EC on harmonised river information services (RIS) on inland waterways in the EC - Main contents

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dossier	COM(2024)33 - Amendment of Directive 2005/44/EC on harmonised river information services (RIS) on inland waterways in the EC.
source	COM(2024)33
date	26-01-2024

1. CONTEXT OF THE PROPOSAL

• Reasons for and objectives of the proposal

The EU’s inland waterways stretch over 42 286 kilometres (km) and are a key means of connecting seaports, cities and industrial centres ¹. The interconnected waterway network of 13 000 km covers 13 Member States ² and serves over 250 TEN-T inland ports in the TEN-T network. In terms of transport volumes at EU level, inland waterway transport (IWT) plays an important role in the overall European transport system despite its relatively small size. In 2020, 131.7 billion tonne-kilometres (tkm) of freight were transported through inland waters, making up 4.1% of the modal split in terms of freight (with road accounting for 54.9%, sea 29.1%, and rail 11.9%)³. Dry cargo (agricultural products, ore, metals, building materials, coal, etc.) accounted for 59.8% of IWT volume in 2020, while liquid cargo (chemicals and petroleum products) accounted for 28.1% and containers accounted for 12.1%⁴.

IWT handles 0.9% of total imports and exports by weight in the EU. By its very nature, IWT is a geographically limited and focused network, but it nevertheless offers an important alternative to transport via road or rail for the regions in the European hinterland closest to inland waterways. Therefore, IWT is mainly in competition with – and often classified along with – land transport modes ⁵, and it covers only 6% of freight traffic moved by land and 0.01% of passenger inland traffic. The development of inland waterway activity is highly dependent on: (i) geography (location of rivers); (ii) the types of goods that are or can be transported; (ii) the location of production and consumption sites in relation to the inland waterway network; and (iv) the availability of transhipment infrastructure.

River information services (RIS) are advanced services and functionalities which refer primarily to either traffic related or transport-related aspects. Traffic-related services are Fairway Information Service, Traffic Information, Traffic Management, and Traffic Monitoring and Calamity Abatement; transport-related services are voyage planning, port and terminal management, cargo and fleet management, statistics, and inland waterways infrastructure charges.

RIS support traffic and transport management in inland navigation. They aim to contribute to: (i) a safe and efficient transport process; and (ii) the use of inland waterways to their fullest extent. The legislative process to regulate RIS at EU level started in 2005 with the adoption of the RIS Directive (Directive 2005/44/EC). The Directive lays down a framework for the deployment and use of harmonised, interoperable, and open RIS aiming to increase the safety, efficiency, and environmental friendliness of IWT in the EU. At the same time, the Directive intended to facilitate interfaces between IWT and other transport modes (i.e. multimodal transport). Within the EU framework, the Directive sets out: (i) the general requirements for how RIS should be set up by the Member States; (ii) the areas in which standards need to be developed; and (iii) the principles to be followed. The actual technical guidelines and specifications are developed by the Commission and are adopted through secondary legislation.

The Commission carried out an ex-post evaluation of the Directive ⁶, which indicated that it had had a positive impact in terms of harmonising RIS. However, the evaluation also found that there is still room for improvement. This is because, when considering the implementation of the Directive: (i) not all RIS technologies have reached the same level of implementation and maturity; and (ii) not all RIS technologies have been fully used to the same extent in all countries and river corridors. Furthermore, the slow update of standards has played a significant role in the slow development of RIS. This is because, in the current context the development of standards is based on input from Member State experts in a loosely coordinated and time-consuming manner before a new version is ready to be adopted under an implementing act. Experience showed that it takes between 5 and 12 years until the standards are prepared and introduced in the sector. This in turn reduces the efficiency of IWT operators who end up using old standards and technology. The DINA report (2017) examined factors relating to digitalisation and their impact on the competitiveness of the sector compared to other transport modes and identified RIS as potentially playing an important role in IWT. Thus, if not properly deployed, RIS can hinder the competitiveness potential of the IWT sector.

Furthermore, the European Green Deal requires all transport modes, including IWT, to contribute towards the EU goal of becoming a climate-neutral economy and protecting the environment. For inland waterway transport, this translates also into a better integration with different modes of transport into a seamless, intermodal logistics chain. The transport sector has already seen developments in other modes. For example, the adoption of legal provisions for digital tools relating to cargo were introduced in 2019 for EMSWe and 2020 for eFTI. However, the RIS Directive has so far focused on safety of navigation, while not enabling the integration of IWT into multimodal supply chains. In addition, the efficient exchange of information across borders between authorities is important for an efficient transport system. Despite improved Member State cooperation over time, not all reports used in IWT are digitalised. And even when they are digitalised, Member States use different reporting applications that are not compatible with each other. This means that no substantial reduction in the number of resubmissions of electronic ship reports at borders has been identified in recent years. Moreover, the RIS Directive does not provide for an obligation to exchange personal data currently through RIS. Nevertheless, some stakeholders, from the vessel operators in particular, have raised concerns about the confidentiality of information on the position of vessels, and this has made Member States reluctant to share RIS information. This example indicates that both Member States and stakeholders seem to be unaware of how far – and for which purposes – personal data are or could be lawfully exchanged via RIS. Finally, the evaluation (impacted in part by a significant lack of available data) was not able to identify an impact of RIS on either sustainability or a modal shift for the sector.

Therefore, the main problem is the slow and fragmented deployment of RIS, which hampers the competitiveness and safety of the sector, and holds back its contribution to the objectives of the European Green Deal.

Because IWT is concentrated on navigable waterways, the problems set out in the previous paragraphs are occurring only in those waterways where RIS is introduced and applied. These problems are therefore highly geographically focused and specialised. When considering the size of the sector, the magnitude of the problems will be necessarily limited in any comparison with the rest of the transport sector.

To this end, the initiative aims to address the problems identified. The general objective of amending the Directive is to provide an efficient framework for the deployment and use of RIS. The specific objectives are:

- to ensure RIS data availability and harmonised standards;

- to facilitate the integration of IWT into the multimodal chain;

- to ensure greater uptake and interoperability of digital solutions, and address data-protection concerns.

• Consistency with existing policy provisions in the policy area

The rationale for revising the RIS Directive is interlinked with the key objectives of current EU policy, as set out in the European Green Deal ⁷. Following the sustainable and smart mobility strategy, which sets a milestone of increasing transport by inland waterways and short sea shipping by 25% by 2030, and by 50% by 2050, the European Commission tabled in June 2021 a 35-point NAIADES III action plan to boost the role of IWT in our mobility and logistics systems. The core objectives are: (i) to shift more cargo over Europe’s rivers and canals; and (ii) to facilitate the transition to zero-emission barges by 2050. This is in line with the European Green Deal, which advocates that a substantial part of the inland freight carried today by road should shift onto rail and inland waterways. The NAIADES III Communication indicates that RIS should play an important role in this policy as a data source feeding into the future European mobility-data space, thereby facilitating the integration of IWT into multimodal mobility and logistics chains.

• Consistency with other Union policies

This proposal is consistent with – and complementary to – existing legislative acts in the IWT domain as well as with legal acts on transport in general. On a strategic level, it is consistent with the TEN-T Regulation ⁸ which, among its priorities, deals with: (i) information and communication technology (such as implementing IT applications, including RIS); and (ii) multimodal aspects, such as connecting inland port infrastructure to rail freight and road transport infrastructure. In addition, the Connecting Europe Facility programme, under the TEN-T is providing funding to develop RIS. The approach used in all the policy options in this regard is not to duplicate or develop overlapping digital tools for transport modes and functionalities, but to instead enable and improve links with existing tools (through exchange of appropriate information), thus making the best use of existing systems.

The electronic freight transport information (eFTI) Regulation ⁹ laid down a legal framework that enables businesses to share information in an electronic format with enforcement authorities (i.e. for the transport of goods by road, rail, inland waterways, and air in the European Union). Operators are not obliged to make regulatory information available electronically to a competent authority. However, when they choose to make this information available electronically, they must follow the set of requirements laid down in the eFTI Regulation. Currently, there is limited interaction between RIS and eFTI, although there are potential synergies that could be achieved by using eFTI platforms to exchange the cargo information required by RIS.

The new Alternative Fuels Infrastructure Regulation (AFIR)¹⁰ introduces targets for shore-side electricity supply in inland waterway ports. It also requires Member States to draw up national policy frameworks that will contain planned initiatives for the deployment of infrastructure for alternative fuels in IWT, such as for hydrogen and electricity. RIS can complement the AFIR by facilitating the exchange of information: (i) between inland vessels and ports equipped for such alternative fuels; and, in particular (ii) on the real-time availability of infrastructure. This in turn can support the uptake of these fuels by the IWT sector.

2. LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY

• Legal basis

Article 91(1) of the Treaty on the Functioning of the European Union (TFEU) serves as the legal basis for the adoption of EU legislation related to a common transport policy. Within this legal framework, the EU provides for a coordinated and harmonised deployment of information and communication technologies on inland waterways that help to increase the safety and efficiency of transport by inland waterways instead of relying on the uncoordinated action of individual Member States only.

• Subsidiarity (for non-exclusive competence)

The necessity for EU action was recognised at the time the RIS Directive was adopted, when RIS was being developed at different rates, with different technologies and applications throughout Europe, creating barriers to cross-border voyages. Thus, in the absence of EU action, there would likely be differences in the level and nature of the provision of RIS between Member States, or in the approaches of initiatives at regional or river level, (i.e. River Commission level). This in turn would likely lead to regional fragmentation, as each River Commission would focus on applying its own solutions, thus introducing barriers to the common market and constituting a step back in terms of harmonisation at corridor level.

The Member States directly impacted are those falling under the scope of the Directive, and more specifically those with navigable waterways of TEN-T importance.

• Proportionality

The proposal has been prepared to address the results of the evaluation exercise mentioned below. The Commission has also carried out an impact assessment to identify, assess, and evaluate alternative measures to achieve the same objectives.

The objective of the proposal is to update the framework for the provision of RIS. This will be achieved through: (i) improving the harmonisation and introduction of technical specifications; (ii) facilitating and expanding the exchange of RIS information between users; and (iii) focusing the scope of the Directive on the navigable waterways of TEN-T importance. No costs for businesses are introduced, while the additional costs to national administrations seem limited, especially when compared with the benefits from reduced burdens for vessel operators and positive impacts from the expected modal shift.

• Choice of the instrument

As the proposal only requires making several amendments to Directive 2004/44/EC, an amending Directive is the most appropriate legal instrument.

3. RESULTS OF EX-POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS

• Ex-post evaluations/fitness checks of existing legislation

Fifteen years after the adoption of Directive 2005/44/EC on harmonised RIS on inland waterways in the Union, the Commission conducted an ex-post evaluation. The purpose of this ex-post evaluation was to support any further decisions related to the development of the legislative framework in this policy area, including a possible revision of the current Directive. The most important findings of the evaluation were related to the degree of harmonisation, which differs between RIS technologies, as they are not used to the same extent in all countries and river corridors. The evaluation also concluded that there was no indication that a modal shift towards inland navigation was occurring because of the RIS Directive. Furthermore, the evaluation showed that the RIS Directive and its implementing acts were still relevant, but that the Directive’s primary focus on the safety of navigation was no longer sufficiently aligned with the sector’s needs. More specifically, the evaluation found that the RIS Directive does not address the need to improve the efficiency of IWT and its integration into multimodal supply chains. In addition, the evaluation found that the RIS Directive does not sufficiently address new technological challenges and the further digitalisation of the sector. All these findings were considered and tackled in the impact assessment process.

• Stakeholder consultations

For the impact assessment, stakeholders’ input was gathered by various means, including an inception impact assessment, an open public consultation (OPC), and targeted consultations by an external contractor through online questionnaires, targeted surveys, interviews, meetings and workshops. Both qualitative input (opinions, views, suggestions) and quantitative information (data and statistics) were sought.

The stakeholders included: participants from the national authorities; RIS users; RIS equipment manufacturers; SMEs; international organisations; sectoral associations; European-level professional associations; Member State authorities; and skippers (i.e. all the relevant groups with a vested interest in RIS).

• Collection and use of expertise

The Commission undertook an evaluation study (an ex-post evaluation of Directive 2005/44/EC on harmonised river information services on inland waterways in the Union) to support the evaluation and creation of a staff working document ¹¹. This work started in January 2019 and concluded in January 2020.

• Impact assessment

The proposal is based on the results of an impact assessment which was informed by a support study carried out by an external consultant with specific knowledge in this area.

Three policy options have been designed and assessed to address the problems and problem drivers identified through the impact assessment. All three policy options contain various measures to help achieve the objectives of the initiative, although each has a different level of effectiveness and efficiency.

Policy option A introduces a limited update of the Directive, without changing the Directive’s scope and by aiming to address the Directive’s basic identified shortcomings. The basic overall structure of RIS, as regards both the technology elements and the way information is exchanged between stakeholders, would remain mainly the same under this option. Interpretative guidelines on standards and their application by the Member States play a central role, as a non-regulatory measure in this policy option, to improve harmonisation. An important new element introduced by this option is the decision to give to the European committee for drawing up standards in the field of inland navigation (CESNI) a role in the development of standards. To improve the quality of basic RIS data, Member States are required to increase the frequency with which they provide updates to the European Reference Data Management System (ERDMS). Member States must also set up a complaint-handling mechanism for RIS users to report issues with the implementation of RIS (and Member States will need to report on this mechanism in turn to the European Commission on an annual basis). Finally, Member States will have to assess the extent to which personal data are concerned and ensure that these data are processed in the appropriate way.

Option B retains several measures from policy option A, like the complaint-handling mechanism, the requirement to update ERDMS data, the involvement of CESNI, and the clarification regarding personal data. However, policy option B goes further in supporting the development of RIS by introducing an important change in the architecture of RIS, as this policy option would require the creation of a central node for the exchange of information and the provision of services (the RIS platform). Therefore, information would now no longer be exchanged directly between the different users (like the vessel operator with inland ports) but would instead be exchanged through the platforms and functionalities of the RIS platform. New standards on navigation and voyage planning, which are currently missing, would be introduced under this option, providing additional information to vessel operators. The exchange of information would also take on a more prominent role under this option. Under this option, the reporting of cargo information through eFTI would now become mandatory for vessel operators, who would also have the option of exchanging operational information electronically with inland ports. It would also be possible to exchange operational information with other modes of transport. RIS would also be focused on the most important waterways as its scope would match that of the TEN-T waterways.

Option C is the most ambitious, as it would expand on the previous option through two mandatory measures, namely: (i) the requirement for vessel operators to electronically report their voyage plans; and (ii) the requirement to exchange data with inland ports, thus introducing a new framework for traffic management and for technical developments such as digitalisation and automation.

Policy option B is the preferred policy option, since it brings the best balance between the objectives which must be achieved, the degree of proportionality of the intervention, the costs and benefits incurred, and ease of implementation. Although policy option C shows the highest net benefits, at the same time it entails the highest level of costs. The total costs for option C are 434% higher than those of option B, while the total benefits are only 107% higher for option C compared with option B. Furthermore, option B ensures that the specific objectives are addressed in a more progressive and efficient way, entailing a greater benefit-to-cost ratio than option B (4.8 versus 1.9), and allowing a smooth transition for authorities and operators (due to fewer mandatory measures).

The preferred policy option results in total benefits estimated at EUR 450.4 million, expressed as present value for the total period 2025-2050 relative to the baseline. It is also expected to result in indirect benefits to society, in terms of savings in external costs, estimated at EUR 311 million expressed as present value over 2025-2050 relative to the baseline. These benefits are driven by the greater use of IWT and the shift away from road transport. On the costs, the net benefits for the preferred policy option are estimated at EUR 356.7 million, expressed as present value over 2025-2050 relative to the baseline.

This proposal is accompanied by an impact assessment report ¹², a draft submitted to the Regulatory Scrutiny Board (RSB) in August 2023. The RSB issued a positive opinion, and the impact assessment report was revised in line with the RSB’s recommendations. The RSB’s comments are addressed in the staff working document which accompanies this legislative proposal.

• Regulatory fitness and simplification

This initiative is part of the 2023 Commission work programme under Annex II (REFIT initiatives), under the heading ‘A Europe fit for the Digital Age’. It has a REFIT dimension in terms of simplifying and harmonising information exchange through RIS. The initiative will reduce administrative burden for vessel operators by reducing the need to re-register cargo information and the need to report cargo information to ports. By improving the harmonisation – and facilitating the exchange – of RIS information, it is estimated that the preferred policy option will result in administrative-cost savings for vessel operators of EUR 28.5 million, expressed as present value for the total period 2025-2050 relative to the baseline scenario. Furthermore, by reducing the effort needed by vessel operators to obtain the information required for voyage planning and navigation purposes, adjustment costs are expected to be reduced for vessel operators by EUR 72.1 million expressed as present value for the total period 2025-2050, relative to the baseline scenario. In addition, providers of RIS software services would benefit from access to more and better-quality data with adjustment-cost savings estimated at EUR 8.1 million, expressed as present value over 2025-2050 relative to the baseline scenario.

• Fundamental rights

The policy options were assessed to determine whether they would have an impact on the fundamental rights and/or the equal treatment of EU citizens. The starting point for the assessment of fundamental rights is the Charter of Fundamental Rights of the European Union ¹³. All policy options were assessed with regard to the relevant EU instrument, and it was concluded that all three options fully uphold human and fundamental rights, and that none of the options would have any negative impact thereon. This is fully in line with applicable legislation, thus increasing legal clarity for users of RIS services.

4. BUDGETARY IMPLICATIONS

The proposal has no implications for the EU budget.

5. OTHER ELEMENTS

• Implementation plans and monitoring, evaluation and reporting arrangements

Appropriate monitoring and reporting arrangements have been identified. The complaint mechanism introduced at Member State level will allow for the ‘bottom-up’ and early identification of possible challenges in the application of the Directive. Member States will be required to report to the Commission every year providing information on areas of complaints and rectification measures. In addition, the RIS platform, as the digital tool for RIS exchanges, will make it possible to collect statistics that will in turn enable RIS usage to be monitored. Specific indicators to be monitored will be developed along with the further development of technical specifications for the platform. Furthermore, information from already publicly available sources (Eurostat) – from or ad hoc surveys and consultations with sector experts – will provide information on the operational and market impacts of the Directive.

Given that the initiative is reliant on the application of secondary legislation (technical standards), it is important to allow for a sufficient timeframe for the development and introduction of this secondary legislation. Therefore, 7 years after the end of the implementation date of the legislation, the Commission should carry out an evaluation to verify to what extent the objectives of the initiative have been reached.

• Explanatory documents (for directives)

Explanatory documents are not required as the proposal aims to simplify and clarify the existing regime.

• Detailed explanation of the specific provisions of the proposal

Article 1 of the amending Directive forms its main part and contains amendments to numerous provisions of Directive 2005/44/EC.

The substantive changes to the Directive are set out below.

Subject matter and scope

In point 1, Article 1 is replaced to remove outdated references. In point 2, Article 2, paragraph 1 is amended to adapt the scope of the Directive focusing it on inland waterways of the Member States that are part of the Trans-European Transport Network.

Definitions

Point 3 introduces definitions reflecting new elements introduced with this Directive, and in particular relating to electronic systems and platforms used in the transport sector.

Setting-up of RIS and technical guidelines and specifications

Point 4 replaces Article 4 to update both the way that services will be provided under RIS and the type of services that will be provided. Under paragraph 3, the requirement for Member States to provide data on navigation and voyage planning is strengthened and refined, and a new requirement to provide information to the ERDMS is introduced to improve the overall quality and timeliness of the information provided to RIS users. In addition, to improve the exchange of information and multimodality of IWT, requirements are introduced for the exchange of information with other systems and platforms used in the transport sector (including for EMSWe, eFTI, port-community systems and smart inland waterway infrastructure systems).

Furthermore, paragraph 6 lays down the structure for the digital architecture of RIS, by laying down a single digital platform (the RIS platform) as the main digital backbone for the provision of RIS, through which all RIS should be developed and provided. The Commission is empowered to decide on the functional and technical specifications of the RIS platform through implementing acts.

Point 5 replaces Article 5 removing outdated elements and introduces new technical specifications that Member States need to apply to ensure the provision of the services as required by Article 4.

Competent authorities and handling of complaints

Point 6 replaces Article 8 to introduce competent authorities for the operation of the RIS platform and for the handling of complaints. Point 7 introduces a new Article 8(a) that describes the role and the main elements of the procedure that should be followed in handling the complaints. Member States are responsible for developing and applying this procedure and are required to regularly report on its performance to the European Commission. This would provide for improved monitoring and faster handling of issues in the implementation of the Directive.

Rules on privacy, security and the re-use of information

Point 8 replaces Article 9, updating the requirements on privacy, security and the re-use of information. Point 8 also removes outdated provisions.

Amendment procedure and exercise of delegation

Point 9 replaces Article 10 on the amendment procedure, providing in paragraph 1 for a delegated act to update the minimum data requirements in Annex I. Paragraph 2 provides for the Commission to amend Annex III to introduce the most recent version of the ES-RIS through a delegated act as the necessary standards for RIS now become an integral – but not essential – part of the Directive, subject to conditions. Paragraph 3, empowers the Commission to amend Annex III through a delegated act in case a series of conditions cannot be met.

Points 10 and 11 replace paragraphs 2 and 6 of Article 10(a) to update outdated elements.

Point 12 replaces Article 11, removing outdated provisions and establishing the Inland Waterway Transport Committee as the relevant committee in the meaning of Regulation (EU) 182/2011.

Point 13 deletes paragraphs 2 and 3 of Article 12 as they contain outdated specific transposition provisions, given that there is sufficient experience in the implementation of RIS and that the scope of the amending Directive is now the most important waterways.

Point 14 inserts Article 12a which introduces monitoring provisions on the implementation of the Directive.

Point 15 replaces Annex I of Directive 2005/44/EC including updates to the minimum data requirements.

Point 16 replaces Annex II of Directive 2005/44/EC updating and streamlining the principles of RIS technical specifications.

Point 17 adds new Annex III which contains the reference to ES-RIS.

Other provisions

Article 2 of the amending Directive lays down the obligation for transposition.

Article 3 of the amending Directive lays down the entry into force of this Directive.

Article 4 of the amending Directive lays down the addressees.

Annexes

Annex I sets out the minimum data requirements to be provided for navigation and voyage planning. Annex II sets the principles for developing RIS technical specifications. Annex III sets the technical specifications applicable to RIS.