Regulatory framework
for freight wagons
28th April 2014, Brussels (BE)
Gilles Peterhans
Secretary General
Table of contents
UIP: International Union of Wagon Keepers
Regulatory framework: background
Freight wagon: New approach & TSI WAG
Conclusions
2
Who is UIP?

Founded in 1950

Represents the interest of wagon
keepers and ECMs via 14 National
Associations around Europe

Represents a European fleet of
about 200.000 rail freight wagons
producing more than 50% of all
tonne-kilometres around Europe.

Seated in Brussels
UIP – External working structures
Environment
Members: 14 national associations
MEMBERS
• keepers
• workshops
• shippers
• NoBos
• manufacturers
• ...
Other int. associations
UIC, CER, ERFA, UNIFE, UIRR,
EIM, UITP, EPTTOLA, ESC,
CLECAT, ETF,...
UIP
Other organisations
OTIF, UNIDROIT, RSRD2,
national associations, etc.
EUROPEAN INSTITUTIONS
Council of Transport
Ministers
TRAN Committee
Commissioner for
Transport
ERA Administrative
Board
Council of the EU
European
Parliament
European
Commission
European Railway
Agency (ERA) *
SERAC: Member states
*
RISC: Member states
ERA draft recommendations for EU COMMISSION on safety and interoperability
How do we work
INPUTS
OUTPUTS

Monitors EU legislation that
affects or may affect wagon
keepers in the future

Provides expert knowledge on
EU legislation and policy
developments

Discusses with members their
business and operational
priorities


Develops members’ positions
though joint efforts and
expertise in dedicated Topical
Committees
Raises awareness before the EU
Institutions and the Rail Sector
of the business and operational
priorities of rail freight and the
wagon keepers

Influences EU legislation at
technical and policy levels by
promoting member’s positions,
best practices, and studies

Ensure cross-fertilization
Table of contents
UIP: International Union of Wagon Keepers
Regulatory framework: background
Freight wagon: New approach & TSI WAG
Conclusions
6
Financing railways: the role of Governments
History
Private capital
Competition
from road
transport begins
19th century 1920 - 1925
New financing streams
•Eurofima
•Private lessor
1930 - 1955
Oil shocks
•Accumulated deficits (often +2% of GDP)
•Concerns about rail freight market decline
1955 - 1970
1970 - 1990
1991
…
States take over services
• Repairing war damages
• Rising costs
• Strikes




Railways under
various forms of
public ownership
Economic expansions
•Divergent national policies
•Increase of public contributions
EU policy
Government intervention in order to provide appropriate financing
Railways decisions mainly driven by government priorities
Private investments mainly in freight wagons for dangerous good transports
Eurofima to support the railways in renewing and modernizing their equipment
EU legislation impact
Directive
Communication
Regulation
Recommendation
Decision
BINDING
NON-BINDING
MEMBERS
8
EU Initiatives - Fostering competition
3 railway packages:
2nd package
3rd package
DIR 91/440/EC:
DIR 2001/12/EC:
DIR 2004/51/EC:
DIR 2007/58/EC:




 Unbundling
 Greater opening to
international freight market
 Full opening of internat. &
domestic freight services
 Opening of
international passenger
transport
LICENSES
DIR 95/18/EC:
DIR 2001/13/EC:
 Concept of license valid
throughout the EU
 Conditions for granting of
licences
INFRASTRUCTURE DIR 95/19/EC:
SAFETY
 Track access charges
and capacity allocation:
 Concept of capacity
allocation body,
allocation priorities
and principles
 Safety requirements @
EU level
DIR 96/48/EC:
INTEROPERABILITY
 Interoperability of
high speed rail
1991 - 1996
DIR 2001/14/EC:
DIR 2007/59/EC:
 User-changes and allocation
of infrastructure capacities
 Safety certificate
 Certification of train
drivers
DIR 2004/49/EC:
 Definition of safety rules at
European level
DIR 2001/16/EC:
 Interoperability of
conventional rail
2001
DIR 2004/50/EC:
 Harmonisation and
clarification of
interoperability
requirements
2004
ERA
Independence from state
Accounting separation
Sound finances
1st market opening
DIR 2008/110/EC:
DIR 2004/881/EC:
MARKET
1st package
 Update of safety rules
 ECM Art. 14 (a)
DIR 2008/57/EC:
 Interop conventional
update
2007
2008
…
EU initiatives – Towards Single Market
Last mile ?
MARKET
LICENSES
Improve framework
RECAST 1st package
4th package
DIR 2012/34/EC:
COM 2013/26:
 (1) strengthening the power
of national regulators
 Normalisation of the
accounts of RUs
 (2) improving the framework
for investment in rail
COM 2013/28:
 (3) ensuring fair access to
rail infrastructure and rail
related services
 Opening of the market for
domestic passenger
transport services by rail
COM 2013/29:
 Opening market for
domestic passenger services
by rail
 Governance of the rail
infrastructure
INFRASTRUCTURE
COM 2013/27:
 ERA regulation
SAFETY
Technical pillar
COM 2013/31:
 Definition of safety rules at
European level (RECAST)
INTEROPERABILITY
COM 2013/30::
 Harmonisation of
interoperability
requirements (RECAST)
2012
2013 -2015
Infrastructure
+
TEN-T guidelines: 1315/2013/EU
+
Connecting Europe Facility (CEF):
1316/2013/EU
+ Freight corridors: 913/2010/EC
4th railway package – Expectations
More interoperability, “interoperable” safety & strengthened role
for ERA may boost investments:
 Schengen for rail vehicles and railways
Boost market access
 Same exams and same pass marks over Europe
Boost innovation
 Reduction of time to market and costs to market
 Reduction of risks when launching new products
 Clear framework of roles & responsibilities
Boost productivity
 Clear framework to limit national and protective rules
Legal framework in rail: the role of OTIF
Organisation intergouvernementale pour les transports internationaux ferroviaires
Zwischenstaatliche Organisation für den Internationalen Eisenbahnverkehr
Intergovernmental Organisation for International Carriage by Rail
Межправительственная организация по международным железнодорожным перевозкам
‫المنظمة الحكومية الدولية للنقليات الدولية السككية‬
 Inter-governmental organisation
 Founded 1st May 1985
predecessor of OTIF was OCTI (Office Central des transports internationaux
par chemins de fer, 1893)
 48 Contracting States + 1 associated Member (Giordania)
more than 270,000 km of railway lines
 Official languages: English, French and German
 Headquarters: Bern, Switzerland, 22 Staff
COTIF 1980 -> COTIF 1999
Guided by the policy and legislation of the European Community (EC), particularly the
Directive 91/440/EEC
Convention concerning
International Carriage by Rail
OTIF Technical Admission
Technical
Prescriptions
Admission
Procedure
Appendix А
Appendix B
Appendix C
Appendix D
Appendix E
Appendix F
Appendix G
UR CIV
UR CIM
RID
UR CUV
UR CUI
UR APTU
UR ATMF
Regulation
concerning
the International
Carriage
of Dangerous
Goods
By Rail
Uniform Rules
concerning
Contracts of Use
of Vehicles
in International
Rail Traffic
Uniform Rules
concerning
the Contracts
of Use
of Infrastructure
in International
Rail Traffic
Uniform Rules
concerning
the Validation
of Technical
Standards and
Adoption of
Uniform Technical
Prescriptions
applicable to
Railway Material
intended
to be used
in International
Traffic
Uniform Rules
concerning
the Technical
Admission of
Railway Material
used
in International
Traffic
TSI
ECM
Uniform Rules
concerning
the Contract
of International
Carriage
of Passengers
by Rail
Uniform Rules
concerning
the Contract
of International
Carriage
of Goods
by Rail
13
Geographical scope of COTIF and its appendices
Status 01.09.2013
All COTIF appendics (31)
Without ATMF (1)
Without CUI/APTU/ATMF (8)
Without CUV/CUI/APTU/ATMF (1)
Without
CIV/RID/CUV/CUI/APTU/ATMF (1)
COTIF not yet ratified (3)
Membership suspended (2)
Associate Members (1)
14
Differenze tra EU - OTIF
EU  Member States, EU shares competences with MS resp. has exclusive
competences according to the Treaty (public law).
 Define common rules applicable to international transport to or from
the territory of a Member State or passing across the territory of one or
more Member States
OTIF  Contracting States, OTIF provides a legal interface (contractual
base) which offers the CS with the opportunity to make their various
railway laws compatible so that international traffic can be developed.
 Define a uniform system of law for all contracts (carriage of
passengers and goods , use of wagons, use of infrastructure, carriage of
dangerous goods)
15
EU – OTIF: differences
OTIF
EU
Liability for consignments and vehicles
√
Liability rules concerning carriage of goods or passengers
√
Harmonised technical requirements for vehicle
authorisation
√
√
(*)
√
Authorisation checks of vehicles independent from RU/IM
√
√
Authorisation checks according to assessment modules
√
√
Harmonised responsibilities for maintenance (ECM)
√
√
Requirements for infrastructure
Harmonised responsibilities for independant IM and RUs
√
Competition rules / open access to new RUs
√
Open market rules for railway products (new approach)
√
16
Technical rules: EU vs OTIF
APTU
Differences in objectives
Interop
&
&
ATMF
Safety
Directives
Functional and technical
requirements
(equivalent not identical)
UTPs
EN Standards, UIC
leaflets, etc.
TSIs
Means of compliance
(identical)
EN Standards, UIC
leaflets, etc.
17
Table of content
UIP: International Union of Wagon Keepers
Regulatory framework: background
Freight wagon: New approach & TSI WAG
Conclusions
18
Directive 2008/57: new approach
 Legislative harmonisation is limited to essential requirements that products placed on the Community market
must meet, if they are to benefit from free movement within the Community.
 The technical specifications of products meeting the essential requirements set out in the directives are laid
down in harmonised standards.
 Application of harmonised or other standards remains voluntary, and the manufacturer may always apply
other technical specifications to meet the requirements.
 Products manufactured in compliance with harmonised standards benefit from a presumption of conformity
with the corresponding essential requirements.
Yesterday
International agreements
COTIF, AGC, AGTC, ...
Today
International Norms
UIC leaflets, RIV, RIC, EN
National norms with or
without mutual
recognition
19
Interop: placing a structural subsystem in service
20
TSI actual revision (2014)
RST
LOC&PAS
TSI
WAG TSI
Network
INF TSI
ENE TSI
NOI TSI
SRT
PRM
Operations,
telematics
 Merging of high speed (HS) e
conventional rail (CR)
OPE TSI
 Extension of scope : from TEN-T to
the whole EU rail system
TAF
 5 structural subsystems: APIS done
Member States;
TAP
 3 functional subsystems: no placing in
service, no EC declaration of
verification, no NoBo;
CCS
Transverse
TSIs
21
STI & EN standards: the interface
TSI: http://www.era.europa.eu/Core-Activities/Interoperability/Pages/TechnicalSpecifications.aspx
22
ERA: how are decisions taken?
No decision power for the Agency.
The Agency gives recommendations to
the Commission and technical opinions
upon specific request!
Adoption
Parliament Scrutiny
Commission -> RISC
European Railway Agency
Working Party
(CER, EIM, UNIFE, NSA, ...)
Agency Recommendation
+ Impact Assessment
+ Accompanying Report
NSA Network …
Social partners
Internal reconcilement …
Passengers/ Customers
23
TSI WAG: before 2008/57
WAG TSI (467 pages)
Requirements
interoperability
Technical solutions
Requirements
operative regime
Interoperabilty Unit
Requirements
other EU legislation
24
STI WAG: new approach
Core TSI
(mandatory)
Clause 7.1.2
(optional)
Revised WAG TSI
Core TSI:
functional requirements
interoperability
Requirements
operative regime
Technical
solutions
Appendix C
(optional)
Interoperabilty Unit
Requirements
other EU legislation
25
STI WAG: Conformity in operations
Source in revised WAG TSI
Aspects belonging to...
…interoperability,
network compatibility
...operational regime,
business case
clause
description
C.1
Manual coupling system
x
C.2
UIC footsteps and handrails
x
C.3
Ability to be hump shunted
x
C.4
Free space under lifting points
x
C.5
Marking of units (RIV)
x
C.6
G1 gauge
x
C.7
Compatibility with train detection systems
x
C.8
Tests concerning longitudinal compressive forces
x
C.9
UIC brake
x
C.10
Location of parking brake handles
x
C.11
Temperature ranges for air reservoirs, hoses and grease
x
C.12
Welding (EN 15085-1-5:2007)
x
C.13
Track gauge
x
C.14
Specific brake thermal capacity
x
C.15
Specific product properties concerning the wheel
x
C.16
Tow hooks
x
C.17
Protective devices on protruding parts
x
C.18
Label holders and attachment devices for rear-end signal
x
26
STI WAG: Marking
Go Everywhere wagons
Period
Document
Before
2006
UIC - RIV
2006
2008
2009
2013
First digit
Marking
0 or 1
EUROP
Other wagons
First digit
Marking
4 or 8
Nothing or
Bilateral plate
2 or 3
RIV
TSI WAG
2006
2 or 3
TEN – RIV
(not allowed but existing)
4 or 8
Nothing or
Bilateral plate or
Derogation plate
TSI WAG
2006 +
Decision 2009
2 or 3
TEN
and somewhere else
G1
4 or 8
Nothing or
Derogation plate
Nothing or
After
2013
TSI WAG
2013
2 or 3
TEN GE
and somewhere else
G1
TEN CW
and somewhere
else gauge marking
4 or 8
or TEN
and somewhere else
G1
or …
STI WAG: Verification procedure for IC components
that are no longer considered as such
The new EC Regulation 321/2013, i.e. TSI Rolling Stock – Freight Wagons attempts to simplify
the assessment process and to give more responsibilities to both manufacturer of the
components and keeper of the wagons.
 CHAPTER 5 defines as Interoperability Constituents (ICs) only:
 Running gear,
 Wheelset,
• Listed in the former TSI , but
taken out in the new version.
Buffer
 Wheel,
• Yet they need to be
Draw
Gear
 Axle and
interoperable at operational
Brake
level.
 Rear-end-signal
 The mentioned components have to be assessed as a part of the
Subsystem.
STI WAG: Verification procedure for IC components
that are no longer considered as such…
For NB-Rail it means a change in the verification process
 New verification process for each component that is not an IC -> high costs for
manufacturer
 Double verification for already approved ICs: CHAPTER 6.5.a of the new TSI
WAG (Regulation (EU) 321/2013) asks for re-verification.
Consequences for the Wagons:
 For Wagons that are still built in accordance with former TSI (Regulation (EU)
107/2009 valid until 31.12.2016) existing certificates for constituents that are
taken out of the new TSIWAG 321/2013 are accepted
 For wagons built in accordance with 321/2013, constituents that are taken out
of the new TSI WAG must be re- assessed as part of the Subsystem
Table of content
UIP: International Union of Wagon Keepers
Regulatory framework: background
Freight wagon: New approach & TSI WAG
Conclusions
30
Interop & Safety directives: 2 sides of the same
medal
31
EN norms in Praxis
Conclusions
Promote a new sector-wide platform for the development of
European norms and standards
 to support the transformation of the rail system
 to effectively migrate to emerging technological innovation
 to reduce sector’s costs
 to harmonise maintenance and minimise freight wagon downtimes
Final: improve cost-competitiveness that is key to deliver reliability and exploit
market segments until now largely untapped by rail!
Together successful or fail together!
Thank you for your attention
NVPG (NL)
GILLES PETERHANS
Secretary General
gilles.peterhans@uiprail.org