Four modes of transport the same responsibility. Division of employees. Operations in several locations

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1 Swedish Transport Agency Transportstyrelsen Licensing Mr Ulrik BERGMAN, MSc Presentation at the West Balkan Railway Working Group October 2011 Road and Railway Department Railway Undertaking Section Phone: Transport policy objectives Funding Budget: MSEK (277 M ), 2011 Facts Organization The Agency is an independent authority under the Ministry of Enterprise, Energy and Communications Operates in 13 locations Main locations: Norrköping Borlänge Örebro 1

2 Division of employees Four modes of transport the same responsibility Rules Permits Supervision Statistics on accidents Registry Operations in several locations The Road and Railway Department Approximately 1,600 employees Head office in Norrköping Norrköping aviation and shipping Borlänge road and rail Örebro Traffic Registry Regional offices The Road and Railway Department formulates regulations, assessment and grant permits, as well as exercising supervision within the field of railway, light rail and underground systems. We are working to achieve a high level of security and an efficient railway market characterised by healthy competition. Swedish Railway Milestones Some figures 21/10/ State monopolist SJ divided into RU and Infrastructure Manager (Banverket) 1995 EU-Membership Gradual opening of Rail Market on domestic cargo and tender of regional passenger services 2001 State owned operator SJ divided into six limited companies 2004 Transposition Safety Directive 2006 Open competition Rail Freight 2009 Creation of Transportstyrelsen 2010 Open competition Rail Passengers RU:s (incl.industries, museums, maint.) 35 Licenses 34 S Certificates part A 36 S Certificates part B Of them 2 foreign RU:s 22 Authorised applicants 408 IM:s 12 2

3 Permits Licensing Swedish Railway Act (2004:519) Licence Safety Certificates part A and part B Safety Certificates part B (foreign RU with part A) Special permits: - Local passenger transport on separate infrastructure - Maintenance traffic - Regional freight transport - Traffic with heritage rolling stock (museums) Authorised applicants Authorisations (infrastructure managers) Section 3. Permits for rail activities Permits for railway undertakings Permit requirements 1. Either a permit in the form of a licence and a safety certificate or, in the cases referred to in 4, a special permit is required in order to supply rail services Licenses Licenses 2. A licence shall be granted to those who: 1. intend to supply traction and rail services, 2. have their domicile or registered office in Sweden, 4. fulfil, through insurance or other equivalent arrangements, an obligation to indemnify any damages that may arise as a consequence of rail services. A licence or other equivalent permit issued in another EEA State or in Switzerland is valid in Sweden 3. are considered suitable to supply traction and rail services in terms of their professional know-how, financial capacity and sound reputation, and Paragraph 1. The Swedish Transport Agency shall issue a decision on a licence in accordance with chapter 3, paragraph 2 of the Railway Act (2004:519) as soon as possible and no later than three months from when a full application was received. Regulations (2007:453). Paragraph 2. The Swedish Transport Agency must immediately inform the European Commission when it issues or revokes a licence. Paragraph 3. If it may be verified that a railway undertaking, which was granted a licence in another EEA country or in Switzerland, does not fulfil the established requirements, the Swedish Transport Agency shall immediately inform the authority responsible for issuing permits in the country that granted the licence. Paragraph 4. The requirement for professional know-how contained in chapter 3, paragraph 2.3 of the Railway Act (2004:519) shall be considered to be fulfilled by those: 1. who have an operational organisation and possess the necessary know-how and relevant experience to enable them to guarantee safe, efficient management and supervision, 2. whose safety responsible personnel are duly qualified for their duties, and 3. whose personnel, railway vehicles and organisation are able to guarantee high safety levels for the services to be provided

4 Paragraph 5. The requirement for financial solvency contained in chapter 3, paragraphs 2.3 and 6.2 of the Railway Act (2004:519) shall be considered to be fulfilled by those who are able to show that they can realistically be presumed to fulfil their financial obligations over the next 12 months. Paragraph 6. The requirement for sound reputation contained in chapter 3, paragraphs 2.3 and 6.2 of the Railway Act (2004:519) shall not be considered to be fulfilled by those who have been subject to bankruptcy proceedings. Neither shall it be considered to be fulfilled if the management of the undertaking includes persons who have been found guilty of: 1. serious offences, including financial offences, 2. serious infringements of transport legislation, or 3. serious or repeated failure to comply with obligations under social, labour or customs legislation Liability covarage risk based levels Time limitations Financial cover or Equivalent arrangements 1. At least 300 million SEK of rail traffic on mainline tracks, except shunting, see section At least 100 million SEK of shunting on the mainline tracks. 3. At least 50 million SEK for rail only on sidings. 4. At least 50 million SEK of museum associations that carry passengers on own separate infrastructure. 5. At least 10 million SEK for freight limited to its own separate rail infrastructure. Directive 95/18/EC changed in 2001/13/EC stipulates in Article 10.1 that license is valid as long as demands are fulfilled. But reassessment can be regulated by the relevant authority to be carried out at least every fifth year. In Sweden no time limitation stated at all supervision shows how well RU:s fulfil the requirements Article 15.2 that the decision shall be taken within three months after a complete application The Process The Process Webbsite Järnväg/tillstånd/blanketter/vägledning What kind of permit Guidance for applications/forms Railway Undertakings (RU) send in their documents (in Swedish) by or CD Swedish Transport Agency, prepares a webbased interface for the customers 1. Application assessed with a checklist 2. If necessary, RU requested to submit additional documents 3. If necessary, the NSA verify by audits 4. Decision taken 5. Registration in ERA database ERADIS 6. Riskbased audits of new RU:s in operation

5 Checklist items Checklist, cont. 1. The name and address 2. Corporate Identity 3. -Any group affiliation 4. Phone, Fax, Website, 5. Counties and Municipalities for domicile organization 6. The company's ownership structure (Transport Agency will collect information from the Companies Registration Office or equivalent) 7. Name of Responsible Manager (CEO or equivalent), idnr, title / position, telephone, address, CV 8. Contact person/s; Title / position, telephone, 9. Description of the company's operations, organization and delegation of powers provided concerning traffic safety related information. 10. Organization chart or equivalent. 11. Description of planned or changed business 12. Mode of transport (Freight and/or passangers) Checklist, cont Checklist Financial strength 13. Annual Report Assessment of the applicant / railway company's financial ability to meet its actual al and potential obligations for a period of twelve months. 14. Budget (esp. New ltd) 15. Liability insurance Good repute 16. Evidence of nonbankruptcy / commercial activities 17. Excerpts Police registers of criminal acts 18. Responsible persons for traffic, maintenance, traffic safety names, personal, telephone, CV Authorized applicants Authorize applicants Similar to the assessment of license Purpose: to give companies with public or commercial interest possibility to apply for capacity Railway Act: Section 3 Paragraph 5. An entity that wishes to organise rail services but not operate them itself requires a permit. Other functions assessed such as Economic comptence Adminstrative competence Competence in logistics or timetable planning

6 Tariffs Conclusions Today all permits free of charge BUT As of 1 Jan 2012: License and Authorised Applicant SEK (2244 ) Safety cert part A SEK ( ) Safety cert part B SEK ( ) and Annual audit fees Keep it simple Transpararent process Supply guidance Thank you for your attention! 33 6