1. Os regulamentos de direito de passagem e sistema de segurança ferroviário na União européia. Peter Mihm Head of Technical Evaluation Sector - ERA

2. Contents The European Railway Agency (ERA) Consequences of closed railway systems The European Approach to revitalised railway transport Track access Basic concept of SMS Contribution of telecommunication to railway operation 2

3. The European Railway Agency

4. The European Railway Agency - ERA Part of the European Commission Based in Valenciennes/Lille - France 160 Staff Tasks – “Technical Diplomacy” to improve the competitive position of the railway sector by enhancing the level of interoperability of railway systems and developing a common approach to safety 4

5. The European Railway Agency - ERA Activities Drafting Technical Specifications for Interoperability (TSIs) Drafting Common Safety Methods Collecting and publishing national rules and their equivalence Publication of Railway Registers Reports and Opinions on Railway Technical and Safety Issues Training and Dissemination of legal framework & standards 5

6. ERA – Working Method The European Railway Agency - “The place where all railway actors of the European Union meet” 50 working parties involving approx. 1500 experts representing National Safety Authorities UNIFE (Manufacturers – car builders) CER (Train Operators and Infrastructure Managers) EIM (Independent Infrastructure Managers) EPPTOLA (leasing Companies) UITP (Public Transport Association – metros etc.) Wagon Lessors Combined Transport Association Unions 6

7. Consequences of closed railway systems Technical Incompatibility

8. Amsterdam (34 flights/day) LHR-SCH 350m Potential 4h by train – 10 x System Boundaries N° 8 BAA NR UK HS1 Crossrail Channel Tunnel FR HSL BE HSL 1 Infrabel BE HSL 2 NL HSL Prorail

9. Some scary numbers Cost per loco authorisation (excluding ERTMS) 5m-30m (7m-40m$) for first authorisation 2.5m (4m$) per network thereafter Authorisation of ICE in France and TGV in Germany = 6 years, 30meuros (45m$) Estimated cost of “bespoking” vehicle specifications by project Between 1.5x and 2x “mark up” on price (UK) IEP =“Conventional train (125mph) for TGV price” ACELA = 1.5* TGV price, more weight, more energy, lower speed. 9

10. The European Approach to revitalise railway transport

11. The definition of interoperability “interoperability” means the ability of a rail system to allow the safe and uninterrupted movement of trains which accomplish the required levels of performance for these lines. This ability depends on all the regulatory, technical and operational conditions which must be met in order to satisfy the essential requirements” of Safety, Technical Compatibility, Reliability and Availability, Environmental protection and Health 11

12. The Keystone to Shared System Management – Technical Compatibility The technical characteristics of the infrastructure and fixed installations must be compatible with each other and with those of the trains to be used on the rail system. i.e. each project’s infrastructure must be compatible with all the others so that:- An authorized vehicle may operate on all networks without the need for modification and/or a separate authorization for each network. 12

13. Benefits of the shared system approach Open market for railway operation and vehicles and components supply Big economies of scale in design, manufacture, authorisation and operation. No lifetime “lock-in” to original suppliers and original networks. No need to specify, design, test, and approve the technical characteristics and vehicle-network compatibility on a project by project basis “No surprises” for suppliers and purchasers of vehicles Vehicles can be used on all routes Flexibility to respond to according to demand over time Much higher residual value for leased assets Significantly reduced barriers to entry for new entrants 13

14. Benefits of the shared system approach (2) Maximum economic benefit to the customer and taxpayer:- Cheaper trains and infrastructure - “off the shelf” standard products already authorized Go anywhere capability (like planes, cars, trucks) The value for money of “whole” system becomes much greater than the sum of its parts (network benefits) 14

15. Track access

16. Track access (1) Separation between Infrastructure Manager and Railway Operation (Directive 91/440/EC) No discrimination to track access for railway operators Track access charges: Directive 2001/14/EC Infrastructure manager may charge for additional services (e.g. shunting) 16

17. Track access (2) Obligation of IM to inform about characteristic of its network e.g. Network statement / Infrastructure Register Obligation of RU to select vehicle according to characteristic of the network IM has to set up a system to inform RU about changes of its Infrastructure 17

18. Licensing* RUs * Licensing RUs is out of the scope of ERA activities

19. RU (that may operate all over Europe) IM Licence* (Based on Directive 95/18/EC) Safety Autorisation (Based on Directive 2004/49/EC) Safety Certificate (Based on Directive 2004/49/EC) Specific authorisations for technical sub-systems Legal framework to operate railway transport in Europe Next part of the presentation

20. Legal framework for licences Licensing of RUs/IMs is a requirement set by: COUNCIL DIRECTIVE 95/18/EC of 19 June 1995 on the licensing of railway undertakings Each Member State designates the body responsible for issuing licences (independent from bodies or undertakings that provide rail transport services) The conditions for obtaining a licence are as follows: RUs may apply for an operating licence if they satisfy the conditions laid down in the Directive; requirements relating to good repute, financial fitness, professional competence and cover for civil liability. RUs must cover their civil liability in the event of accidents.

21. Common format for licences Commission Recommendation of 7 April 2004 on the use of a common European format for licence documents issued in accordance with Council Directive 95/18/EC on the licensing of railway undertakings The Commission recommends that: licence documents issued in accordance with Directive 95/18/EC should use the standard format set out in Annex I to the Recommendation. proof that a railway undertaking meets national requirements regarding insurance or has made equivalent arrangements for liability cover should be presented as an Annex to the licence document, using the standard format set out in Annex II to the Recommendation.

22. Basic concepts of SMS

23. Main actors in the playfield IM: means undertaking that is responsible in particular for establishing and maintaining railway infrastructure, or a part thereof, […], which may also include the management of infrastructure control and safety systems. The functions of the infrastructure manager on a network or part of a network may be allocated to different bodies or undertakings; RU: means any body orailway undertaking […] and any other public or private undertaking, the activity of which is to provide transport of goods and/or passengers by rail on the basis that the undertaking must ensure traction; this also includes undertakings which provide traction only; NSA: ‘[National] safety authority’ means the national body entrusted with the tasks regarding railway safety in accordance with this Directive or any bi- national body entrusted by Member States with these tasks in order to ensure a unified safety regime for specialised cross-border infrastructures;

24. Safety Certification / Safety Authorisation ARTICLE 1O RSD ARTICLE 11 RSD

25. Railway SMS elements have similarities with elements advocated in other management systems: Quality (ISO 9001) Environmental protection (ISO 14001) Occupational health and safety (BSI 18001) Therefore some railway companies may wish to implement an Integrated Management System (IMS), based on the common basic principles (e.g.: policy, planning, management review, document control, performance measurement, corrective action, competence management system, subcontractors management,…). SMS integrated with other management systems (I)

26.  The integration of railway SMS with other management standards is not a mandatory requirement.  Expected benefits of implementing an Integrated Management System:  The similarities of requirements allow integration and reduce the impact of introducing new management systems, re-using the experience and the overall framework.  Synergies, using supporting processes that may be common to them.  all management systems can together pursue continuous improvement.  The IMS Manual and Procedures may be fully integrated and include relevant forms. SMS integrated with other management systems (II)

27. Directive 2004/49/EC – Annex III.1 (Requirements on the Safety Management System)  the SMS must:  be documented in all relevant parts  describe the distribution of responsibilities within the organisation of the IM or the RU  show how control by management on different levels is secured  show how staff and representatives on all levels are involved  show how continuous improvement of the SMS is ensured. SMS to be assessed throught the application of CSM

28. Directive 2004/49/EC – Annex III.2  The basic elements of the Safety Management System are: a) a safety policy b) qualitative and quantitative targets and plans and procedures for reaching these targets c) procedures to meet existing, new and altered technical and operational standards or other prescriptive conditions throughout the life-cycle of equipment and operations d) procedures and methods for carrying out risk evaluation and implementing risk control measures when change of operating conditions or new material imposes new risks e) provisions for training of staff and systems to ensure that staff’s competence is maintained and tasks carried out accordingly SMS to be assessed throught the application of CSM

29. Directive 2004/49/EC – Annex III.2 (cont.)  The basic elements of the Safety Management System are: f) arrangements for the provision of sufficient information within the organisation and between organisations g) procedures and formats for how safety information is to be documented and configurtion control of vital safety information h) procedures to ensure that accidents, incidents, near misses and other dangerous occurrences are reported, investigated and analysed and that necessary preventive measures are taken i) provision for action/alerts/information in case of emergency j) provision for recurrent internal auditing of the SM SMS to be assessed throught the application of CSM

30. SMS does not replace the existing set of safety related techical and operational rules. SMS provide a structured framework to ensure that the organisation :  Is designed to deliver operation in a safe way  Operational and support processes are deployed  Effectiveness of processes is monitored  Preventive or corrective measures are taken plan do check act SMS as framework for safety-related process (I)

31. The SMS must be auditable, in a consistent manner throughout Europe NSAs assess the SMS in the context of safety certification /autorisation, using the relevant Common Safety Method (Regulations 1158/2010/EU and 1169/2010/EU) Railway companies can use the Regulations: for setting up their SMS (initial self-assessment) and audit (ongoing assessment of effectiveness) as check list for compliance and maturity) SMS to be assessed throught the application of CSM

32. SMS should not be only for compliance. The continual review of all SMS processes allow the identification of failures or potential failures, at all level of the system. Collection and analysis of safety data Audit / inspections Recommendations Preventive/corrective actions Safety planning / reporting Organisational learning SMS as a tool for improvement

33. Introduction to ERA SMS guidelines  Addressed to Railway Undertakings and Infrastructure Managers  Non legally binding  Provides explanation of aspects to be considered when designing and implementing a SMS, based on the RSD  Provides link with other legal requirements  Is intended to be a living issue, that takes into account the feedback from the sector and emerging topics (e.g.: Human factors, safety culture)  Will become a web application, in order to facilitate readability, update, search tools, exchange of view, including experiences in railway and other sectors adopting SMS  Contacts: smsguidance@era.europa.eusmsguidance@era.europa.eu

34. Contribution of telecommunication to Rail Operation

35. Improvement of train operation Railway Telecommunication systems can improve safe train operation. Example: Railway Emergency Call: all trains are alerted of an emergency condition and they reduce the speed and, after checking if the train is involved in the emergency, stop or continue. They can also improve the reporting of unexpected issues: fast feedback to the controller and to the train operator by direct communication. Example: after a failure of the system, a call to the controller has to be performed. Corrective actions are taken faster. And also improve some operational activities. Example: direct communication with the controller for the command of maneuvers, in addition to the use of signalling system. Other possible uses: Send train related maintenance information to the depot teams to be ready for repair. Share route up-to-date information with passengers: real time data from the train operator is transferred to the Infrastructure Manager and then published on a free access platform. 35 09.11.2011, Brasilia TELECOMUNICACOES FERROVIÁRIAS

36. Progress on the information flow The European Commission wants to foster the use of telematic applications both for passenger and freight trains. EXAMPLE: COMMISSION REGULATION (EC) No 62/2006 of 23 December 2005, concerning the technical specification for interoperability relating to the telematics applications for freight subsystem of the trans-European conventional rail system, defines : Scope and Functions Components Messages, Databases, Common Interface (IMs and RUs). Implementation Strategic European Development Plan (SEDP) Management of change 36 09.11.2011, Brasilia TELECOMUNICACOES FERROVIÁRIAS

37. GSM-R, a success story Based on commercial GSM, it is now in operation in over 70.000 km of track. It is in use in Europe but also in other countries: Australia, China… It has started to host additional added value applications and also replacing obsolete systems Certificates of conformity can be issued to the IC GSM-R network to be verified as part of the CCS trackside subsystem 37 09.11.2011, Brasilia TELECOMUNICACOES FERROVIÁRIAS

38. Questions? 38