specific procedure code: ps-2110-20 ceri din 21.10.2015 of... · 2018. 10. 18. · -sr en iso/cei...

SPECIFIC PROCEDURE CODE: PS-2110-20

CERTIFICATION OF THE RESPONSIBLE

ENTITIES WITH THE MAINTENANCE OF THE

FREIGHT WAGONS / CERTIFICATION FOR

MAINTENANCE FUNCTIONS OF THE FREIGHT

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APPROVED DIRECTOR

PREPARED Departament chief

Effective date ………………………

CHECKED Service Chief

ELABORATED

Copying and distribution outside the conditions laid down by PGO 1 are not permitted

CHANGE/

IDENTIFYING ELEMENTS 1 2 3 4

Page

Paragraph

Chapter

Name, first name, signature of the

person that implemented the change

Date of the change






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CONTENTS

1 Dashboard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2 Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

1. Scope . . . . . . . . . . . . . . . . . . . . 3

2. Definition and abbreviations .. . . . . . . . . . . . . . . . . . . . . 3-4

3. Reference documents . . . . . . . . . . . . . . . . . . . . . . . . . 4

4. Procedure’s description . . . . . . . . . . . . . . . . . . . . . . 4-7

5. Tasks and responsibilities . . . . . . . . . . . . . . . . . . . . . 7-8

6. Records and annexes . . . . . . . .

.

. . . . . . . . . . . . . . . . . . . . 8-42






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1. SCOPE

The procedure establishes the conditions, rules and methods of certification entities in charge of maintenance for

freight wagons / entities performing functions of maintenance of freight wagons

This procedure applies to staff of the - ASFR involved in the certification of entities in charge of maintenance for

freight wagons / entities performing functions of maintenance of freight wagons .

2. DEFINITIONS AND ABBREVIATIONS

2.1 Definitions 2.1.1. The specific terms used are defined in Chapter II , Article 6 of the Methodology for the granting of the

entity in charge of maintenance / maintenance functions certified in accordance with Regulation (EU ) no. 445/2011 of 10

May 2011 on a system of certification of entities in charge of maintenance for freight wagons and amending Regulation

(EC ) no. 653/2007 , as well as :

-SR EN ISO 9001:2008 - Quality management system. Requirements;

-SR EN ISO 19011:2011 – Guide for auditing the quality management systems and / or for environment;

-SR EN ISO/CEI 17000:2005 - Conformity assessment. Vocabulary and general principles;

-SR EN ISO/CEI 17021:2011 - Conformity assessment. Requirements for bodies providing audit and certification of

management systems;

- Decision 2011/107 / EU amending Decision 2007/756 / EC adopting a common specification of the national

vehicle register.

- Railway audit manual for safety.

2.1.2. In this proceeding the expressions of pct.2.1.1 and methodology referred to the following terms and definitions:

a) the entity in charge of maintenance Certificate / Certificate for maintenance functions - with special document issued by

ASFR as the certification body designated in accordance with Annex V to Regulation (EU) no. 445/2011, non transferable,

which attests that an organization meets the requirements and criteria of the maintenance management system of freight

wagons as identified in Annex III to Regulation (EU) no. 445/2011;

b) In charge of the file - a person from the Service Certification ERI, Surveillance railway provider, which has been

assigned by the head of service for assessment and examination, the dossier award / upgrade / update / renewal of the

certificate of the entity in charge of maintenance / certificate maintenance functions;

c) Methodology - Methodology for the granting of the entity in charge of maintenance / maintenance functions certified in

accordance with Regulation (EU) no. 445/2011 of 10 May 2011 on a system of certification of entities in charge of

maintenance for freight wagons and amending Regulation (EC) no. 653/2007.

d) Evaluation - assessment, estimate, estimation;

e) Review - the detailed research documents and the certification file.

2.2. Abbreviations

AFER - Romanian Railway Authority;

ASFR - Romanian Railway Safety Authority;

AGIFER - Romanian Railway Investigation Agency;

SCERIVM - Certifying ERI freight cars;

ONFR - Romanian Railway Notified Body;

Regulation - Regulation (EU) no. 445/2011 of 10 May on a system of certification of entities in charge of maintenance for

freight wagons and amending Regulation (EU) no. 653/2007;

Manual - The manual audit of railway safety

ERI - entity in charge of maintenance;

FI - maintenance function;

CERI - Certificate of entity in charge of maintenance;

CFI - Certificate for maintenance function;

Sivma - maintenance system of freight wagons;






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CC - Certification Committee;

Decision - the decision by the CC on the grant / refusal, updating / modification of suspension and revocation of

CER / IFC;

CA - the appeal;

RD - responsible for the file;

NEI - European Identification Number;

SD - Head;

SS - head of service;

CJ - Legal Department within ASFR.

3. REFERENCE DOCUMENTS

- Regulation (EU) no. 445/2011 of 10/05/2011 on a system of certification of entities in charge of maintenance for freight

wagons;

- Regulation (EU) no. 402/2013 of 30 April 2013 on the CSM risk assessment and amending Regulation (EC) no. 352/2009;

- Regulation (EU) no. 1077/2012 of the Commission of 16 November 2012 on a common safety method for supervision by

national safety authorities after issuing a safety certificate or a safety authorization;

- Minister of Transport no. 820/2013 on measures for applying Regulation (EU) no. 445/2011 of 10 May 2011 on a system

of certification of entities in charge of maintenance for freight wagons and amending Regulation (EC) no. 653/2007;

- Methodology for the granting of the entity in charge of maintenance / maintenance functions certified in accordance with

Regulation (EU) no. 445/2011 of 10 May 2011 on a system of certification of entities in charge of maintenance for freight

wagons and amending Regulation (EC) no. 653/2007;

- Railway audit manual for safety.

4. DESCRIPTION OF THE PROCEDURE

4.1. Overview

4.1.1 CERI / IFC entities possessing be granted, operates or maintains freight cars, including public railway infrastructure

manager which meet the criteria set out in the Regulations.

4.1.2 Certification of an applicant shall be based on the certification system of the European Railway Agency - ERA and

methodologies.

4.2 Filing of CERI / IFC

4.2.1 The applicant shall submit to the Registry AFER, the application for certification, depending on the type of request,

the documents mentioned in the Methodology.

4.2.2 The request is recorded, according to the internal, input-output registers in the Register of applications CERI / IFC

within SCERIVM. Model 2110-20-1 R code form.

4.2.3 SS notes the contents of the request and nominate a RD.

4.3 Evaluation of documents

4.3.1 RD within 15 working days of receiving the request notes the contents of the request and verifies requirements

(documents) provided in checklist form code FPS 2110-1 model and a correlation table (Annex 1 of Methodology) is found

in the dossier submitted.

4.3.2. If that certification file does not contain all documents listed in Annex 1 and 2 of Methodology, communicated to the

applicant rejection. Communication will be made, in writing, of RD and will be accompanied by a copy of the checklist and

correlation table. Communication will be signed by the SS, SD endorsed with legal advice from the County Council and

signed by the Director ASFR. After signing, the communication will be registered according to internal procedures and will

be sent by fax to the applicant. Model form FPS2110-20-2.

4.3.3 A new request will be made on the basis of a new application, following the same procedure as described in section

4.2.

4.3.4 Where, following the evaluation of the documentation submitted, under Annex 1 of the methodology and checklist, it

appears that it covers all the requirements and criteria of Annex III of the Regulation, the applicant will be notified in

writing on acceptance of the request and the need conclusion of the certification ERI / FI certification.

4.3.5 Communication will be drawn up by RD, signed by SS, SD endorsed and signed by the Director ASFR. After signing,

the communication will be registered according to internal procedures and will be sent by fax to the applicant. FPS Model

2110-20-3 form.






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4.3.6 RD will draft certification agreement ERI / FI and Explanatory note regarding the pricing when making the

communication of acceptance of the application. FPS Model 2110-20-4 form.

4.3.7 If within 10 days of receipt of the contract, the applicant fails to submit the AFER contract signed by the legal

representative of the applicant, RD shall notify in writing the applicant of rejection.

4.3.8 Communication will be drawn up by RD, signed by SS, SD endorsed with legal advice from the County Council and


be sent by fax to the applicant. FPS Model 2110-20-5 form.

4.3.9 The applicant shall, within 5 working days from the contract signature fee payment is required for the certification

process.

4.3.10 If, RD receives, within 5 working days proof of paying the fee (payment order copy on file-piece), RD shall notify in

writing the applicant of rejection. Applications rejected, accompanied by file submitted documents kept at SCERIVM for 1

year and then will be archived.

4.3.11 Communication will be drawn up by RD, signed by SS, SD endorsed with legal advice from the County Council and

signed by the Director ASFR. FPS Model 2110-20-6 form.

4.3.12 Once signed, the communication will be registered according to internal procedures and will be sent by fax to the

applicant.

4.3.13 If the RD receives proof of paying the fee, before the deadline, it will notify the applicant in writing of starting the

certification process.

4.3.14 Communication will be drawn up by RD, signed by SS, SD endorsed and signed by the Director ASFR. FPS Model

2110-20-7 form.

4.3.15 The certification process lasts four months, according to the Regulation, the date when the applicant was notified in

writing of demarararea certification process.

4.3.16 The certification process may be extended only after a reasoned request and with the consent of the economic

operator ASFR management.

4.4. Documentation examination

4.4.1 The examination is conducted by RD documentation and lies in the content of the documents filed comply with the

requirements and criteria of Annexes I and III of the Regulation.

4.4.2 Where the requirements of Regulation RD notes that are not fully covered by the contents of documents filed, it shall

report in writing to the applicant additional information required for clarification, according to Art.7 (3) of the Regulation.

Address for notification to the applicant shall include specific requests for additional information. Model 2110-20-8 FPS

code form.

4.4.3 Notwithstanding applicant may request within 15 days, addressing in writing ASFR management.

4.4.4 Where ASFR management agrees with this exemption period, the applicant will be notified in writing on accepting the

exemption. It also will address the following in binding "We also communicate that the certification process is extended

with no derogation of days for your requirement"

4.4.5 Communication will be drawn up by RD, signed by SS, SD endorsed and signed by the Director ASFR. After signing,

the communication will be registered according to internal procedures and will be sent by fax to the applicant. Model Form

FPS 2110-20-10.

4.4.6. When the economic operator fails to comply within 15 days or the time which requested the waiver, RD shall notify in

writing the applicant of rejection.

4.4.7. Communication will be drawn up by RD, signed by SS, SD endorsed with legal advice from the County Council and


be sent by fax to the applicant. Model form code and code FPS FPS 2110-20-9 2110-20-11.

4.4.8 Where RD believes that covers all requirements, the action will be completed examination of the documents by

signing a document examination report, a report which will annex the entire correspondence exchanged with the applicant

RD. The report will document examination form and content of Annex "Report examining the document / report

documentation" Manual railway safety audit.

4.4.9 Where, following the examination of additional information submitted as requested, they do not cover the

requirements of the Act and Regulation ASFR, RD shall notify in writing the applicant of rejection.

Communication will be drawn up by RD, signed by SS, SD endorsed with legal advice from the County Council and signed

by the Director ASFR. After signing, the communication will be registered according to internal procedures and will be sent

by fax to the applicant. Model Form FPS 2110-20-12.






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4.4.10 In all cases dismissing the application after starting the certification process, the applicant may receive part of the

proceeds of the contract certification, less charging for ASFR following activities:

a. the drawing up and signing of contract certification;

b. the demand analysis;

c. reviewing the documentation related tool / system maintenance functions within the freight wagons defined in accordance

with Regulation (EU) no. 445/2011.În toate cazurile de respingere a cererii, solicitantul va relua toți pașii din Metodologie.

4.5.Acordarea / refusal CERI / IFC

4.5.1 The result of the examination of the documents and the outcome of the audit process on site, together with the lead

auditor certification RD will forward the file to the CC, for the decision on the certificate.

4.5.2 file certification includes: documents in the case, the entire correspondence with the applicant, the review report

documents all the documents and the audit result of the action on the ground.

4.5.3 CC activity is conducted in accordance with the provisions of Regulation CC ASFR.

4.5.4 CC decision regarding the granting / not granting the requested certificate.

4.5.5 If CC decision to grant the certificate, RD will proceed to issue the certificate to sign its director ASFR. CC decision

will have legal advice from CJ.

4.5.6 RD prints CERI / IFC using the relevant forms provided for in Annex V to the Regulation.

4.5.7 CERI / IFC issued will be registered in the Register of CERI / IFC, according to internal procedures. ASFR copy of

CERI / IFC issued will be signed by the SD, SS, RD and CJ before being signed by the Director ASFR.

4.5.8 After signing CERI / IFC by the Director ASFR, RD shall notify in writing the economic operator on the certificate.

4.5.9 Communication will be drawn up by RD, chief SCERIVM signed, endorsed and signed by the Director ASFR SD.

After signing, the communication will be registered according to internal procedures and will be sent by fax to the applicant.

2110-20-13 FPS Model code form.

4.5.10 After signing CERI / IFC by the Director ASFR, RD will establish surveillance contract holder CERI / IFC and the

Explanatory note on the pricing. 2110-20-14 FPS Model code form.

4.5.11 certificate will be issued to the applicant by the person authorized and signed the register of CERI / IFC. Model code

form R 2110-20-02.

4.5.12 certificate will have a European Identification Number (EIN) as prescribed in the Regulations.

4.5.13 No later than one week after the signing certificate by ASFR director, nominee of the SCERIVM to notify ERA,

ERA will proceed with the notification about this decision.

4.5.14 If CC decision granting the certificate, RD shall notify in writing the applicant of the decision of the CC. CC decision

will have legal advice from CJ.

4.5.15 Communication will be made RD, signed by SS, SD endorsed with legal advice from the County Council and signed

by the Director ASFR. It will contain motivation CC granting the certificate. After signing, the communication will be

registered according to internal procedures and will be sent by fax to the applicant. 2110-20-15 FPS Model code form.

4.5.16 The applicant is entitled to challenge the CC decision within 30 calendar days.

04/05/17 Award / updating / modification / renewal / withdrawal of a certificate ERI / FI will be communicated to:

- ONFR to applicants of CERI;

- Chief Inspector;

- Service Traffic Safety, Audit;

- Railway Safety Inspectorate of the jurisdiction of the holder CERI / IFC

- Authorization Safety Certification Service - for applicants ask.

05/04/18 Communications will be drawn up by RD, signed by SS, approved by SD, and, where appropriate, signed by the

Director ASFR. Models code forms FPS 2110-20-16, 2110-20-17 FPS, FPS 2110-20-18.

05.04.19 No later than one week after the release / update / change / renewal / withdrawal of a certificate ERI / FI, nominee

of the SCERIVM to notify ERA, ERA will proceed with the notification relating to the issuing / updating / modification /

renewal / withdrawal of a certificate ERI / FI.

4.6 Validity CERI / IFC

The validity of the certificate granted is determined methodology.

4.7 Update / modification of a CERI / IFC






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4.7.2 Granting CERI / IFC updated / modified is conducted in accordance with the Methodology.Actualizarea/modificarea

unui CERI/CFI urmează aceeași pași ca cei de la pct.4.2, 4.3, 4.4, 4.5 din prezenta procedură.

4.8 Renewal of CERI CFI

4.8.2 Renewal of CERI / IFC must be requested by a holder of CERI / IFC at least 4 months before the expiry of the

certificate originally granted.

4.8.3 Renewal of CERI / IFC is conducted in accordance with the Methodology.

4.8.4 Renewal of CERI / CFI follows the same steps as those in section 4.2, 4.3, 4.4, 4.5 of this procedure.

4.8.5 If the deadline is not the pct.4.8.1. The request will be dealt with urgently on the request according to pct.4.11 of

procedure.

4.9 Loss or damage CERI / IFC

4.9.2 loss or damage CERI / IFC treated according to the methodology.

4.9.3 application endorsed by the head SCERIVM entered in the 'Register of document input-output ", according to internal

procedures.

4.9.4 RD folder will include certification / renewal / upgrade / modification request for issuing the certificate - duplicate and

lost certificates proof of publication in the Official Gazette of Romania, Part IV or damaged certificate.

4.9.5 CERI / IFC duplicate shall be recorded in the 'Register of CERI / IFC "and the" Remarks "box will wording" issue

duplicate on ... after the loss / damage initial certificate'.

4.10 Suspended / revoked CERI / IFC

4.10.2 Suspended / revoked to a CERI / CFI is made in accordance with the Methodology Chapter X, Article 41, 42, 43.

4.10.3 The holder of a CERI / CFI will be informed of the decision CC suspension / revocation of a CERI / IFC, through

written address.

4.10.4 All communications resulting in the suspension / revocation of a CERI / CFI will be drawn up by RD, signed by SS,

approved by SD, with legal advice from the County Council and signed by the Director ASFR and motivation will contain

CC. CC decision with reasons will have legal advice from CJ. After signing, the communication will be registered according

to internal procedures and will be sent by fax to the applicant. 2110-20-19 FPS Model code form.

4.10.5 Suspended / revoked to a CERI / CFI will be circulated to all stakeholders as specified in the Methodology Chapter

X, Article 42. 2110-20-20 FPS Model code form. All addresses following the model code form 2110-20-20 FPS will have

legal advice from CJ.

4.10.6 All CERI / CFI suspended / revoked will highlight the register of certificates ERI / certificate be suspended / revoked

or restricted field. Code R2110-20-03 form.

4.11 Provision / renewal / upgrade / modification of CERI / IFC urgently

4.11.1 If the recipient asks for / renewal / upgrade / modification of CERI / IFC shorter period than foreseen in the

regulations (4 months) calculated tariffs apply a correction factor K3 = 2, according OMTI provisions Nr.2180 / 2012

amended and supplemented. Accepting urgent requests shall be made in cash ASFR conditions.

4.11.2. If the request is accepted emergency certification process complies with the provisions of section 4.2, 4.3, 4.4, 4.5 of

this procedure.

4.11.3. The assessment of the urgent request depends on the size of the organization, the number of premises, maintenance

levels, the types of wagons.

5. Assignments and responsibilities

5.1. Director ASFR

- Divided by the SCERIVM application submitted by the applicant;

- Sign all documents of correspondence with the applicant;

- Approved the explanatory note on the tariff and signed certification that the contract oversight;

- Sign CERI / IFC.

5.2. Legal Department ASFR

- Legal advice for all the mentioned documents in the case and sent to the applicant and CC decisions;

- Sign CERI / IFC-copy ASFR.

5.3. Head of Department

- Approves all the documents of correspondence with the applicant;

- Endorsing the explanatory note on the charge;

- Signed certification that the surveillance contract;






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5.4. Head SCERIVM

- Appoints the head of the file;

- Signed "Explanatory Note";

- Signed certification that the surveillance contract



5.5. In charge of the file at the SCERIVM

- Verification of documents submitted in the checklist in order to accept the application for certification ERI / BE

- Assesses the certification documents from the file if the table line;

- Check compliance certification documents in the file, according to the request made with the requirements and criteria of

Annex III to the Regulation;

- Carry out "explanatory note";


- Drafting and issuing the certificate;

- Prepare and issue duplicate certificate;

- Sign CERI / IFC-copy ASFR. ASFR personnel involved in the certification process ERI / FI, responsible for carrying out

its duties in this case.

6.Registrations

Nr.

Document Who compiles

Nr. of

copies

Document’s

destination

Storage

time Storage place

1

Register of evidence

certification ERI / BE

requests

SCERIVM 1

SCERIVM 10 years SCERIVM

2 Checklist for acceptance

of ERI/FI request SCERIVM 1

SCERIVM 3 years SCERIVM

3 Conformity table SCERIVM 1 SCERIVM

3 years SCERIVM

4

Rejection address

application because not

all the requirements are

covered in the checklist

and conformity table

Responsible

for file 1

SCERIVM

Certification

file 1 year SCERIVM

5 Address of the

acceptance application

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

6 Contracts, supporting

notes

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

7

Rejection address

application for not

signing the contract

Responsible

for file

1

SCERIVM

Certification

file 1 year SCERIVM

8

Rejection address

application for not paying

the certification contract

Responsible

for file

1

SCERIVM

Certification

file 1 year SCERIVM

9

Notification address

starting certification

process

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM






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8 Acceptance address for

waiver

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

9 Additional information

address

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

10

Rejection address

application for not

sending the additional

information

Responsible

for file

1

SCERIVM

Certification

file 3 years SCERIVM

11

Rejection address

application for not

sending the additional

information that covers

the requirements and

criterias

Responsible

for file

1

SCERIVM

Certification

file 1 year SCERIVM

12 Releasing address for the

ERI/FI certificate

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

13

Notification address for

issuing the ERI

certificate to ONFR

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

14


issuing the ERI /FI

certificate to the Chief

Inspector, ISF1-8,

SCSCA, SCAS

Responsible

for file

1

SCERIVM

Certification

file 3 years SCERIVM

16 Notification address for

rejection of CERI/CFI

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

17


suspending / revoking

CERI/CFI

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

18


beneficiaries of certified

operators services

Responsible

for file

1

SCERIVM

Certification

file

3 years SCERIVM

19 Customer Satisfaction

Survey Solicitant 1

SCERIVM

Certification

file

3 years SCERIVM

20 Evidence register of

eliberated CERI/CFI SCERIVM

1

SCERIVM

10 years SCERIVM

21

Evidence register of

CERI/CFI secluded /

suspended or with

restricted activity area

Responsible

for file

1

SCERIVM

10 years SCERIVM






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7. ANEXES

code R 2110-01 CERTIFICATION APPLICATIONS registers ERI / certification maintenance functions

(Specimen) Nr.

Certification

File

ERI/FI request

Register Nr.

SCERIVM

Solicitor’s name

Solicitor’s address

Phone number/fax

Request’s scope

-granting ;

-change;

-renewal;

-DUPLICATE.

Remarks

0 1 2 3 4 5

code R 2110-02 CERTIFICATION APPLICATIONS registers ERI / certification maintenance functions

(Specimen)

Internal reference

number

Solicitor’s name

Solicitor’s address

Phone number/fax

Issued file Issue date Receipt confirmation

Name and surname - delegate

BI / CI, serial no.,

signature

1 2 3 4 5

code R 2110-03

Evidence register of ERI/ FI certificates Secluded, suspended or with restricted activity area

Internal

reference

number

Solicitor Suspension Suspension

annulment

Revocation Restricted activity area

name

From date To date From date To

date

To date From date To date

0 1 2 3 4 5 6 7 8






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code FPS 2110-20-1

Checklist to grant / renewal CERI / IFC

1. Application form in accordance with Annex IV of Regulation (EU) no. 445/2011;

2. Proof of payment rates under the contract of Supervisors to the request, only in case of

renewal of a certificate granted;

3.Declaraţia policy on the maintenance system of freight wagons;

4. qualitative and quantitative targets to maintain and improve the system of maintenance of

freight wagons;

5. Evidence of qualitative and quantitative objectives;

6. Table of concordance between the requirements and criteria of the Regulation and

documents covering Sivma;

7. Procedures under Annex I and III to Regulation (EU) no. 445/2011;

8. Annexes 10,11,12,13,14,16 of methodology;

9. The list of applicable documentation (procedures, work instructions) to perform each type of

maintenance for every type of freight wagon;

10. The technical specifications then perform maintenance activities, covered by ASFR. The

technical specifications approved by AFER will be accepted only if they comply with the

legislation in force at the time of application for certification;

11. Evidence of keeping under control the risks associated with outsourced activities;

12. Decision on appointing a responsible management maintenance system for freight wagons;

13. Work to perform each process that is in the kind of maintenance for each type of boxcar;

14. The situation of the wagon fleet for which the certificate is requested ERI will be

highlighted and a maturity of repair;

15. A list of personnel involved in the maintenance of freight wagons;

16. Organizational society including Points;

17. List of the stands and the special equipment used in the maintenance of freight wagons,

certified by AFER;

18. List the personnel used in special processes (welding, CUS) + proof of their authorization;

19. The job descriptions of personnel are involved in Sivma;

20. Proof of payment of the fee after accepting the application and concluded the contract;

21. Contracts for outsourced functions;

22. List maintenance activities;

23. Spare parts list used during preventive and corrective maintenance activities for which

change depending on the specific condition that may require replacement;

24. The list of interoperability constituents and components included in this subject conformity

assessment procedure "CE" in Annex IV to GD. 877/2010 used in preventive and corrective

maintenance activities, and references to the statements of the 'CE' or, where appropriate, the

declarations of conformity NNTR, thereof;

25. Declaration undertaking the Certificate - model form Annex 15;

Checklist to update / change CERI / IFC

Changing the initial identification of the applicant data

1. The application made in accordance with Annex IV of the Regulation;






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2. Proof of payment rates under the contract of Supervisors to the request to update / modify a

certificate granted;

3. Copy of new data about the applicant entered in the National Registry Office trade;

4. Proof of payment of the fee related to the granting of the certificate;

5. Other documents (if applicable).

6. Proof of payment of the contract value of Supervisors to the award of the certificate


Entering maintenance development function

1. Application form in accordance with Annex IV of the Regulation which will be checked

maintenance development function;



3. Table of concordance between the requirements of the Regulation for maintenance

development function and documents covering this function;

4. Procedures proving that the requirements and assessment criteria set out in Annex III Sivma

the rules for maintenance development function;

5. The list of existing processes that have changed since the introduction of the maintenance

development function, if any;

6. The list of emerging processes;

7. The process of risk assessment introduction of the development of maintenance;

8. Procedures have been changed following the introduction of the maintenance development

function;

9. Proof of payment acceptance and demand tariff after concluding the contract;

10. Evidence of staff skills;

11. job descriptions;

12. List the personnel involved to ensure the maintenance development function;

13. Organizational;

14. Annexes 10, 11 and 16 of the full methodology;

15. Declaration commitment to certificatului- model release form Annex 15 to methodology;


17. Proof of payment of the contract value of Supervisors to the award of the certificate.


Entering fleet maintenance management function

1. Application form in accordance with Annex IV of the Regulation which will be checked fleet maintenance management

function;

2. Proof of payment rates under the contract of Supervisors to the request to update / modify a certificate granted;

3. Table of concordance between the requirements of the Regulation for fleet maintenance management function and

documents covering this function;

4. Procedures proving that the requirements and assessment criteria set out in Annex III Sivma the rules for maintenance

development function;






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5. List the existing processes have been changed to introduce fleet maintenance management function, if any;


7. Procedures for assessing risk management function introduction park maintenance;

8. Procedures have been changed following the introduction of fleet maintenance management function;

9. Evidence of staff skills;

10. job descriptions;

11. List of staff involved to ensure fleet maintenance management function;

12. Organizational;

13. Annexes 10, 12, 16 of the full methodology;

14. List wagons that provides fleet maintenance management function and maturity of repair;




Introducing the tool to perform maintenance

1. Application form in accordance with Annex IV of the Regulation which will be checked to perform maintenance

function;


3. Table of concordance between the requirements of the Regulation for performing maintenance function and documents

covering this function;

4. Procedures proving that the requirements and assessment criteria set out in Annex III Sivma the rules for conducting

maintenance function;

5. List the existing processes have been changed to introduce the tool to perform maintenance, if applicable;


7. The process of risk assessment tool to perform maintenance introduction;

8. Procedures have been changed following the introduction of the tool to perform maintenance;

9. Proof of payment acceptance and demand tariff after concluding the contract;

10. Annex 10,13,14 and 16 of Methodology;

11. List of applicable documentation (procedures, work instructions) to perform each type of maintenance for every type of

freight wagon;

12. The list of parts used during preventive and corrective maintenance activities for which change depending on the

specific condition that may require replacement;

13. The list of interoperability constituents and components included in this subject conformity assessment procedure "CE"

in Annex IV to GD. 877/2010 used in preventive and corrective maintenance activities, and references to the statements of

the 'CE' or, where appropriate, the declarations of conformity NNTR, thereof;

14. Work instructions for performing each process that is in the kind of maintenance for each type of boxcar;

15. The technical specifications then perform maintenance activities, covered by ASFR. The technical specifications

approved by AFER will be accepted only if they comply with the legislation in force at the time of application for

certification.

16. The list of staff involved in the maintenance of freight wagons;

17. Organisation chart including Points;

18. List of the stands and the special equipment used in the maintenance of freight wagons, certified by AFER;

19. List of personnel used in special processes (welding, CUS) + proof of their authorization;



22. Other documents (if applicable);



Introducing partial performing maintenance function

1. Application form in accordance with Annex IV of the Regulation which will be checked by conducting partial

maintenance function;







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3. Table of concordance between the requirements of the Regulation for performing maintenance function and documents

covering this function;

4. Procedures proving that the requirements and assessment criteria set out in Annex III Sivma the rules for conducting

partial maintenance function;

5. The list of existing processes that have changed the introduction of the partial execution of maintenance, if applicable;


7. List maintenance work performed;

8. risk assessment procedures to introduction of the partially conducting maintenance;

9. The procedures have been changed following the introduction of partial performing maintenance function;

10. Annexes 10,13,14 and 16 of Methodology;

11. List of spare parts used during preventive and corrective maintenance activities for which change depending on the

specific condition that may require replacement;

12. The list of interoperability constituents and components included in this subject conformity assessment procedure "CE"

in Annex IV to GD. 877/2010 used in preventive and corrective maintenance activities, and references to the statements of

the 'CE' or, where appropriate, the declarations of conformity NNTR, thereof;

13. The list of applicable documentation (procedures, work instructions, documents related maintenance processes) to

perform each type of maintenance for every type of freight wagon;

14. Work instructions for performing each process that is in the kind of maintenance for each type of boxcar;

15. The technical specifications then perform maintenance activities, covered by ASFR. The technical specifications

approved by AFER will be accepted only if they comply with the legislation in force at the time of application for

certification;

16. The list of staff involved in the maintenance of freight wagons;

17. Organisation chart including Points;

18. List of the stands and the special equipment used in the maintenance of freight wagons, certified by AFER;

19. List of personnel used in special processes (welding, CUS) + proof of their authorization;




23. Other documents (if applicable);



The introduction of a type of wagon

1. Address the request to this effect;



3. The identification of the type of car;

4. Documents relating to the maintenance of that type of car;

5. List the existing processes have been changed to introduce a new type of wagon, if applicable;


7. List maintenance work performed;

8. Spare parts list used during preventive and corrective maintenance activities for which change

depending on the specific condition that may require replacement;

9. The list of interoperability constituents and components included in this subject conformity

assessment procedure "CE" in Annex IV to GD. 877/2010 used in preventive and corrective

maintenance activities, and references to the statements of the 'CE' or, where appropriate, the

declarations of conformity NNTR, thereof;

10. Work instructions for performing each process that is in the kind of maintenance for each

type of boxcar;

11. The risk assessment procedure to introduce a type of wagon;

12. Procedures have been changed following the introduction of a type of car;








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16. Proof of payment of the contract value of Supervisors to the award of the certificate

Checklist to update / change CERI / CEO

Outsourcing of functions defined in Regulation

1. application made in accordance with Annex IV of the Regulation which will be checked outsourcing that function;


3. Documents proving the requirements and assessment criteria set out in Annex III Sivma the Regulation by outsourcing

the function / functions;

4. Documents proving that the requirements and assessment criteria set out in Annex III Sivma the Rules of organization at

which one of the functions outsourced if the organization is not certified;

5. The restraint of the organization to which one of the functions outsourced 2,3,4;

6. The list of activities that have been modified to outsourcing one of the functions 2,3,4;

7. List of activities emerging;

8. risk assessment procedure outsourcing one of the functions 2,3,4;

9. Evidence of keeping under control the risks associated with the outsourcing one of the functions 2,3,4;










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code FPS 2110-20-2

Faxing

From : Serv . ERI Certification freight cars

In attention: applicant’s name

No. of pages: Fax no: Please let us know as soon as possible by phone or fax, if you have not received all the pages

No.: code SCERIVM /…../2xxx

To : ...... (applicant’s name)

In attention of Mr. General director………

Following your application for certification ERI / FI no. .............. from.......... registered ASFR - SCERIVM

no. .............. , Which calls for granting / renewal / upgrade / modification CERI / CFI, please find it does not cover all the

requirements of Annexes 1 and 2 to the methodology for granting of the entity responsible for maintenance / certificate

maintenance functions ASFR published on the site.

Given the above your application is rejected.

A new application can do it under a new request , in accordance with the methodology for granting of the entity in charge of

maintenance / maintenance functions certified in accordance with Regulation (EU ) no. 445/2011 of 10 May 2011 on a

system of certification of entities in charge of maintenance for freight wagons and amending Regulation (EC ) no. 653/2007

.

DIRECTOR Verso

LEGAL NOTICE

Legal Department ASFR

APPROVED

Department’s chief

COMPLETED

Responsible for file

Office’s chief

MINISTRY OF TRANSPORTATION

Romanian Railway Authority AFER

Romanian Railway Safety Authority - ASFR Phone PTT : 021/3071805 Fax : 021/3077976






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code FPS 2110-20-3

Faxing

From: Serv. ERI Certification freight cars

In attention: applicant’s name

No. of pages: Fax no: Please let us know as soon as possible by phone or fax, if you have not received all the pages

No.: code SCERIVM /…../2xxx

TO: ………………

MR. General Director…………..

Regarding your request for certification ERI / FI no. .........., entry number ASFR-SCERIVM ........., we notify the following:

-documentele sent to Romanian Railway Safety Authority - ASFR comply with the provisions of Annexes 1 and 2-9 (depending on

application) The methodology for the award of the entity in charge of maintenance certificate / certificate maintenance functions,

therefore your application is accepted;

-In order to start the certification process is necessary to conclude the contracts for certification as an entity in charge of maintenance for

freight wagons / entity in charge of maintenance functions freight wagons;

Certification -River contract will be sent by AFER.

Please note the following:

-if later than 10 working days of receipt of the contract, there is no evidence of transmission from AFER contract signed, your

application is deemed rejected;

-If within 5 business days after signing the contract, not for proof of paying the fee for the services carried out by ASFR, your request is

considered rejected;

-In accordance with the methodology for granting of the entity in charge of maintenance / certificate maintenance functions, where the

decision to grant the certificate requested ASFR will perform under contract for surveillance, monitoring activities throughout life the

entity in charge of maintenance certificate / certificate maintenance functions.

Also, according to Article 7 (3) of Regulation (EU) 445/2011 Romanian Railway Safety Authority - ASFR reserves the right to require a

written additional information submitted after starting the application certification process.

DIRECTOR,

Verso

APPROVED

Departament’s chief

COMPLETED Responsible for file

MINISTRY OF TRANSPORTATION

Romanian Railway Authority AFER

Romanian Railway Safety Authority - ASFR






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Office’s chief

code FPS 2110-20-4

ROMANIAN RAILWAY AUTHORITY

ASFR - AFER

Romanian Railway Safety Authority

CONTRACT CERTIFICATION

Entity in charge of maintenance / maintenance function no. from .............................. ...............

1. The Contracting Parties

ROMANIAN RAILWAY AUTHORITY - AFER , headquartered in Bucharest , sector 1 , Calea Grivitei no . 393 , postal

code 010 719 , phone: 021 / 307.79.09 , fax 021 / 307.79.90 , fiscal code RO 4283163 , IBAN AFER : RO43TREZ opened

at the Treasury Operative 70120F330800XXXX sector 1, Bucureşti , cod Bic TREZROBU represented by Director General

- ... . . and Economic Director - ......... as provider ,

and

XXXXXXXXXXXXXX (name of applicant) with headquarters in ... . , Str . ... No ... . , PO No ... . , CP No ... . , Postcode ...

. , Registered with the Trade Register under no. ..., VAT ... . , ... Phone , fax ... . , IBAN : ... ... open the bank , represented

by Director General - Finance Manager ... and ... . as beneficiary, conclude this contract.

2. CONTRACT’S SUBJECT???

2.1.The contract for the performance of the provider, the certification body in accordance with WTO no. 820/2013

respectively Romanian Railway Safety Authority - ASFR within AFER, the activities necessary to be carried out in order to

certify that the entity in charge of maintenance beneficiary / entity performing maintenance functions in accordance with

Regulation (EU) no. 445/2011.

2.2.În the subject of this contract certification ASFR out the following activities:

a) the drawing up and signing of contract certification;

b) demand analysis;

c) reviewing the documentation related tool / system maintenance functions within the freight wagons defined in accordance

with Regulation (EU) no. 445/2011;

d) spot audit activity;

e) analysis of application activity Certification Committee;

f) the issuance of the certificate.

2.3.ASFR performs the issuing / renewal / upgrade / update the certificate in accordance with Regulation (EU) no. 445/2011

on a system of certification of entities in charge of maintenance for freight wagons and conditions set out in the

Methodology for the granting of the entity in charge of maintenance / certificate maintenance functions.

2.4.The actions carried out on demand provider, period of validity, to update / change the certificate, updating the

identification data of the beneficiary or issuing duplicate established in accordance with the Methodology for the granting of

the entity in charge of maintenance / certificate maintenance functions, will be the subject of a new contract.

CONTRACT AND PAYMENT

3.THE VALUE

3.1.The certification value contract is the sum of the charges relate each activity listed in section. 2.2. of this contract,

requested by the beneficiary, calculated according to the methodology for calculating tariffs for certification activity of

entities in charge of maintenance for freight wagons.






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3.2.The payment of charges related activities will be requested by the customer prior to start the action certification.

3.3.If, after evaluation of the maintenance system of freight wagons of the beneficiary, the provider reasoned decision

granting the certificate, the recipient may have to return the amount paid for activities mentioned in point. 2.2., Letter f).

3.4.The value of the contract is ... .. euros plus VAT and will be paid by the customer within 5 working days of signing the

contract, payment instruments in force in lei at the exchange rate of NBR the day of payment, remittance account no.

Treasury RO43TREZ open 70120F330800XXXX operative Sector 1 Bucharest, BIC TREZROBU, RO 4,283,163.

3.5.The contractor will proceed with the certification only after submission by the beneficiary of the proof of payment of the

value of this contract.

3.6.The value of the contract will be changed accordingly with the issuing of new regulations on pricing, as an addendum to

this contract.

3.7.Not paying the value of the contract leads to failure of the action / contract actions and therefore is subject to

termination.

3.8.Audit tracking performed by the provider in accordance with the Methodology for the granting of the entity in charge of

maintenance / certificate maintenance functions, is subject to a new contract.

4.RIGHTS AND OBLIGATIONS

4.1. PROVIDER’s rights

4.1.1. The contractor / provider is entitled to cease the activities of certification for compliance with the terms of this

contract.

4.1.2.The contractor / provider is entitled to receive payment for the activities certification and subsequent surveillance

activities.

4.1.3.The contractor / provider is entitled, after issuing the certificate to make decisions about it as follows:

a) unscheduled audits;

b) the suspension or revocation of the certificate.

4.1.4. The contractor / provider has the right to not reimburse the received amounts as termination due to causes attributable

to the beneficiary, or as a result of reasoned decision granting the certificate.

4.2. PROVIDER’s OBLIGATION

4.2.1.The contractor / provider will refund the amount received from the beneficiary if the termination was the result

attributable to the provider or the provider amount related activities performed until termination.

4.2.2. The contractor / provider beneficiary will communicate, in writing, within 5 (five) working days of any changes to its

certification procedure, which occurred in the course of the contract, which would involve procedural legally and / or

financially.

4.2.3.The contractor / provider undertakes to ensure confidentiality of information obtained certification activity.

4.2.4. The contractor / provider undertakes to respect the internal regulations of the beneficiary, occupational safety rules

and other regulations specific internal audit during on-site or premises in which the activities of certification and

supervision.

5.The rights and obligations of beneficiaries

5.1.Beneficiary’s rights

5.1.1.The beneficiary has the right to request and receive information from the provider of the measures taken by it in

connection with certification activity.

5.1.2. The beneficiary has the right to waive the certification by notifying the supplier.

5.2.OBLIGATIONS

5.2.1. The permanent beneficiary will work openly and constructively with the provider in conducting the certification

process.

5.2.2. The beneficiary will ensure all conditions necessary for the process of certification (access, workspaces, logistics,

provision of the requested documents, accompanying etc.).

5.2.3. The beneficiary will provide access to any document and jobs involved in activities in the field of activity for which

requested certification, throughout the normal working hours and the whole period of validity of the contract.

5.2.4. The beneficiary undertakes to register and to provide data on complaints received provider on the quality of products /

services delivered.






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5.2.5. The beneficiary commits to know and respect the methodology for granting of the entity in charge of maintenance /

certificate maintenance functions.

5.2.6. The beneficiary undertakes to use the certificate only if it has been granted.

5.2.7. The beneficiary undertakes not to transfer, in any case, the legal responsibility for the quality provider of products /

services performed by the period of validity.

6.The contract validity

6.1.1.The contract is valid during the period between the signature and the date of communication by the provider of the

Certification Committee decision on granting / not granting the certificate, but no more than 4 consecutive months .

7.The change of the contract

7.1.The stipulation of the contract can be modified in the following conditions:

• Agreement of the parties;

• For agreeing with any provisions, binding that may occur during the term of this contract, the normative acts (laws,

ordinances , government decisions , orders ) .

8.STOPPING AND CANCELLATION

8.1.The contract shall automatically be terminated without court intervention in the following situation:

a) the expiry date for which has been completed,

b) in the contract occurs when a force majeure found and invoked under Article 9.

8.2. The contract may also be terminated by agreement of the parties.

8.3. The contract shall be terminated in the following circumstances:

a) non-fulfillment of contractual obligations that needed to be notified to the party not fulfilling its obligations under the

contract, in which case the termination shall become effective within 10 days lucrătoarede notification;

b) a party entered into liquidation proceedings, bankruptcy, reorganization through amalgamation, merger, dissolution;

c) the supplier assigns the contract without the written agreement of the recipient.

8.4.The part that is invoking termination, shall notify in writing to the other party notice of not less than 10 days, the reason

for termination.

8.5.The cancellation will take effect for the future. The part that culpably ordered termination shall bear the consequences of

this.

9. Contingency clause

9.1.Contingency clause determined by a competent authority.

9.2. Contingency clause exempts the contracting parties from fulfilling the obligations under this contract, as long as it

works.

9.3. Fulfilling the contract will be suspended during the contingency clause, without prejudice to the rights due to the parties

(ar mai fi ceva de adaugat).

9.4. Contracting party invoking the contingency clause is obligated to notify the other party immediately and completely and

to take all measures at its disposal to limit the consequences.

9.5. If contingency clause acts for more than 1 month, the parties will meet within 5 days of the close of that period, in order

to agree, either way the contract or its termination.

10.DEALING WITH DISPUTES

10.1. The possible differences between parties will be settled amicably.

10.2 Any disagreement, dispute settlement will be made by the court from the provider. This contract contains four pages

and was drawn up in two (2) copies, each with the same legal power, one (1 ) copy awarded to the beneficiary and one (1 )

copy provider .

In the case of issuing addenda to this agreement, they will have the same level of preparation, approval and distribution of

the initial contract .






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PRESTATOR BENEFICIAR

AUTORITATEA FEROVIARĂ ROMÂNĂ AFER SOLICITANT

DIRECTOR GENERAL DIRECTOR GENERAL

Nume şi prenume Nume şi prenume

DIRECTOR ECONOMIC DIRECTOR ECONOMIC

Nume şi prenume Nume şi prenume

DIRECTOR ASFR OFICIU JURIDIC

Nume şi prenume

ŞEF DEPARTAMENT

Nume şi prenume

ŞEF SERVICIU ERI

Nume şi prenume

ȘEF BIROU JURIDIC

Nume şi prenume

ȘEF SERVICIU FACTURARE-ANALIZE VENITURI

Nume şi prenume

COMPARTIMENT CONTROL FINANCIAR PREVENTIV PROPRIU