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Draft informative procedure

CCM for TSIs

Making the railway system


work better for society.

Draft informative procedure


Change Control Management applied to several TSIs

Drafted by Validated by Approved by


Name A Defossez O Piron P Guido

Position Project Officer Head of Unit Head of Department

Date 23/10/2019 23/10/2019 25/10/2019

Signature

Document History
Version Date Comments
0.1 18/10/2019 First draft for initial comments
1.0 23/10/2019 First version for release

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Contents
1. Introduction ........................................................................................................................................ 3
1.1. Why a new process for revising the TSIs? ........................................................................................... 3
1.2. What is Change Control Management (CCM)? ................................................................................... 3
1.3. Which are the TSIs concerned?........................................................................................................... 4
2. CCM applied to the revision of TSIs – Agency proposal ...................................................................... 4
2.1. Description of involved parties ........................................................................................................... 5
2.1.1. Change Request (CR) submitter .......................................................................................................... 5
2.1.2. ERA Core Team .................................................................................................................................... 6
2.1.3. Working Party on the maintenance of TSIs ........................................................................................ 6
2.1.4. Topical Working groups ...................................................................................................................... 6
2.2. Change Request Process description .................................................................................................. 8
2.2.1. Description of main steps ................................................................................................................... 9
3. Experts profile ...................................................................................................................................14
3.1. Profile: member of the Working Party ..............................................................................................14
3.2. Profile: member of a Topical Working Group ...................................................................................15

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1. Introduction
1.1. Why a new process for revising the TSIs?
There are four main issues for the Agency related to the current process for the revision of the TSIs.
First, the process in silos followed until now with one Working Party per TSI doesn’t allow for a consistent
approach of cross-TSI topics, while it can be expected that such topics may represent an important part of
future revisions. Indeed, the EU regulatory framework can be considered as finalised: the TSIs cover all
subsystems and they apply to the whole EU network. Their future evolutions will consist in improvements of
the existing texts and inclusion of new regulatory needs identified by topics stemming from EU policy and
Member States and sector inputs (e.g. adaptation of the TSIs to Automatic Train Operation, Interoperability
of fuel cells/rapid charging batteries, etc.)
The second issue is related to the use of resource: efficient technical discussions take place in teams of real
experts on a given matter. This way of working should be promoted to avoid that valuable resources are
implicated in too large working parties dealing with too many topics. Adapting the composition of a working
group to the topic to discuss is not possible with the practice followed so far of one Working Party dealing
with one TSI.
The third issue is also related to efficiency, and also to transparency: the current process does not prevent
discussions to continue after a Recommendation has been submitted, sometimes contradicting the agreed
conclusions of a Working Party; this creates frustration within WP members. It is likely that the problem of
continuous discussions on TSI drafts after the delivery of the Recommendation would persist if no action is
taken. To tackle this issue, it is necessary to ensure a better traceability of discussions within the WPs and of
the contributions received from all actors. This will reduce the risk of re-opening of closed topics after the
submission of an Agency Recommendation.
The last issue is relative to the additional tasks given to the Agency with the 4th Railway Package, that will
require more versatility from the staff, making it difficult to keep two Project Officers assigned to a single TSI
for the long period of time of a revision. The increased versatility of ERA resources will materialize even more
after the 16th June 2020 when all Member States have transposed the 4th RP, all ERA Project Officers
involved in the revision of TSIs being likely to participate to Vehicle Authorisation or Single Safety Certificate
projects.

1.2. What is Change Control Management (CCM)?


Change Control Management is a set of standardised tools, methods and procedures that the Agency uses
and will use further in order to control and manage the changes made to the TSIs.
The objectives of CCM are to ensure that:
 change requests (CR) are traced and duly documented;
 unnecessary changes are prevented;
 resources are used efficiently;
 stakeholders have an opportunity, in accordance to applicable rules, to initiate changes and
participate in the control of changes;
 users are made aware of any changes that occur.
Change Control Management includes a sequence of steps involving several groups and actors. Those steps
are consecutive to the submission of a change request via the user interface of a dedicated IT tool. Change
Requests are classified as ‘Error’ or ‘Enhancement’ and can be covering the following topics (list not
exhaustive):
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 Alignment with newly available ENs


 Correction of deficiencies
 Closure of open points
 Request for specific cases
 Request to consider new topics/items not covered by TSIs
CCM is already used for the CCS and TAP/TAF technical documents as well as for the revision of the TAP and
CCS TSIs.

1.3. Which are the TSIs concerned?


The Agency proposes to extend the usage of CCM to the following TSIS:
ENE TSI Commission Regulation (EU) No 1301/2014 of 18 November 2014 on the technical
specifications for interoperability relating to the ‘energy’ subsystem of the rail system in
the Union
INF TSI Commission Regulation (EU) No 1299/2014 of 18 November 2014 on the technical
specifications for interoperability relating to the ‘infrastructure’ subsystem of the rail
system in the European Union
LOC&PAS TSI Commission Regulation (EU) No 1302/2014 of 18 November 2014 concerning a technical
specification for interoperability relating to the ‘rolling stock — locomotives and
passenger rolling stock’ subsystem of the rail system in the European Union
NOI TSI Commission Regulation (EU) No 1304/2014 of 26 November 2014 on the technical
specification for interoperability relating to the subsystem ‘rolling stock — noise’
amending Decision 2008/232/EC and repealing Decision 2011/229/EU
WAG TSI Commission Regulation (EU) No 321/2013 of 13 March 2013 concerning the technical
specification for interoperability relating to the subsystem ‘rolling stock — freight
wagons’ of the rail system in the European Union and repealing Decision 2006/861/EC
SRT TSI Commission Regulation (EU) No 1303/2014 of 18 November 2014 concerning the
technical specification for interoperability relating to ‘safety in railway tunnels’ of the
rail system of the European Union
PRM TSI Commission Regulation (EU) No 1300/2014 of 18 November 2014 on the technical
specifications for interoperability relating to accessibility of the Union's rail system for
persons with disabilities and persons with reduced mobility
OPE TSI Commission Implementing Regulation (EU) 2019/773 of 16 May 2019 on the technical
specification for interoperability relating to the operation and traffic management
subsystem of the rail system within the European Union and repealing Decision
2012/757/EU

2. CCM applied to the revision of TSIs – Agency proposal


The proposed organisational structure is shown in Figure 1, which outlines the main information flows and
the interactions of the parties involved in the CCM.
The different groups, their tasks and interfaces are briefly described in the subsequent sections.

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Figure 1 organisational structure of the CCM

2.1. Description of involved parties


2.1.1. Change Request (CR) submitter
The CR submitter is an entity entitled to submit a change request to the Agency.
As an entity, a CR submitter has a unique access to the CR IT Tool from where change requests already agreed
within the entity can be submitted.
The list of CR submitters is defined according to the applicable legal text and includes the representative
bodies, the list of which can be found at the Agency’s website:
https://www.era.europa.eu/agency/stakeholder-relations/representative-bodies_en
The following entities can also submit a CR:
 The National Safety Authorities (representing the Member States)
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 Each Member State


 The European Commission
 The Agency
CR submitters shall ensure that any Change Request represents a shared opinion within the entity. In other
words, there shall be an internal consensus within the entity to submit the CR.
Editorial CRs or those intended to improve the wording of TSIs should be avoided. For those evolutions the
ERA Core Team will create a single editorial CR for each TSI gathering all comments. Also, CRs shall not be
used to report translation errors in the linguistic versions of TSIs.

2.1.2. ERA Core Team


The ERA Core Team is composed of the Agency staff members having competence on the revision of TSIs.
The ERA Core Team receives, filters and classifies the CRs.
For each CR, the ERA Core Team adds in the CCM tool a proposal for the methodology and the composition
of the topical working group closing the CR. In case the CR submitter has made a proposal to resolve the CR,
the ERA Core Team may just propose to agree with the submitter solution.
ERA staff from the Core Team chairs the Working Party and report at each Working Party meeting via the
CCM tool about the current state of the CRs, their progress and the workload of the Topical WGs.

2.1.3. Working Party on the maintenance of TSIs


The Working Party is as described in Art. 5 of the Agency Regulation1. Accordingly, it is composed of:
 Representatives nominated by the competent national authorities,
 Professionals from the railway sector selected by the Agency from the lists presented by
representative bodies,
 If necessary, independent experts and representatives of international organisations recognised as
competent in the field concerned.
The Working Party must ensure the steering of the activities, identifying the most effective actions to deal
with issues in coherence with the overall system planning, resources and priorities.
ERA Core Team reports at each meeting of the Working Party about the current state of the CRs, their
progress and the workload of the TWGs. The Working Party offers guidance and provides for the necessary
organisational coordination.
Based on the information introduced by the ERA Core Team in the CCM tool, the Working Party endorses,
modifies or rejects the methodology proposed to close each CRSs, including the creation and composition of
the Topical Working Groups. The Working Party participates in the definition and the closure of the Change
Requests which would lead to a Technical Opinion published on the Agency website and of those which would
lead to a Recommendation in view of the revision of a TSI.

2.1.4. Topical Working groups


Topical Working Groups are usually temporary groups created to solve a specific CR or several CRs dealing
with a technical specific area.

1
Regulation (EU) 2016/796 of the European Parliament and of the Council of 11 May 2016 on the European
Union Agency for Railways and repealing Regulation (EC) No 881/2004
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The composition of a Topical Working Group is proposed by the ERA Core Team and validated by the Working
Party. It includes:
 Members from representative bodies and from NSAs who are likely to provide the required expertise
 Independent experts and representatives of users if deemed necessary
For efficiency reason, a Topical Working Group shall be limited in size.
Topical Working Groups report via the TWG leader to the Working Party according to methodology provided
in the CCM tool.
Depending on the CR, the Topical Working Group may be ERA only (inclusion of Opinions into
Recommendations, editorial changes, etc.)
To illustrate the principle, the following examples of possible Topical Working Groups could be considered:
 TWG on Composite Brake Blocks
 TWG on interfaces Rolling Stock and Fixed Installations
 TWG on interfaces Rolling Stock and CCS
 TWG on the preparation of TSIs for ATO GoA 1&2
 TWG on standardisation
 Etc.

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2.2. Change Request Process description


The following CR workflow describes the whole lifecycle of a Change Request, from its submission to its
delivery to the European Commission.

Figure 2 CCM process workflow

After a package of CRs has been forwarded to the Commission as a supporting part of an Agency
recommendation, the further steps until the adoption of revised TSIs are not under the control of the Agency.
They are therefore not covered by this CR process description.

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2.2.1. Description of main steps


1. STEP 10 - Submission of the CR by a recognised organisation
A Change Request can be submitted by one of the recognised organisations listed in 2.1.1
The information relevant for the submission of the CR is listed here below (mandatory fields are in bold):
a) Headline: which gives a textual unequivocal identification and indicates the general topic of
the CR, not exceeding a few words,
b) Type (Error or Enhancement): the rationale of the CR shall be given, so does the CR relate to
either the need for resolving a efficiency or to the need for functional improvement or
coverage of new topics,
c) Impacted TSI(s): which lists the TSI(s) concerned by the CR,
d) Documents and References: which indicates precisely which references and/or documents
are concerned by the CR,
e) Submitter Information:
a. Recognised Organisation,
b. Submitter Reference Number: free text field to allow each organisation to track the
CR for their own internal follow up,
c. Endorsed by: name(s) of the other recognised organisation(s) which also support(s)
the CR,
d. Project information: where relevant, project to which the CR is related,
f) Operational scope: explains how the addressed problem appears in the operational process,
g) Problem/need description: which gives a detailed overview about the problem/need. The
reason for the CR shall be clearly indicated and the description should preferably not exceed
one page. In any case, any mixing of the problem with the solution description must be
avoided,
h) Consequences of the addressed problem: the consequences of the addressed problem have
to be described. There can be different aspects such as unavailability of subsystems or
constituents, operational aspects, economic aspects (loss of revenue, impact on
authorisation, maintenance or operating costs).
i) Application scope: describes where the problem occurs (e.g. specific for an IM or a member
state),
j) Supporting documents for problem/need description: lists all files which are attached to the
CR, in relation with the CR problem/need,
k) Solution proposal by submitter: which indicates the solution preferred by the submitter, if
any
l) Supporting documents for solution proposal: lists all files which are attached to the CR, in
relation with the proposed CR solution,
m) Preliminary assessment of the benefits: which provides, in case of an enhancement, as a first
step the order of magnitude of the benefits resulting from the expected improvement of
performances, safety, reliability and maintainability,
n) Supporting documents for preliminary assessment of the benefits: lists all files which are
attached to the CR, in relation with the preliminary assessment of the benefits,
o) Contact person Name and Email address: of the expert representing the mentioned
organisation, who will be the contact person in case of further needed exchange between
originator and ERA Core Team,
Important note: filling the field preliminary assessment of benefits is strongly recommended in case of
enhancement; indeed, it is expected that the submitter is highly motivated to provide such information at
this early stage, in order:

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a) to facilitate a further individual economic evaluation for this CR, which is likely to be
requested afterwards by the Working Party (refer to step 90),
b) to provide the justification for the CR and hence to give to the CR the priority it deserves, so
that the desired attention will be paid by all the CCM involved parties, when managing this
CR.
To provide the information relevant for the submission, the submitter shall log in to the ERA CCM tool and
use a predefined CR submission form; the free text fields and the attached documents shall be written in
English.
The CR submission information is then stored in the ERA CCM database with the attached files and the CR
state is put to ‘submitted’ with the current date.

2. STEP 30 - Is the CR correctly filled?


As a general rule, within five working days after its submission, the ERA Core Team performs the pre-analysis
of the CR. This pre-analysis consists in checking:
a) that the mandatory fields are duly filled, and
b) that the information provided in free text fields and attached documents, if any, is usable for
further analysis.
When a CR can’t be accepted due to missing or unusable information, the CR state is changed to ‘rejected’.
The ERA Core Team shall provide the reason(s) of such rejection. During a period of two months, the
submitter will have the possibility to provide the required information in order to make the CR valid. If the
required information has not been provided after this two months period, the CR shall be considered as
definitively rejected. This event will be notified to the submitter. Even when definitively rejected, a proposed
CR remains available in the database.
When all needed information has been positively checked, the CR state changes to ‘valid’.

3. STEPS 50 & 51 - Is the CR related to an error or an enhancement?


The ERA Core Team shall verify the correctness of the assessment made by the submitter with regards to the
field Error/Enhancement. This verification of the CR rationale will be done by cross-checking the information
given in the submission form and all relevant information that can be found in relevant documents.
A CR shall be classified as an Error when it relates to any inconsistency, error or gap found in a document.
Conversely a CR which is not classified as an Error shall be considered as an Enhancement, normally leading
to new or modified requirement(s) in the TSI(s) or associated documents.
If the CR is re-classified (from Error to Enhancement or vice-versa), the reason shall be provided by the ERA
Core Team.

4. STEPS 52 - The ERA Core Team introduces a priority and proposed methodology
In order to organize the work of the ERA Core Team and the dedicated Topical Working Groups in the most
efficient way, and especially to manage logically a situation when there will be so many logged CR's that it
will not be possible to treat all of them in the same time, the ERA Core Team will set priorities for the CR’s.
Since it may depend on many non-technical factors, it is not possible to predefine an exhaustive list of criteria
for the prioritization of CR’s. However the CR’s are stamped with a severity qualifier in order to help, together
with e.g. the classification error/enhancement, the determination of their priority:

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a) safety related
b) related to a Main TSI Package
c) interoperability and non-safety related
d) performances impact, non-interoperability and non-safety related,
e) others.
The ERA Core Team also proposes a methodology (i.e. a proposal on a topical working group) to resolve the
CR.

5. STEP 60 - Assessment of the priority level/severity


The Working Party is responsible to validate the priority list for the CR. CRs that are safety-related and those
coming from a TSI package/request from the Commission will be assigned a priority level ensuring their timely
resolution within the shortest delay. If the CR is considered as relevant for the next expected TSI revision
(either Intermediate Ad Hoc revision or Main Package), the CR state changes to ‘Assigned’.
If the Working Party estimates, on the basis of the information provided by the submitter, that this CR is
relevant but not for the next expected TSI revision, the CR is postponed and its state changes to ‘Postponed’.
The Working Party also validates the methodology and topical working group proposed, in particular on the
organisations involved in the group. The Working Party may also decide at that stage whether an economic
evaluation will be needed for this individual CR.

6. STEPS 75 & 80 – Resolution of the CR


The ERA Core Team, in its role of technical coordinator, shall continuously assess the content of each CR and
shall ensure that a complete solution is derived in a timely manner. In that respect, the ERA Core Team can
at any time:
a) Propose to validate the solution proposed by Submitter of the CR. The proposed solution can
be modified by the ERA Core Team before validation with the agreement of the Submitter;
b) Allocate the CR to existing Topical Working Groups.
c) Create and lead new Topical Working Groups. In such case, the ERA Core Team proposes the
methodology for the new group to the Working Party. The methodology include the
proposed members of the group, the planning of meetings and the expected outputs. The
Working Party may decide to include additional members to the group.
The solution shall consist in unambiguous identified changes to one or more document(s); together with
these proposed amendments, it is possible to add a separate justification for this solution.
If during the phase of searching for a solution by the Topical Working Groups, it appears that the experts give
rise to different proposals, the Agency should select the proposal that will be put forward to the Working
Party, justifying its decision and listing the other proposals

7. STEP 90 – Is an economic evaluation needed for the CR?


Once a complete solution has been worked out, and if it was decided to perform an individual economic
evaluation for the CR, its state changes to ‘Waiting for economic evaluation'. The Working Party can also
decide at that stage that an economic evaluation is needed.
If it is decided that an individual cost/benefit analysis is not worth for the CR, its state changes to ‘Analysis
completed'. Note: this does not mean that the costs induced by the CR, in case of enhancement, will not be
evaluated, but only when the CR is integrated in a CR package, at a further stage.

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8. STEP 110 – Economic evaluation of the CR


The economic evaluation of an individual CR is performed according to the methodology for the system
concerned.
Once this evaluation is completed, the CR state changes to ‘Analysis completed'.

9. STEP 130 – Decision by the Working Party for the CR


In principle, the Working Party never takes a positive decision on a single CR but rather decides to incorporate
a CR in a package; if decided so, the CR state changes to ‘packaged’.
When assembling CR package(s), the Working Party shall have the possibility to postpone the incorporation
of the CR in a package, for any technical or economic reason; should be the case, the CR state changes to
‘postponed’.
The Working Party shall also have the possibility to reject a CR. The CR state then changes to ‘rejected’. In
such case the Agency keeps the possibility to decide to accept the CR and to change its state to ‘packaged’.
This shall be indicated in the CR folder in the CCM tool.

10. STEP 150 – Decision by ERA for the packaged CR


After a CR has been incorporated in a package, its final acceptance, which means its submission to the
Commission, shall be decided by the Agency; if decided so, the CR state changes to ‘presented to the EC’.
The Agency may prepare either
a) Technical Opinion including a package of Change Requests acceptable that purpose and
answering a Commission request2,
b) Recommendation including a package of Change Requests, either for an Intermediate TSI
revision or for a Main Package of TSIs
The preparation of Opinions and Recommendations shall follow the appropriate procedures.

11. STEP 62 – Unfreezing of the CR


Through its meetings, the Working Party will always have the possibility to unfreeze the CR, regardless the
reason why the CR was postponed. The unfrozen CR shall systematically go through the normal process. The
CR state then changes to ‘assigned’.

12. Overlapping of CRs


At any stage of the CR workflow, it may appear that a CR is linked to one or more other CR, either in terms
of problem/need or in terms of the solution found.
If it is made sure that a particular CR can be fully covered by another CR dealing with the same subject, the
CR state changes to ‘superseded’; the reference to the superseding CR shall be indicated.
Conversely, the CR which supersedes one or more other CRs shall refer to the list of superseded CRs.

2 Commission requests according to Art. 10(2) or 19(1)d of the Agency Regulation or according to any of the TSI articles on innovative

solutions (e.g. Art 10 of the TSI LOC&PAS 2014)


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13. Change Request state transitions


Each state transition can be notified to the submitter, through the email address provided in the CR
submission form.

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3. Experts profile
3.1. Profile: member of the Working Party
Main tasks and responsibilities:
› Participate to the Working Party meetings as the representative of an association;
› Explain and support the CRs made by the organisation represented;
› Participate to assess the priority level of the CRs, and agree/comment the proposed methodology to
resolve a CR;
› Follow the activities of the Topical Working Groups;
› Report to its mirror group on the discussions held in the Working Party;
› Identify any issue (national or sectoral) that could prevent the resolution of a CR;
› Agree/comment on the resolution proposed by a Topical Working Group or ERA for a CR;
› Ensure the position of the organisation represented is properly reflected in the CCM tool;

Knowledge and experience:


› Legal framework
o Good knowledge of European rail interoperability and safety legislation
› Technical topics
o Knowledge and relevant work experience of some of the following topics: design,
authorisation, conformity assessment or operation of one or several railway subsystems (e.g.
Rolling stock, Energy, Infrastructure)
o Good understanding of the interactions between the railway subsystems
› Knowledge of ERA processes
o Knowledge of internal ERA processes, role and responsibilities
› Other skills
o Computer literate
o B2 level of EN

Soft skills / non-technical skills:


› Information integration
o Seeks out and gathers information necessary to achieve objectives,
o Forms a systemic global view of complex information base.
› Analysis and problem solving
o Identifies the critical facts in complex issues.
› Advocacy skills
o Has good guidance skills to disseminate information.
o Practices diplomacy in sensitive affairs, represents her/his organisation position.
o Seeks common ground in complex situations.
› Resilience
o Maintains a calm, controlled and positive manner when under pressure and remains focused
on the task.

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› Working with others


o Takes a co-operative approach, shares knowledge and information.
o Shows political and cultural awareness, cooperates effectively with people from different
backgrounds.
› Communication
o Uses appropriate verbal, non-verbal and written communication skills to effectively express
ideas.
o Listens well and takes others’ views and perspectives into consideration.

3.2. Profile: member of a Topical Working Group


Main tasks and responsibilities:
› Participate to the meetings of a Topical Working Group as an expert for a certain topic;
› Understand the CRs submitted to the Topical Working Group;
› Actively contribute to the discussions on the resolution of the CRs;
› If necessary, may report to the Working Party on the discussions held in the Topical Working Group
and on the resolution proposed;
› Participate to the drafting of the outputs of the Topical Working Group;

Knowledge and experience:


› Legal framework
o Basic knowledge of European rail interoperability and safety legislation
› Technical topics
o Expert knowledge and relevant work experience of a specific railway topic - or of a possible
railway topic (e.g. running dynamics, production and storage of hydrogen, accessibility, etc.)
› Other skills
o Computer literate
o B2 level of EN

Soft skills / non-technical skills:


› Integrates information
o Forms a systemic global view of complex information base.
o Effectively uses and assimilates knowledge to produce an output.
› Analysis and problem solving
o Identifies the critical facts in complex issues.
o Has an attention to details – rigorous in carrying out tasks.
o Makes informed decisions based on analytical process, experience and objective facts.
o Reaches timely conclusions based on logical reasoning and analysis.
› Advocacy skills
o Has good guidance skills to disseminate information.
o Seeks common ground in complex situations.
120 Rue Marc Lefrancq | BP 20392 | FR-59307 Valenciennes Cedex 15 / 16
Tel. +33 (0)327 09 65 00 | era.europa.eu
Any printed copy is uncontrolled. The version in force is available on Agency’s intranet/extranet.
EUROPEAN UNION AGENCY FOR RAILWAYS Draft informative procedure
CCM for TSIs
Procedure-CCM-for-TSIs-v1-final.docx

› Communication
o Presents complex issues clearly, credibly and effectively - adapts language to the audience and
checks understanding.
o Works effectively and achieves results in a multilingual and multicultural environment.

120 Rue Marc Lefrancq | BP 20392 | FR-59307 Valenciennes Cedex 16 / 16


Tel. +33 (0)327 09 65 00 | era.europa.eu
Any printed copy is uncontrolled. The version in force is available on Agency’s intranet/extranet.

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