CERTIFICATION & AUTHORIZATION

The authority responsible for granting safety certification in Romania is the Romanian Railway Safety Authority.

Except for the cases provided for in art. 10 para. (9) of Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 regarding railway safety (reform), access to the railway infrastructure in Romania is granted exclusively to railway transport operators who hold the unique safety certificate issued by the Agency European Union for Railways (Agency) in accordance with art. 10 para. (5) - (7) from Directive (EU) 2016/798 or by the Romanian Railway Safety Authority in accordance with para. (8).

The railway transport operator requests the Agency to issue a single safety certificate when the intended operating area covers the territory of a member state, which may or may not be the territory of Romania, or of several member states, which may or may not include the territory of Romania.

Without prejudice to the above, the railway transport operator may request the Romanian Railway Safety Authority to issue a single safety certificate when the intended operating area is exclusively the territory of Romania.

The objective of the single safety certificate is to prove that the railway transport operator in question has established its own safety management system and that it is capable of carrying out safe operations in the intended area of ​​operation.

The request for the issuance of the single safety certificate addressed to the Agency or the Romanian Railway Safety Authority, as the case may be, as well as information on all requests, the stages of the relevant procedures and their results, as well as, if applicable, the requests and decisions of the commission for resolving appeals are transmitted through the single counter provided for in art. 12 of Regulation (EU) 2016/796.

The practical methods that must be applied by railway transport operators that carry out passenger and/or freight rail transport services, defined in art. 3 point 25 of the Government Emergency Ordinance no. 73/2019 regarding railway safety, when submitting applications for the issuance of single safety certificates, their renewal or updating/modification, as well as the methods to be applied to the evaluation of these applications by the Romanian Railway Safety Authority - ASFR, hereinafter referred to as ASFR , and the European Union Agency for Railways are established by Commission Implementing Regulation (EU) 2018/763 of 9 April 2018.

A unique safety certificate granted by the Romanian Railway Safety Authority is valid for a maximum of 5 years.

During the validity of the single safety certificates, it is necessary to comply with the requirements that were the basis of their granting, and during the validity of the single safety certificates, the Romanian Railway Safety Authority will carry out audit and state inspection actions regarding the compliance with the specific regulations in force and the verification of the fulfillment of the requirements that were the basis of their granting or modification, based on the agreements concluded with the railway transport operators and a tariff approved by the Ministry of Transport and Infrastructure.

When, following the surveillance activities carried out on the basis of the agreement concluded by ASFR with the railway transport operator, it is found that the certification requirements are no longer met, the national rules or the specific regulations of the European Union are not respected, or a serious risk is identified that affects safety, ASFR can, motivated, according to the provisions of art. 17 para. (1) and (2) of the Government Emergency Ordinance no. 73/2019 on railway safety:

a) to take temporary safety measures - the immediate restriction or suspension of the relevant operations;

b) to take measures to restrict or revoke the single safety certificate, when ASFR has issued the certificate;

c) to propose to the European Union Agency for Railways the restriction or revocation of the single safety certificate, when it issued the certificate.

In case of suspension or withdrawal of the railway transport license of a railway transport operator, ASFR immediately restricts or revokes, as the case may be, the unique safety certificate of the operator in question.

During the period of validity of the restriction of some elements of the single safety certificate according to art. 4 para. (2) lit. c) from OMTIC no. 932/2020, the rail transport operator in question can no longer provide rail transport services for the elements that fall under the non-conformities.

After the revocation of the single safety certificate, the rail transport operator in question can no longer perform rail transport services.

The restriction period of the single safety certificate does not extend its validity period.

A railway transport operator requests the renewal of the single safety certificate that was issued by the Romanian Railway Safety Authority or the Agency, as the case may be. The Romanian Railway Safety Authority renews the single safety certificate if the applicant meets the provisions of GEO no. 73/2019.

For each substantial change in the type or scope of the operation, the railway transport operator requests the update of the single safety certificate.

The Romanian Railway Safety Authority reviews the unique safety certificates issued in accordance with GEO no. 73/2019 following substantial changes to the regulatory framework in the field of safety.

The Romanian Railway Safety Authority notifies the Agency, without delay and, in any case, within two weeks, regarding the issuance of a unique safety certificate.

The Romanian Railway Safety Authority immediately notifies the renewal, modification or revocation of a unique safety certificate.

Rail transport operators establish their own safety management systems, according to Commission Delegated Regulation (EU) 2018/762 of 8 March 2018, to ensure that the rail system can achieve at least OSC, that it is in compliance with safety requirements described in the TSI, as well as that the relevant parts of the MSC and of the national norms notified in accordance with art. 8 of GEO no. 73/2019.

The safety management system is adapted to the type of operation, the scope of the operation, the operating area and other conditions of the activity carried out. It ensures the control of all risks associated with the activity of the railway transport operator, including the provision of maintenance works, materials, as well as the use of contractors.

The safety management system takes into account, in cases where this is appropriate and possible, the risks arising from the activities of other factors.

By May 31 of each year, railway transport operators submit a safety report for the previous calendar year to the Romanian Railway Safety Authority.

The safety report contains:

a) information on how the safety objectives of the railway transport operator are achieved and the results of the safety plan;

b) a report on the development of national safety indicators and ISC provided for in art. 5 of GEO no. 73/2019, insofar as it is relevant for the reporting railway transport operator;

c) the results of internal safety audits;

d) observations regarding the deficiencies and dysfunctions of railway operations and infrastructure administration that could be relevant for the Romanian Railway Safety Authority;

e) a report on the application of the relevant MSCs.

In order to be allowed to administer/manage and exploit a railway infrastructure, the railway infrastructure administrator/manager must obtain a safety authorization issued by the Romanian Railway Safety Authority - ASFR.

The safety authorization issued to the railway infrastructure administrator/manager by ASFR confirms the acceptance of the safety management system of

to the railway infrastructure administrator/manager and allows him to administer/manage and exploit a railway infrastructure.

The safety authorization is valid for a period of 5 years, in compliance with the requirements that were the basis of the release and under the conditions of its periodic review at one year.

In order to continue the specific activity after the expiry of the validity of the safety authorization, the administrator/railway infrastructure manager must apply to ASFR for the renewal of the authorization at least 5 months before the expiry date of its validity.

At the request of a railway infrastructure administrator/manager, ASFR can update (modify/revise) the safety authorization as follows:

• when changing the identification data of the railway infrastructure administrator/manager;

• when changing the data entered in the safety authorization, including the addition/removal of a traffic section;

• to each substantial modification of the infrastructure, of the signaling or power supply subsystems used in connection with the infrastructure or of the principles of operation and maintenance of such infrastructure or signaling or power supply subsystems.

ASFR may request that the safety authorization be revised following substantial changes to the regulatory framework in the field of safety.

After issuing and renewing the safety authorizations, ASFR carries out activities to supervise the safety management system of the railway infrastructure administrator/managers based on the agreement concluded with the railway infrastructure administrator/manager and a tariff approved by the Ministry of Transport, to check if in during the course of the administration/management and exploitation of the railway infrastructure, the methods of the safety management system are effectively used and if all the requirements that were the basis for issuing the authorizations and the relevant national norms are permanently respected.

When, as a result of the surveillance activities carried out after the issuance and renewal of safety authorizations, it is found that the authorization requirements are no longer met, the national rules or specific regulations of the European Union are not respected, or a serious risk affecting safety is identified, ASFR may, motivated, to restrict or revoke, as the case may be, the authorization, notifying the holder of the reasons that were the basis of his decision.

In order to obtain safety authorizations, the railway infrastructure manager/manager establishes/establishes its own safety management systems in accordance with the requirements set out in Commission Delegated Regulation (EU) 2018/762 of March 8, 2018 establishing common safety methods regarding the requirements of the safety management system, pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council, and repealing Regulations (EU) no. 1,158/2010 and (EU) no. 1.169/2010 of the Commission.

The safety management system is adapted to the type of operation, the scope of the operation, the area of ​​operation and other conditions of the activity being carried out.

The railway infrastructure administrator and managers have the obligation to communicate monthly to ASFR, in writing, by the 15th of the current month, the volume of the type of service performed in the previous month by each of the railway transport operators that perform railway transport services of passengers and/or cargo and the operators who perform only railway shunting with whom it has concluded access contracts on the railway infrastructure. The data transmitted will be expressed as follows:

a) "train-km" - for rail transport operators that carry out passenger and/or freight rail transport services;

b) "train-km" and "maneuvering hours" - for railway transport operators who perform railway transport services, as well as railway shunting services;

c) "shunting hours" - for operators who only carry out railway shunting.

The commissioning of structural subsystems, components of the conventional rail transport system connected to the trans-European conventional rail transport system, which are located or in operation on the territory of Romania, must be authorized by the Romanian Railway Safety Authority.

For this purpose, the Romanian Railway Safety Authority takes all appropriate measures so that these subsystems cannot be put into operation unless they are designed, built and installed in such a way as to meet the essential requirements, when they are integrated into the conventional railway transport system connected to the trans-European conventional rail transport system.

The Romanian Railway Safety Authority will specifically check the compatibility of these subsystems with the system in which they are integrated.

The Romanian Railway Authority - AFER verifies upon commissioning and then periodically that these subsystems are operated and maintained according to their specific essential requirements. For this purpose, the evaluation and verification procedures provided by the respective structural and functional STI are used.

In the case of a renewal or modernization, the infrastructure administrator or the railway transport operator submits a project description file to the Romanian Railway Safety Authority. The Romanian Railway Safety Authority analyzes this file and, taking into account the implementation strategy indicated in the applicable TSIs, decides whether the importance of the works requires a new commissioning authorization. A new commissioning authorization is required each time the general safety level of the respective subsystem may be affected by the planned works.

When the Romanian Railway Safety Authority authorizes the commissioning of rolling stock, it must ensure that an alphanumeric identification code is assigned to each vehicle. This code must be marked on each vehicle and must be entered in a national registration register for railway vehicles, which meets the following criteria:

• comply with the defined common specifications;

• it is kept and updated by a body independent of the railway transport operators;

• the Romanian Railway Safety Authority and the Romanian Railway Investigation Body have access to the register provided for in art. 16 and, respectively, in art. 19 of Law no. 55/2006 regarding railway safety. Access to the registry, based on a legitimate request, is also provided by the Supervisory Board provided for in art. 30 of Government Ordinance no. 89/2003 regarding the allocation of railway infrastructure capacities and pricing for the use of railway infrastructure, approved with amendments and additions by Law no. 8/2004, with subsequent amendments, the European Railway Agency, railway transport operators and railway infrastructure administrators.

In the case of rolling stock put into operation for the first time in a third country, Romania can accept vehicles correctly identified according to a different coding system. However, if Romania has authorized the commissioning of such vehicles on its territory, it must be possible to obtain the respective data from the register.

The economic operators who own, administer and/or exploit structural subsystems or elements of structural subsystems that are components of the conventional railway transport system in Romania are obliged to request authorization to put these structural subsystems into operation, in the case of their construction, renewal or modernization, when the general safety level of the respective subsystem may be affected by the works.

The authorization to put structural subsystems into operation certifies the fact that the elements of the newly built, renewed or modernized structural subsystem fully satisfy the general essential requirements, respectively the essential requirements specific to the authorized structural subsystem, ensuring interoperability with the trans-European conventional rail transport system.

The authorization to put the structural subsystems into operation will be granted only after verifying the complete fulfillment of the general essential requirements and those specific to the subsystem.

The validity of the commissioning authorization of the structural subsystems and, as the case may be, of their distinctly identifiable components is granted during the life cycle, under the conditions that no changes are made to the constructive elements, characteristics and/or basic parameters and the provisions are respected from the maintenance plan.

The Romanian Railway Safety Authority decides to renew the authorization to put the structural subsystem into operation if the economic operator decides to perform some works on the authorized structural subsystem that change its safety level and/or basic parameters. The economic operator will notify the Romanian Railway Safety Authority and the selected notified body about these cases and will request the renewal of the authorization to put the structural subsystem into operation.

During the validity period of the authorization, the Romanian Railway Safety Authority will check through state control and inspection actions how the structural subsystems authorized for commissioning are operated and maintained.

In Romania, the certification of an entity responsible for vehicle maintenance under Directive (EU) 2016/798 is carried out by the Romanian Railway Safety Authority-ASFR, designated by the Ministry of Transport as a certification body.

The certification of an entity responsible for the maintenance of railway vehicles is based on the assessment of the economic operator's ability to fulfill the relevant requirements of the functions of the maintenance system provided for in art. 14 (3) of Directive (EU) 2016/798 and to consistently apply a surveillance system provided for by Regulation (EU) no. 1077/2012 to ensure the continued fulfillment of the applicable requirements, after the issuance of the ERI compliance certificate.

The certification scheme used for the certification of entities responsible for the maintenance of railway vehicles belongs to the European Union Agency for Railways, in accordance with the regulations of the body of European Cooperation for Accreditation (EA), is accepted by the European Commission and implements the provisions of the Regulation (EU ) no. 779/2019. The implementation takes into account European and national legislative regulations in the railway field and ASFR's own procedures.

Any economic operator that maintains railway vehicles, in accordance with the provisions of REGULATION (EU) NO. 779/2019 OF THE COMMISSION establishing detailed provisions on a certification system for entities responsible for vehicle maintenance pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council and repealing Regulation (EU) no. 445/2011 of the Commission.

The entity responsible for maintenance must carry out the management function itself, but may outsource the maintenance functions referred to in art. 14 (3) of Directive (EU) 2016/798 letters (b)-(d), or part of these functions, assigning them to other contracting parties subject to the provisions of article 9 of Regulation (EU) 779/2019. If outsourcing is used, the entity responsible for maintenance must ensure that the principles set out in Annex II are applied.

Regardless of the established outsourcing agreements, the entity responsible for maintenance is responsible for the result of the maintenance activities it manages and must establish a system for monitoring the performance of those activities in accordance with the provisions of Regulation (EU) No. 1078/2012.

For the certification of an entity responsible for the maintenance of railway vehicles, the "METHODOLOGY FOR OBTAINING THE ERI CONFORMITY CERTIFICATE/CERTIFICATE OF CONFORMITY FOR MAINTENANCE FUNCTIONS" was developed.

In order to be allowed to administer/manage and operate a railway infrastructure, the railway infrastructure administrator/manager must obtain a safety authorization issued by the Romanian Railway Safety Authority - ASFR.

The safety authorization issued to the railway infrastructure administrator/ manager by ASFR confirms the acceptance of the safety management system of to the railway infrastructure administrator/manager and allows him to administer/manage and exploit a railway infrastructure.

The safety authorization is valid for a period of 5 years, in compliance with the requirements that were the basis of the release and under the conditions of its periodic review at one year.

In order to continue the specific activity after the expiry of the validity of the safety authorization, the administrator/railway infrastructure manager must apply to ASFR for the renewal of the authorization at least 5 months before the expiry date of its validity.

At the request of a railway infrastructure administrator/manager, ASFR can update (modify/revise) the safety authorization as follows:

• when changing the identification data of the railway infrastructure administrator/manager;

• when changing the data entered in the safety authorization, including the addition/removal of a traffic section;

• to each substantial modification of the infrastructure, of the signaling or power supply subsystems used in connection with the infrastructure or of the principles of operation and maintenance of such infrastructure or signaling or power supply subsystems.

ASFR may request that the safety authorization be revised following substantial changes to the regulatory framework in the field of safety.

After issuing and renewing the safety authorizations, ASFR carries out activities to supervise the safety management system of the railway infrastructure administrator/managers based on the agreement concluded with the railway infrastructure administrator/manager and a tariff approved by the Ministry of Transport, to check if in during the course of the administration/management and exploitation of the railway infrastructure, the methods of the safety management system are effectively used and if all the requirements that were the basis for issuing the authorizations and the relevant national norms are permanently respected.

When, as a result of the surveillance activities carried out after the issuance and renewal of safety authorizations, it is found that the authorization requirements are no longer met, the national rules or specific regulations of the European Union are not respected, or a serious risk affecting safety is identified, ASFR may, motivated, to restrict or revoke, as the case may be, the authorization, notifying the holder of the reasons that were the basis of his decision.

In order to carry out railway transport in conditions of traffic safety, transport security, and environmental protection and to ensure the quality of public services, railway stations must meet the conditions stipulated in the specific technical norms in force.

The permanent operating authorization, from a technical point of view, of railway stations is issued by AFER through the Romanian Railway Safety Authority to legal entities that own railway stations, by which it is certified that the railway station, for which it was issued the authorization, fulfills the technical conditions necessary for the development of railway transport in safe conditions.

The permanent authorization is a document that is granted for a period of 10 years from the date of issuance and is valid under the conditions of its approval by the Romanian Railway Safety Authority at 2-year intervals.

The provisional authorization to operate the railway station from a technical point of view is issued by the Romanian Railway Safety Authority to railway stations that do not fully meet the conditions stipulated in the specific technical norms in force, without affecting the performance of railway transport in conditions traffic safety, transport security, environmental protection and quality assurance of public services. The provisional authorization is a document that is granted for a period of one year, with the possibility of extension for another year.

During the validity period of the authorization, the Romanian Railway Safety Authority will check how the requirements that were the basis for its issuance are fulfilled. If it is found that these requirements are no longer met, the authorization can be suspended.

The railway station whose authorization has been suspended can operate, during the suspension of the authorization, based on a non-conformity elimination program, developed by the station owner and approved by AFER through the Romanian Railway Safety Authority.

The termination of the suspension of the authorization will be done under the conditions in which the applicant proves the elimination of the non-conformities mentioned in the suspension decision and the payment of the related tariff.

The authorization can be suspended for a maximum period of 2 years. If within this term the applicant does not prove the elimination of the non-conformities mentioned in the decision to suspend the authorization, at the proposal of AFER through the Romanian Railway Safety Authority, the Minister of Transport and Infrastructure will approve the extension of the suspension period or the cessation of the activity of the respective station, as the case may be.