Evaluation of RIS Implementation for the period 2006-2011 MAIN REPORT Zoetermeer , July 2014 The responsibility for the contents of this report lies with Panteia. Quoting numbers or text in papers, essays and books is permitted only when the source is clearly mentioned. Panteia does not accept responsibility for printing errors and/or other imperfections. 2 Table of contents Executive Summary i Background i General conclusions ii Specific conclusions iii Recommendations ix PART 1: DESCRIPTION OF RIS 1 1 Introduction 3 1.1 Background 3 1.2 Rationale for and timeframe of this evaluation 5 1.3 Key RIS actors and stakeholder groups 6 1.4 Structure of the report 6 2 General legislative context 7 2.1 Introduction 7 2.2 Relevant EU policy and legislation 7 2.3 International standards and policies 16 3 RIS facts and figures 19 3.1 Introduction 19 3.2 Description of RIS key technologies 20 3.3 Organisation of RIS implementation 22 3.4 RIS Waterway network 25 3.5 Findings in research literature on the uptake of key RIS technologies and services 41 PART 2: DATA AND EVALUATION METHODOLOGY 45 4 Evaluation Methodology 47 4.1 Background 47 4.2 Evaluation framework 47 4.3 Data collection methods 54 PART 3: EVALUATION FINDINGS 59 5 Transposition and Implementation of RIS legislation 61 5.1 Introduction 61 5.2 Sources and results, input for evaluation 61 5.3 State of transposition into national legislation 62 5.4 Assessment of the Evaluator 63 5.5 Other legal issues 73 6 Implementation of RIS key technologies and services 77 6.1 Interoperability of RIS 80 6.2 User uptake of RIS 82 6.3 Comparison with ITS in other modes and links to RIS 91 6.4 Identification of untapped potential and possible further applications 96 3 7 Governance of RIS 99 7.1 Effectiveness and efficiency of implementation of governance 99 7.2 Relevance of implementation activities for RIS 108 7.3 Adequacy of communication of RIS policy and supported projects 108 8 Provision and use of Financial Resources 111 8.1 Coherence and interrelationship EU funding/ MS funding/ private funding 111 8.2 Impact of economic crisis on funding 117 8.3 Effectiveness of support programmes 118 8.4 Identification of financing needs 123 9 Impacts of RIS 125 9.1 Impact of RIS implementation 2006-2011 126 9.2 Comparison of identified impacts with ex ante evaluation studies and their obstacles 139 PART 4: CONCLUSIONS AND RECOMMENDATIONS 145 10 Conclusions of the evaluator 147 10.1 General conclusions 147 10.2 Specific conclusions 148 11 Recommendations 157 11.1 RIS policy objectives and barriers to address 157 11.2 RIS legislation 158 11.3 Technologies and services 158 11.4 Governance 161 11.5 RIS Financing 2014-2020 162 Annex 1 History of RIS 163 Annex 2 Detailed technical background 165 Annex 3 List of stakeholders 171 Annex 4 Country reports 175 Annex 5 Logframe table 177 Annex 6 RIS services and functions 181 Annex 7 Transposition table articles RIS directive 187 Annex 8 Transition of tonne kilometres to vessel kilometres 190 4 Bibliography 191 General RIS Definitions (Pianc) 195 Abbreviations 199 5 Executive Summary Background RIS Directive and legal framework In 2005 the European Parliament and the European Council adopted Directive 2005/44/EC, dealing with Harmonised River Information Services (RIS) on Inland Waterways of the Community. The so-called “RIS Directive” aims to establish a framework for the deployment and use of harmonised RIS in the Community, in order to support inland waterway transport with a view to enhancing safety, efficiency and environmental performance and to facilitate interfaces with other transport modes. The definition of RIS, as stated in the RIS Directive (2005/44), is the following: “River information services means that the harmonised information services to support traffic and transport management in inland navigation, including, wherever technically feasible, interfaces with other transport modes. RIS do not deal with internal and commercial activities between one or more of the involved companies, but are open for interfacing with commercial activities. RIS comprise services such as fairway information, traffic information, traffic management, statistics and custom services and waterway charges and port dues”. Besides the RIS Directive, the following European regulations are in force, jointly forming the legislative framework: • Implementation guidelines, RIS Guidelines: 414/2007; • Notice to skippers: 415/2007; • Tracking and Tracing 416/2007 and 689/2012; • Electronic reporting 164/2010; • Electronic chart display and information system for inland navigations (inland ECDIS): 909/2013; • Directive 2013/49/EU amending Annex II to Directive 2006/87/EC addressing the issues related to the Unique European Vessel Identification Number (ENI) and the European Hull Database. Directive 2005/44/EC and the RIS guidelines specify the applicability of the legislation, the responsibilities of Member States, the minimum requirements for RIS, the services to be provided and the technical specifications to be applied. The regulations 415/2007, 416/2007, 164/2010 and 909/2013 provide the specific information and provide answers on the question how the technologies are to be implemented (notices to skippers, tracking and tracing and electronic reporting). Evaluation of RIS Policy Article 4(7) of the RIS Directive requires the European Commission (EC) to take appropriate measures to verify the interoperability, reliability and safety of RIS. Article 12 requires the EC to monitor the process of implementing RIS in the EU. Article 12 provides the basis for this evaluation, with the following main objective: to prepare and execute an evaluation of the RIS policy for the period 2006-2011. This report provides the EC with information on: • Evaluation of the state of transposition and implementation of the RIS Directive; • Assessment of the coordination of RIS implementation; • Assessment of barriers to and opportunities for further development of RIS. i In order to inform policy making on the further development of RIS, the evaluation provides information on the following evaluation criteria, which are the basis for presenting specific conclusions: 1. The relevance of the RIS objectives in view of the overall transport policy objectives; 2. The state of transposition and implementation of the RIS Directive in the EU Member States; 3. The effectiveness and efficiency of RIS implementation; 4. The impact of RIS on inland waterway transport market development, social conditions and environment; 5. The effectiveness of particular support actions implemented under the relevant national and EU programmes; 6. The coherence and interrelationship between various support programmes and instruments in support of RIS. Regarding the scope of the evaluation the following remarks can be made: • The time period of evaluation is 2006-2011. However, in some cases more recent information is included; • The geographical scope of the evaluation is focused on EU 12+1, i.e. Austria, Belgium, Bulgaria, Czech Republic, Germany, Hungary, France, Luxembourg, the Netherlands, Poland, Romania, Slovak Republic, plus Croatia (which was a candidate country during most of the above-mentioned evaluation period). These countries are the Member States covered by the scope of the RIS Directive. Additional countries, such as Italy, Serbia, Sweden, Switzerland and Ukraine participated in the evaluation as well. In addition, countries outside Europe are considered, including Brazil, China, India and the United States. The data collection process includes in-depth country reviews, for those countries that implemented RIS in Europe. In addition, desk research and targeted interviews are carried out and the evaluator participated in workshops and meetings, e.g. RIS weeks. General conclusions The following are the general conclusions of the evaluator: • RIS has been a major development in the inland waterway industry. In the past years many public and private parties collaborated to define and implement standards and jointly worked towards a roll out the key RIS technologies in all EU 12+1 countries for which the RIS Directive applies. This has helped establish the foundation for more efficient, safe and environmentally friendly transport operations and therefore has contributed to the delivery of overall EU transport policy objectives. • In addition to these aforementioned 12+1 countries, countries such as Serbia, Switzerland, Ukraine, Italy and Sweden, participated in the process, creating a broad geographical coverage. Furthermore, RIS has become a key concept in inland navigation policy making beyond the EU and is now also on the policy agenda in Brazil, China, India, and the United States. • Major progress is achieved in the past years on the implementation of key RIS technologies and RIS services, such as fairway information and traffic information services. At the same time, it can be concluded that elements, such as applications focussing on optimising logistic processes and modal integration, are still missing or not yet functioning. Consequently, the implementation of the RIS Directive is still work in progress. ii This involves both the implementation of legislation, the implementation of technologies and the actual use of RIS technologies and services in practice. The implementation of legislation has well progressed, but is still not complete. The implementation of technologies has progressed considerably but differs per technology and per corridor. Finally, the implementation of RIS services is still far