ps – award of the industrial railway line operating

PS – AWARD OF THE INDUSTRIAL RAILWAY LINE OPERATING AUTHORISATION,PERIODICAL ENDORSEMENT, MODIFICATION, SUSPENSION AND WITHDRAWAL

CO DE PS 2 2 3 0 -2 E D IT O N / R E V I SI O N : 5 / 0 P AG E 2 /2 6 E XE M PL A RY

CONTENT

1. PURPOSE AND SCOPE ........................................................ 32. DEFINITIONS AND ABBREVIATIONS ….……………… 33. REFERENCE DOCUMENTS .................................... ............44. DESCRIPTION OF THE PROCEDURE .................................45. APPENDICES

Appendix 1 - Application for operating authorization - model ..................12Appendix 2 - Content of the operating authorisation awarding dossier…..13

Appendix 8 -Appendix A - Technical condit ions . . . . .. . .. . .. . .. . ..17 Appendix 9 - Appendix B - Operat ing condit ions . . . . . .. . .. . .. . .. .18

Appendix 10 –Operating regulations on the industrial railway line ………19



1. PURPOSE AND SCOPE This procedure establishes the methodo logy for award ing, addit ion/

modif icat ion, suspension or withdrawal of the operat ing authorisat ionfor the industr ial ra ilway lines. The procedure provisions shall beapplied by the ASFR staff.

2. Definitions and abbreviations

2.1. Definitions2.1.1. Operat ing author isat ion for the industr ial railway line - AE - is a

document issued by the Romanian Railway Authority to an applicant ,stat ing that can manage the LFI infrastructure and conduct theoperat ions of shunt ing and/or ra ilway t ransport on LFI, to the signa lor switch (top or, where appropr iate, safety mark) which delimit s theinside area o f the railway stat ion where is connected LFI or only onLFI, where LFI has access to railway infrastructure. An operat ingauthor isat ion, accompanied by AVF fo r the owned vehicles andengines and the operat ing contract signed with CFR, ent it les t he AEholder to operate the wagons whose beneficiary is in/ from the rai lwa ystat ion where LFI is connected.

2.1.2. Industr ial railway lines LFI – are the railway lines on that t ransportoperat ions or shunt ing and adiacent or related services are notmanaged the National Railway Company „CFR” SA.

2.1.3. Indust rial ra il t ransit line - is LFI or a port ion thereof, which enablescont inuit y o f rail t ransport or shunt ing fo r all the LFI owners lo catedupstream of it and ensure their access to the public rai lwayinfrastructure.

2.1.4. Applicant for the awarding, addit ion/modificat ion, suspension orwithdrawal o f the operat ing author isat ion for the LFI – „the applicant”– is the legal ent it y ho lding a LFI wishing to obtain an operat ingauthorisat ion for the LFI or to complete / modify the awardedauthor izat ion for the operat ion of the LFI.

2.1.5. The suspension of the operat ing author isat ion o f the LFI is t he temporar ycessat ion of validity o f the issued operat ing author isat ion.

2.1.6. The withdrawal o f author izat ion is the definit ive cessat ion o f validit y o fthe operat ing issued aut hor isat ion (cancellat ion).

2.1.7. Addit ion/modificat ion - change in the operat ing author isat ion of the LFIor the change o f some appendixes o f the AE, originally granted,pursuant to the request of the applicant , by extension/ rest r ict ion o fact ivity or replacement of the documents on which AE was issued.

2.1.8. Dossier responsable - state inspector who pursues and it is responsible forthe accuracy o f the records of t he AE dossier, subject to the approva lof the AFER management .

2.2. AbbreviationsMTCT - Ministry o f Transport , Construct ions and TourismMT - Ministry o f TransportAFER - Romanian Railway AuthorityASFR - Romanian Railway Safety Author ityISF - Railway Safety InspectorateCFR - Romanian Nat ional Railway Company "CFR" - SASLFI - Industrial railway lines sectorCA Depart ment Head - Depart ment Head of cert ificat ion and author izat ion



OMTCT - Order of the Minister of Transport , Construct ions and TourismLFI - Industrial railway linesAE - operating author isat ion o f the indust rial railway l ineRTE - Technical regulat ion operating rules of the industr ial ra ilway lineAVF - Technical authorizat ion of the rail vehiclesNORME - Rules for t he applicat ion o f Government Ordinance no. 60/2004 on

regulat ions concerning the construct ion, maintenance, repair andoperat ion o f railways other than those managed by the Nat iona lRailway Company "CFR" – SA, approved by Government Decis ion no.2299/2004, published in the Officia l Gazette of Romania, Part I, no.60 of 18.01.2005

Dossier - the dossier or complet ing documents for awarding,addit ion/modificat ion of the author izat ion o f exploitat ion of LFI laiddown in art . 11 of the Appendix. 4 OMTCT no. 880 03.06.2005

3. REFERENCE DOCUMENTS3.1. O.G. nr. 60 / 29.07.2004 - Government Ordinance on regulat ions concerning

the construct ion, maint enance, repa ir and operat ion o f ra ilways o therthan those managed by the Nat ional Railway Company "CFR" - SA,published in the Officia l Gazet te of Romania, Part I, . 741 /17.08.2004, approved with amendments by Law 402 o f 11.10.2004.

3.2. H.G. nr. 2299/14.12.2004 - Government Decis ion approving theMethodo logical Norms for the applicat ion o f Government Ordinanceno. 60/2004 on regulat ions concerning the construct ion, maint enance,repair and operat ion o f railways other than those managed by theNat ional Ra ilway Company "CFR" - SA, published in t he Offic ia lGazette of Romania, Part I, no. 60/18.01.2005.

3.3. M.T.C.T. Order no. 880 of 03.06.2005 on the procedure for the applicat ionof Government Ordinance no. 60/2004 on regulat ions concerning theconstruct ion, maint enance, repair and operat io n o f railways other tha nthose managed by the Nat ional Railway Company "CFR" - SA.

3.4. M.T.I. Order Nr.2180 / 2012 amended by OMT nr.1322 / 2013 approvingthe tar iffs for specific act ivit ies carr ied out benefit s to RomanianRailway Author ity – AFER

4. DESCRIPTION OF THE PROCEDURE

4.1. Overview4.1.1. LFI operat ing author isat ion is a nominal, non t ransfertable document

with special t reatment .4.1.2. The operat ing author isat ion has an unlimit ed validy, provided regular

endorsement at every two years and as long as the LFI ho lder meetsthe requirements speciffied in :

O.G. no. 60/29.07.2004 approved with amendments by Law 402 o f 11.10.2004 Methodo logical Norms approved by Government Decision no. 2299/

14.12.2004 O.M.T.C.T. 880/03.06.2005 - Appendix 4.

4.2. AE awarding4.2.1. Operat ing author isat ion will be awarded by AFER at the request o f the

legal persons who own, rent or lease industr ial railway l ines andmanages them to carry out shunt ing operations and / or rail transport .

4.2.2. The applicat ion for the AE award is presented in Appendix 1 of this



procedure.4.2.3. I f the more LFI owners have access to the public railway infrastructure by

the same t rans it LFI, the request of the operate author izat ion isawarded by each o f them, informing the owner of the tranzit LFI.

4.3. Submission and assessment of the documents in the dossier for the AEawarding

4.3.1. To obtain AE, the applicant must submit the ISF on whose act ivity area islocated LFI, the dossier with the documents listed in Appendix 2 codeFPS 02.02.2230 and proving that the requirements o f art . 14 o f thenormes and the art . 11 o f t he Appendix 4 of the OMTCT 880/2005, intwo copies, acco mpanied by an addressed document . In t his documentthere have to be ment ioned the address, fax/telephone number of theapplicant , the person which can be contacted regard ing the dossier ,the telephone number and the and the number o f pages of the doss ier.

4.3.2. If the applicant addressed to the AFER (ISF) only an intent request,SLFI(ISF) responds it by an address in which there are communicatedthe regulat ions and the content of t he AE dossier (Appendix 2 - codeFPS 02.02.2230).

4.3.3. On the submissio n (t ransmissio n) of the dossier to ISF, it is recorded anddist r ibuted by the terr itoria l chief inspector to the state inspectorresponsible for LFI to ver ify it s composit ion and the accuracy o f t hepresented documents. The state inspector will elaborate a note withthe unconformit ies, endorsed by the terr itorial chief inspector andsubmited to the applicant to remedy them. The applicant is obligedwithin 10 days o f receipt o f the note to correct theunconformit ies/observat ions ident ified, otherwise the dossier will bereturned and the request for approval o f the EA is rejected.

4.3.4. If the doss ier is complete, it is rece ived by ISF, recorded, and and will beconfirmed the dossier admission to the applicant by a submissionlet ter, containing the recording number. The same number is markeddist inct lly on the AE applicat ion.

4.3.5. If it has past a per iod o f t ime longer than 6 months between the RTEapproval and the dossier recording at the ISF, the state dossier o fficert ransmit s that will per form an assessment act ion on the premisesand/or premises o f the applicant .

4.3.6. After the el iminat ing of the unconformit ies/observat ions recorded in theassessment act ion minutes - by submit t ing the support ing document sto ISF - and based on informat ion obtained from the applicant dur ingthe assessment , the dossier is submit ted within 5 working days toSLFIA, together with the LFI assessment minutes prepared underAppendix 3 o f this procedure and with a let ter endorsed by theterr itorial chief inspector who confir ms the checking of the contentand the accuracy o f documentat ion.

4.3.7. LFI Sector receives the fo lder, records it in the Register of input - output,being given a serial number o f the AE dossier (named red number) andthe dossier o fficer set by the SLFI Head checks the accuracy o f thedossier.

4.3.8. If dossier o fficer finds unco nformit ies wit h the requirements o f art . 11 ofAppendix 4 of OMTCT 880/2005, within 30 days o f rececording, hesends to applicant and ISF an act containing the lack o f conformity. Itwill be indicate also the tar iff for the AE awarding.

4.3.9. The AE awarding is performed by AFER no more than 30 ca lendar days



from de date of rec ieving t he requested complet ions, including thepayment of the awarding tar iff.

4.3.10. I f within 30 business days t ill the not ificat ion o f complet ion o f theapplicat ion the applicant does not submit to SLFIA the documentsstated in the note/fax, dossier officer send a note to the applicant . Thenote will state that if the applicant does not submit within maximu m30 days the required documents, including the proof o f payment o f thepr ice accord ing to the tariff, the request is rejected.

4.3.11. If, after the second note SLFI does not rece ive a ll the requireddocuments, the SLFI dossier o fficer shall not ify the applicant and IS Fabout the decis ion to reject the request for obtaining AE, stat ing thereasons for reject ing and the possibilit y to formulate a newapplicat ion, a fter the removing o f the causes o f reject ing the or igina lapplicat ion for the awarding of AE. The AE re jected dossier will bearchived.

4.4. Conducting assessment action at the applicant or state inspection at theholder of AE

4.4.1. If the assessment act ion is performed, the ISF dossier off icer sets bytelephone, in agreement with the applicant , the date and t ime of act ioncan take place.

4.4.2. A note shall be provided to the applicant by fax stat ing the necesity forthe assessment act ion, the assessment t eam, date and t ime to be held.

4.4.3. At the date and t ime seted, the assessment team named by the terr itoria lchief inspector will come at the headquarter of t he applicant and/orworkstat ion where the t rader operates.

4.4.4. At the request of the assessment team to ver ify the authent ic it y o fdocuments submit ted in copy at the authorizat ion dossier, theapplicant shall present the or igina l documents.

4.4.5. At the end o f the act ion, the assessment team shall draw up a minute o fassessment act ion (Appendix 3- code FPS 03/02/2230) bear ing thenumber o f dossier , which records, i f any, unconformit ies andobservat ions on how to prepare the documents contented in dossier incompliance with the prevailing s ituat ion. I f unconformit ies werefound, will be ment ion the necessit y o f solving them and the term toreso lve them.

4.4.6. The minutes of assessment act ion will be s igned by the applicant and theassessment team.

4.4.7. A copy o f the minute of assessment act ion remains for the applicantforvtreat y all non-conformit ies or observat ions within the prescr ibedper iod and the other copy sha ll be retained by the assessment team, tobe submit ted to SLFIA with the documentat ion.

4.5. Assessment activity reporting, editing and issue of AE4.5.1. SLFIA dossier o fficer prepares the Appro val report (Appendix 4 to this

code FPS 04.02.2230) which proposes, where appropr iate, an award,endorsment , refusal or maintenance/ suspension o f AE ( if aninspect ion is carr ied out fo llowing the awarding or suspension o f AE).

4.5.2. Approval Report will be s igned by the dossier officer and SLFI Head andapproved by the ASFR Director.

4.5.3. The AE is edited by doss ier o fficer in duplicate on cardboard paper ( theorigina l for the applicant and a copy fo r AFER) using the model inAppendix 4A o f OMTCT 880/2005. The AE appendices will be edited



using the models in Appendix. 8 and 9 of this procedure, code FPS02/05/2230 and code FPS 06/02/2230. ASFR Director will sign theappendices, after which, the co mpleted dossier under pt . 4.5.2 will bepresented to the AFER Director for signature.

4.5.4. The failure of the AE award will be not ified to applicant with reasons.4.5.5. The data regarding the AE will be inscribe by dossier o fficer in "Registrul

de evidenţă autorizaţii de exploatare a LFI " (Appendix 5 - code R 2230-4)that grants the number of LFI AE.

4.6. AE Issue4.6.1. In the dossier o f AE award, dossier officer shall not ify the applicant in

writ ing about the decision and asks to delegate an author ised agent toraise the AE.

4.6.2. The AE and a copy o f the "Regulat ions governing the operat ing on LFI" ishanded over to the applicant’s author ised agent , after present ing theempowerment or delegat ion, in or igina l, under signature in "Registrulde evidenţă autorizaţii de exploatare a LFI" (Appendix 5 - code R 2230-4).

4.6.3. Dossier officer will inscr ibe in the heading "Receipt" personal date of theauthor ised agent of the applicant : name and surname, ID (ser ia l no.),the date and the agent will sign the recept ion.

4.7. Supervision in the period of AE valability and periodical endorsement4.7.1. The ASFR staff, ho lder o f the control and state inspect ion special card,

checks over the per iod o f operat ing license the compliace with thetechnical, techno logical and t raffic safety requirement s in LFIinfrastructure management and the ra ilway operat ion.

4.7.2. At least 30 calendar days before the date of expiry o f the per iodic visa,the ho lder o f t he AE shall request in wr it ing ASFR by ISF on whosearea o f act ivity is located LFI obtaining the per iodic visa, togetherwith the documents that have changed from those or igina lly dossierdfor AE, together with Appendixes A and B (at Append ix B will beattached and 2 copies of Chapter 9 - Regulat ions governing theoperat ing on LFI, including an exmplary which will be received afterendorsement together with Appendix B) in original.

4.7.3. On submission of the dossier by the applicant at the ISF, the stateinspector responsible for LFI ver if ies the accuracy o f the composit io nof the dossier and documents. I f the dossier does not contain all t henecessary documents drawn up or they are incorrect or incomplete, thedossier is not rece ived, showing the applicant what documents aremissing, or filled must be restored, and how to proper ly prepar ingdocuments. Concerning this, it will draw up a note in two copies (onefor ISF, one for the applicant), which will record the reasons why thedossier can not be registered at ISF. The note will be signed by theState inspector and the applicant and will be registered at ISF.

4.7.4. If the dossier is complete, it is received and recorded by ISF and theapplicant shall acknowledge the receipt and the registrat ion numberwill be noted on the copy o f the lett er of submission. The samenumber is marked d ist inct ly on the applicat ion for AE.

4.7.5. The state inspector responsible for LFI forwards the applicant that it wil lbe per formed an assessment act ion at the headquarters of the applicantand/or workstat ion where the t rader operates.

4.7.6. The assessment act ion will be conducted accord ing to specific proceduresprovided in this sect ion. 4.4.

4.7.7. If the holder o f the AE does not apply in writ ing to ASFR by ISF on



whose area o f act ivity is located LFI at least 30 calendar days beforethe date of expir y o f the visa per iodic authorizat ion to operate LFI,the state inspector responsible for LFI will schedule an stateinspect ion act ion to LFI that AE visa validity has less than 30 days.

4.7.8. The state inspect ion act ion will cancel t he need for the assessment act ion,if LFI ho lder will apply for a visa AE after the state inspect ion.

4.7.9. After e liminat ion of the unconformit ies/observat ions recorded in theminutes o f the assessment act ion act io n - by submit t ing to the ISF thesupport ing documents - and based on informat ion obtained fro m theapplicant dur ing the assessment, the dossier is forwarded to SLFIAwithin 5 days, together with the minutes of the assessment act ionprepared under Appendix 3, or the note resulted after the stateinspect ion. A let ter made by the state inspector, endorsed by theterr itorial chief inspector, confirming checking the content andaccuracy o f documentat ion wil be sent together with the documents.

4.7.10. LFI Sector receives the fo lder, records it in the Register o f input -output, beeing g iven a ser ial number o f the AE dossier (named rednumber) and dossier o fficer set by the SLFI Headcheck the accuracyof the dossier.

4.7.11. If doss ier o fficer find unconformities with t he requirement s of art . 16 ofAppendix 4 o f OMTCT 880/2005, within 30 days o f rececording, sendto applicant and ISF an act containing the lack of conformity. It willbe indicate also t he tar iff value for t he award ing visa or eventully themodificat ion o f AE.

4.7.12. If there are respected the condit ions at the re lease of AE or theunconformit ies found aft er the assessment of the documents have beeneliminated, dossier officer will prepare the approval report (Appendix4 - code FPS 04.02.2230).

4.7.13. Dossier for visa award, accompanied by the approval report and the AEwil be presented SLFI head for signature.

4.7.14. ASFR Director will sign the approval report and the AE appendixes,after which the dossier will be submitted to the AFER Genera lDirector for s ignature.

4.7.15. The award o f AE visa shall confo rm to the provis ions of sect ion 4.6. o fthe present procedures.

4.7.16. The data regarding the AE visa wil be regit ered by the responsible of thedossier in "Registrul de evidenţă AE vizate periodic/modificate" (Appendix6 - code R 2230-5).

4.7.17. I f the circumstances that led to the release AE are not respected, ASFRdecides to not award the periodical visa. It will be mot ivated inwrit ing by SLFIA, being recorded that unconformit ies must be f ixedwithin 90 calendar days.

4.7.18. Dur ing the 90 days provided for in sect ion. 4.7.10 if the non-compliances o f the per iodic visa request are not likely to imposechanges o f and do not endanger the r ailway safety and t ransportsecurit y, it is admit ted the prolongat ion o f the LFI operat ingauthor izat ion.

4.7.19. In this dossier, the SLFI dossier officer will prepare a report for thepro longat ion of AE, which will be endorsed by the ASFR Director andapproved by AFER General Director. The decis ion to extend thevalidit y o f the AE will be faxed to the app licant and ISF to beattached to AE. Dossier o fficer will at tach a dossier to the awardingAE dossier.



4.7.20. If the owner/manager o f LFI remedy unconformit ies recorded in decis ionof not awarding the regular visa within 90 calendar days from the dateof communicat ion, AFER will provide a regular visa, charging the visafee.

4.7.21. If the owner/manager of LFI does not remedy remedy unconformit iesrecorded in dec ision o f not awarding the regular visa deadline, he wil lbe obliged to request within 5 working days after the expiry o f 90calendar days changing the LFI operat ing author isat ion.

4.7.22. If dur ing this per iod the changing of the LFI operat ing author isat ion isnot required, SLFI will propose to AFER management by a report , theAE suspension.

4.7.23. Suspension o f the LFI AE ceases only if the unconformit ies have beencorrected, which is found by ASFR through further ver ificat ion o fLFI. The verif icat ion will be done by a committee convened bySLFIA, within maximum 10 days from the date the wr it ten request ofthe ho lder AE and after the payment of the tar iff for furtherver ificat ion o f the technical condit ion. The co mmiss ion will inc ludespecialists from the ASFR (of the central st ructure and the ISF). I f isfound that LFI qualifies instruct ional is prepared a report on which isissued a decision to terminate the suspension.

4.8. AE completion or modification4.8.1. Dur ing the per iod of validity o f AE, if have changed one or more o f the

elements that have been granted AE (legal status, company name,address, organizat ion and operat ion status, the change o f t he carr ieroperat ing on LFI aso), ASFR can compete or modify t he AE, at thewrit ten request of the ho lder .

4.8.2. In order to modify t he AE, the holder shall submit to ASFR by ISF, arequest to change it and the documents support ing the reason for thechange and the valid AE.

4.8.3. If the amend ing documentat ion is complete, the responsible LFI stateinspector from ISF, submit documentat ion within 5 working days toSLFI, with an address for submit t ing approved by the chief terr itor ia linspector, which the chief terr itorial inspector confirms checking thecontent and documentat ion correctness.

4.8.4. The SLFI dossier o fficer will send so licitor a note/ fax which will specifythe value o f grant ing tar iff amendment AE and the obligat ion tosubmit other documents to support the applicat ion, i f applicable, andthe proof of payment o f the fee for change AE.

4.8.5. Upon the reciept of the above, dossier o fficer act ions for re issue o f AE,which will be numbered star t ing from the init ia l nu mber , to which wil lbe added "R". Subsequent amendments will be fo llowing the let ter Rser ial number o f t he change, start ing from 1. The author izat ionreissued retains the same period o f validity as the or iginal AE.

4.8.6. AE reissued authorisat ion accompanied by or igina l documents submit tedby the applicant , proof o f payment and an update report issued bydossier officer are presented to the ASFR management for s ignature.

4.8.7. The applicant will be not ified in wr it ing by dossier o fficer to raise AE.4.8.8. The new author izat ion is handed over to the applicant’s author ised agent

in or igina l, under signature in the " Regist rul de evidenţă AE vizateper iodic/modificate " (Appendix 6 - code R 2230-5).

4.8.9. AE holder is obliged to request the modificat ion of the the LFI operat ingauthorisat ion if not remedied the defic iencies found fo llowing the


CO DE PS 2 2 3 0 -2 E D IT O N / R E V I SI O N : 5 / 0 P AG E 1 0 /2 6 E XE M PL A RY

ver ificat ion o f the technical condit ion of the l ine within 6 months. Thewrit ten request is send to ASFR (ISF) within 5 working days o f theexpiry o f 6 months.

4.8.10. If deficiencies are those provided in art . 30 (3) of the Methodologica lnorms appro ved by Government Decision no. 2299/2004, ASFR orderto closes the LFI operat ing and the suspension or withdrawal o f LFIAE, as appropr iate.

4.8.11. If a t ransit LFI changes ownership/management as provided in Art icle 16b) and c) o f G.O. no. 60/2004 as amended, the update (change) of t heLFI AE is done by a s implified procedure in accordance wit hAppendix. 4C of OMTCT 880/2005, meaning that technical andconstruct ive aspects of LFI will not be ver ified, and the new ownermust declare on a statutory declarat ion that meet the requirements metby the current owner in LFI infrast ructure management .

4.8.12. The s implified procedure does not preclude co mplete the doss ier withdocuments stated in Art icle 11 o f Appendix 4 to OMTCT 880/2005,which changes have occurred and pay the appropriate fee for AEawarding; the response term to the request will be within 15 ca lendardays o f receipt of the request .

4.8.13. The deadline for complet ion and submission o f the dossier by the newowner o f LFI should not exceed 30 calendar days from the date o fchange of the LFI owner/manager o f.

4.8.14. ASFR by SLFIA not ify in wr it ing the Nat ional Railwa y Co mpany "CFR"- S.A. and interoperable ra ilway infrastructure manager, if necessary,about modificat ion/complet ion of the LFI AE.

4.9. AE suspension or revocation4.9.1. I f it is stated a non-compliance with technica l requirements, technology

and traffic safety in LFI infrastructure management and operat ing,ser ious and repeated breaches o f the specific management/operat ionregulat ions of LFI or if there exist a wr it ten request of the ho lder,ASFR suspend or withdraw the LFI AE.

4.9.2. LFI AE can be suspended between 1 and 6 months in t he fo llowingdossiers:

a) the owner/manager does not request within 5 working days the LFI AEmodificat ion for the dossier statued in Art ic le 15 (3) o f Appendix 4 o fOMTCT no. 880/2005;

b) if t he deficiencies are those provided in Art icle 30 (3) of the Methodologica lNorms approved by GD no. 2299/2004;

c) if LFI no longer meets the requirements o f technical rules in force, asituat ion found during state inspect ions and contro ls;

d) if upon have been comited the act ivity of management/operat ion o f a transitLFI to an upst ream owner have not been requested a change in theoriginal AE.

4.9.3. AE suspension can be done if the AE ho lder:a) does not require per iodic AE visa within the deadline;b) does not comply with its obligat ions under Commitment (Appendix 4B to

OMTCT no. 880/2005);c) announces ASFR that will not operate LFI for a per iod no longer than 6

months.4.9.4. In the suspension decis ion will be communicated to the LFI owner/

manager the suspension per iod and condit ions o f the railwa yoperations on LFI.

4.9.5. LFI AE will be withdrawn in the fo llow ing dossiers:



a) LFI no longer meets the requ irements of technical rules in force, and theowner/manager declare that do not want to restore the LFI parameters;

b) LFI AE has been suspended repeatedly for defic iencies provided in par.Art ic le 30 (3) of the Methodo logical Norms approved by GD No.2299 / 2004;

c) have been stated ser ious and repeated breaches of specific regulat ions in t hemanagement or operat ion of LFI;

d) the owner/manager o f t ransit LFI taught on the management and operat ioncontract of t ransit LFI to an upst ream LFI owner for a per iodexceeding 12 consecut ive months;

e) the owner obta ins the consent of MT for LFI demolit ion;f) the owner announces AFER that he has decided the cessat ion o f the LFI.4.9.6.The decis ion to withdraw the AE will be submit ted in wr it ing to the

ho lder.4.9.7. If the suspension or withdrawal of AE of a t ransit LFI affects the act ivit y

of an owner o f upstream LFI, he will be not ified in wr it ing by SLFIAregarding the circulable railway l ines within the LFI, the newoperat ing condit ions and the per iod of their implementat ion.

4.9.8. After receiving the decis ion o f suspension or withdrawal the LFI ho lder isobliged to submit to ASFR (ISF) the or igina l o f AE within 5 bus inessdays.

4.9.9. If the t rader does not submit AE suspended or withdrawn AE at ASFR orISF, it will be raised fro m the ho lder premises by the Railway Safet yInspectorate at the request of the ASFR management .

4.9.10. I f wit hin the term acorded by ASFR to fix t he unconformit ies which ledto the AE suspension the LFI owner/manager presents object iveevidence o f t heir e liminat ion and prove the payment o f checkingtariff, ASFR will lift the AE suspension. Otherwise, t he suspendedAE will be withdrawn.

4.9.11. The per iod of suspension shall not extend the per iod of AE validit y.9.4.12. A suspended or wit hdrawn AE shall be noted in "Registrul de evidenţă

AE suspendate sau retrase" (Appendix 7 - code R 2230-6), archivedtogether with the AFER copy.

4.9.13. SLFIA not ified in writ ing to Railway Safety Inspectorate, Nat iona lRailway Company "CFR" - SA and, where appropr iate, interoperablera ilway infrastructure manager , the dossiers o f suspension orrevocat ion of LFI AE.

4.10. Duplicate awarding if initial AE was lost or destroyed4.10.1. In dossier of lo ss/destruct ion of the AE, the ho lder must communicate

this to AFER within no later than 5 working days from the date ofdiscovery and submit an applicat ion for a AE duplicate. This will beaccompanied by proof o f payment of the tar iff for the act ivit y o fissu ing a duplicate AE, and the statement of the ho lder to support therequest .

4.10.2. Head of LFI sector will take act ion to edit an EA (which will retain theorigina l number) and that document will contain the word Duplicat onthe upper r igh of the new AE and retains the same per iod o f the init ia lAE validity.

4.10.3. The AE duplicate, accompanied by the AFER or iginal o f EA and a reportprepared in t his regard by thedossier off icer will be submit ted fors ignature to the AFER management .

4.10.4. AE owner will be not ified in writ ing to raise the AE.



4.10.5.AE duplicate is handed to the is handed over to the applicant’s author isedagent in original, under signature in the "Registrul de evidenţă AEvizate periodic/modificate" (Appendix 6 - code R 2230-5).

4.11. Appeals4.11.1. Appeals regarding the decis ion not to award, suspend or revoke LFI AE

and regular visa awarding shall be submit ted to AFER within 5working days o f receipt of the writ t en communicat ion from AFER.

4.11.2. Address ing co mpla int s will be made by the Board o f AFER, within 30calendar days o f the submission date.

4.11.3. If t he cla imant is dissat isfied with the outcome o f the Board o f AFER,he can appeal to the administ rat ive court s under the Administ rat iveLit igat ion Act , as amended and supplemented.

4.12. Publications The list o f awarded regularly targeted, modified, suspended or

withdrawn AE, and ho lders thereo f, will be published in the AFERBullet in and on AFER sit e.

7. Appendices

Apendix 1 FPS code 01/02/2230

Model o f applicat ion for AE awarding/amendment/ per iodic endorsement

S.C. ........ (persoana juridică solicitantă) Nr. ....

CERERE

pentru acordarea/modificarea/vizarea periodică *) autorizaţiei de exploatare a liniilor ferateindustriale

S.C. ..............................................................................., cu sediul în localitatea …………………… (persoana juridică solicitantă)str. ............................................................. nr. ......, judeţul (sectorul) ................., telefon............................, fax .........................., înregistrată la Oficiul Naţional al Registrului Comerţului –Oficiul Registrului Comerţului de pe lângă Tribunalul …………….… la nr. ........................., avândcodul CUI nr. ...................... şi contul nr. ……............................................., deschis la Banca……….................., filiala .........................., reprezentată prin .................................................................., (numele, prenumele şi funcţia)solicită AUTORITĂŢII FEROVIARE ROMÂNE – AFER acordarea /modificarea/vizarea periodică *)autorizaţiei de exploatare a liniilor ferate industriale:……………………………………………………………………………………………………….,conform art. 14 (2) şi 20 din Normele metodologice de aplicare a prevederilor Ordonanţei Guvernuluinr. 60/2004, privind reglementările referitoare la construirea, întreţinerea, repararea şi exploatareacăilor ferate, altele decât cele administrate de Compania Naţională de Căi Ferate „CFR” – SA,aprobate prin Hotărârea Guvernului nr. 2299 /2004.

Data ...........................................................................................................................................

(numele, prenumele, funcţia şi semnătura solicitantului, ştampila unităţii)

*) NOTA: se va scrie după caz acordare, modificare sau vizare periodică



Apendix 2 FPS code 02/02/2230

AE AWARDING - DOSSIER CONTENT

To award AE, the applicant shall hand to the Railway SafetyInspectorate within LFI is situated a dossier containing the fo llowingdocuments:

1. An appicat ion set out like in Appendix 1 to this specific procedure.2. Copy of legal co nst itut ion as a legal person o f the undertaking or group; if it

is a the group, must emerge the legal person with the r ight /powers o frepresentat ion.

3. Copy of cert ificate of reg ist rat ion at the Nat ional Trade Reg ister Office of theent it y request ing the AE.

4. Proof that the applicant owns the land on which LFI is built , or manage theproperty of another LFI t rader.

NOTE - It will present in the copy, as appropriate:- The t it le of ownership;- The act of sale;- Fina l and irrevocable dec is ion on put t ing in possession, or any legal document

stat ing that LFI and related land are owned by the applicant ;- Any legal document evidencing the use of LFI and related land;- Lease for the AE applicants which are not the LFI owners, accompanied by a

mandate given by the owner to get LFI AE on own account;- Lease or, in the absence o f the documents listed above:- LFI asset statement and the affidavit o f the Director of the company regarding

the ownership o f LFI in length o f "m" meters and ad jacent land area of"square" square meters, cert ified by a public notary.

5. Copy o f the the page o f LFI RTE which conta ins AFER number and approva ldate.

6. The affidavit o f the Company's management regard ing the features fordefining the category o f industr ial line (type of t ransport : cargo,passengers; towing system: diesel, e lectr ic, other; t ype o f gauge:normal - 1435 mm wide - 1520 mm, narrow or combined; access thera ilway infrastructure - direct connect ion or indirect ly connected torail infrast ructure, through another LFI; LFI locat ion - towards theprotect ion and safety zones of the ra ilway infrastructure; intersect ionwith other roadways) .

7. The proof that the applicant has info rmed the t ransit LFI owner that wil lrequire AE to AFER for his own LFI, according to art. 20 of GD no.2299/2004, in the dossier where the LFI is connected to the railwayinfrast ructure through a t ranzit LFI .

8. Management Commitment owner / manager LFI fo llowing the model set outin OMTCT 880/2005 - Apendix 4B.

9. Regulat ions governing the conduct of LFI operat ing ( in 2 copies, of which acopy will be received aft er endorsement with Apendix B), acquired byapplicant management , compiled by the model shown in Apendix no.10 to this spec ific procedure, which will contain:

1. The t rader ensur ing the operat ions (railway operator or applicant withtract ion means and own employees, as appropriate)

2. How is access to the ra ilway stat ion connect ing stat ion3. Method of movement o f t rains or shunt ing convoy from the railway stat ion



connect ing to the LFI and return, including Trans it LFI ( if applicable)4. How to perform the shunt ing operat ions on LFIIt will consider how is generally regulated the shunt ing in the "Ru les for the

movement of t rains and railway vehicles shunt ing - no. 005 ", wherethey will be taken and adapted to the local most important provisions.

a. Establishing the types o f shunt ing operations to be performed on LFIb. Delimit at ion o f the shunt ing zones on LFIc. Minimum membership of the shunt ing teamd. Conduct ing and coordinat ing the shunt ing operat ions on LFIe. Technical condit ions to be met by the shunt ing operat ions on LFIf. The specif ic way to maintain insurance on the spot or railway vehic les against

escapeg. Incompat ibil it ies regarding the shunt ing operations on LFI5. Model for the shunt ing operat ions on the transit LFI (This po int will be

treated only if applicable)a. Coordinat ion of the shunt ing operations on the transit LFIb. Technical requirement s to be met in the shunt ing operat ions on the transit LFIc. The spec ific way to mainta in in place or against escape the vehicles on the

transit LFId. Incompat ibil it ies regarding the shunt ing operations on the tranzit LFI6. Conduct ing the t ransport of dangerous goods (This po int will be t reated only

if applicable)7. How to ensure non-d iscr iminatory access of the vehic les used in shunt ing

operat ions for the rail ho lders o f upstream LFIs (This po int will betreated only if applicable)

NOTE - 1.-Will be presented a plan (blueper int) o f LFI with the po int o fconnect ion to the railway infrastructure on the model o f Chapter 3 o fRTE.

2. If operations will be performed by a railway operator, will present acopy of:

a) contract with the ra ilway under taking;b) railway t ransport license and, where appropriate, the safety cert ificates Part

A and B. 3. A copy o f the regulat ions made under Apendix 10 and endorsed by

the head o f SLFIA sector will be sent to applicant together withApendix B.

10.Documents showing that the LFI owner/manager has the organizat iona lstructure needed to carry out operating LFI.

NOTE - Will be presented the company's organizat ion chart , showing theorganizat ion of ra ilway operat ing approved by the leadership o fowner/manager LFI and entry into force.

11. Proof that the LFI owner/manager has hired at least one employee for LFItraffic safety o fficer , cert ified and l icensed by AFER accord ing toregulat ions, including when that employee is placed in anotherposit ion.

NOTE - Will present a copy o f the appointment decision in accordance wit hart . 23 of GD 2299/2004, copy o f the indefinit e per iod contract (evenpar t-t ime) job containing at least the specific tasks ment ioned in art .24 of GD 2299/2004, medical and psychological advice and a copy o fthe cert ificate issued by AFER as responsible for LFI t raffic safet yofficer.

The traffic safety o fficer will have to meet the fo llowing condit ions:a) professional qualif icat ion;



b) indefinite per iod contract (even part t ime).In just ified dossiers, upon request and on the basis o f documentat io n submit ted,

AFER may approve for the t raffic safet y officer a derogat io n standingthe provisions above.

12. Author isat ion of all sta ff with responsibil it ies in traffic safety.I f the operat ing act ivit ies o f the LFI is conducted by the owner/ management ,

wil l present the evidence that has engaged specia l ized personne lnecessary for the operat ion o f ra ilway operat ion o f LFI in t hefo l lowing funct ions: t raffic safety o ff icer , s ignalmen, chief foreman,foreman, po intsman, engine operator (if applicable) . Staff must betrained and medical ly and psycho logically authorized fit for thefunct ions they perform in accordance with specific regulat ions inforce.

NOTE – Will be submit ted the list of the staff with responsibilit ies in t rafficsafety, acquired by the management o f the applicant , which sha l linc lude:

1. Name2. Funct ion3. Number and date of qualificat ion documents4. Number and date of authorizat ion document5. Number and date of the medical / psychological advice6. Status of Employees: number and date o f the individual emplo yment contract

(CIM) on indefinite ly (even part t ime).The table with the above data will be checked, dated and countersign by the

responsible LFI state inspector fro m ISF.II.Will present the copies of medical/psycho logical advices, authorizat ions held

for all sta ff presented in the tab le and copies o f the job descr ipt ion foreach funct ion.

IIIWill be presented affidavit s of employed personnel in rail service funct ionsthat they are aware o f the provis ions o f LFI RTE and, whereappropriate, PTE of thestat ion that is connected to LFI.

III. If the operat ing act ivit ies o f the LFI is conducted by one or more railwayoperators, will be not presented the own sefet y personnel list s, exceptthat in operat ion is used.

13. Proof that the applicant provides pro fessional t ra ining and per iodic checkingof its own personnel with responsibil it ies in traffic safety.

NOTE - Will present a copy o f the contract concluded with a t ra ining center oran author ized person and the last per iodic professional ver ificat ionresu lt for it s staff with responsib ilit ies in t raffic sa fety.

14. Proof that the applicant provides maintenance and repair o f t racks and whereappropr iate, LFI ar tworks and installat ions on it ho lds by economicagents or their subunit s author ized/agreemeneted by AFER for thistype of act ivit ies .

NOTE - If the applicant wishes to carry out LFI maintenance and repa ir lines onit ho lds by it s own staff, he must submit a copy o f the author izat ionof ra ilway author izat ion and technica l agreemenet for these act ivit iesissued by AFER.

Otherwise, there will be presented a copy of:a) contracts with author ized AFER companies;b) the author izat ion o f ra ilway author izat ion and technical agreement for these

act ivit ies issued by AFER LFI lines, ar twork and installat ionsmaintenance unit s, as appropr iate, which has contract s with the



applicant in this regard.15. Proof that the applicant has ro lling engine that operat ing, if necessary.NOTE - It will present a copy AVF owned engines for rail vehic les.16. Proof that provides maintenance and repair of rai lway vehic les held with

businesses or who lly owned subsidiar ies, author ized / agreemented orcert ified by AFER.

NOTE - If the applicant wishes to carry out maintenance and repair of ro llingstock in t he specia lty staffing and equipping it s own, it must ho ld andpresent a copy o f ra ilway pro vider author izat ion and technica lapproval for these act ivit ies.

Otherwise, it will be presented a copy o f:a) contract s with AFER author ized companies;b) the author izat ion o f railway provider, ra ilway technical agreement or railway

technica l homologat ion cert ificate issued by AFER to the rolling stockmaintenance and repair of equipment units, with which the applicanthas co tracts.

17. Proof that the applicant has regulated the way for advise the LFI railwa yaccidents and incidents and how to clear their aft ermath.

NOTE - It wil l present regulat ions signed by the company management on howto advise the LFI railway accidents and inc idents, how to clear theirconsequences and, i f equipped, wil l present the technical means usedfor this purpose.The regulat ions will be drawn up accord ing to GD117/2010.

18. For LFI serviced by a signalmen will be presented proof that the applicanthas established Registrul de revizia liniilor şi instalaţiilor de siguranţa and hasestablished personnel responsible for entry in t he register and how toconduct these reg ist rat ions.

NOTE - I t will present the aff idavit o f the management ent it y that was set upthat reg ister and the copy of the regulat ions on how to make ent r ies inthe register.

19. Proof that the applicant has at least one employee who performs the dut iesof a safety adviser for t he t ransport of dangerous goods, where isoperated the t ransport of dangerous goods and/or loading andunloading operat ions.

NOTE - a) If the safety adviser is an employee of the applicant shall besubmit ted a copy to appo int , job descr ipt ion and the AFER cert ificatefor employee performing the funct ion o f a safety adviser. This act ivit ycould cont inue concurrent ly with another funct ion. Job Descr ipt ionsfor safety advisers will be made in accordance with the Minist er o fTransport , Construct ions and Tour ism Order no. 1044/2003;

b) Where was contracted act ivity with a AFER cert ified safety adviser who isnot an employee o f the ent it y owner o f LFI, will submit copies o f thecontract and safet y adviser ’s cert ificate;

c) Provide a specificat ion o f the categories o f dangerous goods to betransported or handled and impairment fronts to which they canupload/download or store;

d) If the applicant do not handle dangerous goods on LFI, will be submit ted anaffidavit of the management ent it y in t his regard.

20. Portions of the t rack or e lements d ismant led, deco mmissioned or inconservat ion.

NOTE - It will be drawing with demarcat ion of the dismant led, decommiss ionedor in conservat ion tracks and management ent it y statement present alist of it ems subject to maintenance.



I f there do not exist d ismant led, decommissioned or in conservat ion t racks, itwill be submit ted an aff idavit of the management .

ASFR reserves the r ight to request addit ional documents to support otherrequirements of OMTCT 2299/2004 and GD 880/2005.

Appendix 8FPS code 05/02/2230 Appendix A date .. . .. .. . .. .

INDUSTRIAL RAILWAY LINE OPERATING AUTHORISATION

AE Series no. . . .

TECHNICAL CONDITIONS

allowing track management of the LFI. . . . .. . . .. .and performing the shunt ingoperat ions

LFI . . . . . . .. . .. . .. . category . . . it is stated in the technical operat ion Regulat ionno. . . . approved by AFER on . . . and the fo llowing characterist ics:

gauge: . . . . . . . . ; towing system (diesel, electr ic, steam) . . . . .. . .. ; type o f t ransport : cargo, passenger ; clearances: . . . . .. .. ; maximum axle load: . . . . .. . .. ; LFI is connected direct ly to the railway stat ion .. . . .. . .. by the swit ch . . . . or

the running line between the stat ions . . . . . .by the switch . . . in service instation . . . . . . .. . . ( if applicable);

is connected indirect ly to the station by transit LFI. . . . . . .. . . ( if appropriate); transit l ine LFI is . . . . . . . .. . ( if appropr iate); line not connected to the railway in frast ructure ( if app licable) ; operat ing LFI speed.. .. (and where appropriate, transit LFI speed) ; the minimum braked mass necessary to shunt ing on LFI.. .. . and where

appropriate, on the transitLFI ; the minimum braked mass necessary to maintain in p laceon the LFI . . . and

where appropriate, on the transit LFI . . . ; maximum admit ted tonnage convoy on LFI and where appropr iate, on the

transit LFI. . . . ; The maximum permissible length o f the convoy . . . ;specific facilit ies for loading/unloading, transhipment , tapping and weighing

goods (name, locat ion):• No. of load ing and unloading fronts and their equipment ;• No. Of scales and their type.

ASFR Director



Appendix B date . .. . .. . .. . .

INDUSTRIAL RAILWAY LINE OPERATING AUTHORISATION

AE Ser ies no. .. .

OPERATING CONDITIONSIndustrial railway line: ......

shunting areas : SC lines ... .. ...... transit line .........and line (s) no. ... station ... according toLFI operating contract signed by the owner with CNCF "C.F.R." SA;

own staff with responsibilities in traffic safety, according to the activity carried out under thefollowing functions: .... – the staff is qualified, licensed, trained, professional,medical and psychological examined in accordance with law;

LFI safety officer : ....... ; the manner of shunting (drag-push, shoving, by other means), based on a shunting plan

drawn up by ... (LFI safety officer, own signalmen, or the connection stationsignalmen);

minimum membership of the shunting team; how is perform shunting in simplified work system (if applicable):

• with authorized staff to shunt in simplified work system;• with shunting locomotive and personnel with radio stations

movement of shunting convoys and trains between the railway station and LFI connection:• based on signals from the railway station agents (if applicable) and the signals given by agents

of the shunting team pursuant the shunting plan established by the station signalmen... or safety officer;

• based on a clear path based on fixed signals of movement and shunting;• based on the order of movement;

how to ensure the maintenance and repair of tracks and installations - by own or by railwaysuppliers;

serial number of own railway engines vehicles operating (for shunting where operations arecarried out by the applicant);

how to ensure the maintenance and repair own railway engines vehicles used in operating - byown or by railway suppliers (if applicable);

safety adviser for rail transport of dangerous goods: ... (if applicable); categories of dangerous goods handled and impairment fronts to which they can upload,

download, store ... (if applicable);how to advise the LFI railway accidents and incidents, and technical means for

removing their consequences .........; coordinating the LFI shunting ... .; coordinating the transit LFI shunting (if applicable); authorized personnel to enter in lines and traffic safety systems Register (safety officer,

signalmen, if applicable); track portions or elements dismantled decommissioned, or in conservation recorded (if any).

ASFR Director



Appendix 10FPS code 02/07/2230

LFI Operating Regulations(frame model)

S.C. .... (correct name of the company, according to the Statute)Nr. ....

APPROVED Manager

LFI Operating Regulations

1. The trader ensuring the performance of rail shunting and/or transport operationsIndicate how to ensure the shunting /transport operations on LFI and bringing/carrying wagons

from/to the connecting station to/from the LFI: with rail operators or by ownlocomotives and employees.

2. How is access to the conecting stationIndicate whether access to the railway connecting station is made directly or indirectly through a

transit line.It will be presented the LFI connection according to RTE approved by AFER (where applicable

for each type of track), list of the connection safety installations and those on whichis performing the rolling stock operating from the connection station to the LFI andreturn.

3. Mode of trains movement or shunting convoy from the connecting station to the LFI andreturn, including transit LFI (if applicable)

Specify how it is regulated the train movements or shunting convoy from the connecting stationto the LFI and return, including transit LFI:

a) movement based on a clear path (telephone understanding) between connecting stationsignalmen and LFI signalmen; if it used Unified register for free paths, and motioncommands (RUCLCM); if at this activity also attended other moving posts in theconnection station, or on transit LFI, which are they and how effectively participate;

b) moving shunting convoys under the shunting plan drawn, up by the connecting stationsignalmen;

If LFI is endowed with stat ion located before a regular stat ion(antesta ț ie) wil lspec ify

if the movement is organized differently than in the connecting station.It will specify what trailer system is used (diesel, electric or diesel and electric, as appropriate) if

it is used simple or multiple traction (including pusher).It will specify the technical characteristics of the train/shunting convoy, separated for both or for

each direction: maximum tonnage, length, speed, brake weight percentage toshunting and kept in place.

It will show that the check of the the economic operator shunting staff will be made before beingadmitted in the connection station , according the connection station PTE.

Specify how to proceed at level crossings.



4. How the shunting on LFI will be made

a. Establish the types of shuntings to be performed on LFIIt will specify the types of shuntings LFI:1. composition/decomposition of trains;2.introduce/remove wagons to/from trains;3. trains, shunting convoys or wagons;4. introduce/remove of wagons to/from loading fronts and unloading;5. how to side track the wagons between different groups of lines (first shipment, technical,

repair, washing, aso.);6. introduce/remove of traction means on the designed lines for running shed, fueling,

manning, preparation aso;7. introduce/remove of wagons to/from transposing, transshipment, changinig, transforming,

weighing;8. other shunting operations.b. Delimitation of the shunting zones on LFIThe lines are divided into zones held for shunting, depending of the tracks facilities, on the

principle that on every bounded shunting zone, the shunting to be executed only byone locomotive. It will be consider how the tracks are constructively or functionalgrouped (CFU station, stat ion located before a regular stat ion(antesta ț ie),first shipping groups, specialized lines for various operations), that the setedshuntinging zones to be separated by covering switches (diagonals, braces aso).

If the LFI facility is simple or there are unnecessary to performe simultaneously shuntingsthroughout entire LFI will determine that the LFI is a shunting zone.

In every shunting zone is permissible to make the shunting with two or more locomotives only indossiers of side track the trains/convoys.

In some shunting zones can be executed simultaneously shunting movements, only if each hasshunting zone has a get t ing away track, or a track that can fulfill this role; ifshunting zones are separated by covering switches, or the shunting areas are oneafter the other, in these areas shunting is executed sequentially; in all the dossiers itwill determine how is made the shunting locomotive switch from a shunting zone toanother when is working with multiple shunting locomotives on the same lap.

At the LFI drawing will be attached the division of the shunting zones, endorsed by the companymanagement.

c. Minimum shuntinging team membershipThe shunting team will be composed of a shunting conductor (which may be yardmaster,

signalmen or another authorized employee) and at least one shunter. If thecomplexity of the shunting or other conditions require a greater number of shunters,specify the minimum number of them and why it is needed a greater number ( speciallines configuration, special moving conditions aso).

d. Conducting and coordinating the shunting on LFIIt will consider how the shunting is generally regulated in the "Rules for the movement of trains

and railway vehicles shunting - no. 005 ", where they will be taken most importantprovisions and adapted to the local conditions.

Basically, the shunting on LFI is organized and coordinated by signalmen (employee of the AEapplicant) where exist, or the LFI safety officer.

The employee on duty must draw up a shunting plan, forward it to the head of shunting, which isresponsible to process it to the driver and the other shunting staff. When handling isonly introduce/remove wagons to/from LFI the shunting plan may be made by theconnecting station signalmen, togeher with the shunting plan for the input/output ofthe shunting convoy from to the connecting station to/from LFI.



It will specify how to execute the shunting to fronts (by pulling/pushing, or input only bypushing and pulling out only by drawing, aso), indicating whether the shuntingconvoy entering the LFI handled directly fronts, or decomposes on other tracks, thenshunting to the fronts.

There will also be referred to special conditions under which shuntings are carried out on certaintracks: reduced gauge, passages, drawbridge, aso. Indicate where appropriate, arecarried out shunting traction fixed installations (winch) or light rail motor tractor andwill detail how it works.

Specify who is in charge on LFI (established by job description) to raise the red discs, the wirespath, the lines of front loading / unloading and who is responsible for ensuring thegauge. Will be stated that raising of the red disc will be made only if the gaugeconditions are fulfilled, the personnel who operate the front was withdrawn and thatcan start the front shunting. After completing the opening shunting, the shuntingteam must fix the wagons to remain there and plant the red disc. Only after plantingthe red disc can commence the loading/unloading of the wagons.

Specify (where applicable) on which tracks are collected wagons to form the shunting convoydispatched to the connecting station.

e. Technical conditions to be met on LFI shuntingIt will specify the technical characteristics of shunting convoys for both or for each direction

separated: maximum tonnage, length, speed, brake weight percentage to shunting andkept in place, the maximum axle load, gauge provides, dangerous places which willbe identical to those reported in RTE.

Specify if is permitted simplified system shunting, in terms of locomotives and staff technicalequipment and special staff authorization.

f. Specific way to maintain in place or against escape the vehicles on the LFIIt will be shown:- How and what is done to ensure the wagons (with handbrakes and hand chairs) will specify

braked weight percentage to maintain in place or against escape thevehicles on the LFI;

- How many hand chairs are, what they are made, inscribed and numbered, where are deposited(when not used), where they are enrolled hand chair sused to ensure, who isresponsible for recording and how are storage the hand chairs;

- which staff ensure the shunting convoy and wagons and that are their duties for each position;- who is responsible for maintaining the ensured wagons that remain stationary on LFI.Will be explicitly stated that LFI safety officer has the task to train the staff to keep wagons

ensured as long as they are at fronts for loading/unloading or stored on tracks.

g. Incompatibilities regarding the shunting on the LFIDepending on how is organized the LFI activity, will be considered the following issues, listed

or not, eventually supplemented by other incompatibilities:- not handle more than a shunter in the same area of shunting;- is prohibited the shunting by other means (handle, by locotractor, with other mechanical means

as appropriate);- is prohibited S\shoving shunting (in most dossiers);In addition, must be stated in regulations on the LFI with many areas of shunting appear

incompatibility between shuntinging areas, usually those which do not authorisationsimultaneous shuntings and crossing from a shunting area to another.

5.Shunting on the tranzit LFIThis section will deal only if there is a transit LFI and it will be used the same considerations

listed to perform the LFI shunting (pt. 4)



a. Shunting coordination on the transit LFIThe Transit LFI activity can be coordinated by signalmen (where available) or by the safety

officer of transit LFI; the activity can be coordinated and responsible by the sendingLFI safety officer, but only on the shunting plan endorsed by the transit LFI safetyofficer or his deputy.

On the transit LFI the activity can be conducted and by the connecting station signalmen,requested by the safety officer of the sending LFI, but only with the consent ofTransit LFI safety officer.

The procedure referred to this point will be stated in the common rules acknowledged by theinterested companies management and the connecting station.b. Technical requirements to be met in the transit LFI shuntingc. Specific way to maintain in place or against escape the vehicles on the tranzit LFId. Incompatibilities regarding the shunting on the tranzit LFI6. Conducting of dangerous goods transport (only if applicable)It wil declare that dangerous goods handled and stored on LFI, with the RID characteristics,

declared and approved by AFER in the LFI RTE. It will declare the fronts and trackswhere the goods are handled and stored.

It will specify the conditions to be met to execute shuntings with waggons carrying dangerousgoods - from the connecting station to the fronts and return. It will specify whosupervise the handling of these dangerous goods (dangerous goods adviser) includingthe transit LFI that clarifications are made in the shuntinging plane and which is thetransport documents circuit.

7. How to ensure non-discriminatory access of the vehicles used in operations for shuntingrail for holders of LFI upstream (only if applicable)

It will define the transit LFI routes which ensures transit for both directions and will specify howwill act it.

It will specify any restrictions imposed by transit LFI and their cause.It will indicate that for the upstream LFI holders shall ensure non-discriminatory access within

existing capacity, according the transit line agreement. According to regulations,these conditions will be detailed in the operation contracts signed between LFIgroup owners.

Done,

LFI safety officer,