An Introduction to European Standardization in the Railway Sector

1. An Introduction to European Standardization in the Railway Sector Thierry Legrand CEN Programme Manager Transport and Packaging 17 October 2006 Bucharest Romania

2. European Standardization CENOld Approach / New Approach Activities in the Railway Sector Conclusions

3. Trading within the European Union • Four basic freedoms: • Free movement of goods • Free movement of persons • Free movement of capital • Freedom of establishment and free movement of services • Barriers to trade: • Traditional barriers such as tariffs or quotas • Technical barriers such as differences in standards and conformity assessment

4. What is a standard? • It is a document: • voluntary in application • established by all interested parties • reflecting consensus • approved by a recognized body • intended for common and repeated use

5. Strengths of European Standardization • Consensus, openness and transparency • Addresses the needs of the European economy • Ensures market relevance • Promotes competitiveness and technical innovation • Provides an alternative to formal regulation • Completes the Single Market • National commitment • Technical coherence at the national and European level • Correct integration with other international work • WTO code

6. European Standards Organizations (ESOs) • CEN.............................................. (Comité Européen de Normalisation/ European Committee for Standardization) • CENELEC ............................. (Comité Européen de Normalisation Electrotechnique/ European Committee for Electrotechnical Standardization) • ETSI .................................... (European Telecommunications Standards Institute)

7. Integration of regional and global standardization • CEN, CENELEC and ETSI have concluded agreements with their international partners in order to ensure cooperation between the European and international levels: • CEN & ISO: Vienna Agreement • CENELEC & IEC: Dresden Agreement • ETSI & ITU-T: MoU Telecommunication sector • ETSI & ITU-R: Agreement on radio-communication sector

8. European Standardization CENOld Approach / New Approach Activities in the Railway Sector Conclusions

9. Aerospace Chemicals Construction Consumer Products Environment Food General Standards Health and Safety Healthcare HVAC (gas appliances) ICT (CEN/ISSS) Materials Mechanical Engineering Packaging Security and defence Services Transport – Railways etc. Utilities and Energy Others Sectors in CEN

10. The geography of CEN • Member • Affiliate

11. CEN World • 29 National Members and the representative expertise they assemble from each country • 8 Associates; 2 Counsellors (EC, EFTA) • 5 Affiliates • 6 Partner Standardization Bodies (PSBs) • CEN Management Centre (CMC), Brussels

12. CEN Technical Bodies • 277 active CEN Technical Committees • ± 1.600 subcommittees and working groups • ± 300 European professional organizations in liaison • > 60.000 experts contributing • Over 12.000 European Standards • CEN Affiliates can participate as observers • 20 active CEN Workshops (CWAs) • a faster and more flexible alternative • no geographical limitation on participation • over 250 CWAs

13. CEN Product Range • Standards • European Standard – EN • Pre-Standards • Technical Specification - CEN/TS • European Pre-Standard – ENV • Informative • Technical Report - CEN/TR • CEN Guide • Workshop Agreement • CEN Workshop Agreement (CWA)

14. Drafting European Standards National Standards Body Technical Committee Working Group Technical Committee TIMEFRAME: 3 YEARS publication national implementation circulation for comments weighted vote Project Proposal Draft Standard European Standard USER

15. European Standardization CENOld Approach / New Approach Activities in the Railway Sector Conclusions

16. The ‘New Approach’ Council Resolution (1985) • Legislative harmonization - article 100 - limited to ‘essential requirements’ • Drafting of technical specifications entrusted to European Standards Organizations • Standards remain voluntary BUT compliance with ‘harmonized standards’ confers ‘presumption of conformity’ to the essential requirements of Directive(s), under ...

17. The ‘New Approach’ Council Resolution (1985) - continued … following conditions: • Mandate • Publication reference in the Official Journal • Implementation as a national standard in at least one Member State

18. The ‘New Approach’ - Summary • Standards drafted by CEN under EC mandate allow a preferred (but not legally required) route for the manufacturer to claim conformity to the Directive(s) and apply the CE marking

19. The ‘New Approach’ Directive (mandatory) Presumption of conformity Essential Requirements European Standard (voluntary) CE marking

20. European Standardization CENOld Approach / New Approach Activities in the Railway Sector Conclusions

21. CEN TC 256 • CEN, CENELEC and ETSI are the only 3 European Standards [EN] writing bodies - TC 256 is responsible for all Railway mechanical standards - CENELEC TC 9X for Railway electrical standards and - ETSI for telecommunication standards • TC 256 has no permanent technical resource or budget to deliver standards

22. Documents supporting Interoperability are: • European Directives and Mandates • Technical Specifications of Interoperability [TSI’s] • European Standards [EN’s] • Operating Rules [e.g. RID]

23. ‘Legal’ status of these documents • Directives and TSI’s once approved are mandatory and have to be complied with. • European standards are voluntary documents unless directly referred to in Directives or TSI’s. • Operational rules are usually mandatory

24. Role of CEN TC256 • To produce European Standards (EN’s) • To gain Consensus for EN’s in the Industry and in Member States • To balance the needs of all key players in the Railway Sector including passengers • To ensure safety of conforming products and safety of the system in its documents • To facilitate approval of products by defining compliance methods to regulator and NoBo

25. Standards authorisation and production process EC Directive RATIFIED (e.g. by ART 21 Committee for M275) Published in OJEC Drafted by EC and agreed by Member States Mandate Funded by EC NSB’s, EFTA European Standardisation Bodies ERA Depending from EC (Members = National Safety Agencies) CEN Technical Specs. For Interoperability (TSI’s) CENELEC JPC Rail Coordinates • Needfor • EN? Yes ETSI = organisations No = documents Euronorms (EN) TSI Sufficient = decisions

26. CEN Working Interfaces TC256 has Interfaces [for example] with: • EC for policy, research and some funding • ERA for Requirements • UIC for access to leaflets and research • Industry for Technical resource • National Standards Bodies for Secretarial support and for Member State consensus • Other Standardisation Bodies • Supporting organisations [e.g. UITP, UNIFE, EIM]

27. Definition of roles Results of efficient management of these interfaces has resulted in agreement on roles with ERA and UIC and a consequential reduction in duplication of effort. • ERA are responsible for writing requirements [TSI’s] • TC256 write standards[EN’s] showing how to achieve these requirements and how to demonstrate this achievement to third parties • UIC are given the lead for operational rules [RID etc,]. UIC also manage their own Research and develop major R&D projects in collaboration with other European Associations [UNIFE, UITP].

28. TC 256 Priorities To deliver the top priority standards based on current and future Interoperability directives, TC 256 has: • Accepted the 3 year timeframe for EN’s from CEN • Minimised duplication with UIC & ERA • Required a signed agreement of scope before accepting new work. • Introduced PT’s and PTA’s to produce first drafts and harmonised EN’s quickly • Signed a MoU with UIC allowing transfer of whole or part of leaflets into EN’s. This MoU also allows access to research project results • Shown conformance between TSI and EN by introduction of Annex ZA, ZB --- in harmonised EN’s

29. CEN/TC 256 Structure CEN/TC 256 Railway Applications Chair : Razdan (GB) Sec : Eisbrecher (DE) SC 1 Track Chair. Parente (P) Sec. Hittema (Fr) SC 2 Wheelsets/Bogies Chair. Mather (GB) Sec. Sala (IT) SC 3 Braking Chair. Gaudefroy (FR) Sec. Dr Leggett (GB) WG 19 Technical Drawings Con. Bendixen (DK) WG 4 Rails Con. Desroches (FR) Advisory Group (AG1) Labour Health & Safety Con. Mahr (DE) WG 11 Wheels/Wheelsets Con. Bouvy (FR) WG 22 Main LineRailways Con. Minde (DE) JWG Fire Safety Con. Wieschermann (CH) WG5 Track Const & Maint Mech Con. Hatzel (DE) WG12 Rolling Bearings/Lubs Con. Bergling (SE) WG 20 Tank Wagons Con. Laluc (FR) WG 23 Urban Traffic Con. Von Rohr (DE) WG2 Struct Requirements Con. Waldeck (DE) WG15 Track Design Parameters Con. Kufver (SE) WG 26 Freight Wagons Con. Zuhlsdorf (DE) WG 24 Components Con. Kleemann (CH) WG 13 Bogie Frames Con. Sutton (GB) Advisory Group (AG2) Terms & Definitions Con. Bendixen (DK) WG3 Noise Emission Con. Fodiman (FR) WG 27 Doors Con. Bramauer (AT) WG25 Terminology calculations homologation etc Con. Delaye (FR) WG 6 Aerodynamics Con. Tielkes (DE) WG16 Sleepers & Bearers Con. Fumey (FR) WG 14 Steel Springs Con. Plitzko (DE) WG 31 Welding of railway Con. Dr.Jakobskotter (DE) WG 17 Fastening Systems Con. Dr. Rhodes (GB) WG29 Rubber suspension components Con. Gautier (FR) WG 7 Ride ComfortCon. Dr. Forstberg (SE) WG8 Air Con. Heating and Ventilation Con. Net (FR) WG 18 Switches & Crossings Con. Foan (GB) WG 30 Dampers & active systems Con. Carter (GB) WG 32 Gauges Con. Naszalyi (FR) WG21 Acceptance of Trackwork Temp. Con. Parente (PT) WG 35 Hot box detection Con. Dr.Friedrich (DE) WG 9 Lighting Con. NN - (dormant) WG 33 Towing Couplers Con. Ehmke (DE) WG10 Vehicle/Track Interaction Con. Stradtmann (DE) WG 36 Emergency & Alarm Systems Con. NN WG28 Track Geometry Quality Con. Coudert (FR) WG 38 Flange Lubrication Con. NN WG 37 Driver’s Cab, Windscreens Con. NN WG34 Qualification of trackworkers Con. Petit (FR)

30. Status of TC256 workload at 01-09-2006

31. European Standardization CENOld Approach / New Approach Activities in the Railway Sector Conclusions

32. Key comments-Legislation and TSI’s- • Legislation and TSI’s need a coherent approach properly managed by all actors. • Need to stress importance of common safety indicators and targets in the safety TSI’s • Future TSI’s need to include far less detail • ERA must include ESO’s as main partners

33. Key Comments-Standardisation [1]- • Consensus standards are desirable balancing industry needs and safety • The TSI and EN process should be coordinated to reduce duplication and improve efficiency • Overlap TSI and EN phases to reduce overall timescales [identify need early] • EC has to provide adequate funding and Industry adequate resource

34. Key Comments-Standardisation [2]- • The 3 year timescales for EN’s can be enhanced by: -more use of PT’s, CWA and Special groups? -single language process? -adequate and better resource/finance -reduction in internal bureaucracy

35. In Conclusion • EN’s have been produced by TC 256 @ 1 per 3 weeks over the last 5 years. • Interoperability related EN’s have top priority • There are some ways in which the process can be improved further. These will be investigated • Some open issues have been raised with ERA e.g. reference to EN’s in TSI’s, gaps, errors • Agreements on the need to work together have been made with ERA

36. Finally • Great progress in delivery of EN’s has taken place • Lessons learned from the early TSI’s must be implemented in the new work • The ESO’s & ERA must work closely with other key players to deliver the next steps • Standards and TSI’s are necessary but the need to implement interoperable products and systems into the Network is vital

37. Welcome to join our various technical groups working in development of standards