SPECIFIC PROCEDURE CODE PS -22 10 ROMANIAN ... GRANTING THE SAFETY...ROMANIAN RAILWAY SAFETY AUTHORITY SPECIFIC PROCEDURE CODE PS -22 10 GRANTING THE SAFETY CERTIFICATE Edition/Revision:

ROMANIAN RAILWAY SAFETY

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SPECIFIC PROCEDURE CODE PS-2210-1

GRANTING THE SAFETY CERTIFICATE

Edition/Revision: 2/1

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APPROVED DIRECTOR

Mihaela CA]RABINEANU

ADVISED

HEAD OF DEPARTMENT Lucian BLAGA

Entry into force 21.10.2015

VERIFIED

Head of Service Cristian VASILIU

PREPARED by

Manuela PETRARU

AMENDMENT

ELEMENTS OF IDENTIFICATION 1 2 3 4

Page

Paragraph

Chapter

Full name and signature of the person who made the amendment

Date of amendment

Copying and distribution outside the conditions laid down by PGO1 are prohibited


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CONTENT

1 PURPOSE AND AREA OF APPLICATION.................................................................... 3

2 DEFINITIONS AND ABBREVIATIONS ……................................................................... 3 2.1 Definitions........................................................................................................................................ 3 2.2 Abbreviations...................................................................................................................... 4

3 REFERENCE DOCUMENTS .......................................................................................... 5

4 DESCRIPTION OF THE PROCEDURE ......................................................................... 5

4.1 Overview …........................................................................................................................ 5 4.2 Initiating the process of granting a new SC................................................................................... 6 4.3 Assessing the documents ............................................................................................................ 8

4.4 Fee for assessing documents and issuing a new SC............................................................... 9

4.4.1 Fee for assessing documents and issuing a new SCA.......................................... 9 4.4.2 Fee for assessing documents and issuing a new SCB.......................................... 9 4.4.3 Fee for assessing documents and issuing a new SC in urgent terms..................... 10 4.5 Reporting the action of assessing and issuance of a SC ............................................................ 11 4.6 Issuing a SCA and SCB .................................................................................................... 12 4.7 Supervision during the validity period of a SC.............................................................................. 12 4.8 SC suspension or withdrawl ……................................................................................................. 12 4.9 Appeals ........................................................................................................................................... 13 4.10 Publications ....................................................................................................................... 13

5 TASKS AND RESPONSABILITIES ................................................................................ 14

6 ANNEXES ....................................................................................................................... 15 Annex 1 Application form for a safety certificate ……...................................................................... 16 Annex 2 Assessing note for the documents ...................................................................................... 18 Annex 3 Register of applications for SC received / rejected …….................................................. 19 Annex 4 Register of SC issued …………........................................................................................... 19 Annex 5 Register of SC suspended / withdrawn …......................................................................... 19 Annex 6 Safety certificate Part A ........................................................................................................ 20

Annex 7 Safety certificate Part B …………........................................................................................ 21

Annex 8 Explanatory note on fee for granting a SCA (new, renewed) to railway operators

performing railway transport operations of type A, B, A and B, or only C …………..…….… 22

Annex 9 Explanatory note on fee for granting a SCB (new, renewed, updated/amended) to railway

operators performing railway transport operations of type A, B, A and B ………………….. 23

Annex 10 Explanatory note on fee for granting a SCB (new, renewed, updated/amended) to railway

operators performing railway transport operations of type C …................................................ 24

Annex 11 Explanatory note on fee for granting a SCA (new, renewed) in urgent terms to railway

operators performing railway transport operations of type A, B, A and B, or only C………... 25

Annex 12 Explanatory note on fee for granting a SCB (new, renewed, updated/amended) in urgent

terms to railway operators performing railway transport operations of type A, B, A and B…. 26

Annex 13 Explanatory note on fee for granting a SCB (new, renewed, updated/amended) in urgent

terms to railway operators performing railway transport operations type C only……………. 27

Annex 14 Checklist of documents required to obtain SCA................................................................ 28

Annex 15 Checklist of documents required to obtain SCB ……………………............................... 31 Annex 16 Satisfaction questionnaire for applicants of safety certificates………………………. 37

Annex 17 Handover note ……………..................................................................................................... 38


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1. PURPOSE AND AREA OF APPLICATION

This procedure describes the application process for a new safety certificate, Part A – named SCA and Part B – named SCB, in order to perform public and/or private railway transportation services using Romanian railways and establishes the sequence of steps, actions and responsibilities of SCAS staff involved in this activity. The procedure applies to all railway operators, applying for a new safety certificate, hereinafter referred to as SC.

2. DEFINITIONS AND ABBREVIATIONS

2.1. Definitions

2.1.1. Safety certificate – document attesting that a railway operator, license holder, can perform a type of railway service on traffic sections of railways in Romania.

2.1.2. Safety certificate, Part A - document confirming acceptance of the safety management system of the railway operator.

2.1.3. Safety certificate, Part B - document confirming acceptance of the provisions adopted by a railway operator to fulfill the specific requirements necessary for the safe operation of the railway network on which it operates: certain traffic sections of railways in Romania or in its entirety, railway stations, shunting railway areas, industrial railway lines.

2.1.4. Safety certificate, part A and part B can be: a) New, if it was granted for the first time to the railway operator; b) Renewable if the railway operator held at least once a safety

certificate granted in accordance with the legal provisions in force; c) Updated / amended if the railway operator calls for an update or an

amendment to the safety certificate, according to art. 5 paragraph (2) pt. 3 of the Annex. 2 from OMT no. 535/2007, with subsequent amendments.

2.1.5. Romanian railways - public and private railway infrastructure open to public traffic as well as industrial railway lines connected to the railway infrastructure.

2.1.6. Railway operator - any railway operator owned by the state and / or private sector whose main activity consists in making railway transport services for passengers and / or freight on the Romanian railways, traction is compulsory provided by it; the term denominates also the railway operator which provide traction only.

2.1.7. Rail transport services on Romanian railways – class activities: a) Intercity passenger transport on railway, according to CAEN Rev. 2 -

code 4910; b) railway freight, according to CAEN Rev. 2 - code 4920; c) Support service activities for land transportation, according to CAEN

Rev. 2 - code 5221. 2.1.8. Railway transport services type A – railway passenger transportation

for public and / or private use. 2.1.9. Railway transport services type B - railway freight for public and / or

private use. 2.1.10. Railway transport services type C - only railway shunting for public


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and / or private use. 2.1.11. Working point - Section point where the railway operator is

responsible for carrying out at least one of the following activities: a) composition, changes in the composition or decomposition of trains; b) trains technical inspection (composition, arrival or transit); c) shunting operations based on a shunting program or a plan.

2.1.12. Applicant (for safety certificate) – legal entity with state and / or private capital, holding a license in railway transportation and who wishes to get a safety certificate.

2.1.13. Supervision – methods put in place by Romanian Railway Safety Authority in accordance with Regulation (EU) no. 1077/2012 on a common safety method for supervision by national safety authorities after issuing a safety certificate or a safety authorization.

2.1.14. Suspension - temporary cessation of validity of the safety certificate issued.

2.1.15. Withdrawal - termination of validity for the safety certificate issued (cancellation).

2.1.16. Safety Management System – that part of the organization's management system oriented towards achieving results in relation to safety policy and objectives, which directs and control an organization regarding railway safety.

2.2. Abbreviations CAEN - Classification of national economic activities EC – European Commission ERM – Entity responsible for maintenance EU – European Union GD – Government Decision GEO – Government Emergency Ordinance GOP – General Operational Procedure IM – Infrastructure Manager IPFC – Internal Preventive Financial Control LRT – License for railway transportation MT - Ministry of Transportation OMT- Order of the Minister of Transportation OMTI - Order of the Minister of Transportation and Infrastructure

ROG - Romanian Official Gazette

AFER - Romanian Railway Authority ASFR - Romanian Railway Safety Authority ONFR – Romanian Railway Notified Body RSI – Railway State Inspectorate RSMS – Person in charge of railway safety management RULES – Safety rules for granting authorizations SC – Safety Certificate SCA – Safety Certificate, part A SCAS – Safety Certification and Authorization Service SCB – Safety Certificate, part B SGP – System General Procedure SP – Specific Procedure


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3. REFERENCE DOCUMENTS

3.1. GEO no. 12/1998 on Romanian railway transport and the reorganization of the Romanian National Railway, with subsequent amendments;

3.2. GD no. 626/1998 on the organization and functioning of AFER, with subsequent amendments;

3.3. Law no. 55/2006 on Railway Safety, as amended and supplemented; 3.4. GD no. 21/2015 on the organization and functioning of the Ministry of

Transportation; 3.5. OMT no. 535/2007 on approving the rules for granting the railway transport

license and safety certificates in order to perform railway transport services on Romanian’s railways, with subsequent amendments, in force;

3.6. OMTI no. 2180/2012 on approving tariffs for specific activities carried out by AFER, with subsequent amendments, in force;

3.7. Regulation (EU) no. 1158/2010 of the Commission from 09 December 2010 on a common safety method for assessing conformity with requirements to obtain a railway safety certificate;

3.8. Regulation (EC) no. 653/2007 of the Commission from 13 June 2007 on the use of a common European format for safety certificates, with subsequent amendments, in force;

3.9. Regulation (EU) no. 445/2011 of the Commission from 10 May 2011 on a system of certification for entities in charge of maintenance for freight wagons and on amending Regulation (EC) no. 653/2007;

3.10. Regulation (EC) no. 402/2013 of the Commission from 30 April 2013 on the CSM for risk assessment and repealing Regulation (EC) no. 352/2009;

3.11. Regulation (EU) no. 1077/2012 of the Commission from16 November 2012 on a common safety method for supervision by national safety authorities, after issuing a safety certificate or a safety authorization.

3.12. Order no. 1501/2014 on measures for implementing the application of Regulation (EU) No. 402/2013 of the Commission from 30 April 2013 on the CSM risk assessment and on amending Regulation (EC) no. 352/2009;

3.13. GOP 1 Elaborating procedures and instructions - the revision in force; 3.14. SGP 1 Control of documents - revision in force.

4. DESCRIPTION OF THE PROCEDURE

4.1. Overview

4.1.1. Safety certification of railway operators is a process that is completed in accordance with the OMT no. 535/2007, as amended and supplemented, by granting a specific document called safety certificate, which is composed of:

4.1.1.1. part A, which confirms the acceptance of the safety management system of the railway operator;

4.1.1.2. one or more parts B, confirming acceptance of the provisions adopted by the railway operator to fulfill the specific requirements necessary for the safe operation on the railway network where operates: particular traffic sections of railways or all Romanian railways, railway stations, railway shunting areas, industrial railway lines.


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4.1.2. SC is granted to a railway operator, holding LRT and meeting all the conditions set out in legislation and regulations in force for granting a SC.

4.1.3. SCA is a special document, nominal and non-transferable, granted to a railway operator proving development of a system for safety management in accordance with provisions of legislation on granting of SC. SCA granted for the first time to the railway operator is valid for a maximum period of one year from the granting date.

4.1.4. SCB is granted to a railway operator, holding a SCA and meeting all the conditions set out in legislation on granting SC. SCB granted for the first time to a railway operator is valid as the related SCA.

4.1.5. In case of holding a temporary railway license by the railway operator, SC validity may not exceed the validity of the temporary license.

4.1.6. The period of suspension of a safety certificate does not extend the period of validity.

4.1.7. ASFR recognize as valid on Romanian railways, safety certificate Part A confirming acceptance of the Safety Management System, granted by the authorities responsible for safety certification, to the railway operators from other Member States of the European Union, for equivalent railway transport services.

4.2. Initiating the process for granting a new SC

4.2.1. A new SC is granted by ASFR, in accordance with the provisions of OMT no. 535/2007 with subsequent amendments into force.

4.2.2. To start the process of obtaining a new SC applicant has 2 options: 4.2.2.1. Submit to ASFR an application for the safety certificate drawn up in

accordance with Regulation (EC) no. 653/2007, amended by Regulation (EU) no. 445/2011. The form for requesting a safety certificate is provided in Annex 1 to PS-2210-1, code FPS-2210-1-1. In this case it will precede accordingly pt. 4.2.3 - 4.2.11.

4.2.2.2. Submit to ASFR an application for SC (prepared according to the previous point) with a file drawn up according to granting guidelines for SC presented on the ASFR website. In this case it will proceed accordingly section. 4.2.12- 4.2.16.

4.2.3. Documentation (letters, applications, documents, files, etc.) received from applicants to obtain safety certificates and papers (letters, communications, etc.) prepared by SCAS for applicants will be taken by the employee within SCAS, which is responsible for recording documents and proceed in accordance with SGP 1 - control of documents - revision in force, and pass them according to the data recorded on these.

4.2.4. Head of SCAS assess applications received from applicants and established by apostille who will be in charge of analyzing the documents and resolving the application.

4.2.5. The person nominated by the head of SCAS with SC application (containing all applicant documents), records the request received in "Register of SC applications received / rejected" (Annex 3 to the PS-2210-1 code FPS-2210-1-3) and gives a number on the SC application page.

4.2.6. The person nominated by the head of SCAS with SC application, responds to the applicant and shall communicate the following:


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4.2.6.1. required documents to obtain a new SC, in accordance with law and regulations on the granting of SC in force;

4.2.6.2. the fee and method of payment for granting the SCA in accordance with legislation and regulations in force; fee shall be mentioned in the address after the steps described in section 4.4.1 respectively 4.4.3, as the case, of this procedure.

4.2.7. To obtain a new SC, the applicant must submit to ASFR all the required documents by laws and regulations in force and which have been communicated in accordance with paragraph 4.2.6 of this procedure. The documents shall be submitted in separate files for SCA and SCB.

4.2.8. The file for obtaining a SCA must contain all valid supporting documents to fulfill the requirements listed in Annex II of Regulation (EU) no. 1158/2010. The file must contain also applicant presentation of organization of inspections and monitoring undertaken before the departure of the train or en route, in accordance with Regulation (EU) no. 445/2011.

4.2.9. The file for obtaining a SCB must contain, where appropriate, depending on the type of transport service requested, supporting documents to fulfill the requirements for obtaining them, mentioned in the Norm for granting SC from OMT no. 535/2007, with subsequent amendments, in force as well as those set out in Annex III to Regulation (EU) No. 1158/2010.

4.2.10. Address referred to in section 4.2.6 of this procedure, together with the explanatory note drawn up in accordance with paragraph 4.4.1 respectively 4.4.3, as the case, of the present procedure, are signed / approved by the Director of ASFR.

4.2.11. If the applicant sends the file in time allowed by law, then the person in charge with SC application draws up a communication to the applicant by which it is stated that the file was accepted for obtaining SC and is to be evaluated.

4.2.12. Head of SCAS assess applications cases accompanied by documents, received from applicants in order to obtain a SC, and then is setting by Apostille the person in charge with SC application.

4.2.13. The person nominated by the head of SCAS, records the application received in "Register of SC applications received / rejected" (Annex 3 to the PS-2210-1 code FPS-2210-1-3) and gives a number to the application and the file of SC, distinct marking the application and the file.

4.2.14. The person nominated by the head of SCAS, examine the documents required to obtain a SC, and if establish that nothing is missing prepares explanatory note in accordance with paragraph 4.4.1 respectively 4.4.3, as the case, of the present procedure and draws up an address where the applicant is notified if the documents are complete and the related fee value.

4.2.15. If it is determined that documents are missing, the person in charge with SC application proposes, in writing, to ASFR management rejection of the documents. After approval of the proposal made, the person in charge with SC application will inform the railway operator on ASFR decision, and that it may send a delegate to pick up the documents from SCAS. Rejected documents will be returned to the applicant based on a note prepared in accordance with Annex 17 to the PS-2210-1 code FPS-2210-1-17. To obtain the required certificate the railway operator must


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make a new request. 4.2.16. After all documents are accepted follows phase of evaluating the

documents. If it is determined that there is inadequate documentation, the person responsible for SC application will require to the railway operator appropriate documentation and / or additional. The applicant shall complete the documents required in the time set by legislation.

4.2.17. Explanatory note with the address shown in section. 4.2.6., is advised / signed by the Director of ASFR.

4.3. Assessing the documents

4.3.1. After receiving the documents, the person responsible for SC application, based on a checklist draws up in accordance with Annex. 14 and Annex. 15, to the present procedure, verifies if the documents submitted meet all requirement conditions of legislation and regulations on the granting of SC, in effect, both for SCA as well as SCB.

4.3.2. To check the authenticity of documents submitted as duplicate, at the request ASFR, the railway operator will have to submit the originals of those documents.

4.3.3. If the submitted documents do not meet the conditions set out in paragraph 4.2.8. and 4.2.9. of this procedure, the person responsible for SC application shall notify the applicant by a letter within the period prescribed by the legislation and regulations in force for granting a SC, the correction requirement for submitted documents, both SCA and SCB, as the case. In this address will be communicate also granting fee for SCB calculated in accordance with paragraph 4.4.2. respectively 4.4.3., as the case, of the present procedure and the method of payment, if initially the applicant submitted just the application for a SC.

4.3.4. Address referred to in paragraph 4.3.3 of this procedure, possibly accompanied by explanatory note draws up in accordance with paragraph 4.4.2 respectively 4.4.3, as the case, of the present procedure is signed / approved by the Director of ASFR.

4.3.5. If the applicant for a SCB holds a SCA issued by a national safety authority in another EU Member State and after evaluation of documents submitted they are uncertainties for granting the SCA, the person responsible for SC application draws up an address to the issuer of SCA, requesting the necessary clarification.

4.3.6. After eliminating nonconformities the applicant shall forward to ASFR-SCAS the documents required by the letter of the section. 4.3.3 of this procedure. All documents are recorded in accordance with paragraph 4.2.3. of the present procedure and the documents shall be evaluated in accordance with paragraph 4.3.1. - 4.3.4. of this procedure.

4.3.7. If within the period prescribed by the law and regulations in force on the granting of SC, the applicant does not submit the documents listed in paragraph 4.2.8. and paragraph 4.2.9. of the present procedure, the application for SC shall be considered rejected.

4.3.8. The person responsible for SC application shall notify the applicant by a letter endorsed by the Juridical Department and signed by the Director of ASFR, the decision of rejecting the application for obtaining a SC and will record this in "Register of SC applications received / rejected" under


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"Comments" (Annex 3 to the PS-2210-1, code FPS-2210-1-3).

4.4. Fee for assessing documents and issuing a new SC

4.4.1. Fee for assessing documents and issuing a new SCA

4.4.1.1. Person responsible for SC application draws up the explanatory note, depending on the type of transport required which must be identical to that registered in the LRT (Annex 8 to the PS-2210-1-code FPS-2210-1-8), on the pricing scheme for SCA for the railway operator which carry out railway transportation type A, type B, type A and B or type C only, as the case;

4.4.1.2. Explanatory note is signed by the person responsible for SC application and the head of SCAS service, after which it is sent for verification, together with a copy of the request to IPFC department.

4.4.1.3. After verification by IPFC department, the fee calculated in the explanatory note is inserted in the address nominated at paragraph 4.2.6. of this procedure by the person in charge with SC application.

4.4.2. Fee for assessing documents and issuing a new SCB

4.4.2.1. The person responsible for SC application verifies, in the file submitted by the applicant for granting a SCB, necessary data to establish the fee for assessment activity and granting the SCB in order to transmit to the applicant the fee and payment method. Checks where applicable:

4.4.2.1.1. the list of identification data for each traffic section for witch SCB is requested and their length in km;

4.4.2.1.2. the list including the identification data of the shunting area / areas and industrial railway lines, for which CSB is requested;

4.4.2.1.3. the list including the identification data of railway vehicles used to execute railway transport operations of type A and / or B, as the case;

4.4.2.1.4. the list including the identification data of railway vehicles used to execute only railway shunting operations.

4.4.2.2. Person responsible for SC application is writing down, according to data obtained in accordance with paragraph 4.4.2.1 of this procedure and the type of transport requested, one of the following documents, as the case:

4.4.2.2.1. Explanatory note (Annex 9 to the PS-2210-1 code FPS-2210-1-9) regarding the fee for granting a SCB to railway operators who execute railway transport operations of type A, type B or type A and B, as the case;

4.4.2.2.2. Explanatory note (Annex 10 to the PS-2210-1 code FPS-2210-1-10) regarding the fee for granting a SCB to railway operators who execute only railway transport operations type C;

4.4.2.3. Explanatory note is signed by the person responsible for SC application and the head of SCAS, after which it is sent for verification, together with an applicant's request copy to the IPFC department.


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4.4.2.4. After verification by IPFC department, the fee calculated in the explanatory note is inserted by the person responsible for SC application in the address nominated at paragraph 4.3.2 of this procedure.

4.4.2.5. If the railway operator requests several SCB, in accordance with laws and regulations on granting a SC, in effect, the person responsible for the file follows the steps set out in paragraphs 4.4.2.1 - 4.4.2.4 of this procedure, for each file.

4.4.3. Fee for assessing documents and issuing a new SC in urgent terms

4.4.3.1. If the railway operator wants a SC granted in less time than the one specified by OMT no. 535/2007, with subsequent amendments, in effect, it must state this in an address stating that it requires file analysis "urgent”, paying for this an additional fee. In this case, the person responsible for SC application follows the activities of paragraph 4.3 of this procedure with priority; SC will be issued within 3 days of the completion by the applicant of file / files containing documents required by laws and regulations in force for granting a SC. In calculating the fee, the coefficient correction k3=2 is applied, according to the OMTI no. 2180/2012 with subsequent amendments in force.

4.4.3.2. In this case the person responsible with SC application, depending on the type of transport requested (type A, type B, type A and B or only type C), as the case, will prepare:

4.4.3.2.1. Explanatory note (Annex 11 to the PS-2210-1 code FPS-2210-1-11) regarding the fee for granting a SCA in urgent terms to railway operators performing railway transport operations of type A, type B, type A and B or only type C;

4.4.3.2.2. Explanatory note (Annex 12 to the PS-2210-1 code FPS-2210-1-12) regarding the fee for granting a SCB in urgent terms to railway operators performing railway transport operations of type A, type B, or type A and B;

4.4.3.2.3. Explanatory note (Annex 13 to the PS-2210-1 code FPS-2210-1-13) regarding the fee for granting a SCB in urgent terms to railway operators performing railway transport operations of type C.

4.4.3.3. Explanatory notes are signed by the person responsible with SC application and head of SCAS, and then are sent for verification, together with an applicant's request copy to IPFC department.

4.4.3.4. After verification by IPFC department, fee calculated in explanatory notes will be communicated by the person responsible for SC application through addresses established by this procedure.

4.4.3.5. If the request to treat the file "urgent”, with the related fee, was sent to AFER with the initial application, the person responsible for SC application will write down the explanatory notes for SCA and after receiving and verifying the data required in paragraph 4.4.2.1 of this procedure, for CSB, will communicate the fee by addresses established on this procedure.


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4.4.3.6. If the request to treat the file "urgent”, with the related fee, was sent to ASFR after the initial application and the person responsible for SC application already compiled the explanatory notes and sent the fees to the applicant, it will proceed as follows:

4.4.3.6.1. explanatory notes shall be issued for SCA and / or SCB, as the case, according to paragraphs 4.4.3.2 - 4.4.3.4 of this procedure;

4.4.3.6.2. it will send to the applicant, a letter signed by the director of ASFR and registered by SCAS according to PGS 1 - control of documents - revision in force, the new fee for "urgent" terms and the cancellation for the fee already submitted.

4.5. Reporting the action of assessing and issuance of a SC

4.5.1. Based on the documents analysis for granting SCA and SCB, the person responsible with SC application writes down the evaluation note (Annex 2 to the PS-2210-1 – code FPS-2210-1-2) and submits this for approval to the head of SCAS.

4.5.2. Evaluation note contains the proposal for granting or not granting a SCA and SCB.

4.5.3. The person responsible for SC application is recording SCA and SCB in the "Register of issued SC" (Annex 4 to the PS-2210-1 - code FPS-2210-1-4) according to the set headings.

4.5.4. SCA and SCB are edited, by the person responsible for SC application, in two copies (one for the applicant on cardboard and the second one for ASFR on paper, signed by the head of SCAS):

4.5.4.1. according to the SCA form of (Annex 6 to the PS-2210-1 – code FSP-2210-1-6) model drawn up in accordance to Regulation (EC) no.653/2007, amended by Regulation (EU) no.445/2011.

4.5.4.2. according to the SCB form of (Annex 7 to the PS-2210-1 – code FSP-2210-1-7) model drawn up in accordance to Regulation (EC) no.653/2007, amended by Regulation (EU) no.445/2011; depending on the type of transport requested, at paragraph 5 "lines served", respectively paragraph 6 "specific conditions and obligations” of the said form, there are two cases of completing the respective boxes:

4.5.4.2.1. Railway operator performing railway transport operations type A, type B or type A and B:

4.5.4.2.1.1. at paragraph 5: "It circulates on movement sections, and perform shunting operations on railway stations lines, on shunting areas and on industrial railways mentioned in Annex I to this certificate.”

4.5.4.2.1.2. at paragraph 6: “It circulates and / or performs shunting operations with engines railway vehicles listed in Annex. II to this certificate”.

4.5.4.2.2. Railway operator performing only railway transport operations type C:

4.5.4.2.2.1. at paragraph 5: “Perform shunting operations on railway stations lines, on shunting areas and on industrial railways mentioned in Annex I to this certificate.”

4.5.4.2.2.2. at paragraph 6: “Perform shunting operations with railway


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motor vehicles listed in Annex. II to this certificate”. 4.5.5. Documents evaluation note for granting a SC followed by two copies of

SCA and SCB, is submitted to Juridaical Department to be endorsed and to ASFR director to be signed, approved and stamped, on SCA and SCB copies.

4.5.6. Data on SC holder (railway operator name, type of railway transport, issue date, validity date, traffic sections, railway stations, shunting areas, industrial railway lines, work stations, railway motor vehicle including no. and series etc.) are registered by the employee within SCAS, as lies in the job task, in the data base of the SC, existing on computer.

4.6. Issuing a SC

4.6.1. When granting a SC the person responsible for SC application shall notify the applicant in writing of its decision to grant the SC.

4.6.2. The original of SC is given to the applicant or to its authorized representative, who will sign for in the "Register of SC issued" (Annex 4 to the PS-2210-1 - code FPS-2210-1-4).

4.6.3. Applicant's representative will present proof of authorization in original, signed and stamped by the railway operator’s management.

4.6.4. Applicant's representative, who will pick up SC, will write down at "Confirm receipt" section the following: full name, ID (serial no.), date and signature.

4.7. Supervision during the validity period of a new SC

4.7.1. Supervision during the validity period of a new SC, is realized by ASFR departments based on specific applicable regulations.

4.8. SC suspension or withdrawal

4.8.1. SC suspension 4.8.1.1. SC part A and / or part B suspension is made by ASFR, in

accordance with the laws and regulations in force on the granting of a SC.

4.8.1.2. SCA and / or SCB suspension is made when: 4.8.1.2.1. specific regulations in force and / or requirements that have

been led to grant a CSA and / or a CSB are no longer complied with by a railway operator from Romania, in accordance with laws and regulations in force on granting of a CS;

4.8.1.2.2. as a result of LRT suspension in accordance with laws and regulations in force on granting of a CS.

4.8.1.3. SCA suspension is followed by SCB suspension. 4.8.1.4. The justified decision for SCA and SCB, or only SCB suspension

shall be submitted in writing to the owner of SCA and SCB, and to the railway infrastructure administrator/manager, and also to the RSI where the railway operator operates.

4.8.1.5. Suspended SCA and / or SCB are entered in the “Register of SC suspended/revoked” (Annex 5 to PS-2210-1 – code FPS-2210-1-5) by the person responsible with SC application.


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4.8.1.6. Cancellation of SCA and / or SCB suspension is made by ASFR after performing inspection actions and / or railway safety audit confirming the elimination of nonconformities that led to suspension.

4.8.1.7. Railway operator, railway infrastructure administrator / manager and also to the RSI where railway operator operates will be notified of cancellation of SCA and / or SCB suspension.

4.8.1.8. In case of SCB suspension, after six months SCA validity is terminated if in the meantime the cancellation of suspension did not occur for the railway operator.

4.8.1.9. Cancellation of SCA and / or SCB suspension is recorded in the “Register of SC suspended/revoked” (Annex 5 to PS-2210-1 – code FPS-2210-1-5) by the person responsible with SC application.

4.8.2. SC withdrawal 4.8.2.1. SCA and / or SCB withdrawal is made by ASFR, in accordance with

the laws and regulations in force on the granting of a SC. 4.8.2.2. SCA and / or SCB withdrawal is made when:

4.8.2.2.1. specific regulations in force and / or requirements that have been led to grant a CSA and / or a CSB are no longer complied with by a railway operator from Romania, in accordance with laws and regulations in force on granting of a CS;

4.8.2.2.2. as a result of LRT withdrawal in accordance with laws and regulations in force on granting of a CS.

4.8.3. The justified decision for SCA and SCB, or only SCB withdrawal shall be submitted in writing to the owner of SCA and SCB, and to the railway infrastructure administrator/manager, and also to the RSI where railway operator operates.

4.8.4. Revoked SCA and / or SCB are entered in the “Register of SC suspended/revoked” (Annex 5 to PS-2210-1 – code FPS-2210-1-5) by the person responsible with SC application, the ASFR copy will be filed.

4.8.5. SCA withdrawal is followed by SCB withdrawal. 4.8.6. In case of SCB withdrawal, after six months SCA validity is terminated, if

in the meantime the railway operator didn’t get another SCB.

4.9. Appeals 4.9.1. The applicant has the right to appeal ASFR decisions of un-granting,

suspension or, as applicable, withdrawal of the SCA and / or SCB. 4.9.2. Resolution of appeals filed within legal term is made by the board of

AFER.

4.10. Assessing the level of satisfaction for SC applicants

4.10.1. Every year, in the fourth quarter, AFER by AFERS will conduct a satisfaction survey of applicants for CS, according to form code FPS-2210-1-16.

4.11. Publications

4.11.1. ASFR decisions regarding SCA and / or SCB granting, suspension, withdrawal and cancellation of suspension/withdrawal, will be published in AFER Bulletin.


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5. TASKS AND RESPONSABILITIES:

5.1. ASFR Director:

5.1.1. approves SCA and / or SCB; 5.1.2. approves SCA and / or SCB suspension / withdrawal; 5.1.3. endorses explanatory note regarding the fee for granting a SCA and /

or SCB; 5.1.4. endorses evaluation note for granting SCA and / or SCB.

5.2. Head of Department: 5.2.1. sign on ASFR copy for SCA and / or SCB; 5.2.2. endorses SCA and / or SCB suspension / withdrawal; 5.2.3. sign on explanatory note regarding the fee for granting a SCA and / or

SCB; 5.2.4. sign on evaluation note for granting SCA and / or SCB.

5.3. Head of SCAS : 5.3.1. monitors and manages the entire activity for granting SC; 5.3.2. sets the person responsible with SC application (necessary documents to

obtain a SC); 5.3.3. sign on the checklist for acceptance documents;

5.3.4. endorses explanatory note regarding the fee for granting a SCA and / or SCB;

5.3.5. sign on evaluation note for granting SCA and / or SCB; 5.3.6. sign on SCA and / or SCB ASFR’s copy.

5.4. Person responsible for SC application:

5.4.1. assesses all documents presented for SCA and / or SCB according to OMT no.535/2007, with subsequent amendments, in force;

5.4.2. follows and complies with timescale set out in OMT no.535/2007, with subsequent amendments, in force;

5.4.3. writes the evaluation note for all the documents for SCA and / or SCB; 5.4.4. writes the explanatory note and sign on this; 5.4.5. writes both copies of SCA and / or SCB; 5.4.6. ensures the interface with applicant, writes, sends and receives all

correspondence with the applicant; 5.4.7. creates the verification list for all required documents to obtain a SC; 5.4.8. keep confidentiality of the information to which he had access in granting

of SCA and / or SCB; 5.4.9. files all documents received / sent for SCA and / or SCB in a file; 5.4.10. files all the files for SCA and / or SCB for which was responsible.

5.5. Juridical Department advises in terms of legality: 5.5.1. SC, ASFR copy; 5.5.2. Evaluation note; 5.5.3. Other documents on the correspondence (withdrawal / suspension / duplicate release of SC, application file rejection, correspondence with other institutions, as the case).


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6. ANNEXES

6.1. Annex 1 – Application for a safety certificate code FPS-2210-1-1. 6.2. Annex 2 – Evaluation note code FPS-2210-1-2. 6.3. Annex 3 – Register of applications for SC received / rejected code FPS-2210-1-3. 6.4. Annex 4 – Register pf SC issued code FPS-2210-1-4. 6.5. Annex 5 – Register of SC suspended/revoked code FPS-2210-1-5. 6.6. Annex 6 – Safety certificate Part A code FSP-2210-1-6. 6.7. Annex 7 – Safety certificate Part B code FSP-2210-1-7. 6.8. Annex 8 – Explanatory note on the fee for granting a SCA to the railway operator

performing railway transport operations type A, B, A and B or only type C code FPS-2210-1-8.

6.9. Annex 9 – Explanatory note on the fee for granting a SCB to the railway operator performing railway transport operations type A, B, A and B code FPS-2210-1-9.

6.10. Annex 10 – Explanatory note on the fee for granting a SCB to the railway operator performing only railway transport operations type C code FPS-2210-1-10.

6.11. Annex 11 – Explanatory note on the fee for granting a SCA in urgent terms to the railway operator performing railway transport operations type A, B, A and B, or only type C code FPS-2210-1-11.

6.12. Annex 12 – Explanatory note on the fee for granting a SCB in urgent terms to the railway operator performing railway transport operations type A, B, A and B code FPS-2210-1-12.

6.13. Annex 13 – Explanatory note on the fee for granting a SCB in urgent terms to the railway operator performing only railway transport operations type C code FPS-2210-1-13.

6.14. Annex 14 – Verification list for all required documents to obtain a SCA code FPS-2210-1-14.

6.15. Annex 15 – Verification list for all required documents to obtain a SCB code FPS-2210-1-15.

6.16. Annex 16 – Questionnaire for assessing satisfaction of applicants for safety certificate code FPS-2210-1-16.


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Annex 1

code FPS-2210-1-1

SAFETY CERTIFICATE APPLICATION

Application for safety certificate confirming acceptance of the railway operator’s Safety Management System – Safety certificate (part A) – and/or confirming acceptance of the provisions adopted by the railway operator to meet specific requirements necessary for safe operation on the relevant network – Safety certificate (part B) – in conformity with

Directive 2004/49/EC and applicable national legislation

SAFETY AUTHORITY REFERENCE NUMBER

SAFETY ORGANIZATION/AUTHORITY CONTACT INFORMATION

1.1. Safety organization/authority addressed for the request ____________________________________________ 1.2. Complete postal address (street, postal code, city, country) ____________________________________________

______________________________________________

2.1. This application is for a PART A CERTIFICATE □

2.2. New certificate □ 2.4. Updated/amended certificate □

2.3. Renewed certificate □ 2.5. EU Identification Number of

the previous Part A Certificate _________________________

Type(s) of service(s) requested (select one or more) and estimated total volume of goods/passengers

Passenger transport

Freight transport

2.14. Shunting only □

2.15. Service to begin in ___________________________________________

The applying railway operator belongs to the following categories for estimated numbers of employees

2.16. Micro enterprise □ 2.18. Medium sized enterprise □

2.17. Small enterprise □ 2.19. Large enterprise □

3.1. This application is for a PART B CERTIFICATE □

3.2. New certificate □ 3.4. Updated/amended certificate □

3.3. Renewed certificate □ 3.5. EU identification Number of the

Previous Part B Certificate __________________

Type(s) of service(s) requested and estimated volume of goods/passengers on the network where Part B will apply (one or more to be selected)

3.6. including high-speed services □ 3.8. Less than 200 million □

Passenger transport passenger-km per year

3.7. excluding high-speed services □ 3.9. 200 million or more passenger-km □

per year

3.10. including dangerous goods □ 3.12. Less than 500 de million □

Freight transport services tone-km per year

3.11. excluding dangerous goods □ 3.13. 500 million or more tone-km □

services per year

2.6. including high-speed services □

2.7. excluding high-speed services □

2.10. including dangerous goods □

services

2.11. excluding dangerous goods □

services

2.8. Less than 200 million □ passenger-km per year

2.9. 200 million or more passenger-km □

per year 2.12. Less than 500 de million □

tone-km per year

2.13. 500 million or more tone-km □

per year


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3.14. Shunting only □

3.15. Service to begin in ___________________________________________

3.16. Lines intended to be operated

If the applicant already holds a valid Part A Certificate (acceptance of the Safety Management System) it should

provide the following information

3.17. EU Identification Number of Safety Certificate – Part A _____________________________________

3.18. State that has issued the Safety Certificate – Part B _____________________________________

IF THE APPLICANT ALREADY HOLDS ONE (OR MORE) VALID PART B CERTIFICATE(S) IT SHOULD

PROVIDE THE FOLLOWING INFORMATION

4.1. EU Identification Number(s) of issued Safety _________________________________________________

Certificate(s) – Part B _________________________________________________

IF THE APPLICANT HAS A LICENCE AND IS APPLYING FOR PART A AND/OR PART B CERTIFICATE(S)

IT SHOULD PROVIDE THE FOLLOWING INFORMATION

4.2. EU Notification Number of the Licence ______________________________________________________

4.3. State that had issued the Licence ______________________________________________________

APPLICANT’S INFORMATION

5.1. Legal denomination ____________________________________________________________________________

5.2. Railway operator name _________________________________ 5.3. Acronym __________________________

5.4. Complete postal address (street, postal code, city, country) ____________________________________________ ______________________________________________

5.5. Phone number ______________________________ 5.6. Fax number ___________________________________

5.7. Email address _______________________________ 5.7. Website ______________________________________

5.9. National registration number ___________________ 5.10. VAT No ______________________________________

5.11. Other information _____________________________________________________________________________

Contact person information

6.1. Family name and first name _______________________________________________________

6.2. Complete postal address (street, postal code, ________________________________________________________

city, country) ________________________________________________________

6.3. Phone number ______________________________ 6.6. Fax number ___________________________________

6.7. Email address ________________________________________________________________________________

Applicant______________________________________

(first name, family name)

Date _________________________________________ Signature __________________________________________

Internal reference number

_____________________________________________ Date application received _____________________________

SPACE RESERVED FOR THE

ADDRESSED OFFICE/AUTHORITY


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Annex 2

code FPS-2210-1-2 ROMANIAN RAILWAY SAFETY AUTHORITY

CERTIFICATION AND SAFETY AUTHORISATION SERVICE

APPROVED

DIRECTOR,

…………… N O T E

on the assessment of the documents submitted by

……………........................................………………….

for granting safety certificates Part A and Part B

Analyzing documents submitted by ............... .. for granting safety certificates Part A and Part B in accordance with the requirements of the rules for granting the safety certificates approved by OMT no. .: ........., were found the following:

The carrier ………………………………….. holds railway licence no. ……….. valid for the type of transport service for which is requesting the safety certificate.

………………………….. it has developed its own system of safety management in accordance with ………………..

……………..............….. it requested performing railway operations type A/B/A and B/C on traffic/shunting sections listed in Annex I to the safety certificate, Part B.

The motor rolling stock which …………………………………………….... will perform railway operations A/B/A and B/C on requested traffic/shunting sections that was assessed/ authorized by the specialist staff of AFER - ONFR and is mentioned in Annex II of Part B safety certificate.

………………………….... will perform railway transport operations type A/B/A and B/C with covered and uncovered wagons for general cargo and/or specially designed for general cargo and dangerous goods.

The motor rolling stock driver and the staff accompanying trains is medically and psychologically fit, qualified and licensed for the type of railway service, for the type of locomotive on which performs service and for traffic sections for which was required the safety certificate, according to all documents presented on the file.

Theoretical and practical training of drivers and accompanying trains’ staff is made with certified staff for providing training, improving and authorization for staff responsible in traffic safety, in accordance with the Order no. 68/2003

of General Director of AFER, on agreement contract with ............... The operator has a AFER certified safety adviser (where applicable). Maintenance of motor rolling stock is made: under contract no. …………… made with ………………….., the entity

being in possession of: railway provider authorization AF series no. …….... and railway technical agreement AT series no. ……………...., or by its own personnel under the of railway provider authorization AF series no. …………..... and railway technical agreement AT series no. ...............

Technical revisions to trains (at composition, transit, arrival) are made: under contract no. ……... made with ………………….., the entity is in possession of railway provider authorization AF series no. …….... and railway technical agreement AT series no. …….. or by its own staff under the authorization of railway provider AF series no. ………... and railway technical agreement AT series no. ...............

The operator has ASFR certified personnel with responsibilities in organization and management of railway transportation and traffic safety operations.

……………………… sent a copy of the payment order no. …….. , representing the equivalent payment for assessing the documentation and granting a safety certificate, Part A and copy of the payment order no. ……..., representing the equivalent payment for assessing the documentation and granting a safety certificate, Part B.

Given the above, it is proposed:

Granting a safety certificate Part A with EU identification no. …………….. to the railway operator ………………………………………….. starting …………………

Granting a safety certificate Part B with EU identification no. …………….. to the railway operator ………………………………………….. starting …………………

Responsable for SC application

……………………….

Head of Department

……………………….

Head of SCAS ……………………….


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Annex 3 code FPS-2210-1-3

Register of SC applications received / rejected

SC file no.

SCAS register no.

Applicant Type of

transport operat ions

Request

Comments SCA SCB

Annex I Annex II

0 1 2 3 4 5 6 7


Register of SC issued


Register of SC suspended / withdrawn

SCA SCB

Railway operator

SUSPENDED SUSPENSION WITHDRAWAL

WITHDRAWN

Internal Reference no.


EU Identification no.


From To From From

SCA SCB

Applicant

Issued Document

Issuing date

Receiving confirmation



SCA

SCB Delegate full

name



Annex I ID no.

Annex II Date and delegate signature

0 1 2 3 4 5


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SAFETY CERTIFICATE - PART A

Safety Certificate confirming acceptance of the Safety Management System within European Union in conformity with Directive 2004/49/EC and applicable national legislation

EU IDENTIFICATION NUMBER

1. CERTIFIED RAILWAY OPERATOR

Legal denomination:

Railway operator name: Acronym:

National registration number: VAT No.:

2. CERTIFICATE ISSUING ORGANISATION

Organization: ROMANIAN RAILWAY SAFETY AUTHORITY - ASFR Country: ROMANIA

3. CERTIFICATE INFORMATION

This is a

- new certificate □ ERM certificate (entity responsible for maintenance) YES/NO

- renewed certificate □ ERM Certificate Number :

- updated/amended certificate □ EU Identification Number of the previous certificate:

Validity from: dd.mm.yyyy to: dd.mm.yyyy

Type(s) of service(s) :

Transportation volume:

Railway operator size:

The scope of ERM activities:

Covers tank wagons for dangerous goods: YES / NO

Covers other wagons specialized in transport of dangerous goods: YES / NO

4. APPLICABLE NATIONAL LEGISLATION

Law no. 55/2006 on railway safety with subsequent amendments into force;

Minister of Transportation Order no. 535/2007 approving the norms for granting the railway transport license and safety certificates for railway transportations services on the railways in Romania, with subsequent amendments into force.

5. ADDITIONAL INFORMATION

Renewal, updating / amending, suspension and withdrawal of the safety certificate shall be made in accordance with OMT no. 535/2007 with subsequent amendments into force.

Date issued

dd.mm.yyyy Signature


SCA nnnn (last 4 digits of EU Identification no.)

Authority’s stamp

Director,


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SAFETY CERTIFICATE - PART B Safety Certificate confirming acceptance of the Provisions adopted by the railway operator to meet specific requirements necessary for the safe operation on the relevant network in conformity with

Directive 2004/49/EC and applicable national legislation _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

EU IDENTIFICATION NUMBER

1. CERTIFIED RAILWAY OPERATOR

Legal denomination:

Railway operator’s name: Acronym:

National registration number: VAT No.:

2. CERTIFICATE ISSUING ORGANISATION

Organization: ROMANIAN RAILWAY SAFETY AUTHORITY - ASFR

Country: ROMANIA

3. INFORMAŢII PRIVIND CERTIFICATUL

This is a

- new certificate

- renewed certificate

- updated/amended

certificate

□

□

□

EU Identification Number of the previous certificate:

Validity from: dd.mm.yyyy to: dd.mm.yyyy

Type(s) of service(s) :

4. SAFETY CERTIFICATE – PART A (acceptance of the Safety Management System)

EU Identification Number: according to the Safety Certificate – Part A into force

5. LINES OPERATED

according to paragraph 4.5.4.2

6. SPECIFIC CONDITIONS AND LEGISLATION

according to paragraph 4.5.4.2

7. APPLICABLE NATIONAL LEGISLATION

Law no. 55/2006 on railway safety with subsequent amendments into force;

Minister of Transportation Order no. 535/2007 approving the norms for granting the railway transport license and safety certificates for railway transportations services on the railways in Romania, with subsequent amendments into force.

Date issued


SCB nnnn (last 4 digits of EU Identification no.)

dd.mm.yyyy

Signature ______________________________

Authority’s stamp Director,


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No. ………/……….

Approved, ASFR Director

…………….

Explanatory note

on fee for granting a SCA (new, renewed) to railway operators performing railway transport operations of type A, B, A and B, or only C

Legal denomination:.............................. File no. …./(year)

No. CALCULATION ELEMENT UM VALUE

1 Hourly rate (Hr) Euro 15

2 Documents assessment time (Da)

Hours 96 (A, B or A and B) / 48 (C)

3 Certificate issuance (Ci) Euro 20

4 Total = Da x Hr + Ci Euro 1460 / 740

Service fee: …...... Euro plus VAT

Date : dd.mm.yyyy

Person in charge with the file ……………………….

Head of Department, ……………………….

Head of SCAS, ……………………….


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No. ………/……….


…………….

Explanatory note on fee for granting a SCB (new, renewed, updated/amended) to railway operators

performing railway transport operations of type A, B, A and B


No. Traffic section Length of traffic – D (km)

1 Sections of movement mentioned in application

D < 50Km 51 < D < 200Km D > 200Km



2 Documents assessment time (Da) Hours 60 / 90 / 108

3 Standard time for assessing shunting area (Tsa) Hours 7

4 Assessment time for the railway operator type A,B (At A,B) Hours 5

5 Assessment fee for the railway operator type C (At C) Euro 35

6 Number of shunting areas (Nsa) Piece *

7 Number of locomotives for the railway operator type A, B (Nl A,B) Piece *

8 Number of locomotives for the railway operator type C (Nl C) Piece *


10 Total= Hr x (Da+ Tsa x Nsa + Nl A,B x At A,B) + Ci Euro …..


Date : dd.mm.yyyy

*As mentioned in the application





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No. ………/……….


…………….

Explanatory note on fee for granting a SCB (new, renewed, updated/amended) to railway operators

performing railway transport operations of type C




2 Documents assessment time (Da) Hours 48






8 Total= Hr x Da + Hr x Tsa x Nsa + Nl C x At C + Ci Euro …..


Date : dd.mm.yyyy

*As ment ioned in the appl icat ion





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No. ………/……….


…………….

Explanatory note

on fee for granting a SCA (new, renewed) in urgent terms to railway operators performing railway transport operations of type A, B, A and B, or only C




2 Documents assessment time (Da) Hours 96 (A, B or A and B) / 48 (C)

3 k3 (correction factor) - 2


5 Total= Da x Hr x k3 + Ci Euro …


Date : dd.mm.yyyy





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No. ………/……….


…………….

Explanatory note on fee for granting a SCB (new, renewed, updated/amended) in urgent terms

to railway operators performing railway transport operations of type A, B, A and B


No. Traffic section Length of traffic – D

(km)

1 Sections of movement mentioned in application

D < 50Km 51 < D < 200Km D > 200Km

No. CALCULATION ELEMENT UNIT VALUE


2 Documents assessment time (Da) Hours 60 / 90 / 108


4 Assessment time for the railway operator type A,B (At A,B) Hours 5



7 Number of locomotives for the railway operator type A, B (Nl A,B) Piece *




11 Total= k3 x (Hr x Da + Hr x Tsa x Nsa + Hr x Nl A,B x At A,B + Nl C x At C) + Ci

Euro …..


Date : dd.mm.yyyy






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No. ………/……….


…………….

Explanatory note on fee for granting a SCB (new, renewed, updated/amended) in urgent terms

to railway operators performing railway transport operations type C only


No. CALCULATION ELEMENT UM VALUE 1 Hourly rate (Hr) Euro 15

2 Documents assessment time (Da) Hours 48







9 Total= k3 x (Hr x Da + Hr x Tsa x Nsa + Nl C x At C) + Ci Euro …..


Date : dd.mm.yyyy






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Annex 14

Code FPS 2210-1-14

Romanian Railway Safety Authority

Safety Certification and Authorization Service

YES NO DATE

Signature

File acceptance HS

PF.

SC Issuing HS

PF.

CHECKLIST FOR THE FILE ACCEPTANCE AND EVALUATION FOR ISSUING THE SAFETY CERTIFICATE

Acceptance Issuing

Applicant: File no. / date * **

License

Transportation type Type A

Type B

Type C

Safety Certificate part A

New

Renewed

Updated / amended

Updating / amending of Safety Certificate Part A

Changing the initial identification data of the applicant

Inserting / removing a type of railway transportation service

Inserting / removing of dangerous goods transportation

Switching to a higher transport category volume that the one held up in SC

GRANTING / RENEWAL

Application form in accordance to Regulation (EC) no. 653/2007

A copy of the license, currently valid

Railway safety policy statement

Qualitative and quantitative objectives to maintain and improve railway safety

Plans and procedures for reaching these targets - their numbers............

Procedures according to Annex II of Regulation (EU) no. 1158/2010

Table of concordance between the requirements of Annex II from Regulation (EU) no. 1158/2010 and the presented procedures

Decision appointing the person in charge of railway safety management (RSMS) certified by ASFR


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Evidence of organizing inspections and monitoring before train departure or on route

Proof for the payment fee for granting the safety certificate Part A

Other documents (must be specified) ………………………………………………………………………………

………………………………………………………………………………

UPDATING / AMENDING



A copy of the license for the new identification data of the railway operator, currently valid

Copy of the new supervisory conventions concluded with AFER



………………………………………………………………………………

………………………………………………………………………………

Introducing a new type of railway transportation service


A copy of the license for new railway transportation service introduced, currently valid

List of existing activities that have changed with the introduction of the new type of transport service

List of newly emerging activities

Risk assessment procedure introduced by the new type of transport service

Procedures that have been changed following the introduction of the new type of railway transportation service

Appropriate procedures for activities resulting from the introduction of the new type of railway transportation service



………………………………………………………………………………

………………………………………………………………………………

Introducing the transport of dangerous goods


A copy of the license for transportation of dangerous goods service, currently valid

List of existing activities that have changed with the introduction of transportation of dangerous goods

List of newly emerging activities appeared with the introduction of transportation of dangerous goods

Risk assessment procedure introduced by the new type of transport service

Procedures that have been changed following the introduction of the new type of railway transportation service

Appropriate procedures for activities resulting from the introduction of the new type of railway transportation service



………………………………………………………………………………

………………………………………………………………………………


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Switching to a higher transport category volume that the one held up in SC


List of existing activities that have changed with the introduction of new transportation volume

List of newly emerging activities appeared with the introduction of new transportation volume

Risk assessment procedure introduced by the new transportation volume

Procedures that have been changed following the introduction of the new transportation volume

Appropriate procedures for activities resulting from the introduction of the new transportation volume



………………………………………………………………………………

………………………………………………………………………………

Legend

Column*

Symbol Column **

Document exists √

Document corresponds

Document does not exist x

Document does not exist

Document is not necessary −

Inadequate Document

HS Head of service

PF Person in charge

with the file


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Annex 15 code FPS 2210-1-15

Romanian Railway Safety Authority

Safety Certification and Authorization Service

YES NO Date Signature

File acceptance HS

PF

SC Issuing HS

PF

CHECKLIST FOR THE FILE ACCEPTANCE AND EVALUATION FOR ISSUING THE SAFETY CERTIFICATE

Acceptance Issuing

Applicant: File no. / date * **

License

Transportation type Type A

Type B

Type C

Safety certificate part B

New

Renewed

Updated / amended

Updating / amending of Safety Certificate Part B


Inserting / removing a type of railway transportation service

Inserting / removing of dangerous goods transportation

Inserting / removing the traffic section / sections, railway station / stations, shunting area / areas or industrial railway lines to / from the Annex. I of Safety Certificate Part B

Inserting / removing vehicles to / from the Annex. II of Safety Certificate Part B

GRANTING / RENEWAL


A copy of the license, currently valid

The list with identifying data for each traffic section required

The list with identifying data for shunting area/areas required

Copy of authorization to operate the industrial railway line and the transit line, as the case

Copy of authorization to operate the transit industrial railway line

Drawing of railway station that connects to industrial railway line

The nominal list of personnel used for driving

management statement that driving personnel of the vehicle service does not perform the service in simplified system (if applicable)


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Declaration of driving staff as they have knowledge of towing sections, of provisions from the operating technical plans of railways stations and complexes, as well as provisions of technical regulation of industrial railway lines exploitation

List of staff used for shunting and accompanying trains

Shunting and accompanying staff declaration as they have knowledge about traffic sections, shunting areas, technical operating plans for stations and railway complexes, and about the provisions of technical regulations operation for industrial railway lines

Proof of professional training (theoretical and practical) for staff with responsibilities in traffic safety

A copy of the contract / agreement for professional training completed with authorized companies

or if the railway operator has certified personnel

A copy of the certificate issued by AFER

The decision appointing the person in charge of vocational training for staff certified by AFER

The copy of the document showing the relationship between the railway operator and the person / persons certified / attested

Copy of the safety adviser certificate for transportation of dangerous goods

Decision appointing safety adviser in the transport of dangerous goods

The copy of the document showing the relationship between the railway operator and the person / persons certified / attested

Railway operator’s management statement that there are no dangerous goods transport operation

A copy of ASFR certificate for the staff involved in the organization and management of railway transport operations and traffic safety

A copy of ASFR certificate for the staff with responsibilities in the management and organization of railway shunting operations and traffic safety

List of identifying details for vehicles used to carry out the railway transport activities type A and / or B

Proof of vehicle registration in the National Vehicle Register (NVR)

Evaluation reports on vehicles

List of identifying details for vehicles used only for shunting operations

A copy of technical authorization of the vehicle issued by de ONFR


Railway Technical Agreement or railway technical homologation certificate issued by ONFR for the imported type of vehicle

Proof of cover vehicle maintenance

Railway operator provider authorization

Railway technical agreement issued to the railway operator by ONFR

Maintenance contracts

Authorization of railway maintenance provider

Railway technical agreement issued by ONFR to the maintenance entity

Copies of the documents issued by EU Member State authority to the vehicle maintenance entity

Certified translation of these documents in Romanian

A copy of the contract between the railway operator and vehicle maintenance entity


Proof of ensuring for technical revisions to trains in railway stations at composition, in transit and on arrival

Railway operator provider authorization

Railway Technical Agreement for the technical inspection service operator issued by ONFR

Contracts with companies authorized for maintenance

Authorization as a railway provider to the entity

Railway Technical Agreement issued by ONFR to that entity


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The document issued by the railway infrastructure administrator / manager confirming that the operator / entity performing revisions has necessary staff and facilities in nominated stations

A copy of specific regulations drawn up by the applicant showing that provides technical checks on automotive vehicle type, electrical frame and other similar to

Commitment Declaration of operator management of the compliance with the technical, technological, organizational and conduct of traffic and shunting operations and requirements designed to offer benefits or protection to consumers

Commitment Declaration of operator management that, during the period of validity for safety certificate, will announce ASFR any change of data in the documents submitted at the request of granting safety certificate

Declaration of Commitment of the railway operator management to accept audits performed by ASFR

A copy of supervisory agreement concluded with AFER

Copies of certificates for entities in charge of maintenance (certificates ERM) currently valid

A copy of ERM certificate

Proof for the payment fee for granting the safety certificate

UPDATING / AMENDING



A copy of the safety certificate part A with new identification data of the railway operator

Declaration of the railway operator management stating that all identified hazards and afferent risks are controlled at acceptable level, based on the results of applying Regulation (EU) no. 352/2009, Regulation (EU) no. 402/2013 and safety assessment report prepared by the assessment body

Proof for the payment fee for granting the safety certificate part B

Introducing a new type of rail service


A copy of the license with new railway service introduced, currently valid

List of identification data traffic sections which will perform new introduced service

List of vehicle identification data used only for newly introduced service type



Railway technical agreement or railway technical homologation certificate issued by ONFR for the imported type of vehicle

List of vehicle identification data used only for railway shunting operations


A copy of the registration certificate

Copy of ID card



Management statement that staff vehicle staff does not execute the service in simplified system (if applicable)

Driving staff declaration as having knowledge of towing sections, of the provisions of the technical plan of operation of stations and railway complexes, as well as provisions of technical rules for the operation of industrial railways


Declaration of the railway operator management stating that all identified hazards and afferent risks are controlled at acceptable level, based on the results of applying Regulation (EU) no. 352/2009, Regulation (EU) no.


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402/2013 and safety assessment report prepared by the assessment body


Other documents (must be specified) …………………………………………..……………………………………………..

………………………………………………………………………………………………

………………………………………………………………………………………………

Introducing the transport of dangerous goods


A copy of the safety adviser certificate for transport of dangerous goods

Decision appointing the safety adviser for transport of dangerous goods

A copy of the document showing the relationship between the operator and the person / persons certified / attested



Other documents (must be specified) ……………………………………………………………………………………..

………………………………………………………………………………………………

………………………………………………………………………………………………

Inserting / removing of section(s) from Annex I of Safety Certificate Part B


The list with identifying data for each traffic section required





Shunting and accompanying staff declaration as having knowledge of traffic sections, of towing sections, of the provisions of the technical plan of operation of stations and railway complexes, as well as provisions of technical rules for the operation of industrial railways

Proof of ensuring for technical revisions to trains in railway stations at composition, in transit and on arrival

Provider for railway operator authorization

Railway Technical Agreement for the technical inspection service issued by ONFR

Contracts with authorized entities for maintenance

Entity’s authorization as a railway provider

Railway Technical Agreement issued by ONFR to that entity

The document issued by the IM confirming that the entity performing technical revisions has all necessary staff and facilities in nominated stations

A copy of specific regulations drawn up by the applicant as they can provide technical checks on motorcar vehicle type, electrical frame and other similar to

A copy of updated Supervisory Convention with AFER

Declaration of the railway operator management stating that all identified hazards and afferent risks are controlled at acceptable level, based on the results of applying Regulation (EU) no. 352/2009, Regulation (EU) no. 402/2013 and safety assessment report prepared by the assessment


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body



………………………………………………………………………………………………

………………………………………………………………………………………………

Inserting / removing shunting area(s) from Annex. I of Safety Certificate Part B


The list with identifying data for required shunting area(s)

A copy of authorization to operate the industrial railway line and transit line, if necessary

A copy of authorization to operate the transit industrial railway

Chart of railway station that connects with the industrial railway line

The list with identifying data for vehicles used only for shunting operations








A copy of updated supervisory convention with AFER




………………………………………………………………………………………………

………………………………………………………………………………………………

The introduction of motor rolling stock in Annex II of the safety certificate

Part B


The list with identifying data for vehicles used only for the newly introduced service







Proof for maintenance cover of vehicle

Authorization as a railway provider for operator

Railway technical agreement issued by ONFR to the operator

Agreements with mmaintenance entities


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Authorization as a railway provider for the maintenance entity

Railway technical agreement issued by ONFR to the maintenance entity

Copies of the documents issued by EU Member State authority for vehicle maintenance unit


A copy of the contract between the railway operator and vehicle maintenance unit





………………………………………………………………………………………………

………………………………………………………………………………………………

Legend

Column* Symbol Column **

Document exists √ Document corresponds

Document does not exist x Document does not exist

Document is not necessary

− Inadequate Document

HS Head of service

PF Person in charge with the file


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Annex 16

Code FPS 2210-1-16

SATISFACTION QUESTIONNAIRE

FOR APPLICANTS OF SAFETY CERTIFICATES

How satisfied are you related to the following aspects of your organization's relationship with ASFR, in connection with the granting, renewal and / or updating / amending of safety certificates:

Very satisfied

Satisfied Neutral Less satisfied

Dissatisfied

Points 4 3 2 1 0

Availability of ASFR staff

Promptitude in meeting your request by ASFR staff

Solutions offered in case of any outstanding issues by ASFR staff

Courtesy of ASFR staff

AFER fee


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Annex 17

Code FPS 2212-1-17

Safety Certification and Authorization Service Fax:40(021)307.68.06 Tel: 40(021)307.68.50

No. 2210/

HANDOVER NOTE

Concluded today dd.mm.yyyy at the ASFR/SCAS headquarter between the

representative of ASFR/SCAS, Mr. / Ms..................... as the delivery person and the

representative of COMPANY X, Mr. / Ms ………....... as the receiver, while delivering -

receiving the file submitted by the COMPANY X by letter no. .................. / dd.mm.yyyy

registered at ASFR/SCAS with no. 2210 /...../ dd.mm.yyyy.

The file was dismissed by address ASFR/SCAS no. 2210 / NNNN / dd.mm.yyyy faxed

on dd.mm.yyyy, because it does not contain all the documents requested by OMT no.

535/2007, as supplemented and amended, as follows:

1. ………………………………………………………………………………………………

2. ………………………………………………………………………………………………

3. ………………………………………………………………………………………………

4. ………………………………………………………………………………………………

5. ………………………………………………………………………………………………

6. ………………………………………………………………………………………………

7. ………………………………………………………………………………………………

8. ………………………………………………………………………………………………

The receiver by his signature notes and confirms the lack of the above documents and

receives the file referred to, at the date of this handover note, and ASFR/SCAS operates in

its specific records delivering and closing the file.

This protocol has been concluded and signed in duplicate, one handed to the delivery

person and one to the receiver.

MINISTRY OF TRANSPORTATION ROMANIAN RAILWAY SAFETY AUTHORITY – ASFR

Bucharest, Calea Griviţei, no.393, sector 1, cod 010719

Delivery person Full Name Signature

Receiver Full Name Signature