Evaluation of Regulation 1371/2007

Evaluation of Regulation 1371/2007 Final Report Report July 2012 Prepared for: Prepared by: European Commission DG MOVE Steer Davies Gleave DG MOVE 28-32 Upper Ground B-1049 Brussels London SE1 9PD +44 (0)20 7910 5000 www.steerdaviesgleave.com Final Report CONTENTS EXECUTIVE SUMMARY ..................................................................................... 1 Background ............................................................................................ 1 Conclusions on the implementation of the Regulation ........................................ 1 Recommendations ................................................................................... 4 1 INTRODUCTION ..................................................................................... 7 Background ............................................................................................ 7 The need for this study ............................................................................. 8 This report ............................................................................................ 8 Structure of this report ............................................................................. 8 2 RESEARCH METHODOLOGY ....................................................................... 9 Introduction ........................................................................................... 9 Overview of our approach .......................................................................... 9 Selection of case study States ..................................................................... 9 Stakeholder selection and inputs ............................................................... 10 Desk research ....................................................................................... 17 3 RESULTS OF THE EVALUATION ................................................................. 19 Introduction ......................................................................................... 19 Part 1: Implementation of the Regulation by Member States ........................... 19 The scope of the Regulation in each Member State ......................................... 19 National legislation ................................................................................ 31 Overview of the national enforcement bodies ................................................ 42 Complaint handling and enforcement statistics .............................................. 49 The complaint handling and enforcement process ........................................... 52 Other activities undertaken by NEBs ........................................................... 61 Alternative dispute resolution mechanisms ................................................... 64 Stakeholder views on complaint handling and enforcement ............................... 67 Conclusions: Implementation of the Regulation by Member States ....................... 67 Part 2: Implementation of the Regulation by railway undertakings ................... 69 Introduction ......................................................................................... 69 Summary of responsible parties and obligations ............................................. 69 Information provided to passengers ............................................................ 72 Disabled persons and persons with reduced mobility ....................................... 78 Assistance and compensation in cases of delays and cancellations ....................... 92 Contents Final Report Carriage of bicycles ............................................................................... 99 Liability of railway undertakings for passengers and luggage ............................. 99 Insurance provisions of railway undertakings ................................................ 101 Personal security .................................................................................. 101 Complaint handling ............................................................................... 103 Service quality standards ........................................................................ 105 Implementation of the Regulation by new entrants ........................................ 110 Conclusions: Implementation of the Regulation by railway undertakings .............. 112 Part 3: Issues with the Regulation .......................................................... 113 Introduction ........................................................................................ 113 Review of the main text of the Regulation ................................................... 114 Review of the consistency of the Regulation with the Annex ............................. 119 Conclusions: Issues with the text of the Regulation ........................................ 122 4 CONCLUSIONS AND RECOMMENDATIONS ................................................... 123 Introduction ........................................................................................ 123 Factual conclusions ............................................................................... 123 Conclusions on the overall effectiveness of the Regulation ............................... 129 Recommendations ................................................................................ 136 FIGURES FIGURE 3.1 PARTIAL EXEMPTIONS FOR DOMESTIC SERVICES.................................. 27 FIGURE 3.2 SIMPLIFIED EXAMPLE COMPLAINT HANDLING PROCESS ......................... 53 FIGURE 3.3 COMPLIANCE OF RAILWAY UNDERTAKINGS WITH PARAMETER 4.2.4.1, 4.2.5.1, 4.2.7.1 AND 4.2.8.1 TAP TSI ............................................. 78 FIGURE 3.4 IMPLEMENTATION OF PRM REQUIREMENTS OF TAP TSI ......................... 82 TABLES TABLE 2.1 STAKEHOLDER INPUTS: CASE STUDY NEBS ........................................ 11 TABLE 2.2 STAKEHOLDER INPUTS: NON-CASE STUDY NEBS .................................. 13 TABLE 2.3 STAKEHOLDER INPUTS: RAILWAY UNDERTAKINGS ............................... 13 TABLE 2.4 STAKEHOLDER INPUTS: STATION MANAGERS ...................................... 15 TABLE 2.5 STAKEHOLDER INPUTS: PASSENGER AND DISABILITY REPRESENTATIVE ORGANISATIONS ......................................................................... 16 TABLE 2.6 STAKEHOLDER INPUTS: INDUSTRY ASSOCIATIONS ............................... 17 Contents Final Report TABLE 3.1 EXEMPTIONS .............................................................................. 21 TABLE 3.2 PROPORTION OF SERVICES EXEMPT (MEASURED IN PASSENGER KILOMETERS) .............................................................................................. 29 TABLE 3.3 NATIONAL LEGISLATION ON ENFORCEMENT AND SANCTIONS ................. 32 TABLE 3.4 SANCTIONS DEFINED IN NATIONAL LAW ............................................ 36 TABLE 3.5 COMPENSATION AND ASSISTANCE PROVISIONS IN NATIONAL LAW ........... 38 TABLE 3.6 ACCESSIBILITY PROVISIONS IN NATIONAL LAW .................................... 40 TABLE 3.7 THE NATIONAL ENFORCEMENT BODIES ............................................. 43 TABLE 3.8 RESOURCES AVAILABLE ................................................................ 48 TABLE 3.9 COMPLAINTS AND SANCTIONS ........................................................ 50 TABLE 3.10 LANGUAGES FOR COMPLAINTS ....................................................... 53 TABLE 3.11 TIME TAKEN TO HANDLE COMPLAINTS .............................................. 55 TABLE 3.12 RESPONSE ISSUED TO PASSENGER ................................................... 56 TABLE 3.13 POLICY ON IMPOSITION OF SANCTIONS ............................................. 58 TABLE 3.14 INSPECTIONS AND OTHER ACTIVITIES ............................................... 61 TABLE 3.15 COOPERATION BETWEEN NEBS AND WITH OTHER ORGANISATIONS .......... 63 TABLE 3.16 DISPUTE RESOLUTION PROCESSES ................................................... 65 TABLE 3.17 SUMMARY OF REQUIREMENTS FOR OPERATORS UNDER REGULATION 1371/2007 ................................................................................ 70 TABLE 3.18 SUMMARY OF RESPONSIBLE PARTIES UNDER THE REGULATION ............... 72 TABLE 3.19 RATIONALE FOR RAILWAY UNDERTAKING PRM POLICIES: CARRIAGE OF DISABLED PASSENGERS AND PRMS ................................................... 79 TABLE 3.20 RESPONSIBILITY FOR PROVIDING ASSISTANCE..................................... 88 TABLE 3.21 RATIONALE FOR RAILWAY UNDERTAKING POLICIES: DISRUPTED JOURNEYS .............................................................................................. 93 TABLE 3.22 GOOD PRACTICE EXAMPLES OF SERVICE QUALITY REPORTS ................. 108 TABLE 4.1 ASSESSMENT AGAINST THE OBJECTIVES .......................................... 129 TABLE 4.2 ASSESSMENT AGAINST EVALUATION CRITERIA .................................. 134 TABLE 4.3 ADVANTAGES AND DISADVANTAGES OF ALLOWING EXEMPTIONS ........... 136 Contents Final Report APPENDICES A DISCUSSION OF POLICY OBJECTIVES B LITERATURE REVIEW C COMPARISON WITH OTHER PASSENGER RIGHTS REGULATIONS D LIST OF ACRONYMS E INSURANCE OF RAILWAY UNDERTAKINGS Contents Final Report Executive Summary Background 1. Regulation 1371/2007 (hereafter, the Regulation) came into force in December 2009. It defined a number of measures to protect and extend passengers’ rights when travelling by rail. In particular, it: I requires railway undertakings to provide non-discriminatory access to trains and assistance for disabled persons and persons with reduced mobility; I defines rights to compensation in the event of death

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