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COLIN
BUCHANAN
AND PARTNERS
Planning, Transport,
Economics
Software, Market Research
European Commission
Vehicle Identification
and Registration
Final Report
1-1
Colin Buchanan and Partners Introduction
1. INTRODUCTION 1-4
1.1 Authority and Brief 1-4
1.2 The Study Team 1-4
1.3 Background 1-5
1.4 Study Methodology 1-9
1.5 Assistance Provided 1-11
1.6 Structure of Report 1-11
2. CURRENT ARRANGEMENTS 2-1
2.1 Placing Vehicles in Service 2-1
2.2 Vehicle Numbering Systems 2-9
2.3 Railway Coding Systems 2-18
2.4 Relevant EU Directives 2-20
2.5 Legal Obligations 2-24
2.6 Number of Vehicles 2-32
2.7 Uses of Numbering Systems 2-33
2.8 Particular Issues for non-UIC Members 2-36
2.9 Interface with OSJD 2-37
3. ANALYSIS OF EXISTING SYSTEM 3-1
3.1 Legal Compliance 3-1
3.2 Placing Vehicles in Service 3-5
3.3 Numbering Systems 3-6
3.4 Functions of Numbering Systems 3-8
3.5 Vehicles Owned by non-UIC Members 3-9
3.6 Access Rights to Systems 3-11
4. COMPARISONS 4-1
4.1 Objective and Terminology 4-1
4.2 Comparison Philosophy 4-1
4.3 Other Transport Modes 4-3
4.4 Other Industries 4-15
4.5 Railway Systems Elsewhere 4-21
4.6 Conclusions and Parallels 4-29
5. INDUSTRY’S VIEWS AND PROPOSALS 5-1
5.1 Overview of Section 5-1
5.2 Commission’s Proposals in RWP II 5-1
5.3 Industry Views 5-6
5.4 The Vehicle Numbering System 5-8
5.5 CODIRAIL 5-9
5.6 RICS Study 5-10
5.7 The Steria Study 5-15
6. OPTIONS FOR CHANGE 6-1
6.1 Key Objectives 6-1
6.2 Key Questions 6-2
6.3 Placing Vehicles in Service and Allocating Identifiers 6-3
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Colin Buchanan and Partners Introduction
LIST OF APPENDICES
A. EC STUDY SPECIFICATION
B. PARTIES CONSULTED
C. BIBLIOGRAPHY
L. LIST OF ABBREVIATIONS
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Colin Buchanan and Partners Introduction
1. INTRODUCTION
1.1.2 The study’s purpose was to investigate the way in which rail
vehicles are identified and placed into service, in the context of the
changing organisational structure of the rail industry; with specific
emphasis on the operation of the Single Market and compliance with EU
legislation and policy objectives in the sector.
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Colin Buchanan and Partners Introduction
1.3 Background
1.3.1 Up to the end of the last century Europe’s rail networks were
organised on national lines, which for the preceding half century had
been almost exclusively in the hands on monolithic state owned
organisations (subsequently to as national railways/national railway
undertakings herein). With the exception of government direction and
some safety regulation these organisations were totally responsible for all
matters pertaining to rail networks and their operations, including the
acceptance of vehicles into service and their numbering.
1-5
Colin Buchanan and Partners Introduction
Figure 1.1 EU15 Goods transport - billion tonne kilometre 1970 – 2000
3500
Road
Rail
3000 Inland waterway
Pipelines
Sea
Total
2500
Billion tonne kilometres
2000
1500
1000
500
0
1970 1980 1990 2000
Source EU Energy and Transport in Figures 2002, European Commission (for figures
1.1 – 1.4)
5000
Car
4500 Bus, coach, tram & metro
Rail
4000 Air
Total
3500
Billion passenger kilometres
3000
2500
2000
1500
1000
500
0
1970 1980 1990 2000
1
See for example, the major study examining this issue The Integration of
National Conventional Rail Systems, Symonds Travers Morgan, May 1997.
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Colin Buchanan and Partners Introduction
Figure 1.3 EU15 Goods Transport - Market share by mode 1970 -2000
2
See EC White Paper A Strategy for Revitalising the Community’s Railways,
COM(96)421 final.
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Colin Buchanan and Partners Introduction
It is noted that the first, fourth and fifth of the above directives have been
amended or replaced by the so called infrastructure package comprising
Directives 2001/12/EC, 2001/13/EC and 2001/14/EC.
3
Towards an integrated European railway area, COM (2002) 18 Final,
23.1.2002.
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Colin Buchanan and Partners Introduction
1.3.10 The objectives furthered by the TSIs will only be achieved if the
entire process of placing a vehicle in service meets Single Market
criteria. If there are any other steps between that of technical approval
and the commencement of day-to-day operations that could be used to
frustrate the objectives of EU policy then these need to be removed. The
processes and systems used to register and identify railway vehicles
therefore require examination; this fits into the context of removal of
barriers to fair competition for the suppliers of railway equipment and
between railway undertakings.
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Colin Buchanan and Partners Introduction
6 development of recommendations.
1.4.6 Similar issues faced by other transport modes and industries were
also examined to consider if any lessons can be learnt that may be
applicable to the rail industry.
4
Not the United Kingdom, because the railways of Northern Ireland are entirely
separate in organisation, control, orientation and operate in entirely different
circumstances and face quite separate issues.
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Colin Buchanan and Partners Introduction
1.5.1 The Consortium would like to formally record their gratitude to all
those who assisted them in the course of this study, a list of these parties
can be found in Appendix B to this Report.
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Colin Buchanan and Partners Current Arrangements
2. CURRENT ARRANGEMENTS
Outline of Process
1
The term keeper is used herein to refer to the person or body in legal charge of
the vehicle and its use, which may or not be the owner of the title to the vehicle.
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Colin Buchanan and Partners Current Arrangements
Agreement in principle.
(Vehicle meets standards or is containably outside them)
Vehicle designer looks for appropriate number series. Formal design approval.
Vehicle type may not be catered for. National railway or in future notified
Formal process exists for requesting a number series body approves design of vehicle in
and acceptance in principle by rail undertaking. accordance with standards/TSI.
Construction process.
Overseen by approved
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Colin Buchanan and Partners Current Arrangements
2.1.5 In the case of traction, whilst the process is essentially the same it
is more complex. Approval to operate traction across borders generally
requires a check of the compliance of the vehicle with each of the
national infrastructures involved. The primary complications being the
differing track:train interfaces for the signalling and control system and
differences in electrification systems, such as pantograph width and
contact strip material as well as voltage. At present no international
standards exist and none are likely until the appropriate TSIs have been
drawn up.
Technical Approval
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Colin Buchanan and Partners Current Arrangements
2.1.9 The acceptance process for hauled rolling stock is in any case
simpler than for traction, because it is technically simpler and has less
potential for adverse reaction with the infrastructure. For the reasons
discussed above the technical approval process for traction has become
increasingly complex and costly. Particular problems occur with
approval for international operation because of technical diversity and the
lack of agreed international standards. Thalys is an extreme example of
these difficulties and is something that a single independent railway
undertaking would have found impossible to implement.
2.1.11 The full and proper implementation of TSIs and notified bodies is
therefore expected to make the technical approval neutral for
manufacturers, railway undertakings and vehicle owners/keepers.
Administrative Aspects
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Colin Buchanan and Partners Current Arrangements
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Colin Buchanan and Partners Current Arrangements
Maintenance
2.1.21 The traditional approach can also mandate where and by whom
maintenance can be undertaken as a part of placing the vehicle into
service. The innovative arrangements now used in a liberalised market in
Britain are discussed below under Case Studies. Although this is only
one possible solution and it does not relate to wagons that are used
internationally.
Insurance
2
Including those of non-UIC member railway undertakings attached to the fleet
of a UIC member railway undertaking.
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Colin Buchanan and Partners Current Arrangements
2.1.24 The clear distinction which the number makes between railway
and privately owned vehicles and the identification of the railway to
which a vehicle is attached allows this system to work effectively at
present.
Case Studies
2.1.27 Of the four France represents the most traditional, with the
technical approval and the administrative activities associated with
placing vehicles into service being entirely in the hands of SNCF. The
infrastructure provider (RFF) stated that it had no involvement in the
process and directed all enquiries to SNCF. The interviews with other
parties revealed no plans to alter current responsibilities; there appears to
some doubt whether this will be compliant with Directive 2001/16/EC.
Technical approval is facilitated in France by construction to “highest
common factor” international railway specifications, with specifications
following the normal UIC model. All privately owned vehicles used on
the national rail system are attached to SNCF’s fleet, which therefore
approves the maintenance arrangements, using facilities approved by
SNCF only. On the other hand SNCF, having accepted the maintenance
arrangements, carries the liability for technical failures of vehicles itself,
although this is understood to be under review.
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Colin Buchanan and Partners Current Arrangements
Vehicle Approval Bodies. These approaches differ yet both would appear
to require little effort to fit into the notified body framework.
2.1.33 Poland has made great strides in aligning its law and practice to
EU principles. Vehicle approval is by a wholly independent body closely
modelled on the German EBA although in practice there are few
independent railways and most private participation in the industry is by
conventional private wagon owners. The process for allocating numbers
is administered by PKP.
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Colin Buchanan and Partners Current Arrangements
Number Formats
Overview
2.2.5 The UIC system is defined in a set of three UIC leaflets dealing
with the numbering of all rail vehicles. They had their origins in 1971 at
the time when the widespread availability of commercial data processing
equipment began to provide a logic for structured numbers. The
3
Организация Сотрудничества Железных Дорог (Organisation for the Co-
operation of Railways), sometimes also referred to as the OSShD.
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Colin Buchanan and Partners Current Arrangements
2.2.6 The system is defined (for UIC railways) in UIC leaflets 438-1
(hauled passenger stock), 438-2 (freight rolling stock) and 438-3 (tractive
stock). Coaches formed into multiple units are commonly numbered in
the tractive stock range, rather than the hauled passenger stock range
defined in the UIC leaflets. Baggage vans, mail vans and car carrying
vehicles used in passenger trains are numbered as passenger stock.
2.2.7 Changes to the system have been proposed by the RICS working
group. Fuller details are provided in Section 5 of this Report. At the
time of writing the UIC had approved the changes for freight vehicles but
in practice none of the changes have yet been implemented. Proposed
changes for passenger vehicles have yet to be ratified and those for
traction renumbering have not yet been presented.
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Colin Buchanan and Partners Current Arrangements
covered by the RIC, RIV and their equivalents in OSJD States are
currently provided for; there is no “other” regime.
2.2.13 The vehicle type is a code for the type of vehicle. More than one
four-digit code is necessary for populous vehicle types to allow all of
them to receive unique serial numbers. This part of the number allows
vehicle ordering systems to specify the vehicles that are required to meet
traffic demands. Staff become familiar with vehicle numbering
sequences and the coding system is a real aid to ground level operations.
In the case of RIV wagons, wagon type is a factor in the process of
determining hire charges. Many railway undertakings and infrastructure
managers use the vehicle number to drive other railway computer
systems, for example to check that technical data input is consistent with
the declared vehicle type.
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Colin Buchanan and Partners Current Arrangements
than one four-digit code is necessary for populous vehicle types to allow
all of them to receive unique serial numbers; these numeric type codes
are normally but not necessarily contiguous.
2.2.15 The serial number is simply the unique serial number identifier,
within the vehicle type, for the vehicle itself.
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Colin Buchanan and Partners Current Arrangements
these numbers are input into systems or manually transcribed, the current
system incorporates a check digit as the twelfth character of the number.
The mechanism for the calculation of the check digit is defined in UIC
leaflet 913; it is designed to detect incorrect digits and also transposition
of correct digits. It uses the "modulus 11" system4.
2.2.18 The system defined in leaflet 438-1 is similar in format to that for
hauled freight rolling stock: twelve digits divided into six groups, two
digits for the operating regime, two digits for the railway to which the
vehicle is attached, two groups each of two digits for the operating and
technical characteristics of the vehicle, three digits for the serial number
of the vehicle within the category and lastly a single check digit. These
fields are dealt with individually below.
2.2.19 The operating regime field can take values 50 to 79 (thus not
duplicating the freight or traction numbering sequence). With two
exceptions it only reflects technical characteristics. The technical criteria
which determine the choice of a code include whether a vehicle is:
• adaptable to run on different gauges (and which gauges);
• air conditioned or not;
• pressure tight;
• not a passenger vehicle; and
• whether it is a service vehicle.
Further criteria include whether vehicles are limited to domestic traffic
and whether they are operated in joint pools (which affects the
“compensation” arrangements). The allocation of numerical values is as
consistent as possible but the characteristics are not as immediately
obvious from the code as is the case for freight vehicles.
2.2.20 The code for the railway to which the vehicle is attached is
identical to that for freight vehicles.
4
In this process the digits in the odd numbered positions of the twelve digit number are
summed ignoring carrying over of second order of magnitude terms. The digits of the
first five even numbered positions of the twelve digit number are summed after
multiplying each by two, ignoring second order of magnitude terms at each stage (and
subsequently). The two numbers derived are then added together and subtracted from
11; the result provides the check digit.
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Colin Buchanan and Partners Current Arrangements
2.2.21 The first digit of the operating characteristics field indicates the
basic type of vehicle (sleeping car, First Class, etc), values are provided
for vehicles owned by others5 and for vehicles of “special design”. The
second digit essentially indicates the size of the vehicle in terms of its
carrying capacity. In the case of privately owned vehicles and specially
designed vehicles, this second digit provides more information about the
type. Staff become sufficiently familiar with the coding structure to
interpret the type of vehicle from the number.
2.2.23 The remaining fields are identical to those for hauled freight
rolling stock.
Traction
2.2.24 The numbering system for locomotives and other tractive units
under UIC leaflet 438-3 is more tentative than those defined in the
parallel leaflets 438-1 and 438-2. Coaches and wagons require a
complex coding structure to identify type, return arrangements, terms for
payment for use etc. None of this is necessary for tractive stock because
of limited interoperation in traditional European operation. Historically
international operation of traction in Europe has been both rare and
subject to highly specific agreements.
5
Vehicles attached to UIC member railways fleets that are owned by non-UIC railways
and private owners.
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Colin Buchanan and Partners Current Arrangements
2.2.27 The second check digit allows the last seven digits of the number
at the twelve digit level to be the same as the number at the last seven
digit level.
2.2.29 As noted above the broad gauge railways of the CIS still use
Soviet era eight digit numbers. Vehicles are numbered in series;
accordingly CIS rail staff can interpret vehicle characteristics from
numbers. CIS computer systems continue to be run by RZD (Russian
Railways) on behalf of all the CIS states but changes have been made to
accept twelve digit numbers. The CIS community is not prepared to
embark on renumbering however unless it can be convinced there will be
stability in any pan-European system adopted.
National/Domestic Systems
2.2.31 The majority of the systems used are entirely numeric. However
some systems, for example that most commonly used for Swedish
traction, are alpha-numeric. Other systems are officially alpha-numeric
but only display only the numeric part on the rolling stock, as for
example for Finnish traction.
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Colin Buchanan and Partners Current Arrangements
2.2.32 The current numbering systems used in each state, for vehicles
that are not used internationally, are shown in Table 2.1.
Numbering System
Locomotives Multiple Hauled Hauled
State Units Passenger Freight
Vehicles Vehicles
Semi-struct 4
Semi-
digit (dmu)/
Belgium structured 4 UIC 438-1 UIC 438-2
unstructured 3
digit
digit (emu)
Denmark Various1 Various Various Various
Germany Various2 Various2 Various2 Various2
Structured: Structured:
Spain UIC 438-1 UIC 438-2
3+3+1 digit 3+3+1 digit
Semi-struct, 6 Struct: 1 letter
France UIC 438-1 UIC 438-2
digit + 2 to 5 digit
Semi-struct 3
Greece UIC 438-3³ UIC 438-1 UIC 438-2
digit
Unstructured: Unstructured: Unstructured: Unstructured:
Ireland
3 digit 4 digit 4 digit 5 or 6 digit
Various struct Various struct
Italy Various Various
alphanumeric4 alphanumeric4
Semi-struct 3 Semi-struct 4
Luxembourg UIC 438-1 UIC 438-2
to 4 digit digit
Semi-struct 3 Semi-struct 3
The Netherlands UIC 438-1 UIC 438-2
to 4 digit to 4 digit
Structured: Structured:
Austria UIC 438-1 UIC 438-2
4+3+1 digit 4+3+1 digit
Semi-struct 4 Semi-struct 4
Portugal UIC 438-1 UIC 438-2
digit digit
5+1 digit/2
Semi-struct 2 Unstructured: Unstructured:
Finland letter + 6+1
to 4 digit 4 digit 5 digit
digit
Sweden Various5 Various Various UIC 438-2
Unstructured/
United Kingdom Structured: Structured: Unstructured:
Semi-struct:
(Great Britain) 2+3 digit 3+3 digit 4 to 6 digit
6 digit
United Kingdom Unstructured: Unstructured: Unstructured:
n/a
(N. Ireland) 3 digit 4 digit 2 or 3 digit
Czech Republic UIC 438-3 UIC 438-3 UIC 438-1 UIC 438-2
Estonia Various Various Various Various
Latvia SZD6 SZD7 SZD SZD
Lithuania SZD6 SZD7 SZD SZD
Hungary Struct: 1 letter UIC 438-3/3 UIC 438-1 UIC 438-2
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Colin Buchanan and Partners Current Arrangements
Numbering System
Locomotives Multiple Hauled Hauled
State Units Passenger Freight
Vehicles Vehicles
+ 4+3 digit/3 or 4 letter + 3
alphanumeric digit
+ 3 to 4 digit
Structured: 2 Structured: 2
Poland letter + 3 digit letter + 2 digit UIC 438-1 UIC 438-2
+ 3 digit + 4 digit
Slovakia UIC 438-3 UIC 438-3 UIC 438-1 UIC 438-2
Slovenia 3+3 digit 3+3 digit UIC 438-1 UIC 438-2
Switzerland Various8 Various Various8 UIC 438-2
Structured: 2
Structured: 2
Norway letters + 3 to 4 UIC 438-2
+ 3 digit
digits
Bulgaria 2+3 digit 2+3 digit UIC 438-1 UIC 438-2
Romania 2+4+1 digit 2+4+1 digit UIC 438-1 UIC 438-2
CIS SZD6 SZD7 SZD SZD
Notes: 1. DSB use a structured 2 letter + 3 or 4 digit alpha-numeric system; other
railways also use alpha-numeric systems.
2. DBAG use UIC System (438-1, 438-2 and 438-3).
3. Renumbering from 1 letter + 3 digit system has just commenced.
4. For locomotives, FS use 1 letter + 3 or 4 digits + 3 digits; for multiple
units they use 2 or 3 letters + 3 + 4 digits.
5. SJ constituents use structured 2 letter/3 alpha-numeric/3 letter 3 digit + 3
or 4 digit system.
6. Structured: 1 digit + 1 to 3 alphanumeric + 1 to 2 digit + 1 alphanumeric
7. Structured: 2 alphanumeric + 1 to 2 digit + 1 to 2 alphanumeric.
8. SBB are moving to UIC 438-3 for locomotives and use 438-3 for hauled
passenger vehicles, as do BLS.
2.2.33 It can be seen that in the case of most states the system used for
hauled rolling stock in domestic service is identical to the current
international one. There are, however, some significant exceptions,
particularly the isolated networks of the British Isles (Ireland and the
UK) and for independent and open access operators in Germany for stock
that is not interchanged with DBAG’s railway undertakings.
2.2.34 In the case of traction the system is rather more mixed, with a
disparate variety of systems in use, some of which comply with the rather
loose requirements of UIC leaflet 438-3 but many do not. Furthermore,
in a significant number of states the system used for locomotives differs
from that used for multiple units. There are even some states which have
more than one system in use.
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Case Studies
2.2.35 The case studies illustrate the sharp distinction between traction
and hauled rolling stock in the degree of commonality between the
numbering systems used in the four countries.
2.2.36 Naturally all four examples use the systems described in UIC
leaflets 438-1 and 438-2 for rolling stock in international use. The same
system is used for all stock in domestic service on the national rail
network in France and Poland. In Germany, as noted above the system is
used by DBAG and AAE rolling stock (the vast majority of national
rolling stock, at present) but it is not available to other railway
undertakings unless they attach their wagons to its fleet, they therefore
have their own systems and number series. In Britain historic isolation
means that a unique national system of unstructured numbers is used It is
interesting that solutions have been found to enable this to work quite
satisfactorily alongside the international numbering system in IT systems,
etc. However, this is aided by the limited range of international vehicles
that can run in Britain, due to technical differences.
2.2.37 The system used for traction varies between the four States. The
only common feature is that all of the systems used are structured.
French and DBAG locomotives use the system described in UIC leaflets
438-3. Although French multiple units use a unique national system and
other German railway undertakings use their own systems. Unique
national systems are used in Britain and Poland. The Polish system is as
an example of one of Europe’s alphanumeric numbering systems.
2.2.38 The use of an unstructured system for hauled rolling stock and
structured systems for traction in Great Britain provided an opportunity
to compare the operation of two systems side-by-side. The first point is
that vehicles with unstructured running numbers are rarely renumbered
(although this does occur, for example, when a vehicle transfers from the
revenue earning fleet to railway internal use). In contrast, it is more
common to renumber traction, which has structured numbers, for
example, when it is modified into a different sub-class, or even into an
entirely new class, for example, some Class 47s into more powerful
rebuilt Class 57 locomotives. The second point is that intensive
operation and close control of wagon diagramming is possible with
unstructured numbers if the operating systems used are designed around
them.
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coding only makes sense when there is capacity to process it. It is not
surprising therefore that railway coding dates from the period when
commercial computer systems began to be widely available. The
UIC/OSJD railway coding system dates from 1 January 1971 when the
standard system of numbering vehicles was introduced. Whilst the
primary purpose was vehicle numbering, the coding system was intended
to be all-purpose and thus to cover operating, commercial, financial,
information technology, etc, purposes.
2.3.3 Railway undertakings are allocated two digit codes from 01 to 99.
Each of the mainline UIC/OSJD members possesses a code and indeed
some quite small railway undertakings with a vehicle fleet (such as the
Aarus Alstätter Eisenbahn) have codes. The minor Swiss railways share
a code however. Originally all UIC member railways in Europe, Asia
and North Africa had a code, even where there was no sensible exchange
of traffic (for example, Japan). Given the all purpose nature of the codes,
shipping lines (involved in tickets and revenue sharing) also needed
codes. The allocation of the codes has traditionally been determined by
the railway’s RIV status (non-member, full member, partial member etc).
For some long-forgotten reason, initially only codes in which the second
digit was equal to or less than the first were allocated (for example, 88
was allocated, but not 89). This coding structure is defined in UIC leaflet
920-1.
2.3.4 This system worked well for some twenty years during which
other organisations developed standard coding structures (for example
ISO 3166 for currency codes, ISO 4127 for country codes). However, at
the beginning of the 1990s it became clear that the range of 99 available
codes would no longer suffice. The political changes in the Balkans and
former Soviet Union were spawning new railways and at the same time
there was a need to reflect the restructuring of a number of railways into
operators and infrastructure managers together with a need to allow for
open access.
6
Special Drawing Rights: an international reserve asset valued on the basis of a
basket of key currencies.
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Colin Buchanan and Partners Current Arrangements
three letter currency codes have allowed UIC codes simply required for
currencies to be liberated, combinations such as 89 are now used and a
few railway undertakings (such as the Budapest Local Railway BHEV)
have been deprived of their code. Separate series for the African and
American railways have also been set up.
Overview
Directive 2001/12/EC
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2.4.6 Paragraph 6 requires that terminals and ports must also accept
freight rolling stock on their rail infrastructure from railway undertakings
using the access rights created by paragraphs 1 to 3. The vehicle
identifiers are therefore likely to be important to them and thus
consideration needs to be given to their interfaces with any system.
2.4.7 Article (10a) describes the Trans European Rail Freight Network,
which defines the minimum network on which a single railway
undertaking will have the right to offer international rail freight services,
and therefore the minimum area over which the identification system
must be able to accommodate additional railway undertakings. However,
the fact that the feeder lines can be almost anywhere means that in
practice the vehicle identification system needs to be able to satisfy the
requirements of Article 10 over virtually the entire European rail network
from March 2003.
2.4.8 The Directive prohibits (in Annex II) railway undertakings from
certain functions that are defined as “essential functions”, because they
determine access to the rail infrastructure. These are defined as follows:
“preparation and decision making related to the licensing of railway
undertakings including granting of individual licenses”;
“decision making related to the path allocation including both the
definition and the assessment of availability and the allocation of
individual train paths”:
“decision making related to infrastructure charging”; and
“monitoring observance of public service obligations required in the
provision of certain services”.
It is of note that none of these explicitly covers the vehicle identification
system and therefore do not prevent a railway undertaking from
performing this function; however please refer to the legal analysis
below.
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Directive 2001/13/EC
Directive 2001/14/EC
2.4.12 Article 5 and Annex II lists the services that should be made
available to railway undertakings, amongst these, point 1(e) of Annex II
is relevant to the study. This requirement appears to impose an
obligation on the infrastructure manager to verify that the rolling stock
can operate over the route requested and that this verification is included
in the minimum access charge for the use of the infrastructure.
2.4.13 Article 7(3) requires charges for the minimum access package
and track access to service facilities to be set at the cost that is directly
incurred as a result of operating the train service. Depending on how
strictly this is interpreted, or even as a result of their own interest in
reducing costs, infrastructure managers could take a greater interest in the
wear caused by different types of vehicles and set charges to take account
of this. This would require use of the vehicle identifier in some way.
Directive 2001/16/EC
7
An item of rolling stock in this instance.
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Colin Buchanan and Partners Current Arrangements
acceptance stage before the subsystem is put into service. It shall also
cover verification of the interfaces of the subsystem in question with the
system into which it is incorporated” and “the technical file … must
contain all the necessary documents relating to the characteristics of the
subsystem and, where appropriate, all the documents certifying
conformity of the interoperability constituents. It should also contain all
the elements relating to the conditions and limits of use and to the
instructions concerning servicing, constant or routine monitoring,
adjustment and maintenance”. This therefore places obligations both on
the process of placing a vehicle in service and implicitly on either the
vehicle identification system or the database within which vehicle data is
held and requires its exchange for interoperability.
2.4.17 Annex II lists the subsystems comprising the rail system. Section
2.5 and in particular part b) cover vehicle identification.
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2.4.18 Annex III, section 2.7.1 lists “the essential requirements for
telematics applications”; this has important requirements for vehicle
identification and its associated databases by requiring that: “databases,
software and data communication protocols are developed in a manner
allowing maximum data interchange between different applications and
operators, excluding confidential commercial data” and “easy access to
the information for users”.
Overview
EU Legislation
Introduction
Directive 2001/16/EC
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2.5.5 Each TSI will have to indicate precisely what information must be
included in the register11. The basic parameters of conventional rolling
stock will be determined by the “Article 21 committee”12.
2.5.6 The Directive requires that the register be published and updated
annually. A copy of the register has to be made available to the public
and has to be sent to the Member States concerned and the AEIF.
2.5.7 The wording of the Directive does not state clearly who will
manage the rolling stock register. Unlike the provisions on the national
register (see Commission proposals in RWP-II) the Directive does not
indicate either that the register relates to “vehicles put into service” or
that the manager of the register has to be an independent body (these
requirements should be contrasted with Article 14 paragraph 4 of the
directives as proposed by RWP-II).
9
Required under Article 24.
10
For a complete definition see Annex I point 2.
11
Article 24 paragraph 1
12
See Article 23 paragraph 3 of Directive 01/16/EC.
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2.5.13 The draft Rail Protocol creates the possibility that a designated
entity may be stipulated by the Contracting States in a closed
geographical area to act as an access portal to the International
13
The International Institute for the Unification of Private Law, an
intergovernmental organisation based in Roma.
14
Article 2 of the Convention
15
ibid
16
Article 16 of the Convention.
17
Article 17 of the Convention
18
Article XI
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Registry19. This entity could be the ERA for example. The unique
identification criteria proposed by such a designated entity would be
accepted by the Supervisory Authority if they were consistent with the
operation of the international registry and the intent of the Rail Protocol.
There is also unresolved discussion of certain contracting States being
able to designate an autonomous registry authority which would then be
outside the jurisdiction of the Supervisory Authority and would not be
part of the international registry.20
COTIF
19
Article XIII paragraph 2.
20
Article XIV
21
Article V(1)
22
Article XIII paragraph 1.
23
Article XIII paragraph 2.
24
Article 22 of the Convention
25
Article XV paragraph 2.
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2.5.20 The COTIF permits the option of not applying certain treaty
obligations, including parts of the appendices. Article 42 covers that
possibility. Therefore, in principle the EC could choose not to participate
in the international register discussed below. Nevertheless when signing
the new COTIF in Vilnius in 1999 no EU Member State expressed any
reservation to any of the appendices.
2.5.21 As long as the EC is not a party to the COTIF, this could cause a
complicated legal situation26. Member States (which have individual
membership of the COTIF and are therefore bound by COTIF rules)
could be faced with contradictory obligations if EC legislation deviates
from the international rules or if international rules conflict with the EC
Treaty. It is therefore important that Member States consider their EU
obligations when ratifying the new COTIF and/or perhaps make use of
the possibilities that Article 42 of COTIF offers. In practice, however,
the policy co-ordination arrangements within the EU (if Member States
reach consensus) and the fact that, if voting en-bloc, the EU States form a
substantial minority, mean that the EU will be able to have a strong
influence on COTIF policy. Emphatically so if candidate States are
taken into account.
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2.5.25 The “data necessary” for the purposes of the ATMF must be
transmitted by “the competent authorities” to OTIF. In all cases the
competent authorities will have to provide notice of the following
necessary data:
withdrawals from service;
official immobilisations (sic);
withdrawals of admission to operation (sic); and
modifications to a vehicle which derogate from the admitted type of
the construction.
2.5.26 The logic of the data bank is that it acts as a list of approved
vehicles to support the requirement that these must be accepted in
international traffic. It is not clear if supplementary information (for
example, whether the maintenance-due date has been exceeded) will be
held.
2.5.27 COTIF specifies that the only data that may be stored is that
which the Committee of Technical Experts (CTE) decides is necessary.
Indeed the text of the ATMF states that:
the competent authorities have to send the necessary data;
the CTE will decide which data has to be sent;
the data will include that stated by the CTE
Accordingly CTE can only put an obligation on the authorities to send
other data if it is “necessary” (for keeping a database on approved
vehicles). The Consortium therefore considers that under the strict
wording of the COTIF the necessary data cannot include all of the
information required by other legal and operational requirements.
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27
Article 13 paragraph 5 Appendix G.
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2.6.1 The most reliable data available to the Consortium indicates that
the number of vehicles in each state that would be affected by any
renumbering scheme is shown in Table 2.2 (it is based on UIC figures
and only includes UIC members, the totals for other railway undertakings
and privately owned vehicle are unknown, except in the case of Great
Britain, Sweden, Romania and for German and Swiss wagons where the
national total has been obtained by responses in the information
collection process):
Numbering System
Locomotives Railcars & Hauled Hauled
State Multiple Passenger Freight
Units Vehicles Vehicles
Belgium 969 701 3 501 13 385
Denmark 187 466 918 2 236
Germany 7 254 2 402 14 715 200 578
Spain 988 1 006 4 310 19 754
France 4 983 2 175 15 694 46 359
Greece 159 85 517 3 526
Ireland 110 62 372 2 811
Italy 3 175 1 522 11 937 74 795
Luxembourg 79 34 146 2 201
The Netherlands 120 1 845 2 742 3 331
Austria 1 201 362 3 468 18 525
Portugal 256 333 1 399 3 931
Finland 623 112 1 012 12 292
Sweden 910 220 1 030 15 000
United Kingdom
1 873 11 255 3 088 29 624
(Great Britain)
United Kingdom
4 122 0
(N Ireland)
Czech Republic 2 713 966 5 252 47 768
Estonia 117 77 241 4 154
Latvia 252 181 702 7 326
Lithuania 278 141 563 10 117
Hungary 1 107 346 3 232 10 444
Poland 4 027 1 266 9 761 94 355
Slovakia 1 209 361 2 273 22 175
Slovenia 186 114 461 5 952
Switzerland 1 407 253 3 255 13 069
Norway 127 165 918 2 446
Bulgaria 680 82 2 099 24 910
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Numbering System
Locomotives Railcars & Hauled Hauled
State Multiple Passenger Freight
Units Vehicles Vehicles
Romania 1 809 151 4 037 58 000
European CIS 16 027 9 971 41 937 547 796
Other UIC 6 868 1 744 16 253 173 555
Total 59 698 38 398 155 955 1 470 415
Recording Numbers
2.7.1 The numbers are painted on the side of the vehicle. It is useful to
establish an understanding of the occasions when vehicle numbers are
currently recorded. In the case of wagons for example these include:
on loading: on the consignment note (written or IT based) (the note
is always provided by the customer, the number is either provided by
the customer if he loads the vehicle himself, or by the rail
undertaking if it loads the vehicle);
transferral of number to rail undertaking’s operating system;
marshalling yards: used for correct attribution of the wagon;
removal from the train due to malfunction: used for billing for
repairs (settled on an aggregated basis between rail undertakings);
28
It is noted that the age profile of the current fleet is not compatible with these
figures; due to the decline of the industry and historic factors, investment in
new equipment has been limited, resulting in an ageing fleet across Europe as a
whole.
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Roles
2.7.2 A unique identifying number has a number of potential uses for the
railway industry. These include operational, accounting, engineering and
legal functions. The nature of freight operations means that freight train
operators are likely to make considerably more use of the identification
number than do passenger operators. Freight vehicles need to be sent
singly or in different sized batches to differing destinations. Billing is an
issue and damage is more likely. Vehicle types are more varied and
appropriate ones are required to move the type of traffic on offer over the
route to be taken. These requirements all place much greater demands on
the numbering system than passenger traffic.
2.7.4 Vehicle numbers are used in numerous systems; these include both
IT and manual systems. The structure of the number is therefore both
embedded in physical systems and in the intellectual processes of staff.
Systems that use vehicle numbers include:
operating and traffic management systems;
tracking and tracing systems;
vehicle maintenance systems;
billing and accounting systems for both railway undertakings and
infrastructure managers;
customers’ systems;
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2.7.5 Uses of the vehicle number tend to be more numerous for wagons
and the rail freight business than for other types of traffic; Appendix H
examines the mechanics of the use of wagon numbers in various freight
systems in more detail.
2.7.8 Accordingly, two issues come into play when considering the
impact on IT and manual systems of changing the numbering system.
First, the impact on these existing IT and manual systems, and second, to
what extent do these systems have to change in any event because they
are inappropriate for the current environment? This issue is also
discussed further in Section 7 of this Report. It is understood that the EC
are currently providing funding for the development of new international
rail freight information exchange systems. It is important that the
minimum dataset requirement of any vehicle database is mutually
compatible with those exchanged by these new systems.
29
TOPS (Total Operations Processing System).
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2.8.1 Under current arrangements the UIC mandates UIC leaflet 433
(Standard General Conditions for the introduction into service and
operation of privately owned wagons) for the relationship between its
member railway undertakings and keepers of privately owned wagons.
No UIC provisions exist for the relationship between owners/keepers of
privately owned coaches or locomotives and non-member railway
undertakings.
2.8.2 The UIC leaflet provides a template contract for the relationship
between the vehicle keeper and a railway undertaking. The contract
provides for the keeper to ensure that the vehicle is properly maintained
and is not modified without approval.
2.8.3 There are terms which lay down a framework for liability for
damage caused to or by the wagon. The railway undertakes to ensure the
wagon will be accepted by other railway undertakings and that “Good
Samaritan” repair arrangements are in place outside the home country.
Within the railway community the mutual inter-railway obligations of the
UIC and RIV ensure that the contracting railway undertaking’s
obligations can be honoured everywhere the wagon goes. The system
acts as a funnel to limit and channel legal relationships; each railway has
agreements with “its” vehicle keepers and has rights and obligations
deriving from membership of international bodies.
2.8.4 All of these agreements are standard and avoid keepers having to
have understandings with every railway undertaking. Evidence for the
wagon being attached to the fleet of a railway undertaking and the
subject of an Agreement is provided by the wagon being numbered in the
number series of the railway undertaking. This system has worked well
in practice.
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2.9.2 The CIS railways abutting the Western European railways use
their own numbering system inherited from SZD. RZD which continues
to manage rolling stock issues on behalf of the Commonwealth have a
pivotal role in determining future policy. As noted above, when
interviewed for this study, OSJD declared that RZD would be prepared to
move towards a standard European solution if they could be assured that
such a system would be stable.
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Overview
3.1.3 Although each of the rules has a limited scope and in itself leaves
little room for “broadening” the registration regime, they do not contain
any legal barriers for Member States (or the railway industry) to fulfil
their obligations on:
setting up a register;
using data for the set purpose;
appointing an authority to manage the register;
obliging actors to provide data;
giving entry to the register to specific actors.
EC Law
Directive 2001/16/EC
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Directive 91/440/EEC
3.1.9 In this respect it should be noted that it is not clear whether the
Directive allows Member States to prohibit other functions than the ones
mentioned in the Annex. The question of whether the list is exhaustive
or not is left open by the text of the Directive.
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3.1.10 Even if Directive 91/440/EEC stills leave scope for the present
arrangements (see above), EC competition rules could give rise for
concern. Upholding the present practice of numbering and registration
by, in general, national railway undertakings, seems to increase the risk
of acting contrary to (Article 10 in conjunction with) Article 82 (abuse of
a dominant position) of the EC Treaty.
3.1.11 Another cause for concern could be the compatibility with Article
81 of the EC Treaty. Exchange of confidential data between competitors
could lead to a distortion of competition and therefore be in conflict with
Article 81. Under the current arrangements vehicles that are privately
owned or owned by a non-UIC railway undertaking have, in practice, to
be attached to the fleet of a UIC railway undertaking to be able to operate
internationally. This could enable the undertakings concerned access to
data containing recent, sensitive and individualised information.
COTIF
Legal Conclusions
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Colin Buchanan and Partners Analysis of Existing System
grounds: the ability to “see” what competitor’s vehicles are doing via
data access rights within railway operational systems is not
considered to be compatible with Article 81 of the EC Treaty;
there is currently no rolling stock register as will be shortly be
required by Directive 2001/16/EC;
a future problem is likely since there is currently no International
Registry of international interests as will be required under the
UNIDROIT Protocol on Matters specific to Railway Rolling Stock;
there is currently no international database of rolling stock as will be
required under the ATMF (COTIF).
1
Art. 22 of the Cape Town Convention and letter from Chairman of Rail
Working Group to Consortium 29 July 2002.
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3.3.2 The majority of the systems in use are structured. With these
systems, when changes occur to a vehicle, for example its keeper or its
operating regime, the vehicle number changes in response. The more
complex the numbering system, the greater the instance of running
number changes. Where unstructured numbers are used it is much rarer
for vehicles to be renumbered, although this still occurs on occasion.
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as above but some of the wagons require new bodies and chassis in
whole or in part.
5
At present only wheelsets are individually accounted for.
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3.5.6 When the new COTIF takes effect, the simpler provisions of the
CUV are likely to influence owners/keepers and railway undertakings to
review contractual terms. The Consortium’s discussions indicate that
owners/keepers want standard terms signed once with one railway which
would then apply everywhere. Existing arrangements for owners/keepers
(in the form of the UIP) and railways (in the form of the UIC) to discuss
and agree contractual conditions are likely to continue. (It is worth
noting that the dispositive nature of the CUV protects both parties from
unreasonable contractual demands). It would also seem, however, that
there is an option to have a “free” vehicle (known in the aviation world
as a “white tail”); if so these free vehicles must have a right to a standard
number.
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into these arrangements they voluntarily accept the need to make other
arrangements
3.6.1 The study has highlighted the issues of equality of access to and
confidentiality of data systems which use and hold vehicle details and
numbers. The problem stems from the historic structure of the rail
industry, where monolithic organisations were in complete charge of
national rail systems. Accordingly, the architecture of IT systems used
by railway undertakings and infrastructure managers does not provide
internal confidentiality filters.
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access rights; the former parts of BR have greater access rights to data
than other players in some competing areas.
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4. COMPARISONS
Selection of Comparators
4.2.2 There some railway vehicle characteristics that determine the need
for and application of identifiers, which may differ from those required
by identification systems for applications in other industries and modes.
The key attributes of rail vehicles are that: they are mobile, they have to
conform to appropriate technical standards, they can be valuable, they are
often unaccompanied, and they have a wide range of important
characteristics, some of which limit their scope or method of operation.
Information about the asset and its characteristics must be readily
available, and the information required by different bodies varies.
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4.2.4 Relevant examples outside the transport field are harder to find. In
many cases, a single permanent identifier is used. In the field of express
parcels, unique identifiers are used for the package, but there is no
requirement for a permanent identifier, nor an overriding need for the
identifier to carry any information. The identifier could, however,
indicate information such as origin point or date of consignment to avoid
the need to look these up in a database. Nevertheless some examples
have been identified that may be of interest for different aspects for
example, international usage, use of two different identifiers.
4.2.5 The parallels that can be drawn with railways in other parts of the
world are somewhat easier to make, since similar issues are faced to
those covered in this Report. The Consortium thought three examples
were worthy of comparison: North America, Southern Africa and
Australia.
Facets Explored
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Road Vehicles
Vehicle Approval
4.3.2 The Type Approval procedure is essentially the same for a vehicle
as for a component. This procedure is defined in Directive 70/156/EEC
and subsequent amendments. Both the item and the production process
must be approved, the latter known as Conformity of Production (CoP)
assessment.
4.3.4 Where the product is a single component, this meeting may simply
be a document exchange. Where a number of products are derived from
a basic design they are assessed to identify a worst case version for
testing in order to limit the amount of test work to be carried out. A
documented worst case assessment is produced for the approval body as
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Colin Buchanan and Partners Comparisons
a record of the agreement. The test plan is finalised and the Type
Approval fees are confirmed. Testing is carried out on the sample
product(s) with the Technical Service witnessing the test work as
necessary.
4.3.5 Test reports are prepared and the Technical Service provides a
complete set of technical documentation and test reports to the approval
authority. Subject to a satisfactory review of the submitted documents
and CoP assessment, the approval body issues a type approval certificate
which authorises the manufacturer to put the "e" mark, or "E" mark, on
the product(s).
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Identifiers
4.3.8 The WMI is described in ISO 3780 and occupies the first three
positions of the VIN. It is alphanumeric, the first character defines a
geographical region, the second a specific country, the third defines the
manufacturer. Specific arrangements exist where a manufacturer
produces less than 500 vehicles per year.
4.3.10 The VIS occupies the last 8 characters of the VIN and the last
four of these must be numeric.
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4.3.13 In most states, including all EU States, vehicles over a set age
have to undergo annual safety checks. In some cases this is linked to an
annual taxation process which also requires proof of valid insurance
before the annual taxation disc can be obtained. In other cases (for
example, France), insurance is controlled by an insurance vignette on the
windscreen. Where there is a linkage, the annual element of the process
imposes a check on whether a vehicle is maintained to appropriate
standards and is carrying appropriate insurance. Mutual recognition of
these standards applies throughout the EU and Europe.
Technical Inspection
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Civil Aviation
Approval
Identifiers
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Shipping
Background
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Classification
4.3.27 Within the EU, Council Directive 94/57/EC as amended sets out
which bodies are approved to perform inspection, survey and
certification of ships in order to ensure effective application of the
international Conventions. Those approved bodies are:
American Bureau of Shipping (ABS);
Bureau Veritas (BV);
China Classification Society (CCS);
Det Norske Veritas (DNV);
Germanischer Lloyd (GL);
Hellenic Register of Shipping (HR);
Korean Register of Shipping (KR);
Lloyd’s Register of Shipping (LR);
Nippon Kaiji Kyokai (NK);
Registro Italiano Navale (RINA);
Maritime Register of Shipping (MRS).
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Registration
4.3.31 The ship owner proposes a name for the vessel that will only be
allocated once the registry has confirmed that it is not already in use.
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classification;
shipbuilder;
former names;
survey dates;
date of build;
official number;
navigational aids;
call sign;
cargo facilities;
destined voyage;
speed; manager;
port of registry and flag;
dimensions;
machinery; and
owner.
Enforcement
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ISO Containers
Identifiers
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sea trade at approximately 5.5% per annum. To facilitate this there are
numerous databases, for example for port planning, ship stowage and
loading programmes. Many of these utilise container numbers as a basic
field.
4.3.39 ISO containers have many similarities with rail freight wagons in
their method of use and the international codes used were designed to be
compatible with AAR freight car codes. The container is transported,
unaccompanied, using different powered vehicles and is subject to
transhipping at various points on its journey. Backloads may be arranged
and there is a need for owners to be able to manage their pool of assets.
However, containers have low capital cost, short operational lives and do
not require much maintenance. Poor maintenance generally only results
in damage to the consignment and consequent loss for the owner. The
rugged simplicity of the standard design also means that, other than in a
few specialised cases such as tank containers, there is little prospect of a
technical failure of the container causing consequential losses to vessels,
infrastructure or other containers. Thus the holding of insurance by the
container owner or shipper is of little consequence to shipping operators,
vessel owners or port authorities.
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4.3.43 BIC does not monitor the positions of containers, or register the
individual serial numbers allocated by companies; its database simply
contains details of the companies registered. A payment must be made
by a company to register for a four digit code, of which there are 17 576
possible combinations.
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Selection of Example
4.4.5 An ISBN consists of ten digits preceded by the letters ISBN. The
ten-digit number is divided into four parts of variable length, which must
be separated clearly by hyphens or spaces, e.g. ISBN 0 571 08989 5 or
ISBN 90-70002-04-3.
4.4.6 For purposes of data processing the ten-digit string is used without
hyphens or spaces. Interpretation and human legible display is
effectuated by means of the tables of group numbers and publisher
identifier ranges.
4.4.7 The number of digits in the first three parts of the ISBN (group
identifier, publisher identifier, title identifier) varies. The number of
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4.4.10 The third part of the ISBN is the title identifier, identifying a
specific edition of a publication of a specific publisher. A title identifier
may consist of up to six digits. As an ISBN must always have ten digits,
blank digits are represented by leading zeros.
4.4.12 The number of digits in each of the three parts of the identifier is
variable, although there are always nine digits, which with the check
digit, make up the ten-digit ISBN.
4.4.13 For ease of reading, the four parts of the ISBN are divided by
spaces or hyphens. The position of the hyphens is determined by the
publisher identifier ranges established by each group agency in
accordance with the book industry needs. The hyphens are generated by
a hyphenation output programme, which helps reduce work at input,
reducing the number of characters, eliminating manual checking of
hyphenation, and ensuring accuracy of format.
Library Classification
1
See description in footnote in Section 2.
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4.4.15 In the LCC system the first character is a capital letter and
denotes a broad area such as Law or Agriculture. Each of these is
subdivided by a second capital letter into more discrete subject areas and
these are then further subdivided by the addition of numbers for discrete
areas. For example, QA76.4 denotes analogue computers, where Q
denotes Science and 76 denotes electronic computers.
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Permits Single Market to Function Yes. Permanent and Operating identifiers are
harmonised. Allocation of codes is neutrally
operated.
Product Codes
Selection of Example
EAN-UCC codes
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4.4.22 One of the main concepts of the EAN-UCC system is that any
item (product or service) upon which there is a need to retrieve pre-
defined information and that may be priced or ordered or invoiced at any
point in any supply chain can be allocated a unique identification
number: the Global Trade Item Number or GTIN for short.
4.4.25 Once assigned, the GTIN can then be bar coded onto the trade
item using the EAN/UPC structure. All identical trade items use an
identical GTIN and bar code. Any item which crosses the retail point of
sale should be bar coded using the EAN/UPC structure. The two most
widely used numbering structures for this are the EAN/UCC-13 and
UCC-12. The GTIN is constructed as follows:
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4.4.28 Check digit: EAN- UCC has a standard check-digit algorithm for
all GTINs. This is calculated using the preceding digits.
North America
Background
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the creation of standards; the railroads operate across two countries with
largely uniform laws, a single language and similar operating conditions.
Mexico in effect has to accept the standards of Canada and the US and
largely does so by buying second-hand equipment from them.
Numbering System
4.5.5 The AAR system makes use of a code comprised of two to four
letters to identify the owner of the vehicle, this code is in the main
mnemonic, for example, BNSF for the Burlington Northern Santa Fe
Railway. An X as the last character identifies a vehicle that belongs to a
private owner rather than a railroad, for example, GATX. (U and Z as
the last characters are reserved for containers and road trailers). Some
36 000 of the theoretical 405 000 combinations are used. Control over
the letter codes is held by the National Motor Freight Traffic Association
although administration of railroad codings is undertaken by RAILINC2
on behalf of the AAR. Allocation of a letter codes is conditional on
approval as a railroad by the US Department of Transportation and a
commitment to the vehicle being entered on the vehicle master file (see
2
A subsidiary company of the AAR with responsibility for the neutral
administration of industry-wide IT systems (for example UMLER).
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below). In the case of hauled rolling stock the remainder of the number
comprises up to six digits as a serial number and is defined by the owner.
4.5.9 Data from the master file is used in railways’ own railway
operating systems, for example when containers are carried on flat cars,
the rail wagon and container data both are extracted from the master file
for operating purposes.
UMLER
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Enforcement
4.5.15 The FRA also holds extensive regulatory powers over railroads,
with the power to enforce action on safety or even to suspend railroad
operations.
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Permanent Identification No
Australia
Background
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4.5.18 The various operators are required to warrant that their train
operations are safe and to register their rolling stock.
Numbering System
4.5.20 Despite the fact that the discrete nature of the various operators’
freight services means that numbers need only to be relevant to the
operator in question, freight stock is required to be numbered to a
common system using the former Railways of Australia system, a system
specifically designed to facilitate interchange of vehicles.
Computer System
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Enforcement
Permanent Identification No
Southern Africa
Background
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is the economic powerhouse of the region and traffic to and from South
Africa predominates. Nevertheless traffic is exchanged between all the
railways and the majority of the wagon fleets are interchangeable.
Passenger rolling stock operates internationally; traction tends not to, but
in exceptional cases can do (for example the need to provide hotel power
to passenger rolling stock).
4.5.27 Each of the states has its own vehicle approval process with
common standards agreed under the aegis of the Southern African
Railway Association. Approvals are mutually recognised.
Numbering System
4.5.28 Each of the railways concerned numbers all of its vehicles in its
own series. All these number series are structured, however the
structures are not the same and there has been no attempt to rationalise
the numbering sequences between railways.
Enforcement
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Permanent Identification No
General Points
4.6.3 In the case of the three examples from rail systems in other parts of
the world, none of them does all that would be required from a
comparable new European system. The North American system is the
most interesting, particularly in regard of the UMLER vehicle database.
Again the points that are worthy of note are discussed below.
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Permanent Identifiers
Use
4.6.5 Virtually all products have unique serial numbers in addition to the
types of identifiers described above. The need for a permanent identifier
has been solved in the case of road vehicles and aircraft by having a plate
fixed to the structure in a manner which makes tampering apparent. The
use of separate permanent and operating identifiers is particularly notable
in the automotive sector, where official government databases handle
tens of millions of records linking the two numbers together and holding
a wide variety of associated data and where the permanent identifier
(VIN) is used for fraud detection, etc.
Form
International Aspects
Compatibility
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Operating Identifiers
Use
Form
International Aspects
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Compatibility
4.6.19 In the case of the examples for rail systems elsewhere in the
world the UMLER database in North America provides an example of an
international database for North America and Sprint for Southern Africa.
Standards
4.6.22 In contrast the rail industry is notable for the lack of international
standards defining identifiers, international adoption of particular
numbering systems has only really occurred through international
industry organisations such as the AAR, the UIC and the OSJD, each
with geographical constituencies. Whilst there has been co-operation
between the UIC and OSJD, there has been no attempt to develop a
world-level numbering system. In consequence the systems selected
have limited compatibility with each other (see below).
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Compatibility Issues
4.6.23 In some of the cases considered for other modes and industries,
compatibility issues arise, either from the use of different length
identifiers or their containing different amounts of information.
Compatibility has been assured between the different formats in these
cases. The case of UPCs is interesting, where shorter codes simply have
additional zeros inserted at the left end of the identifier to complete the
standard size. A similar system could be posited for rail vehicles which
would enable two numbering systems to co-exist without confusion.
Systems Issues
4.6.24 The requirement for the identifier not to hamper the operation of
the single market translates into a number of requirements. From the
examples that have been described these can be defined as:
the allocation of identifiers and their management must be performed
by a neutral body;
the identifier should enable an entity to identify its own assets;
there should be no disadvantage to an entity arising from the form of
identifiers allocated to it;
essential data systems should be available on an equal basis to all
users.
Verification of Conformity
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5.1.1 To date this Report has mainly discussed the current position when
placing vehicles in service and identifying them. However, there are a
number of potential changes that need to be considered. Some of these
concern potential changes in the legislative environment, which will
require the current arrangements to be amended, where appropriate, and
which any proposed revisions to the system for other reasons will need to
take account of. Other changes to the system have been proposed or are
being proposed by interested parties to deal with perceived weaknesses in
the system.
Interoperability Directives
5.2.1 Directives 96/48/EC and 2001/16/EC lay down rules for the
interoperability on the Trans-European high speed network and the
Trans-European conventional network respectively. After amendment by
RWP-II the scope of Directive 2001/16/EC will change: the complete
European conventional rail system will come under the provisions of the
Directive.
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5.2.4 The basic parameters for high-speed rolling stock can be found in
Annex II point 3 of the high speed directive (for example, axle loading,
maximum train length, gauge of rolling stock, minimum braking
characteristics, etc). The requirements for the rolling stock register (e.g.
frequency of publication, access rights, etc) are otherwise identical to
those already discussed under the current requirements for Directive
2001/16/EC.
The Draft Directive further prescribes that registration has to take the
place of the “alphanumeric identification code” that has to be assigned to
each vehicle when authorised to enter service4.
1
See for a full definition of the latter: Annex I point 2 of Directive 96/48/EC, to
be amended by RWP-II.
2
See Article 21 paragraph 2 of the Directives.
3
Article 14 paragraph 5 as proposed by RWP-II.
4
Article 14 paragraph 4 as proposed by RWP-II.
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5.2.8 The Draft Directive does not mention how frequently the database
will have to be updated. It is considered to be logical however that this
should depend upon the purpose of the register. If the register has to play
a role in day-to-day operational acts, a corresponding content will
obviously be needed; therefore, there will be a requirement to keep the
register up-to-date. It is recommended that when drafting the common
specifications of the register attention should be paid to this aspect.
5.2.9 The body responsible for keeping the register up-to-date must be
independent of the infrastructure manager or of any railway undertaking5.
5.2.11 The proposal in the draft legislation is that access rights to the
register will exist for:
the authorities designated in Articles 12 and 18 of the Safety
Directive, it is noted however that it was probably intended to refer to
Articles 15 and 20, which refer to national safety authorities and
investigating bodies;
the national regulatory bodies (to be assigned by the Member States
on the basis of Article 30 of Directive 2001/14);
the ERA;
infrastructure managers; and
railway undertakings.
It is proposed that more limited rights of access will exist for:
safety authorities and investigating bodies, but only insofar as it
concerns “information concerning railway safety”; and
for any other party with a “legitimate interest”.
5
Article 14 paragraph 4.
6
Article 15 paragraph 3 of the draft Directive.
7
Article 15 paragraph 4 of the draft Directive.
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Safety Directive
5.2.12 It is proposed that the Safety Directive will apply to the whole
European railway system (all sub-systems, including rolling stock). The
explanatory memorandum indicates that the directive aims at
harmonising safety rules, removing obstacles to a functioning internal
market, providing transparency and information about safety issues and
investigating accidents and incidents.
5.2.14 The Draft Directive does not state how often the register has to be
updated. The ERA regulation, however, states that the national
authorities (in this case the safety authorities) responsible for issuing the
documents (for example safety certificates) will have to notify the ERA
within one month of each individual decision to issue, refuse or withdraw
a document9.
5.2.15 The ERA Regulation requires the ERA to keep a public list (also
referred to as public register of documents and public database) of issued
safety certificates10.The register will be open for public scrutiny.
ERA Regulation
8
Article 11 paragraph 3 of the draft ERA Regulation.
9
Article 11 paragraph 2 of the draft ERA Regulation.
10
Article 11 paragraph 1 sub b of the draft ERA Regulation.
11
Article 11 draft ERA Regulation.
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a national register13.
5.2.21 ERA Regulation does not contain a provision about the frequency
with which the register of interoperability documents must be updated.
5.2.22 The ERA will be responsible for the public registers and national
authorities (which must be independent of infrastructure managers and
railway undertakings) will be required to keep national registers up to
date. Whilst the former will be open for public scrutiny, access to the
national registers is limited as noted above.
12
Article 19 draft ERA Regulation.
13
Article 18 draft ERA Regulation.
14
Article 11 paragraph 2.
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5.3.6 Wagon owners’ responses were less consistent than other parts of
the industry. The same comments were made as made by manufacturers
about the timescales, costs and differing emphases in the approval
process. By contrast there was general satisfaction with the relationship
with railway undertakings although there was a strong demand for
greater international freedom away from national constraints. This was
manifested in particular by a demand to be able to maintain vehicles
outside their parent country and for freedom of choice in the maintenance
of their vehicles. Concerns were also expressed about the competition
implications of attaching their wagons to the fleets of railway
undertakings and the consequent ability of railway undertakings to get
details of their major customers and flows by tracking through railway IT
systems.
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Background
5.4.4 The VNS report saw the objectives as being to accommodate the
vehicles of new railway undertakings simply and without putting the
costs of doing so on UIC members.
5.4.5 The solution proposed by the VNS was simple: to allocate four
codes from amongst the unused exchange regime codes to identify
vehicles from non-UIC members and then use the “parent railway” code
to indicate the home state of the licensed railway undertaking. In this
way every organisation involved with the movement of vehicles would
recognise them as being outside the normal regimes and would treat them
accordingly. Two of the regime codes were intended for passenger
vehicles and two for freight. The report pointed out that a similar
initiative could be adopted for traction.
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Summary of VNS
5.4.7 It is considered that the VNS report was accurate in identifying the
problems allocating numbers in the new railway environment. Its
solution was simple and neat. It made the implicit assumption however
that the existing system of allocating numbers for UIC members would
continue and that the number was allocated within the industry rather
than being a quasi official mark of acceptance. Both these assumptions
are now under examination. Furthermore it did not suggest how the
numbers within the series reserved for non-UIC railway undertakings
would be allocated, which might be contentious.
5.5 CODIRAIL
5.5.3 Steps were taken to introduce this new coding structure in the
accounting function first, which perhaps had the most pressing need to
discriminate between rail businesses.
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Background
5.6.3 The study looked at freight vehicles first, since these are both the
most numerous and were considered to be the priority, in view of the
numbers exchanged. Passenger vehicles and tractive units were to be
considered by the study, but only after the freight vehicle study was
complete. The study is still in progress at the time of writing and the
work that still has to be undertaken is summarised below.
5.6.4 The study was set up in 2001 by the UIC with seventeen
representatives from the principal interests (infrastructure managers,
railway undertakings, coding specialists, IT specialists, finance
specialists and the UIC itself). It was chaired by SNCF. The OSJD was
also represented. Its terms of reference included:
that vehicle numbers must be unique;
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5.6.5 Given the driver of a strong resistance to the costs of mass change,
it was not surprising that the study reiterated two basic principles:
vehicle numbers should remain at twelve digits and mass
renumbering was to be avoided; and
the structure of the number should remain the same as currently with
fields for operating regime, parent location, type code, serial number
and check digit.
Operating Regime
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the existing distinction between privately owned and RIV railway owned
wagons be continued (under current conditions arrangements for control
of these wagons are different). They did however recognise the
possibility of wagons not being part of a RIV railway’s fleet.
5.6.12 As discussed in Section 2 of this Report, the third and fourth digit
of the number is currently the railway undertaking to whose fleet the
vehicle is attached. The RICS study recognised that this principle could
not be retained since many railway undertakings cannot have UIC two-
digit codes. The study recommended that this field became the country
“in which the wagon was registered” rather than parent railway.
5.6.13 There are a number of issues following from this, not the least the
meaning of “registered”, which could, for example, refer to the state in
which technical approval took place, where a vehicle was manufactured,
where the owner or keeper has his principal office, the state in which an
owner/keeper chooses to base his wagons because of a favourable fiscal
regime or the state from which the vehicle habitually operates. Important
issues arise from each of these choices.
5.6.14 There are two key issues: first, that this field is actually used in
railway operations and; second, the question of how the numbers actually
get onto the wagons.
5.6.15 On the first question, the railway code is used as a surrogate for
“home” in railway computer systems, for confidentiality criteria in IT
systems and in myriad other applications. If this were to mean home
state then many (but not all) of these problems would go away. Home
state would have a meaning similar to that used for personal taxation,
where normally resident.
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5.6.17 The text of the RICS report referring to the state “in which the
wagon is registered” would appear to be merely the state in which the
official record of the vehicle is held. It is unclear if the study believes
this will be the country of initial technical approval. If it is linked to
approval then the issue of how to treat subsequent approval of
modifications arises. If it is not linked to approval, the issue of how
numbers will in practice be allocated becomes acute: if the number is a
function of state of approval then issues arise if the vehicle is modified, if
it is not linked to approval then the issue of deciding how the number is
allocated has to resolved and what policing mechanism there will be.
5.6.18 The RICS study team informed the Consortium that the sale of a
vehicle from one state to another would not entail a change of number.
This together with the fact that the state holding the record may well not
be the state in which a vehicle is actually based raises operational issues.
In most railway operating IT systems digits 3 and 4 of the number are
used as an indication of destination when repatriating a wagon. This
information would have to be fed to operating systems from another
source, requiring major IT systems revision. However, this potential
problem is also indicative of the lack of sophistication of most railway
operating systems; nevertheless although this lack of sophistication may
be insupportable in the abstract, in practice the need to replace or upgrade
existing IT systems is a severe impediment to implementation of the
recommendations.
5.6.19 The RICS study considered that the type code field had proved
satisfactory and that is an adequate range of numbers to accommodate
future designs, therefore no change was proposed.
Serial Number
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currently more than one thousand wagons of a given type (quite often the
case for standard types) additional type codes have to be allocated.
Check Digit
Allocation of Numbers
5.6.22 The RICS study recognised that it was no longer appropriate for
railway undertakings to allocate numbers; it likewise recognised the
variety of approaches to railway regulation in the various states and
proposed therefore that states devise their own solution to vehicle
numbering. This might be numbering by the state itself, by an agency of
the state or indeed by the railway industry subject to safeguards which
the state might apply. As outlined above, unless the process of
numbering is linked to that of approval, the means of allocating numbers
will need careful definition.
5.6.24 The first draft proposals for passenger stock were produced in
January 2003 and a discussion document was produced for traction
renumbering at the same time. The same principles of a desire to avoid
renumbering and an acceptance of a governmental role in the process
have guided their work. The plan is that the study team will now move
on to develop proposals for tractive stock.
Passenger Vehicles
5.6.25 The RICS group’s proposals for passenger stock follow the
general lines adopted for freight. The number remains structured; the
first field becomes an indication of interoperability overlain with
technical characteristics, the second field state of registration, the third
vehicle type, followed by serial number and check digit as before. The
RICS group proposals are similar to those made by the consortium in
Appendix K. The RICS group expect to pass their proposals through
UIC bodies to get approval for implementation on 1 January 2004
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Traction
5.6.28 Much of the work of the RICS group has now been done and the
general principles that have been followed appear to be clear. The
Consortium considers that the RICS study has been diligent in
accommodating the needs of a restructured and more liberalised railway
industry. The proposals of the RICS study however still leave a large
number of, and perhaps too many, unresolved questions.
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5.7.2 The remit for the study included design of the functional
specification, the data to be held, the overall architecture and the
provision of financial estimates. The remit recognised the pre-eminence
of freight in the study but also that passenger and tractive stock needed to
be taken into account. The contract was placed by the UIC IT
department under the tutelage of the Freight Department. The contract
for the study was won by the French IT group Steria and the study took
its name.
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5.7.7 From the viewpoint of the present study, the Steria study provides
some pointers to what the railway industry wants to see in a database and
how a railway database might be configured in technical terms. It does
not, however, address the more fundamental question of whether a single
database can adequately respond to official and railway industry needs,
the official needs imposed by Directives and COTIF and the railway
industry needs for a real time technical database. Nor does it address the
question of how such a multi-purpose database might be managed to
reconcile the interests of all the stakeholders.
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using vehicle data making use of the number that meets every absolute
requirement and best meets the important requirements.
6.2.1 In deriving a system that meets the objectives set there are a
number of important questions that must be answered. These include:
Who should allocate vehicle identifiers?
In what form should vehicle identifiers and data be stored?
How can a database of vehicle information be reconciled between the
differing requirements of EC law, other international legal obligations
and railway operational requirements?
Who should manage any vehicle database(s)?
What should be the structure of any vehicle database(s)?
Who should have access to what vehicle data?
What constitutes a vehicle?
What form should vehicle identifiers take?
Is there a need for a separate VIN?
If a VIN is required:
- Who should allocate it?
- What relationship should it have to the running identifier and
its database?
- What form should it take?
- Should a database also include serial numbers for major
vehicle components, if so what components?
If vehicles are no longer attached to the fleet of UIC-member railway
undertakings, how is it to be verified that vehicles are appropriately
maintained?
Similarly, without attachment to the fleet of a UIC-member railway
undertaking, how is it to be verified that vehicles are appropriately
insured?
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6.3.1 The issue of technical approval has already been settled by the
Interoperability Directives, thus the key issues are the procedure for
allocating identifiers and placing vehicles in traffic. Specifically who
allocates numbers and undertakes the administrative necessities
associated with placing vehicles in traffic, and safeguarding that this is
performed in a neutral and non-discriminatory manner.
6.4.1 In holding vehicle information digitally the first issue that emerges
is what should the structure of the database/register be? The fundamental
architecture choice is between holding data in a single central database or
distributing it in a series of different databases, for example national
databases, that are linked together and can exchange information between
them. At the extreme some data (for example maintenance data) could
be held digitally on board each vehicle and read/reset locally.
1
The term state relates to a neutral governmental department or body.
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6.4.3 There are considered to be five main options for the structure of
the database(s), as follows:
single central pan-national database;
single central pan-national database, which would drive other pan-
national databases each forming a discrete register/database meeting
a specific requirement (for example rolling stock register,
International Databank, necessary data, railway operating database,
etc);
individual national databases linked together to transfer information
between them and which also would be linked to a pan-national
database or databases, which would do little more than meet
international legal obligations and provide an international reference;
individual national databases linked to pan-national database(s),
through which all exchange of data would be undertaken;
individual national databases with no linkages between them.
6.4.4 Once the broad architecture of the database(s) has been determined
the next decision that has to be made is who should run it? To an extent
this is governed by the option selected, in the case of an international
database the main options are considered to be as follows:
by an international supra-governmental organisation (for example the
ERA or OTIF);
by an international railway organisation (for example the UIC);
by an independent body jointly owned by the rail industry, with
membership automatically available to all.
2
For example none of the legal requirements include important railway
operating data such as vehicle capacity. Furthermore railway operating data
needs to be kept continuously up-to-date.
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6.5.1 As has already been noted in Section 2 there are two issues where
the meaning of “vehicle” needs to be clearly defined: what is defined as
3
See Appendix I for a definition of what “vital operational IT systems”
comprises.
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a single rail vehicle and the retention of identity after major rebuilding.
The draft TSI for conventional rolling stock provides no definition of
what constitutes a vehicle accordingly it is considered that one is needed.
It is understood however that the Railway Working Group established in
drawing up the UNDROIT convention has been developing a definition
of a rail vehicle.
Without With
Numbering System
VIN VIN
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Without With
Numbering System
VIN VIN
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Notes: 1. Universal means applied to all vehicles operating on a national rail system
in Europe.
2. First four digits modified to make non-discriminatory (see below).
6.6.3 It is considered that there are three areas where the current UIC
twelve digit system would benefit from modification to better meet
Single Market objectives: these are the exchange regime code (first two
digits), the railway undertaking identifier (third and fourth digits) and the
need to identify TSI compliant vehicles. In the first case a coding system
that separately identifies railway owned and privately owned vehicles
and demands that they be treated and charged differently has clear
problems from a Single Market perspective (whichever way the
advantage falls), all vehicle keepers should be able to select their
operating regime and charging system. Secondly, as discussed in Section
2, there are insufficient railway undertaking codes for a liberalised
environment, the most logical solution appears to be to change the UIC
member code to a national identifier. Thirdly, widespread support was
obtained from respondents interviewed in the course of the study for the
concept that TSI compliant vehicles should be instantly identifiable by
their number, it is proposed that this is indicated within the first two
digits. These three changes are referred to as the “modified UIC twelve
digit system”.
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6.7.3 It is considered that the possible options for the bodies responsible
for allocating VINs are as follows:
vehicle manufacturers/rebuilders;
by a supranational authority;
by vehicle approval body;
by the state of vehicle manufacture/rebuild;
by national infrastructure manager or safety authority;
by an independent body jointly owned by the rail industry, with
membership automatically available to all.
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6.7.5 The form of a VIN also impinges on the technology used; a VIN
might not be a conventional number at all but could be an electronic tag
or a bar code for example. One of the key functions of a VIN is to
attempt to prevent fraud; in particular wagons can wander over almost
the entire European rail system (and beyond) without supervision from
their keeper. Thus if a VIN consists of a number painted onto a vehicle it
is entirely conceivable that these numbers could be adulterated and the
vehicles misappropriated. VINs therefore need to be tamperproof, to the
extent that it is both practicable and cost effective. Thus if one discounts
painting VINs on a vehicle (other than as a secondary means of
identification), the possible options include:
stamp VIN into vehicle structure;
permanently affix cast plate to vehicle bearing VIN;
irremovable self-adhesive label bearing VIN, possibly incorporating
other security devices such as holograms and/or barcodes;
electronic tag, possibly also used to store other vehicle data.
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4
For example, manufacturers state that a wagon chassis and body only
comprises around 30% of its cost, which if sophisticated bogies are fitted can be
less than the value of the bogies alone.
5
It should also be noted that it is also necessary for owners and maintainers to
be able to identify components for traceability in the safety audit process.
However this is considered to be a separate issue, with the exception that it is
plainly appropriate to use the same component numbers for both purposes.
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6
The Consortium is not altogether comfortable with this approach however, for
example, vehicle leasing companies should be able to provide any vehicles
freely for hire by any party or railway undertaking and without a railway
undertaking to whose fleet it is attached being able to track its movements.
Nevertheless it will become international law and the Consortium’s concerns
are therefore of little consequence.
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7. ANALYSIS OF OPTIONS
Legal Analysis
7.1.2 The question of who should allocate the numbers and place
vehicles in service is to be answered by taking into account these same
principles. If the body or state that will be charged with the numbering
and placing in service is also responsible for safeguarding the neutrality
and non-discrimination, this will be difficult to reconcile with the duties
of an infrastructure manager (see also RWP-II) and with railway
undertaking activities (see especially Directive 91/440/EEC).
1
At a quick count, approximately twenty-two different main languages are
involved.
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7.1.6 The use of an independent body jointly owned by the rail industry
as a whole has a number of advantages; the example of Great Britain (see
Appendix F) shows just how well such a system can work. Potentially it
combines the advantages of a pan-European supra-national body with
greater flexibility, responsiveness and control over costs. The
disadvantages lie in the possibility that a joint industry body might
become a “closed shop”, excluding new entrants. However this is merely
a risk; which could be excluded by providing an appropriate constitution
and structure for the body.
2
Although if the vehicle concerned is to be used internationally the 1999
COTIF requires this anyway, despite the Consortium’s competition concerns.
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Migration Analysis
7.1.9 It is not considered that there are any particular migration issues
associated with any of the options; the new organisations or departments
can be set up and the associated systems put into place and rapidly
introduced, without any impact on any other aspects of the rail industry
or any disruption to IT systems, etc.
Legal Analysis
7.2.1 This issue is closely linked with the numbering and placing in
service (see above). If the numbering and placing in service is
undertaken by railway undertakings themselves, the institution of an
independent body will be required to manage the database, to safeguard
the neutrality and non-discriminatory behaviour of the railway
undertakings and to give equitable and non-discriminatory access rights
to applicants.
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7.2.5 Technical data for vehicles has been exchanged between railway
computer systems for some twenty years to support international freight
train operation, albeit not as effectively and universally as would be
desired. It is understood that this issue is currently being addressed by a
separate research project funded by the EC.
Objectives
Relationship to Unidroit
National Databases
7.2.9 The future of national databases comes into the question of the
design of the international configuration. In most EU states “national
databases” are in fact controlled by national railway undertakings being
linked into operating systems that they also control and integrated into
their business fabric. These databases need to evolve to assist
liberalisation by being opened to other operators. It would seem most
likely that there will be a move towards national databases including all
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7.2.11 The option of using national databases would mean that each
would have a twin function of being a storehouse of all the data for
vehicles from its own state and a temporary storehouse for data for
vehicles from other states temporarily in the state in question. The logic
of the temporary record being to allow the state with the vehicle the
authority to update its record in the case of repair or maintenance work.
3
The obligation on Member States to prepare registers under Directive
2001/16/EC is significant in this respect.
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Database Management
Migration Analysis
General Comments
7.2.18 The initial assumption must be that the responsibility for the
management of the national database, both freight, passenger and
traction, will pass to some independent national organisation. This could
consist of national authorities constructing a database from new or taking
over an existing system. This does not prevent any organisation retaining
its own database, but it could no longer be regarded as the authoritative
database for official purposes.
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7.2.21 All vehicles from the state in question including those from new
entrant railways would then be loaded on to the database.
7.2.24 The alternative of a simple central system with just reference data
and message switching software would paradoxically have the greatest
programming complexity. The same stages of development would need
to take place, as discussed above, save that the physical transfer of data to
a central site would not be needed.
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Legal Analysis
7.3.1 The cast in which any new identifier has to be moulded, is not
compulsory instructed by EC law. The Commission proposal on
changing the interoperability directives merely prescribes an
“alphanumeric identification code” that has to be assigned to each
vehicle when authorised to enter service. Accordingly it is considered
that any of the options identified in Section 6 is equally capable of being
compliant with EC law.
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Colin Buchanan and Partners Analysis of Options
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Colin Buchanan and Partners Analysis of Options
the CIS area would be less than that of an eight digit system in Europe,
which also has a greater functionality. This is supported by the
discussions held during the course of the study with the OSJD, which
expressed willingness, in principle, to adopt a twelve digit system if an
appropriate system can be devised.
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Colin Buchanan and Partners Analysis of Options
7.3.20 The consultation process for the study has indicated widespread
support for the concept that vehicles’ interoperability characteristics/TSI
compliance to be coded into the running identifier. If a structured
number is adopted it is considered that this is possibly the most important
attribute that should be coded into the identifier, probably as a part of the
first two digits.
7.3.21 As noted in Section 2, the first two digits in the existing UIC
numbering system for hauled vehicles are the exchange regime code and
is currently a mixture of commercial, operating and technical criteria.
Whilst it is not appropriate to distinguish privately owned vehicles, so
that they can be treated and charged differently it is appropriate that there
are different exchange and charging regimes, freely selectable by vehicle
owners/keepers. Whether this needs to be coded into the number is an
issue that is more open to question, the desirability of doing this is driven
by the integration of current charging codes with this field. The same
comment applies to technical information such as whether the vehicle is a
bogie vehicle or not.
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Colin Buchanan and Partners Analysis of Options
7.3.23 The next four digits of the existing number are the type code for
the vehicle, again these are used by existing IT systems to search for
appropriate vehicles to meet traffic needs and their loss is likely to lead to
transitional issues.
Migration Analysis
General Comments
4
One exception to this is the national coding, which if the recommended option
of using individual national databases to store vehicle data, the national code
will be required to find the appropriate national database to search.
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Colin Buchanan and Partners Analysis of Options
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Colin Buchanan and Partners Analysis of Options
7.3.33 For options which involve new numbering systems for new
vehicles only, whilst new vehicles could use the new system as soon as
the appropriate new systems are in place and staff have been trained new
vehicles can start be numbered to the new system. The problem is that
two (potentially incompatible) systems have to run in parallel for several
decades, which would cause significant difficulty and cost.
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Colin Buchanan and Partners Analysis of Options
Legal Analysis
7.4.1 See comments above for the specific procedure for allocating
numbers and placing vehicles in service.
VIN Allocation
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Colin Buchanan and Partners Analysis of Options
Format of VIN
7.4.5 The possible information contained within any VIN will depend to
an extent who allocates it. However, if as proposed that these are
allocated by manufacturers then it is essential that as a minimum the VIN
contains the following:
manufacturer’s ID (identification) code;
unique serial number for the vehicle.
VIN Technology
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Colin Buchanan and Partners Analysis of Options
7.4.10 Well designed cast plates, bearing clear and deep characters,
bearing VINs will be more legible, even after a lifetime’s worth of paint
has been applied to them. The key to security lies in the method of
fixing: bolted or riveted on plates can be removed easier than even a
stamped in identifier, however welded or firmly bonded on plates are
more secure. Welded or bonded plates can still be ground off or
otherwise adulterated however, and issues with the potential to propagate
stress fractures with welded-on plates exist.
5
Preferably no more than three in number, appointed periodically by tender.
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Colin Buchanan and Partners Analysis of Options
Database Issues
7.4.13 In any database the key issue that needs to be borne in mind is
that whilst the VIN of a vehicle many of the other properties associated
with it are liable to radical change, for example the running identifier,
technical characteristics, etc, in some cases passenger vehicles will even
become freight vehicles in the course of their lives.
7.4.16 As noted above, despite the fact that the key to vehicle identity is
the VIN in all probability most enquiries to the database will be made
using the running number.
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Colin Buchanan and Partners Analysis of Options
7-19
Colin Buchanan and Partners Analysis of Options
Migration Analysis
Legal Analysis
Maintenance
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Colin Buchanan and Partners Analysis of Options
7.5.5 The data in respect of the work done by individual vehicles clearly
only refers to that vehicle and the format of the number and the nature of
the database is irrelevant. By contrast, establishing the basis for
maintenance requires data to be collected by vehicle type and possibly
sub-type. Collection of data at an international level for a type based in
many states may indeed be desirable (given that rolling stock
manufacturers are increasingly organised at international level and sell at
an international level, maintenance programmes organised at an
international level are wholly logical).
7.5.7 Similarly, the Single Market requires that maintenance work can
be undertaken anywhere. Provision of maintenance records by the
vehicle keeper to the contractor poses no problems but where
maintenance has been done outside the home state, some means of
updating the record of maintenance in a controlled way will be necessary.
This might be simple: supplying certificated paper records to the
national database controller, or direct electronic updates under controlled
conditions.
7.5.9 The logic of a system where vehicles are accepted into traffic and
have numbers allocated by national authorised bodies of the state of
ownership of the vehicle/of the state chosen by the owner/keeper implies
that it is the authorities of this state that have the mandate to monitor that
maintenance is undertaken in accordance with the standards laid down
and approved in the technical approval. It should be noted that the state
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Colin Buchanan and Partners Analysis of Options
Insurance
Outline
7-22
Colin Buchanan and Partners Analysis of Options
Numbering Systems
Options Evaluated
7.6.4 The base case is the modified UIC 12 digit option whereby the
third and fourth digits that presently indicate which railway undertaking
the vehicle is attached to is replaced by two digits that identify the
country that the vehicle is attached to.
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Colin Buchanan and Partners Analysis of Options
7.6.6 The second option provides vehicles with two numbers, the first is
a permanent vehicle identification number allocated on vehicle approval
and then permanent. It is assumed existing vehicles use their existing
twelve digit numbers as the permanent ones. In addition to the VIN
vehicles would receive a running number. The running number taken in
this option is a "modified UIC 12 digit system" one.
7.6.7 The third option is similar again a VIN would provide permanence
but in addition there would be a fourteen digit running number allocated
by any licensed railway undertaking.
7.6.9 The Big Bang approach assumes that all vehicle numbers change
on a particular day. On a practical level vehicles could be renumbered
over for example, a two year period and carry two numbers both the old
and new with the former still being used till change over day and the
latter thereafter.
7.6.10 For the gradual approach it is assumed that numbers are changed
over a six year period as vehicles (are scheduled to) complete standard
maintenance cycles.
7.6.11 For the new vehicle option it is assumed that only new vehicles
are numbered under any new regime with the remainder of the fleet being
renumbered between years 7-12. This would ensure that between a
quarter and a third of the railway fleet would not need to be renumbered.
7.6.12 From the above the relativities of the cost and benefits of all the
other options can be derived.
Identifying Costs
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Colin Buchanan and Partners Analysis of Options
Identifying Benefits
7.6.15 It should be noted that not all of these are dependent on the
format of the number, but will in fact be due to changes in the system for
placing vehicles and allocating them with numbers (for example
competition benefits, opportunity benefits), which therefore generate
constant benefit for all numbering system options.
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Colin Buchanan and Partners Analysis of Options
7.6.17 Costs are highly dependent on the speed with which any new
system is introduced. For example, if any new numbering scheme is
introduced over a six year timeframe, then vehicles could be renumbered
during their standard maintenance cycles and no additional movement
costs would be incurred. However, if it was proposed to transfer between
the present and a new numbering system “overnight” then enormous
costs would be incurred in both moving vehicles to workshop and in lost
revenues as the total rail fleet was taken out of service. Appendix J sets
out the costs and benefits and assumptions used in deriving the following
results.
Results
7.6.18 Tables 7.1 and 7.2 set out the results for the four options and
three timing periods considered and two scenarios with regard to
benefits. The minimum benefit scenario takes a cautious approach and
assumes a minimal increase in competition arising as a result from the
new numbering and registration scheme. The maximum benefit scenario
takes a more robust approach and assumes that the new system is one of
the last steps to liberalisation and could therefore deliver the types of
growth in freight traffic that has been achieved in Sweden and Great
Britain. In both scenarios the costs are the same but the benefits differ by
a factor of ten. The analysis shows the net present value in 2003 prices
of the cost and benefits over a twenty year time horizon using a discount
rate of 10%
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Colin Buchanan and Partners Analysis of Options
7.6.19 Under the Minimum benefit scenario the option with the highest
net present value is the base option for new vehicles. This is due to costs
being minimised. With the Maximum benefit scenario the permanent
VIN and 12 digit modified UIC numbering system performs best. Whilst
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Colin Buchanan and Partners Analysis of Options
the Big Bang (that is, rapid introduction of the system) is the best
performer given that there is more uncertainty concerning costs than
benefits and the practical difficulties it may be more appropriate to go for
the new vehicle or gradual introduction options.
7.6.20 If the two number option was chosen then the net present value
under the gradual option would range from €125m to €1813m
7.6.21 The costs of any new scheme would fall heavily on existing
railway undertakings and (if successful in improving rail’s
competitiveness and market share) on road hauliers. The benefits would
accrue mainly to non-UIC member railways and to society. The latter
arising from increased competition on the rail network leading to reduced
haulage costs for users and a reduction in environmental and road
congestion costs arising from modal switch from road to rail.
Form of Databases
7.7.1 Table 7.2 is an evaluation matrix for the options defined in Section
6 for the system of placing vehicles in service, allocating them with
numbers and associated issues involving the use numbers in service.
This uses the Key Objectives defined in Section 6.1.
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Colin Buchanan and Partners Analysis of Options
Technical Innovation
Flexibility for Future
Maximal accept.abty
Accommodates New
Cost Effectiveness
No Constraints for
No Constraints for
Covers all Vehicle
Does not Obstruct
Reconcilable with
Service Providers
Accommodates
Interfaces with
Interfaces with
Single Market
Practicability
Option
Customers
Total
Practices
Property
EU Law
COTIF
Types
Weight n/a n/a n/a n/a n/a n/a n/a 20% 10% 10% 10% 20% 10% 10% 10% 100%
Existing System x x x 9 9 x P - - - - - - - - 0%
Single Central x x 9 9 P 9 9 - - - - - - - - 0%
Central: Driving
9 9 9 P P 9 9 5 7 7 9 8 8 9 9 55%
Other Pan-National
Database /Register
Linked Individual
National: Driving 9 9 9 P P 9 9 6 7 7 9 8 8 9 9 57%
Pan-Nat Database
Independent Nat:
Driving Virtual Pan 9 9 9 9 9 9 9 7 7 8 9 9 9 9 9 83%
National Database
Independent Nat:
9 x x x 9 9 9 - - - - - - - - 0%
No Interfaces
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Colin Buchanan and Partners Analysis of Options
Technical Innovation
Flexibility for Future
Maximal accept.abty
Accommodates New
Cost Effectiveness
No Constraints for
No Constraints for
Covers all Vehicle
Does not Obstruct
Reconcilable with
Service Providers
Accommodates
Interfaces with
Interfaces with
Single Market
Practicability
Option
Customers
Total
Practices
Property
EU Law
COTIF
Types
Weight n/a n/a n/a n/a n/a n/a n/a 20% 10% 10% 10% 20% 10% 10% 10% 100%
Supranational
9 9 9 9 9 9 9 8 6 6 8 4 4 8 5 61%
Authority
Independent Rail
9 9 9 9 9 P 9 7 7 6 7 6 7 5 7 55%
Industry Body
Infrast. Manager x P 9 9 9 9 9 - - - - - - - - 0%
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Colin Buchanan and Partners Analysis of Options
Technical Innovation
Flexibility for Future
Maximal accept.abty
Accommodates New
Cost Effectiveness
No Constraints for
No Constraints for
Covers all Vehicle
Does not Obstruct
Reconcilable with
Service Providers
Accommodates
Interfaces with
Interfaces with
Single Market
Practicability
Option
Customers
Total
Practices
Property
EU Law
COTIF
Types
Weight n/a n/a n/a n/a n/a n/a n/a 20% 10% 10% 10% 20% 10% 10% 10% 100%
Vehicle Identification Number
No VIN 9 9 9 P 9 9 9 5 10 10 10 3 10 1 1 48%
By Manufacturer 9 9 9 9 9 9 9 8 10 8 10 6 10 6 4 76%
Allocation
By State 9 9 9 9 9 9 9 6 7 7 10 7 10 7 5 72%
Key
9 = Fully meets essential requirement.
P = Does not fully meets essential requirement, but achieves minimum permissible standard, 10% deducted from Total Score.
x = Does not meet essential requirement, option rejected.
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Colin Buchanan and Partners Analysis of Options
7.7.2 It can therefore be seen that on the basis of the above that:
• continuation with the existing system is not an option (as previously
noted);
• the preferred database option is for a series of independent national
databases containing vehicle data linked together to provide a virtual
pan-European database;
• there is a demonstrable advantage in the acceptance of vehicles into
traffic and issuing them with numbers being undertaken by a
governmental agency either nationally or on a pan-European basis,
however there is little difference in score between any of the options
for this;
• there is a clear preference for a separate VIN from a holistic
perspective;
• in respect of the decision on who should allocate VINs, the highest
scores were for either the manufacturers or the approval body to
allocate it.
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Colin Buchanan and Partners Analysis of Options
Contact Details
Discriminatory
Vehicle Struct.
TSI Compliant
Indicates Type
Cost Effective
Self Checking
with Previous
Acceptability
of Vehicle &
with non-EU
Identifier for
Identifier for
Identifier of
Compatible
Compatible
Operations
Option
Maximum
Facilitates
Universal
Property
Structure
Indicates
Liability
Systems
Systems
Total
Unique
Unique
Unique
Charge
Rights
Non-
Weight n/a n/a n/a n/a n/a 15% 25% 15% 15% 10% 10% 5% 5% 100%
Existing Systems x x 9 9 9 - - - - - - - - 0%
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Colin Buchanan and Partners Analysis of Options
Contact Details
Discriminatory
Vehicle Struct.
TSI Compliant
Indicates Type
Cost Effective
Self Checking
with Previous
Acceptability
of Vehicle &
with non-EU
Identifier for
Identifier for
Identifier of
Compatible
Compatible
Operations
Option
Maximum
Facilitates
Universal
Property
Structure
Indicates
Liability
Systems
Systems
Total
Unique
Unique
Unique
Charge
Rights
Non-
Weight n/a n/a n/a n/a n/a 15% 25% 15% 15% 10% 10% 5% 5% 100%
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Colin Buchanan and Partners Analysis of Options
Contact Details
Discriminatory
Vehicle Struct.
TSI Compliant
Indicates Type
Cost Effective
Self Checking
with Previous
Acceptability
of Vehicle &
with non-EU
Identifier for
Identifier for
Identifier of
Compatible
Compatible
Operations
Option
Maximum
Facilitates
Universal
Property
Structure
Indicates
Liability
Systems
Systems
Total
Unique
Unique
Unique
Charge
Rights
Non-
Weight n/a n/a n/a n/a n/a 15% 25% 15% 15% 10% 10% 5% 5% 100%
Own System/OSJD x 9 P P P - - - - - - - - 0%
Own System/AAR x 9 P P x - - - - - - - - 0%
Key
9 = Fully meets essential requirement.
P = Does not fully meets essential requirement, but achieves minimum permissible standard, 10% deducted from Total Score.
x = Does not meet essential requirement, option rejected.
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Colin Buchanan and Partners Analysis of Options
Contact Details
Discriminatory
Vehicle Struct.
TSI Compliant
Indicates Type
Cost Effective
Self Checking
with Previous
Acceptability
of Vehicle &
with non-EU
Identifier for
Identifier for
Identifier of
Compatible
Compatible
Operations
Option
Maximum
Facilitates
Universal
Property
Structure
Indicates
Liability
Systems
Systems
Total
Unique
Unique
Unique
Charge
Rights
Non-
Weight n/a n/a n/a n/a n/a 15% 25% 15% 15% 10% 10% 5% 5% 100%
Existing Systems 9 x 9 9 P - - - - - - - - 0%
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Colin Buchanan and Partners Analysis of Options
Contact Details
Discriminatory
Vehicle Struct.
TSI Compliant
Indicates Type
Cost Effective
Self Checking
with Previous
Acceptability
of Vehicle &
with non-EU
Identifier for
Identifier for
Identifier of
Compatible
Compatible
Operations
Option
Maximum
Facilitates
Universal
Property
Structure
Indicates
Liability
Systems
Systems
Total
Unique
Unique
Unique
Charge
Rights
Non-
Weight n/a n/a n/a n/a n/a 15% 25% 15% 15% 10% 10% 5% 5% 100%
Own System/OSJD 9 9 P P P 3 5 1 4 8 0 0 0 3%
Own System/AAR 9 9 P P P 1 4 2 2 1 0 5 0 0%
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Colin Buchanan and Partners Analysis of Options
Contact Details
Discriminatory
Vehicle Struct.
TSI Compliant
Indicates Type
Cost Effective
Self Checking
with Previous
Acceptability
of Vehicle &
with non-EU
Identifier for
Identifier for
Identifier of
Compatible
Compatible
Operations
Option
Maximum
Facilitates
Universal
Property
Structure
Indicates
Liability
Systems
Systems
Total
Unique
Unique
Unique
Charge
Rights
Non-
Weight n/a n/a n/a n/a n/a 15% 25% 15% 15% 10% 10% 5% 5% 100%
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Colin Buchanan and Partners Analysis of Options
Key
9 = Fully meets essential requirement.
P = Does not fully meets essential requirement, but achieves minimum permissible standard, 10% deducted from Total Score.
x = Does not meet essential requirement, option rejected.
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Colin Buchanan and Partners Analysis of Options
7.8.1 Only the following options achieved positive scores (in descending
order):
• universal modified UIC 12 digit system and VIN (78%);
• universal modified UIC 12 digit system and VIN tagged electronically
(78%);
• universal 12 digit structured system and VIN (77%);
• universal 12 digit structured system and VIN tagged electronically
(75%);
• new system for new vehicles only - modified UIC 12 digit system and
VIN (60%);
• new system for new vehicles only - 12 digit structured system and
VIN (52%);
• vehicle keepers free to choose between a system of their own and
modified UIC 12 digit system and VIN (38%);
• vehicle keepers free to choose between a system of their own and 12
digit structured system and VIN (25%);
• unstructured 12 digit system (21%);
• new system for new vehicles only - unstructured 12 digit system
(21%);
• vehicle keepers free to choose between a system of their own and 14
digit structured system and VIN (17%);
• OSJD 8 digit system (3%);
• vehicle keepers free to choose between a system of their own and
OSJD 8 digit system (3%).
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Colin Buchanan and Partners Conclusions
8. CONCLUSIONS
8.1 Organisational
8-1
Colin Buchanan and Partners Conclusions
8.2 Technical
8.2.4 There are inconsistencies in the way that vehicles are defined
between states, which need to be resolved. It is further considered that
the matter needs to be thought through from first principals to provide
appropriate permanent identification of divisible assets; this need not
necessarily alter definitions currently used for vehicle running numbers,
if these are taken as an attribute of the permanent identifier. Similarly it
is considered desirable to include the serial numbers of major vehicle
components in the vehicle master record.
8-2
Colin Buchanan and Partners Recommendations
9. RECOMMENDATIONS
9-1
Colin Buchanan and Partners Recommendations
Access to Systems
9-2
Colin Buchanan and Partners Recommendations
9.1.10 In the European Single Market vehicle owners and keepers must
have the freedom to determine the maintenance regime for their vehicles
and who undertakes this work. It is recommended that keepers are forced
to have the adequacy of their maintenance regime and the maintainer
certified by a notified body on an annual basis. The state in which the
vehicle is registered would then be responsible for verifying that this has
been obtained on the due date and for withdrawing approval for the
vehicles concerned should this approval not be obtained
Numbering System
9.2.2 It is considered that the only credible options for the number
format are as follows:
universal modified UIC 12 digit system and VIN;
universal modified UIC 12 digit system and VIN tagged
electronically;
1
International agreement will be required what value “adequate insurance”
represents.
9-3
Colin Buchanan and Partners Recommendations
9.2.3 The precise coding and format of the number recommended by the
Consortium is discussed in depth in Appendix K.
Definition of a Vehicle
9.2.7 As noted in Sections 2 and 6 there are two ways in which the
meaning of “vehicle” needs to be clearly defined: what is defined as a
single rail vehicle and the retention of identity after major rebuilding.
2
If an unstructured number is adopted, not requiring a VIN, the allocation of
running numbers would have to follow the recommendations for VINs, thus
necessitating more renumbering.
9-4
Colin Buchanan and Partners Recommendations
9-5
Colin Buchanan and Partners Recommendations
9-6
Colin Buchanan and Partners Recommendations
Traction
prime mover (engine);
transformer (electric traction);
wheelsets;
any removable component assembly costing more than 5% of the
first cost of the vehicle.
9.2.19 With the exception of the above states it is recommended that any
new numbering system is applied to all vehicles used on the common
European rail system. The results of the cost benefit analysis depend on
the contribution that liberalisation of the vehicle numbering and entry to
service process would be likely to make to the to total benefits
anticipated from liberalisation of the rail sector. If a conservative
assumption is made that the overall contribution of liberalising these
activities is modest, the cost benefit analysis indicates that the option
9-7
Colin Buchanan and Partners Recommendations
generating the lowest Net Present Cost is to only apply the system to new
vehicles initially and allow existing vehicles to retain their old numbers.
However the need to change regime codes to meet Single Market
requirements and to indicate TSI compliance is likely to necessitate at
least some renumbering of existing vehicles and a phased introduction of
a new numbering system on a universal basis over a period of, say, six
years is recommended, subject only to the possible exceptions outlined
below.
9.3.1 The recommendations are tabulated in Table 9.1, together with the
suggested prioritisation of each and the estimated timescale for
implementation. Short implementation timescale is defined as that which
it is considered can be implemented in less than five years, medium term
measures are those which it is judged can be implemented in a five to ten
year timeframe and long term measures are those which are likely to take
at least ten years to implement.
9-8
Colin Buchanan and Partners Recommendations
Process of placing vehicles in service, allocating them with numbers and placing them on
databases and common operational systems to be placed in the hands of independent bodies, Organisational Short
none of whose staff have either direct or indirect employment link with any railway undertaking.
Any contracts for use should be the same for all vehicle owners/keepers and be totally non-
Organisational Short
discriminatory.
Effective interfaces between national vehicle databases to be mandated and enforced by a supra- Organisational/
Short
national agency (e.g. ERA). Technical
Virtual international vehicle database to be established and managed by an independent supra- Organisational/
Short
national body. Technical
Vital national IT systems that use vehicle data or numbers (e.g. operating systems) should be
vested in independent bodies (e.g. infrastructure manager) with equal and non-discriminatory
Organisational Short
access available to all those legitimately needing access. Accompanied by pan-European
definitions of the information on these systems than can be considered to be confidential.
9-1
Colin Buchanan and Partners Recommendations
All vehicle owners/keepers to carry conventional insurance for their fleet, with State of vehicle
Organisational Short
registration to be responsible for verifying that it is held.
Structured twelve digit running number to be adopted, based on a modified version of the current
Technical Medium
UIC system.
Separate Vehicle Identification Number (VIN) to be used, to act as official identifier for vehicle,
Technical Short
a nineteen digit system is recommended, although a simpler fifteen digit system is also possible.
The term “vehicle” needs to be adequately defined, in terms of the vehicles to which VINs
Technical Short
should be applied, what a single vehicle comprises and the continuous identity of a vehicle,.
High Priority Measures
International Registry required by the UNIDROIT convention to be free standing & separate Organisational/
Short
database. Technical
Confidentiality filters to be provided in national IT systems not originally designed for multi- Organisational/
Short/Medium
user environments. Technical
State of vehicle registration to be responsible for verifying that vehicle owners/keepers are
maintaining their vehicles to acceptable standards. In association with freedom for vehicle Organisational Short
owners and keepers to chose the maintenance regime and maintainer for their own vehicles.
9-2