
Des
crip
tion
:w
illbe
revi
sed
and
re-w
ord
edin
next
revi
sion
.
“Veh
icle
ssh
all
not
caus
ehi
gher
dyna
mic
trac
klo
adA
gen
cy:
than
the
valu
essp
ecif
ied
byth
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ctu
re
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ncie
nn
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.+3
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0965
00I
era.e
uropa.e
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EU
RO
PE
AN
UN
ION
AG
EN
CY
FOR
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man
ager
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der
toen
sure
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pati
bili
tybe
twee
n
the
vehi
cle
and
railw
aytr
ack.
The
requ
irem
ents
in
sect
ion
3.2.
1ap
plie
sco
resp
ondi
ngly
for
trac
klo
ad
test
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here
quir
emen
tsin
TSI
LOC
&PA
Spo
int
4.2.
3.4.
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appl
ies
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espo
ndin
gly.
For
frei
ght
wag
ons
the
requ
irem
ents
inTS
IW
AG
poin
t4.
2.3.
5
appl
ies
corr
espo
ndin
gly.
For
vehi
cles
wit
hax
lelo
adhi
gher
than
25to
ns,
adeq
uat
eri
skas
sess
men
ts,
calc
ulat
ions
and
veri
fica
tion
ssh
all
beca
rrie
dou
t.A
ccep
ted
stan
dard
ssh
all
beus
ed,
for
inst
ance
:EN
1552
8,EN
1436
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IC61
5og
EN13
749.
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tical
acce
lera
tion
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lf-r
eson
ant
freq
uenc
yan
ddy
nam
iclo
adfo
rbr
idge
ssh
all
not
exce
edbr
idge
’s
carr
ying
capa
city
.Li
mit
valu
esar
ese
tby
the
infr
astr
uctu
rem
anag
er.
To
acom
plis
hsa
fety
and
runn
ing
stab
ilit
y,m
easu
rem
ents
unde
rdi
ffer
ent
oper
atin
gco
ndit
ions
orco
mpa
riso
nst
udie
sw
ith
apr
oven
desi
gn(e
.g.
sim
ulat
ion/
calc
ulat
ion)
shal
lbe
carr
ied
out
inor
der
toas
sess
the
dyna
mic
load
.E
lem
ents
tobe
exam
inat
edar
e,i.e
.m
ass
and
iner
tia
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dy,
bogi
esan
dw
heel
sets
,ve
hicl
e’s
susp
ensi
onch
arac
teri
stic
,di
stri
buti
onof
the
payl
oad.
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requ
irem
ents
inTS
ILO
C&
PAS
poin
t4.
2.3.
4.2.
2ap
plie
sco
rres
pond
ingl
y.Fo
rfr
eigh
tw
agon
sW
AG
TSI
poin
t4.
2.3.
5ap
plie
sco
rres
pond
ingl
y.Fo
rve
hicl
esw
ith
axle
load
high
erth
an25
tons
,ad
equat
eri
skas
sess
men
ts,
calc
ulat
ions
and
veri
fica
tion
ssh
all
beca
rrie
dou
t.T
est
cond
itio
nsse
tin
sect
ion
3.2.
1ap
plie
sco
resp
ondi
ngly
__
__
__
_
Opi
nion
ER
A/O
PI/
2019
-10
The
appl
icat
ion
ofTS
llo
c&Pa
s(i
nclu
ding
ER
A/T
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17/I
NT
clau
se4.
1)co
ver
seve
reco
ndit
ions
.Fo
rve
hicl
ew
ith
axle
load
abov
e25
tone
s:no
tco
vere
dby
TSI,
Nat
iona
lru
leis
poss
ible
.T
heru
leis
tobe
revi
sed.
NSA
Nor
way
feed
bac
kon
the
asse
ssm
ent
report
ER
A
PRG
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P-R
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The
rule
will
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wor
ded.
Su
by
stem
Dis
trib
uti
on
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nal
rule
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xam
inat
ion
ofn
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nal
rule
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adin
gto
an
egat
ive
Age
ncy
rem
ain
ing
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ent
asse
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rule
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nes
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Tel
.+3
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a.eu
ropa.
eu
EU
RO
PE
AN
UN
IO
NA
GE
NC
YF
OR
RA
IL
WA
YS
Opi
nion
ER
A/O
PI/2
01
94
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by
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uti
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nal
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ive
Age
ncy
rem
ain
ing
asse
ssm
ent
asse
ssm
ent
rule
sst
atu
s
RST
Com
pati
bili
ty3.
2.5-
Min
imum
hori
zont
alcu
rve
radi
us,
vert
ical
The
nati
onal
rule
refe
rsto
clau
se4.
2.3.
6of
Loc
&Pa
sTS
IN
otac
cepte
d
wit
hex
isti
ngco
ncav
ecu
rve
radi
us,
conv
excu
rve
radi
us:
1302/2
014.
Nat
iona
lru
le
net
wo
rkT
here
quir
emen
tsin
TSI
LOC
&PA
Scl
ause
4.2.
3.6
NSA
NO
just
ify
that
the
req
uir
emen
tsre
fere
sto
test
and
shou
ldbe
appl
ies
corr
espo
ndin
gly.
Min
imum
curv
era
dius
,ra
dius
un
der
150
min
e.g.
swic
hes.
The
rule
will
bere
vise
dm
odif
ied
vert
ical
,ho
rizo
ntal
,or
intr
ack
swic
hes,
issp
ecif
ied
inan
dre
-word
edin
next
revi
sion
.
the
infr
astr
uct
ure
man
ager
’sN
ettw
ork
stat
emen
tA
genc
yT
here
qu
irem
ent
refe
rsto
the
regis
ter
ofin
fras
truc
ture
(RIN
F)
and
ism
ore
rela
ted
toth
ero
ute
com
pati
bili
tych
eck
per
form
edby
ara
ilw
ayunder
takin
gaf
ter
auth
ori
sati
on
(see
revi
sed
TSI
OPE
4.2.
2.5
and
appe
ndix
D).
Info
rmat
ion
from
the
net
work
stat
emen
tm
etio
nn
edin
the
rule
shou
ldbe
tran
sfer
red
inR
INF.
NSA
Nor
way
feed
bac
kon
the
asse
ssm
ent
report
ER
APR
G-0
06-R
EP-
RST
3.2.
5w
illbe
rew
ord
ed.
How
ever
RIN
Fdo
not
cove
ral
the
par
amet
ers
yet.
Cha
ract
eris
tics
for
swic
hes
are
not
map
ped
orre
cord
ed.
Our
opin
ion
isth
atth
esi
tuat
ion
shal
l
beca
ptu
red
som
ewh
ere
,as
atr
ansi
tion
mes
ure
.T
hete
xt
will
bere
vise
d.
RST
Oth
erru
les
no
t6.1
.1.3
-Hum
idit
y:
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nati
onal
rule
refe
rsto
clau
se4.
2.6.
1of
Loc
&Pa
sTS
IN
otac
cepte
d
cover
edT
here
quir
emen
tsin
TSI
LOC
&PA
Scl
ause
4.2.
6.1.
31302/2
014.
Nat
iona
lru
le
tech
nica
lap
plie
sco
rres
pond
ingl
y,bu
tth
em
axim
umN
SAN
Oin
dica
tes
that
the
rule
sar
eva
lid
mai
nly
for
use
ofsh
ould
be
com
pati
bili
tyte
mper
atu
reva
riat
ion
tobe
taken
into
acco
unt
shal
lve
hicl
esw
ithout
oper
atio
nal
rest
rict
ions,
the
text
will
bere
pea
led
(e.g
po
ten
tial
beup
to40
K..
Itsh
all
exis
tsth
epo
ssib
ilit
yof
revi
sed
in20
18
TSI
defi
cien
cy)
dra
inag
eof
all
safe
ty-c
riti
cal
spac
esan
dop
enin
gsin
Age
ncy:
whi
chco
nd
ensa
tio
nca
noc
cur.
On
desi
gnan
dT
heru
lere
fer
toa
par
amet
erco
rres
pondin
gto
tech
nica
l
oper
atio
nof
elec
tric
alan
dbr
ake
syst
ems,
the
risk
ofre
qu
irem
ents
not
reta
ined
inTS
Is(s
eecl
ause
3.2.
5of
this
con
den
sati
on
and
free
zing
shal
lbe
tak
enin
tore
port
).T
here
qu
irem
ent
isal
read
yco
vere
dby
clau
se
acco
un
t.T
hegen
eral
req
uir
emen
tsin
TSI
LOC
&PA
S4.
2.6.
1of
Loc
&Pa
sTS
Ian
dcl
ause
7.4.
clau
se4.
2.6.
1an
dTS
IW
AG
clau
se4.
2.5
appl
ies
NSA
Nor
way
feed
bac
kon
the
asse
ssm
ent
report
ER
AP
RG
-006
-RE
P-R
ST
:
120
Rue
Mar
cL
efra
ncq
IBP
2039
2I
FR
-593
07V
alen
cien
nes
Ced
ex12
/18
Tel
.+
33(0
)32709
6500
Ier
a.eu
ropa.
eu
EU
RO
PE
AN
UN
IO
NA
GE
NC
YF
OR
RA
ILW
AY
SO
pin
ion
ER
A/O
PI/2
01
9-1
O
Su
by
stem
Dis
trib
uti
on
ofN
atio
nal
rule
sE
xam
inat
ion
ofnat
ional
rule
sle
adin
gto
an
egat
ive
Age
ncy
rem
ain
ing
asse
ssm
ent
asse
ssm
ent
rule
sst
atu
s
corr
espo
ndin
gly,
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ras
app
rop
riat
ew
ith
rega
rdto
6.1.
1.3.
will
bech
ecke
dan
dre
word
ed.
the
geog
raph
ical
cond
itio
ns.
RST
Com
pati
bili
ty8.
2.1.
2-V
olta
gean
dfr
equen
cyof
ov
erh
ead
con
tact
The
nati
onal
rule
refe
rsto
clau
se4.
2.8.
2.2
ofL
oc&
Pas
TSI
Not
acce
pte
d
wit
hex
isti
nglin
ep
ow
ersu
pply
:1302/2
014.
Nat
iona
lru
le
net
wo
rkT
here
quir
emen
tsin
TSI
LOC
&PA
Scl
ause
4.2.
8.2.
2N
SAN
Oin
dica
tes
that
the
rule
appl
yto
all
vehi
cles
due
tosh
ould
be
appl
ies
corr
espo
ndin
gly
alon
gw
ith
the
test
ing
po
wer
supp
lysy
stem
part
icul
arit
ies.
rep
eale
d
requir
emen
tsgi
ven
inE
N50
163
poin
t5.
Age
ncy:
The
rear
eno
req
uir
emen
tsas
toth
ele
ngth
ofT
here
isno
addi
tion
alre
quir
emen
ton
top
ofT
Sls,
ifa
“un
spec
ifie
dper
iod”
des
crib
edu
nd
erpo
int
4.1
spec
ific
case
isn
eed
edfo
rre
gen
erat
ive
brak
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Max
2sh
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inEN
5016
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ease
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asdone
inse
ctio
n7.
3.2.
12of
Loc
&Pa
s1302/2
014
byth
eba
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sm
eans
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atr
acti
on
Ifso
the
seco
nd
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agra
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ldbe
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sfer
edto
vehi
cle
can
gen
erat
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ltag
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3.
conti
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ack
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t8.
2.1.
2w
illbe
revi
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sco
mm
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note
dan
dw
ill
asa
fact
ory
test
.be
taken
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consi
der
atio
n.
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Com
pati
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ty8.2
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ener
ativ
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ause
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.N
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irem
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se4.
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ause
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ofL
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TSI
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4.N
SAN
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tes
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wer
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lysy
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arit
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ncy:
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18.
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clau
se:
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cati
onof
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96500
Ier
a.eu
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eu
14/1
8
EU
RO
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AN
UN
IO
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GE
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abou
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ith
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The
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02/2
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Nat
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Oin
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and
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genc
y:va
lida
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byte
stin
g.
120
Rue
Marc
Lefrancq
I61
’20
392
IFR
-593
07V
ale
ncie
nn
es
Ced
ex
15
/18
Tel
.+3
3(0
)327096500
Iera.e
uropa.e
u
EU
RO
PE
AN
UN
IO
NA
GE
NC
YF
OR
RA
ILW
AY
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pin
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PI/2
019-10
Su
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Age
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Ain
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Wha
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Acc
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view
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ause
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Marc
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IBP
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2I
FR-5
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Vale
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uropa.e
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ion
EU
RO
PE
AN
UN
IO
NA
GE
NC
YF
OR
RA
IL
WA
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ER
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2019-10
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120
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Marc
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.+3
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)327096500
Iera.e
uropa.e
u
Impact assessment
IA OPI 2019-10
EUROPEANUNIONAGENCYFOR RAILWAYS
Making the railway systemwork better for society.
Light Impact Assessment4th Railway Package — Cleaning up National rules for Vehicle
A uthorisation
Technical Opinion OPI-2019-1O
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Contents
1. Context and problem definition 3
1.1. Problem and problem drivers 3
1.2. Main assumptions 3
1.3. Stakeholders affected 4
1.4. Evidence and magnitude of the problem 4
1.5. Baseline scenario 4
1.6. Subsidiarity and proportionality 4
2. Objectives 6
2.1. Strategic and specific objectives 6
2.2. Link with Railway Indicators 6
3. Options 7
3.1. Listof options 7
3.2. Description of options 7
3.3. Uncertainties/risks 7
4. Impacts of the options 7
4.1. Impacts of the options (qualitative analysis) 7
4.2. Impacts of the options (quantitative analysis) 8
5. Comparison of options and preferred option 8
5.1. Effectiveness criterion (options’ response to specific objectives) 8
5.2. Efficiency (NPV and B/C ratio) criterion 8
5.3. Summary of the comparison 8
5.4. Preferred option(s) 8
5.5. Further work required 9
6. Monitoring and evaluation 9
6.1. Monitoring indicators 9
6.2. Future evaluations 9
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1. Context and problem definition
1.1. Problem and One of the main objectives of the the 4th Railway Package (RP) is to
problem drivers increase the efficiency of the authorisation process of vehicles and to
ensure transparency and non-discrimination of applicants in this process.
Applicants for vehicle authorisations have to demonstrate compliancy
with TSIs and with national rules notified by MSs.
The scope extension of TSls, the functional and technical harmonisationof requirements within TSls made a number of national rules redundantand unnecessary.
Problem/need to be addressed:
In accordance with Art. 14 (9) of lnteroperability Directive 2016/797 theAgency examined the draft national rules and national rules notified inaccordance to Art 13.2. The majority of rules were cleaned in consensus
with the MS. The Technical Opinion focus on rules where there isdisagreement between MS and the Agency concerning theirjustifications/acceptance. These rules might represent an obstacle in the
vehicle authorisation process.
1.2. Main assumptions 1. In June 2012, the European Commission has commissioned an impactassessment in view of the preparation of the 4th RP, hereinafter referred
to as the 4th RP IA1. The cleaning of national rules is represented as anhorizontal measure (to increase efficiency of the authorisation process)
in all evaluated option. (where one of the option was the policy packagesummarized as 4th RP). This LIA uses this IA as main source for economic
data.
2. The TO only identifies the remaining rules in addition to TSIs refered
in section of the TO where there is disagreement between MS and the
Agency. As long as there is no removal or modification of the concernedrule(s), there is no economic impact. In this LIA we assume, that as aconsequence of publication of the TO, the MS will withdraw theremaining rules so that an economic impact will appear.
3. The majority of national rules was cleaned in consensus with the MS,which already lead to a significant reduction of applicable rules in theframework of vehicle authorisation (e.g. from approx. 14.000 national
rules to less than 1000 national rules). As a consequence thisachievement contributes significantly to the economic impacts of the
complete cleaning process. The scope of the TO focus on the remaining
rules where there is disagreement between MS and Agency, It
contributes much lower to the economic impacts of the completecleaning process.
See https://ec.europa.eu/transport/sites/transport/files/modes/rail/studies/doc/2012-06-ia-support-study-era-final-report.pdf
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1.3. Stakeholdersaffected
Category of stakeholder Importance of the problem (*)
National Safety 2Authorities NSAs have to check the national part of
the application for vehicle authorisation.However as compliance with nationalrules is checked by a DeBo, they are notdirectly concerned by the problem.However NSAs might be in charge of themanagement of national rules,especially keeping them up to date. Inthis context the problem could berelevant for them.
ERA 2Although ERA is not involved in theassessment of the national part of theapplication for vehicle authorisation,ERA is delivering the final authorisationdecision. For this reason, ERA isconcerned by the problem however in alimited way.
Vehicle Supplier 5As applicants for vehicle authorisationsthey have to declare compliance with allapplicable national rules.
RUs 5If they are applicants for vehicleauthorisations — see vehicle suppliers
Infrastructure Managers 5If they are applicants for vehicleauthorisations — see vehicle suppliers
Nate:Other stakeholders not listed in this table like IMs, wagon keepersare not impacted.
*) 1—low; 5=high
1.4. Evidence and The evidence of the problem related to the inefficiency of the
magnitude of the authorisation process was analysed in detail in the 4th RP impact
problem assessment (see section 3 problem definition).
The magnitude of the problem for all EU countries was not quantified butit is estimated to be an impact of hundreds of millions EUR for theEuropean railway sector.
1.5. Baseline scenario The remaining national rules, where there is disagreement between MSand the Agency concerning their justifications/acceptance, are kept inforce after the publication of this TO by the MS.
1.6. Subsidiarity and According to the provisions of article 14 (9) of Directive (EU) 2016/797,
proportionality draft national rules and national rules referred to in paragraph 1 shall be
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examined by the Agency in accordance with the procedures laid down in
Articles 25 and 26 of Regulation (EU) 2016/796
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2. Objectives
2.1. Strategic and Strategic objective(s) of the Agency with which this initiative is coherent.
specific objectives D Europe becoming the world leader in railway safetyE Promoting rail transport to enhance its market sharei Improving the efficiency and coherence of the railway legal
framework
D Optimizing the Agency’s capabilitiesTransparency, monitoring and evaluation
l Improve economic efficiency and societal benefits in railwaysD Fostering the Agency’s reputation in the world
The specific objective is to Increase the efficiency of the vehicleauthorisation processes (Specific Objective 1);
2.2. Link with Railway N/A
Indicators
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3. Options
3.1. List of options Baseline
Option 1 — Technical Opinion
3.2. Description of Baseline - corresponds to the Baseline of the 4’ RP IA
options> No cleaning of national rules
Option 1 — TO Negative Assessment of National Rules
) Description of remaining rules where there is disagreement between
MS and ERA about their justification.
Further Assumption: These remaining rules will be removed or
modified by the MS as a consequence of the publication of the TO
3.3. Uncertainties/risks 1. The residual risk (related to a potential incompatibility with the
network of the concerned MS) resulting from a removal or modification
of a national rule is not taken into account in this LIA. It is considered to
be marginal or non existent.
2. The estimation of benefits of the 4th RP as stated in the 4th RP IA was
based on stakeholders’ opinion survey and was performed in 2012. More
updated evidence is not yet available.
4. Impacts of the options
4.1. Impacts of the . . -
The positive or negative impacts from the option are derived byoptions comparing the option against the baseline.(qualitativeanalysis)
Category of Option 1stakeholderNSAs Positive Reduced costs in the framework of management of!
impacts keeping up to date remaining national rules
Negative N/Aimpacts
Agency Positiveimpacts Less work in the framework of classification of
national rules (art 14.10)Negative N/Aimpacts
RUs Positive They profit from clear and transparent national rulesimpacts Reduced costs for vehicle (type) configaration
management (e.g. in terms of vehicle changemanagement and management of its operationaluse)
Negative N/AImpacts
Vehicle Positive see RUsSuppliers impacts
Negative N/AImpacts
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Overall Positive Reduced costs for vehicle (type) configarationassessment impacts management due to an increase in the efficiency and(input for transparency of the authorisation process.section 5.1)
Negative Very limitedimpacts
4.2. Impacts of theoptions
Category of Option 1stakeholder
(quantitative RUs, Benefits (euro) <<100 M€ (1)analysis) Suppliers
Costs (euro) N/A
NSAs Benefits N/A
Costs (euro) N/A
Agency Benefits (euro) N/A
Costs (euro) N/A
Overall Benefits (euro) <<100 M€
Costs (euro) - N/A
(1) Based on 4th RP IA: section 5.59 — estimated benefits for cleaning upof national rules. The amount of 100 M€ relates to the complete cleaningprocess. However the economic impact with regards to the TO can beconsidered much lower.
Overall resulting figures:
CBA Option 1
NPV <<100M€
B/c ratio >1
5. Comparison of options and preferred option
5.1. Effectiveness . .
. . . The proposed option meets all specific objectives.
criterion (options’response to
Comparison not applicable as only one option was proposed and the
specific objectives)baseline is not legally compliant with the 4t RP in force.
5.2. Efficiency (NPV . . .
and B/c ratio)The proposed option retrieves positive NPV (<< 100 M€) and B/C ratio
criterion
Comparison not applicable as only one option was proposed and thebaseline is not legally compliant with the 4th RP in force.
5.3. Summary of the N/A as there is only one option.
comparison5.4. Preferred The proposed option is recommended in terms of both effectiveness and
option(s) efficiency. There is no alternative proposal concerning theimplementation of the 4th RP.
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5.5. Further work The risks mentioned under section of 3.3 have to be closely monitored
required once the 4th RP is transposed in all Member States, in particular to detect
any potential negative economic impacts.
6. Monitoring and evaluation
6.1. Monitoring N/A
indicators
6.2. Future evaluations N/A
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9/9