Peter Sorger Section Technology OTIF development of technical regulations for international railway traffic Peter Sorger Section Technology Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF, COTIF and its application The appendices APTU and ATMF UTPs Content OTIF, COTIF and its application The appendices APTU and ATMF UTPs The admission of vehicles to international traffic The use of vehicles in international traffic Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF Organisation intergouvernementale pour les transports internationaux ferroviaires Zwischenstaatliche Organisation für den Internationalen Eisenbahnverkehr Intergovernmental Organisation for International Carriage by Rail Межправительственная организация по международным железнодорожным перевозкам 国际铁路联运组织 المنظمة الحكومية الدولية للنقل الدولي السككي Inter-Governmental organisation founded 1 May 1985 predecessor of OTIF was OCTI (Office Central des transports internationaux par chemins de fer) since 1893 48 Member States + 1 associate member 270,000 km of railway lines Official languages: English, French and German Headquarters: Berne, Switzerland Staff: +/- 20 fte Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

The Organisation – The staff Operational departments: Legal department : 3 experts responsible for private law questions Technical department : 3 experts responsible for implementing uniform prescriptions compatible with EU law. RID department : 2 experts coordinating regulations on the international carriage of dangerous goods Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

CTE SWGTECH Committee of Technical Experts - yearly cycles of the work Preparation of documents in 3 languages Notification of adopted documents 4 m. 4 m. ad-hoc WG 2 m. 2 m. ad-hoc WG Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

International Convention concerning the Carriage of Goods by Rail signed in 1890 Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

The legal interfaces of OTIF OTIF: Regulations on international rail transport Technical rules for interoperability/dangerous goods Regulation of transport contracts No prerequisite for regulating the rail market. European Union: Technical rules for interoperability and safety Internal regulation of transport contracts Implementation of liberal regulations for the rail market. OSJD: Technical rules for interoperability and safety Internal regulation of conditions of transport Administrative regulation of the rail market. Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Convention concerning COTIF 1999 COTIF Convention concerning International Carriage by Rail Appendix А Appendix B Appendix C Appendix D Appendix E Appendix F Appendix G CIV CIM RID CUV CUI APTU ATMF Uniform Rules concerning the Contract of International Carriage of Passengers by Rail Uniform Rules concerning the Contract of International Carriage of Goods by Rail Regulation concerning the International Carriage of Dangerous Goods By Rail Uniform Rules concerning Contracts of Use of Vehicles in International Rail Traffic Uniform Rules concerning the Contracts of Use of Infrastructure in International Rail Traffic Uniform Rules concerning the Validation of Technical Standards and Adoption of Uniform Technical Prescriptions applicable to Railway Material intended to be used in International Traffic Uniform Rules concerning the Technical Admission of Railway Material used in International Traffic Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Convention concerning OTIF Technical Admission COTIF 1999 Note: RIV and RIC have no origin in COTIF COTIF Convention concerning International Carriage by Rail OTIF Technical Admission Technical Prescriptions Appendix F APTU Uniform Rules concerning the Validation of Technical Standards and Adoption of Uniform Technical applicable to Railway Material intended to be used in International Traffic Admission Procedure Appendix G ATMF Uniform Rules concerning the Technical Admission of Railway Material used in International Traffic Appendix А Appendix B Appendix C Appendix D Appendix E CIV CIM RID CUV CUI Uniform Rules concerning the Contract of International Carriage of Passengers by Rail Uniform Rules concerning the Contract of International Carriage of Goods by Rail Regulation concerning the International Carriage of Dangerous Goods By Rail Uniform Rules concerning Contracts of Use of Vehicles in International Rail Traffic Uniform Rules concerning the Contracts of Use of Infrastructure in International Rail Traffic Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Geographical scope of COTIF and its appendices Situation on 3rd February 2014 Tous les appendices de la COTIF (33) Alle Anhänge des COTIF (33) All COTIF appendices (33) Sans ATMF (1) Ohne ATMF (1) Without ATMF (1) Sans CUI/ATMF (1) Ohne CUI/ATMF (1) Without CUI/ATMF (1) Sans CUI/APTU/ATMF (5) Ohne CUI/APTU/ATMF (5) Without CUI/APTU/ATMF (5) Sans CUV/CUI/APTU/ATMF (1) Ohne CUV/CUI/APTU/ATMF (1) Without CUV/CUI/APTU/ATMF (1) Sans CIV/RID/CUV/CUI/APTU/ATMF (2) Ohne CIV/RID/CUV/CUI/APTU/ATMF (2) Without CIV/RID/CUV/CUI/APTU/ATMF (2) COTIF 1999 pas encore ratifiée (3) COTIF 1999 noch nicht ratifiziert (3) COTIF 1999 not yet ratified (3) Suspension de la qualité de membre (2) Ruhen der Mitgliedschaft (2) Membership suspended (2) Membres associés (1) Assoziierte Mitglieder (1) Associate Members (1) Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF and EU Member States as at 01.01.2014 OTIF + EU (26) EU (2) OTIF membership COTIF 1999 not yet ratified : Italia, Ireland, Sweden Membership suspended : Iraq / Lebanon Associate member state : Jordan Regional economic integration organisation (OTIF member) : European Union (EU) Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF and OSJD Member States as at 01.01.2014 OSShD OTIF & OSShD OTIF & EU OTIF & OSShD & EU 270.000 KM 280.000 KM Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF, COTIF and its application The appendices APTU and ATMF UTPs Content OTIF, COTIF and its application The appendices APTU and ATMF UTPs The admission of vehicles to international traffic The use of vehicles in international traffic Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Comparing the objectives of EU and OTIF regulations Improve efficiency and market share of rail. Promote, improve and facilitate international traffic Scope of application Domestic and international traffic in the EU International traffic between OTIF Member States Market model EU Member States are required to open their rail markets to competition OTIF does not have requirements imposing a particular market model Prerequisites Interoperability by harmonisation of technical parameters, rules and safety requirements. Opening of supply market. Allowing competition. As a minimum: exchangeable vehicles Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Exchange of vehicles compared to interoperability RU2 takes over the vehicles from RU1 at a border crossing station Interoperability: uninterrupted movement of trains across borders Country A Country B Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF technical regulations compared to EU rail regulations APTU /ATMF UTPs EN Standards, UIC leaflets, etc. Interop.& Safety Directives TSIs EN Standards, UIC leaflets, etc. Objectives (different) Functional and technical requirements (equivalent) Means of compliance (identical) Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Scope of APTU and ATMF Adoption of new requirements (UTP) Technical prescriptions ATMF Admission and use of vehicles Adoption of new requirements (UTP) Responsibilities in approval process Responsibilities in international operation Validity of national requirements Admission procedures Responsibility for maintenance of vehicles X-acceptance of national requirements International recognition of admissions Accidents, non-compliance and other problems registers Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF, COTIF and its application The appendices APTU and ATMF UTPs Content OTIF, COTIF and its application The appendices APTU and ATMF UTPs The admission of vehicles to international traffic The use of vehicles in international traffic Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Additional requirements in force based on EU requirements Developed under APTU Developed under ATMF 2008/57/EC Annex III UTP GEN-A (Essential requirements) ATMF Annex A : ECM Regulation (EU) 445/2011 2008/57/EC Annex II UTP GEN –B (subsystems) ATMF Annex B Derogations 2008/57/EC Art. 9 2008/57/EC Annex VI, 2.4 UTP GEN-C (Technical file) 2008/57/EC Annex VIII UTP GEN-E (assessing entity) Uniform certificates Decision 2010/713/EU UTP GEN-D (Modules) Regulation (EC) No 402/2013 UTP GEN-G (Risk assessment) NVR specification Decision 2011/107/EU Regulation (EU) No 321/2013 UTP Freight wagons ECM register Decision 2011/229/EU UTP Noise VKM register Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Main developments ATMF revision Development under APTU Development under ATMF ATMF revision 2008/57/EC Annex III UTP GEN-A revised (Essential requirements) 2008/57/EC Annex VI, 2.4 UTP GEN-C revised (Technical file) ECM register ERADIS EU RISC opinion 24.10.2013 UTP LOC&PAS VKM register EU RISC opinion expected UTP PRM 2014 2014 Appendix P to the OPE TSI UTP Marking ERA recommendation issued UTP Noise revised 2015 ERA technical documents UTP Wagon updated Decision 212/757/EU UTP Operation Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Exchange of vehicles Interoperability development of OTIF under APTU/ATMF Base level: Application of APTU and ATMF Compliant separate assessment Level 1: Freight wagons UTPs GEN-A to GEN-G UTP WAG, UTP NOI RIV equivalence Level 2: Passenger carriages UTP PAS, SRT, PRM Safety management provisions RIC equivalence (?) Level 3: Interoperability at Train level UTP LOC UTP OPE UTP ENE RINF Register of types of vehicles Signalling Certification of RU/Driver Level 4: Infrastructure UTP INF Infrastructure and operational harmonisation on corridors 2020 Contracting states choose the level of application. 2017 2015 2012 2009 OTIF to assist with legal and technical implementation where requested Exchange of vehicles Interoperability Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF, COTIF and its application The appendices APTU and ATMF UTPs Content OTIF, COTIF and its application The appendices APTU and ATMF UTPs The admission of vehicles to international traffic The use of vehicles in international traffic Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Vehicle approval based on UTPs Contracting States Enacts the UTP rules (through validation of OTIF regulation) Manufacturer Designs and builds his product in compliance with the UTP rules Assessing entity (appointed or recognised by the Contracting State) Assessed and validates that the rules have been applied correctly Applicant (e.g. Manufacturer, RU, keeper) Requests the technical certificate based on the assessment Technical requirements For the subsystem (rolling stock) For the Elements of Construction (ICs) Procedures for assessment Modules as per UTP GEN-D As required by the chapter 6 Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Equivalence principle ATMF, for fully UTP compliant vehicles COTIF Admission to operation on the basis of ATMF, APTU EU Authorisation for placing in service on the basis of EU–Law Art. 3a § 2 ATMF, APTU 2008/57/EC Art. 6 § 3 Art. 3a § 1 Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

OTIF, COTIF and its application The appendices APTU and ATMF UTPs Content OTIF, COTIF and its application The appendices APTU and ATMF UTPs The admission of vehicles to international traffic The use of vehicles in international traffic Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Data exchange per ATMF OTIF CS in which the wagon is operated VKM OTIF CS in which ECM and/or keeper is located ECM and Keeper remain the same, independent from where the wagon is operated Competent authority Admission to operation Maintenance data Operational data ECM Maintenance file Keeper Technical file RU Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Phases and activities regulated in COTIF Structural UTPs UTP GEN-D UTP GEN-E ATMF ATMF & operational rules ECM regulation Design and production Manufacturer Verification Assessing entity (NoBo) Admission Applicant Competent authority Operation Keeper Railway undertaking Maintenance ECM Technical file UTP certificate of verification Certificate of operation Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014

Thank you for your attention Bas Leermakers, Head of Section technology + 41 31 359 10 25 bas.leermakers@otif.org Peter Sorger + 41 31 359 10 26 peter.sorger@otif.org Dragan Nesić dragan.nesic@otif.org www.otif.org Gryphenhübeliweg 30, CH - 3006 Bern Railway infrastructure development in the programming period 2014-2020, Sibiu, 19 February 2014