1. OTIF OTIF Developing international regulations for railways Railway Days Bucharest, Romania 8 October 2013

2. OTIF Content 1.OTIF introduction 2.Geographical vision 3.Mission 4.New opportunities 5.New tasks 6.OTIF and EU technical regulations compared 7.The convention and UTP development 8.International mutual acceptance of wagons Railway Days, Bucharest, 8 October 20132

3. OTIF Railway Days, Bucharest, 8 October 2013 OTIF O rganisation intergouvernementale pour les t ransports i nternationaux f erroviaires Zwischenstaatliche Organisation für den Internationalen Eisenbahnverkehr Intergovernmental Organisation for International Carriage by Rail Межправительственная организация по международным железнодорожным перевозкам 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 3

4. OTIF Railway Days, Bucharest, 8 October 2013 International Convention concerning the Carriage of Goods by Rail 1890 4

5. OTIF The Organosation : The specific characteristic of OTIF Developing international regulations for railways 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. OTIF: Regulations on international rail transport - Technical rules for interoperability/dangerous goods -Regulation of transport contracts - No prerequisite for regulating the rail market. The legal interfaces of OTIF Railway Days, Bucharest, 8 October 20135

6. OTIF Railway Days, Bucharest, 8 October 2013 Appendix F APTU 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 Appendix G ATMF Uniform Rules concerning the Technical Admission of Railway Material used in International Traffic COTIF 1999 COTIF Convention concerning International Carriage by Rail Appendix А CIV Uniform Rules concerning the Contract of International Carriage of Passengers by Rail Appendix B CIM Uniform Rules concerning the Contract of International Carriage of Goods by Rail Appendix C RID Regulation concerning the International Carriage of Dangerous Goods By Rail Appendix D CUV Uniform Rules concerning Contracts of Use of Vehicles in International Rail Traffic Appendix E CUI Uniform Rules concerning the Contracts of Use of Infrastructure in International Rail Traffic 6

7. OTIF Tous les appendices de la COTIF (33) Alle Anhänge des COTIF (33) All COTIF appendices (33) Sans CUI/APTU/ATMF (6) Ohne CUI/APTU/ATMF (6) Without CUI/APTU/ATMF (6) COTIF 1999 pas encore ratifiée (3) COTIF 1999 noch nicht ratifiziert (3) COTIF 1999 not yet ratified (3) Membres associés (1) Assoziierte Mitglieder (1) Associate Members (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) Suspension de la qualité de membre (2) Ruhen der Mitgliedschaft (2) Membership suspended (2) Sans ATMF (1) Ohne ATMF (1) Without ATMF (1) Champ d’application géographique de la COTIF et ses appendices Geografischer Anwendungsbereich des COTIF und dessen Anhänge Geographical scope of COTIF and its appendices Sans CUV/CUI/APTU/ATMF (1) Ohne CUV/CUI/APTU/ATMF (1) Without CUV/CUI/APTU/ATMF (1) Etat au 1 er septembre 2013 Stand 1. September 2013 Situation on 1 st September 2013

8. OTIF Content 1.OTIF introduction 2.Geographical vision 3.Mission 4.New opportunities 5.New tasks 6.OTIF and EU technical regulations compared 7.The convention and UTP development 8.International mutual acceptance of wagons Railway Days, Bucharest, 8 October 20138

9. OTIF The Convention concerning International Carriage by Rail offers all interested nations and regional organisations for economic integration a “neutral” legal framework. OTIF has recently received interest from GCC Common approaches ease co-operation and facilitate operations The development of a “law interface” A framework that offers legal and geographical flexibility The Organisation Developing international regulations for railways Geographical vision of OTIF

10. OTIF Content 1.OTIF introduction 2.Geographical vision 3.Mission 4.New opportunities 5.New tasks 6.OTIF and EU technical regulations compared 7.The convention and UTP development 8.International mutual acceptance of wagons Railway Days, Bucharest, 8 October 201310

11. OTIF The Organisation OTIF Mission 1/3 Legal department: developing private law that helps to define liability regimes and contracts with CIT, UIP, UIC, OSJD and UNECE Technical department: ensuring technical compatibility for rolling stock with CER, EU, ERA and UIC RID department: coordinating regulations on the international carriage of dangerous goods EU, OSJD and ADR. => a coordination and interfacing role

12. OTIF The Organisation OTIF Mission 2/3 The new OTIF regulations will entail operational consequences: ECM regulations will have to be implemented correctly in order to allow freight trains in cross-border traffic There is a need for common understanding of principles and implementation OTIF will also have to rely on the States themselves to implement the UTP correctly OTIF therefore now has a new role, to exchange, collect and disseminate information on the Member States' activities in the common interest. => The Organisation will have to develop a new monitoring role

13. OTIF The Organisation OTIF Mission 3/3 The aim: Develop new competencies Carry out in-depth studies, both technical and legal Give an opportunity to young experts from non-EU Member States to work on railway law The modalities: Request for candidates from prominent technical/legal university Definition of added value task a young expert programme underway

14. OTIF Content 1.OTIF introduction 2.Geographical vision 3.Mission 4.New opportunities 5.New tasks 6.OTIF and EU technical regulations compared 7.The convention and UTP development 8.International mutual acceptance of wagons Railway Days, Bucharest, 8 October 201314

15. OTIF The Organisation OTIF New opportunities 1/6 EU accession to COTIF The EU’s accession to COTIF in July 2011 is an opportunity to develop uniform railway law EU and OTIF have a complementary approach COTIF CIM and CIV are based on a contractual philosophy EU law is by nature public law With regard to technical regulation, OTIF has a bridging role, in order to ensure interoperability on the largest possible scale => Development of OTIF relies on a consensus based approach

16. OTIF The Organisation OTIF New opportunities 2/6 Renewed relationship with ERA ERA is developing safety and interoperability concepts and regulations under the control of EU Member States and the Commission Defining priorities: A roadmap for the transposition of the TSI Setting up efficient working relations Upstream involvement of non EU contracting states Cooperation on registers => Final phase of negotiation of an AA with ERA and the Commission

17. OTIF The Organisation OTIF New opportunities 3/6 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 Exchange of vehicles Interoperability OTIF to assist with legal and technical implementation where requested UTP roadmap

18. OTIF The Organisation OTIF New opportunities 4/6 Relation with ERA : the principles Regular management level meetings Developing rules of procedure for early involvement of OTIF Setting up a process for consultation of non-EU Member States Arrangement in order to coordinate vehicle registers and information => Ensure full compatibility and wider vision

19. OTIF The Organisation OTIF New opportunities 5/6 Foster railway industry Developing application of CIM and compatibility with OSJD rules will contribute to developing freight traffic, in particular by incorporating part of 1520 technical regulations Secure railway investment by giving technical regulations a wider scope Uniform maintenance and approval procedures will facilitate the development of industry Help the development of IT standards => Obtain input from our Contracting States to improve regulations and develop technical standards

20. OTIF The Organisation OTIF New opportunities 6/6 Adapt location of OTIF to new chalanges Need for more regular contacts - ad-hoc workshops and training sessions - with Member States Reduce overheads for fostering expertise Closer work with ERA and non-EU Member States Attract high profile experts from a large spectrum of Member States and organisations Ease travel and meeting organisation.  Define an optimal location  Foster efficiency and budget use through well positioned headquarters.

21. OTIF Content 1.OTIF introduction 2.Geographical vision 3.Mission 4.New opportunities 5.New tasks 6.OTIF and EU technical regulations compared 7.The convention and UTP development 8.International mutual acceptance of wagons Railway Days, Bucharest, 8 October 201321

22. OTIF The Organisation OTIF New tasks 1/4 Extension of CUI Scope: contract of use of railway infrastructure for the purposes of international carriage within the meaning of the CIV UR and the CIM UR Contract = basis for relations between infrastructure manager and carrier: liability of the infrastructure manager: for bodily loss or damage (death, injury or any other physical or mental harm), for loss of or damage to property (destruction of, or damage to, movable or immovable property), For pecuniary loss resulting from damages payable by the carrier under the CIV Uniform Rules and the CIM Uniform Rules => The application of CUI will be extended to provide security for railway undertakings and infrastructure managers

23. OTIF The Organisation OTIF New tasks 2/4 Redefinition of the rail facilitation Involvement of OTIF in the UNECE process for unified railway law: There is a need for general transport contracts (GTC) Interoperability issues must be addressed. A business oriented strategy involving our Member States in partnership with EU, CIT and UIC: Identify tests on freight corridors: Asia/Middle East/Euro- Mediterranean area Review deficiencies and opportunity for development. => The rail facilitation process could foster the development of corridors with legal and technical coordination

24. OTIF The Organisation OTIF New tasks 3/4 Standard contracts for ECM

25. OTIF The Organisation OTIF New tasks 4/4 Standard contracts for ECM The ECM regulations require exchanges of information between RU and ECM, even though they may have no contractual relationship The RU remains in charge of safety GCU must be developed to take these matters into account CUV should be able to cope with these questions  OTIF is the right place to develop within CUV a common understanding in order to ensure that critical information for safety and operation is available.  A new working group was created to modernise CUV with input from EU, CER, UIP, UIC and NSAs

26. OTIF Content 1.OTIF introduction 2.Geographical vision 3.Mission 4.New opportunities 5.New tasks 6.OTIF and EU technical regulations compared 7.The convention and UTP development 8.International mutual acceptance of wagons Railway Days, Bucharest, 8 October 201326

27. OTIF 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. Differences in objectives Functional and technical requirements (equivalent not identical) Means of compliance (identical) Railway Days, Bucharest, 8 October 201327

28. OTIF Railway Days, Bucharest, 8 October 2013 In a nutshell EU  interoperability + opening of supply market + competition between railway operators Uninterrupted movement of trains across EU borders (operating across borders under uniform rules, without changing train configuration or staff) OTIF  Promote, improve and facilitate international traffic Circulation of rail vehicles in more than one state Applies only to international traffic (The EU objectives are compatible, but also the exchange of vehicles at border crossing stations fits the definition) 28

29. OTIF Content 1.OTIF introduction 2.Geographical vision 3.Mission 4.New opportunities 5.New tasks 6.OTIF and EU technical regulations compared 7.The convention and UTP development 8.International mutual acceptance of wagons Railway Days, Bucharest, 8 October 201329

30. OTIF Railway Days, Bucharest, 8 October 2013 Technical Prescriptions Appendix F APTU 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 Admission Procedure Appendix G ATMF Uniform Rules concerning the Technical Admission of Railway Material used in International Traffic OTIF Technical Admission COTIF 1999 COTIF Convention concerning International Carriage by Rail Appendix А CIV Uniform Rules concerning the Contract of International Carriage of Passengers by Rail Appendix B CIM Uniform Rules concerning the Contract of International Carriage of Goods by Rail Appendix C RID Regulation concerning the International Carriage of Dangerous Goods By Rail Appendix D CUV Uniform Rules concerning Contracts of Use of Vehicles in International Rail Traffic Appendix E CUI Uniform Rules concerning the Contracts of Use of Infrastructure in International Rail Traffic 30

31. OTIF Uniform Technical Prescriptions, ATMF Annexes and Registers adopted, and in force. GEN-A Essential requirements GEN-D Assessment Procedures (Modules) GEN-E Assessing Entity – Qualifications and Independence GEN-G (revised) Common Safety Methods (CSM) Risk evaluation and assessment UTP NOI Rolling Stock - Noise UTP WAG Freight Wagons (revised) Appendix G ATMF GEN-B Subsystems GEN-C Technical File Appendix F APTU Annex A Certification and Auditing of Entities in Charge of Maintenance (ECM) Annex B Requirements and Procedure for Derogations National Vehicle Register (NVR)Vehicle Keeper Marking (VKM) OTIF Registers Uniform format of certificates ECM / ECM certification bodiesRegister of admitted types Railway Days, Bucharest, 8 October 201331

32. OTIF Railway Days, Bucharest, 8 October 2013 Peter Sorger + 41 31 359 10 26 peter.sorger@otif.org www.otif.org Gryphenhübeliweg 30, CH - 3006 Bern Thank you very much for your attention! 32