Business Briefing: Interoperability. Peter Knight 2013

Transcription

1 Business Briefing: Interoperability Peter Knight

2 Purpose of this briefing To bring the recipients to a level of understanding of the Railways (Interoperability) Regulations 2011 such they can: Understand the context of the Regulations; Apply them; Feel confident when interfacing with the ORR; Know where to get help on related issues. 2

3 What we will cover Definition; the EC Directive and underlying principles, the Technical Specifications for Interoperability (TSI s), the Railway (Interoperability) Regulations 2011 Perspective; timescales for realisation, the actors, key roles, the extent to which Regulations apply. Current status and future developments Network Rail s approach; current project experience, assimilation of the TSI s, knowledge and application of the Regulations, need for a long-term perspective The Regulations dissected A simple case-study Summary, Q&A. 3

4 Timetable Introduction (09:00 or 12:00) Definitions, perspective: what is Interoperability about? Break The Railway (Interoperability) Regulations 2011 Regulations 1 25 Break Regulations Case Study Summary, Q&A End (13:00 or 16:00) 4

5 Definition Interoperability is here and it affects how projects and assets are: Planned Executed Authorised Maintained It is law (RIR 2011) and it applies to the whole network Ignoring it is not an option! 5

6 Definition Railways without frontiers Opening the market Rail network more efficient, increasing EU competitiveness against other markets Enabling Interoperability and gaining efficiencies through harmonised technical, safety and operational standards EC Directive 2008/57/EC UK statute Railways (Interoperability) Regulations 2011 Key actors : EC, ERA, DfT, ORR, Railway Undertakings, Infrastructure Managers, Contracting Entities, Project Entities, Owners 6

7 Definition Progressive alignment of the safety, operational and technical standards Safety Directive introduces common Safety Certification and risk assessment Technical Specifications for Interoperability (TSI) define the requirements for sub-systems, transverse and operational requirements Activities/Interoperability/Pages/TechnicalSpecifications.aspx The entire network is caught unless exempted If a project is caught: application of TSI s; application of the Regulations; Authorisation before coming into use 7

8 Perspective The EC Directive refers to a gradual, progressive approach but there are currently no target dates for realisation New legislation may be introduced that sets 2030 and 2050 as targets for Core and Comprehensive networks Each TSI refers to implementation plans ; the UK has one, that for ERTMS The key actors: EC, ERA, DfT, ORR. ERA will play an increasingly influential role The Directive, UK Regulations and TSI s will all change to reflect experience to date and, a tightening of the requirements on Member States 8

9 Perspective The European Commission drafts the various Directives; 2008/57/EC relates to Interoperability The European Rail Agency is commissioned by the EC to help deliver Interoperability. It publishes the Technical Specifications for Interoperability (TSI s) DfT transposes the EC Directive into UK Law as The Railways (Interoperability) Regulations 2011 (RIR 2011) The DfT fulfils the role of Competent Authority The Office of Rail Regulation is responsible for the enforcement of the RIR The ORR fulfils the role of Safety Authority and Authorising body Network Rail is obliged to comply with RIR It fulfils the Role of owner, contracting entity, project entity and operator 9

10 Perspective GB Rail business model is the target model for the EU Working on financially practical adoption of the TSI s with the DfT and ORR Western Programme, Thameslink, NWEP, Borders Rail and EGIP experience, and the list is growing NRAP role (classification criteria next slide) Network Certification Body Route based strategies, TSI assimilation, briefings 4 th Railway Package Core and Comprehensive networks. Draft maps at:

11 NRAP Classification Criteria If any of the following criteria apply, the project will require an authorisation under RIR2011 Projects of value > 50m (including aggregate value of programmes) Projects where the purpose of the works is to upgrade the performance capability of a corridor ERTMS installations and GSM-R installations New/upgraded/renewed OHLE contact system or power supply systems New stations or works to stations that materially affect the gauge and/or accessibility for passengers 11

12 Technical Specifications for Interoperability TSI s in a nutshell; EC mandated specifications (sic) that define the minimum attributes required to meet the Essential Requirements Essential Requirements; safety, reliability, availability, health, environmental protection and technical compatibility TSI s grouped into structural sub-systems and functional sub-systems. The structural sub-systems are those that most affect Network Rail Open Points (unresolved issues) can be covered by National Technical Rules notified to the EC (NNTR s). NNTR s are Railway Group Standards national-technical-rules Specific Cases are provisions made in the TSI s for extenuating circumstances, e.g. structure gauge in the UK 12

13 TSI s TSI s are being revised and merged in some instances. We must conform to current versions. The means of influencing and assimilating TSI s needs to be effective Process for assimilating TSI s into our business has been defined By end 2013 TSI s will be part of our normal business process Influence on the development of the TSI s has been positive in that the requirements are, largely, manageable Current status of TSI s at: 13

14 Break 14

15 RIR 2011 Dissected 15

16 Railway (Interoperability) Regulations 2011 RIR 2011: 1. Interpretation 2. Sub-systems 3. Interoperability Constituents 4. Notified and Designated Bodies 5. Registers 6. Appeals and Enforcements 7. Supplementary 16

17 Railway (Interoperability) Regulations 2011 Quick re-cap on how a project will be caught and then what needs to be considered by the project manager: Categories are renewal, upgrade and new. NRAP will help to decide As soon as possible and before design is commenced, engage a NoBo/DeBo as appropriate Assess what TSI s are relevant. Assess extent of conformance and need for derogations, if any Consider NNTR s and Specific Cases, current (and future) TSI s must be referenced Decision on need for Authorisation can be requested from the Competent Authority (for renewal and upgrade) 17

18 Railway (Interoperability) Regulations 2011 Assess if any Type Authorisations exist Develop an Authorisation strategy that takes into account: Assessment of TSI, NNTR, Specific Case application Appointment of a NoBo/DeBo Carrying out the Verification Assessment procedure Assessment of Interoperability Constituents for EC Declaration of Conformity Production of a Verification Declaration Application to Safety Authority for Authorisation 18

19 Part 1 Interpretation and Application Regulation ( Reg ) 1: RIR 2011 made statute January Reg 2: Definitions, most relevant to this audience: Competent Authority: DfT Contracting Entity: Network Rail Designated Body (DeBo): Independent body, NNTR s Notified Body (NoBo): Independent body, TSI s National Technical Rules: RGS Project Entity: Network Rail or Third Parties Safety Authority: ORR 19

20 Reg 3: Defines the parts of the UK network excluded from the Regulations (Metros, trams, light rail, heritage, community Exclusions from the Railways (Interoperability) Regulations Publications - Inside Government - GOV.UK ) and, Makes provision for additions to these exclusions. Part 2 Sub-systems Reg 4: Requirement for Authorisation. NR must not put into use any structural sub-system unless an Authorisation has been given by the Safety Authority or, unless the Competent Authority has decided that an Authorisation is not required. Reg 5: Application for Authorisation: how to apply to the Safety Authority for an Authorisation and what is needed to support the application 20

21 Reg 6: Authorisation for a vehicle already Authorised for another member state. Reg 7: Authorisation Decision The Safety Authority gives an Authorisation for the placing into service of a structural sub-system or, refuses to. Required to Authorise: Verification Declaration Evidence of technical compatibility Evidence of meeting the Essential Requirements 21

22 Reg 8: Determination of Type The Safety Authority, when issuing an Authorisation for a structural sub-system, may issue a Determination of Type. Must be read in conjunction with: Reg 9: Type Authorisation This provides for NR to apply for a Type Authorisation for a structural sub-system but only when a Determination of Type has been issued by the Safety Authority. A Type Authorisation/Determination of Type can apply to the first introduction of a technology thereby making subsequent Authorisation requests less arduous. 22

23 Reg 10:Type Authorisation: Changes to TSI s If any reference point (TSI, NNTR, etc.) has changed since a Determination of Type was first issued, then a request for a Type Authorisation may be refused. Reg 11:Revocation of Authorisations Allows the Safety Authority to revoke any Authorisation previously issued if an element of the original Authorisation has changed and that there is a significant safety risk as a result. 23

24 Reg 12: List of projects for the renewal or upgrading of the subsystems Provides for the Competent Authority to publish a list that names the actual projects or describes the types of project that are caught by the Regulations. OK, but. The CA has not published a list Even if such a list were published, the omission of any project does not imply that such a project were not caught Only relates to renewal or upgrade, not new 24

25 Reg 13: Authorisation requirements for the renewal or upgrading of sub-systems Enables the Project Entity to apply to the Competent Authority for a decision on whether an Authorisation is required Sets out the information required Defines the timescales required for a decision The CA must agree with the Safety Authority Applies only to renewal and upgrade In theory, could have a project that is caught by the Regulations but not need Authorisation 25

26 Reg 14:Exemption from the need to conform with TSI s (Derogations) This enables the CA to determine, following application from the Project or Contracting Entity (both NR) that the whole or part of a TSI need not apply to project in the following circumstances: At an advanced stage of development Incompatibility with the existing sub-systems (renewal or upgrade only) Where the rail network is separated from the rest of the EU Where the economic viability would be compromised Derogations are via the EC, difficult to get, and can take 6 months 26

27 Reg 15: Essential Requirements for a project sub-system The Essential Requirements for a project sub-system are considered met if: Conforms with all applicable TSI s, NNTR s and Specific Cases Derogations have been gained The CA has confirmed that all or parts of a TSI need not apply The NoBo/DeBo will be checking that a project meets the Essential Requirements as part of the preparation of the Verification Assessment procedure. 27

28 Reg 16: Role of the Project Entity Describes what the Project Entity must do to successfully achieve Authorisation: Engage a Notified Body ( NoBo ) to carry out the Verification Assessment procedure and draw up a Certificate of Verification The NoBo to be retained until Authorisation has been received, or refused Engage a Designated Body ( DeBo ) if Notified National Technical Rules ( NNTR s ) apply 28

29 Reg 16: continued Produces a Technical File Draws up a Verification Declaration Remember that the NoBo must be appointed before the design stage or manufacturing stage commences, whichever is the earlier 29

30 Reg 17: Project sub-systems: Verification Assessment Procedure The procedure for a NoBo (not a DeBo) to carry out an assessment: Assesses conformance with applicable TSI s According to the procedure in the Directive (2008/57/EC) Compiles a Technical File (contents are outlined) Assess the interface between the project sub-systems and the existing rail systems based on information available in the Register of Infrastructure (RINF) (article 35 of the Directive) 30

31 Reg 18: Project sub-systems: Verification Declaration Defines the responsibilities of the Project Entity (NR) in respect to how the Verification Declaration is drawn up. Leads into the requirements for retention of documentation in Regulation 19 31

32 Reg 19: Retention of Documents Defines the timescales of retention for documentation and defines the types of documentation Date entered service until date permanently withdrawn from service The obligation is on the Project Entity Other Member States can ask for this documentation and it must be provided The SA can ask to see the Technical File and any documentation relating to it and any maintenance documentation relating to the sub-system(s) and this must be provided 32

33 Reg 20: Continuing Duty of Operator in relation to standards Requires that sub-systems authorised under these Regulations are operated and maintained according to the current TSI s, NNTR s and any conditions placed on the Authorisation Other parts of Reg 20 relate to Rail Vehicle accessibility and do not affect NR 33

34 Reg 21: Fees payable to the Safety Authority and Reg 22: Fees payable to the Competent Authority Define the potential for NR to pay fees to the ORR and DfT. Current (March 2013) position from both is that fees will not be levied. 34

35 Part 3 Interoperability Constituents Reg 23: Prohibition on placing Interoperability Constituents on the market Places obligations on manufacturers of Interoperability Constituents that their product(s): Meet the Essential Requirements relevant to that type Have an appropriate procedure for assessing conformity Have an EC Declaration of Conformity (Reg 25 defines what happens if Declaration of Conformity not in place) 35

36 Reg 24: Assessment Procedure for Interoperability Constituents The procedure to be adopted by a NoBo for the assessment of an Interoperability Constituent, the procedure defined in the applicable TSI. Reg 25: EC Declaration of Conformity or suitability of use States that if any person (Project Entity, Contracting Entity, Operator all NR) plans to introduce an Interoperability Constituent (or part thereof) to the rail network that dos not have an EC Declaration of Conformity or suitability of use, that person must draw up such a declaration to ensure that the constituent satisfies the applicable TSI s and relevant European specifications. 36

37 Halfway through the Regs; break 37

38 Quick re-cap: The origin of the Interoperability Regulations The main actors The key defined terms The steps to be taken if a project becomes Interoperable Looked at the guts of the Regulations up to Reg 25. To go: Remainder of the Regs (much quicker now!) A brief case study to reinforce what we have learnt 38

39 Reg 26: Effect of conformity and suitability declarations Makes the premise that any declaration of conformity or suitability for use for an Interoperability Constituent meets the Essential Requirements and conforms with the relevant TSI s. Reg 27: Duty on Operators Places a duty on any operator (NR) to ensure that any Interoperability Constituent is: Correctly installed for the intended use Not used for any purpose it was not intended Maintained in effective working order and good repair 39

40 Reg 28: Recognition of assessments of other Member States States that if an Interoperability Constituent has met all of requirements in another Member State (MS) that it can be used in another MS. Reg 29: Notification to the Commission of incorrect declaration Places obligation on the SA to inform the Commission that it considers that a constituent with a conformity or suitability declaration does not meet all Essential Requirements Part 4 Notified and Designated Bodies Reg 30: Notified Bodies Definition of Notified Body 40

41 Reg 31: Appointment of Notified Bodies and Designated Bodies Outlines the process by which the Sec of State appoints NoBo s and DeBo s Reg 32: Notified Bodies and Designated Bodies: Certificates etc. Outlines how the NoBo/DeBo must communicate to the Project Entity in the event that it declines to draw up a Certificate of Verification, or ISV (Interim Statement of Verification), or declines to confirm that an EC declaration can be drawn up i.e. the project would have no means for Authorisation 41

42 Reg 33: Fees of Notified and Designated Bodies Outlines the basis for the fees charged by Notified and Designated Bodies Reg 34: Fees of the Secretary of State Potential for fees charged by the Sec of State in respect to NoBo and DeBo appointments Part 5 Registers Reg 35: Register of Infrastructure (RINF) Requires that the UK develops a publicly accessible Infrastructure register showing the status of the network compared to Interoperability requirements. Must be in place 5 years from 15/9/2011, i.e. by 9/16 42

43 Reg 36: National Vehicle Register Register for recording, in a publicly accessible way, (rail) vehicles authorised under the Interoperability Regulations. This exists, managed on behalf of the DfT by Network Rail. Part 6 Appeals and Enforcement Reg 37: Appeals in GB Outlines the procedure to follow for someone who is aggrieved by a decision of the SA under Regulations 5 11 (Authorisations) 43

44 Reg 38: Appeals in Northern Ireland Reg 39: Enforcement in GB Outlines how the Regulations are enforced and cross references such enforcement provisions to the HSAW The ORR is the enforcing agency Reg 40: Enforcement in NI Reg 41: Notices relating to Interoperability constituents not meeting the Essential Requirements Outlines the ability of the SA to issue a notice to any person who is intending to use an Interoperability constituent which has an EC declaration but which the SA considers will not meet the Essential Requirements. Notice may prohibit use or require removal. 44

45 Reg 42: Notice of improper drawing up of the EC declaration of conformity or suitability for use for an Interoperability Constituent Outlines the process and consequences in the event in which the SA has grounds for suspecting that a declaration has not been drawn up appropriately Reg 43: Defence of due diligence If proceedings are brought against a person in respect to the Regulations, the principle of due diligence applies as a legitimate defence. Basically, the person did all that was reasonably possible to verify information provided by others, or the negligent act was due to another. ( diligence) 45

46 Part 7 Supplementary Reg 44: Deemed Authorisation, and Reg 45: Accessibility for people with reduced mobility Relates to the Authorisation of passenger (rail) vehicles Reg 46: Dispensation Describes how the CA may issue a dispensation against NNTR s provided that the dispensation is consistent with the Essential Requirements. The outcome may need to be recorded in the RINF. 46

47 Reg 47: Revocation of savings Reg 48: Amendments to legislation Reg 49: Review Are all tools of administration and not of significant interest. An explanatory note appears at the back of the RIR 2011 providing a summary of the Regulations. Anatomy lesson over! 47

48 Practical Application 20 minutes to consider a scenario and answer some questions in open discussion. The scenario: 80km of an existing 95 mph route is to have works involving signalling and station modernisation carried out to increase capacity. The route is being electrified at the same time and a number of structures will be altered to enable the electrification, including a 2km long tunnel. The project is at G2. The works are valued at 400M. The route will receive ERTMS in 2035, i.e. not as part of this project. Consider the Interoperability implications on the project and create a simple check-list to fuel the discussion. 48

49 The answer! The project passes the major test and is therefore caught by the Regulations The project results in an improvement in capability and is therefore an enhancement. If the electrification includes new power supply, then this part of the scope is classified as new. The implications are The following TSI s apply: Signalling works: CCS TSI in respect to Class B systems Station works: PRM TSI, possibly INF TSI Electrification: ENE TSI, possibly INF TSI for gauge clearance Tunnel: SRT TSI, possibly INF TSI Both a NoBo and a DeBo required (because NTR s have been notified for some of the sub-systems affected) 49

50 The answer, continued Remember that complying with the Regulations includes the potential for derogations against the TSI s Remember that derogations can take up to 6 months to be ratified by the EC Remember that the NoBo/DeBo must be appointed at the start of the design or manufacturing process Remember that the NoBo/DeBo expects to be given evidence of TSI conformance, or of gaining derogations, not to create that evidence him/herself Remember that an Authorisation is required before placing the sub-systems into service and that the Safety Authority is currently saying it wants 8 weeks to consider a request. 50

51 Summary, Q&A Interoperability comprises European and domestic legislation which aims to improve the efficiency of the European rail network by harmonising technical, safety and operational standards, thereby enabling cross-border traffic and opening up the rail market. Associated TSI s enable the technical harmonisation and their gradual application recognises the potential cost and technical interface difficulties. The European legislation has become more exacting since this subject was first introduced in the early 1990 s and continues to do so; the so-called 4 th Railway Package aims at placing more control with ERA compared to the almost entirely domestic arrangements in place at the moment. 51

52 Phone a friend Many thanks for your time. For help in relation to any aspect of Interoperability: Peter Knight peter.knight2@... Glenn Leighton glenn.leighton@ Energy TSI: CCS TSI: Infra TSI: Richard Stainton Ed Rollings Andy Jones (Track), Richard Frost (Structures) 52