OTIF Developing international regulations for railways

1. OTIFDeveloping international regulationsfor railways Railway Days Bucharest, Romania 8 October 2013

2. Content • OTIF introduction • Geographical vision • Mission • New opportunities • New tasks • OTIF and EU technical regulations compared • The convention and UTP development • International mutual acceptance of wagons Railway Days, Bucharest, 8 October 2013

3. OTIF Organisation intergouvernementale pour les transportsinternationauxferroviaires Zwischenstaatliche Organisation für denInternationalen Eisenbahnverkehr Intergovernmental Organisation forInternational CarriagebyRail Межправительственная организацияпо международным железнодорожным перевозкам المنظمة الحكومية الدولية للنقل الدولي السككي • Inter-Governmental organisation • founded1 May 1985 • predecessorof OTIF was OCTI (Office Central des transportsinternationaux par chemins de fer) since 1893 • 48 Member States + 1 associate member • 270,000 km of railwaylines • Official languages: English, French and German • Headquarters:Berne, Switzerland • Staff: +/- 20 fte Railway Days, Bucharest, 8 October 2013

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

5. The legal interfaces of OTIF Developing international regulations for railways The Organosation: The specific characteristic of OTIF • OTIF: Regulations on international rail transport • Technical rules for interoperability/dangerous goods • Regulation of transport contracts • No prerequisite for regulating the rail market. • European Union: • Technical rules for interoperability and safety • Internal regulation of transport contracts • Implementation of liberal regulations for the rail market. • OSJD: • Technical rules for interoperability and safety • Internal regulation of conditions of transport • Administrative regulation of the rail market. Railway Days, Bucharest, 8 October 2013

6. COTIF Convention concerning International Carriage by Rail AppendixG AppendixF ATMF APTU Uniform Rules concerning the Technical Admission of Railway Material used in International Traffic Uniform Rules concerning the Validation of Technical Standards and Adoption of Uniform Technical Prescriptions applicable to Railway Material intended to be used in International Traffic COTIF 1999 Appendix А AppendixB AppendixC AppendixD AppendixE CIM RID CUV CUI CIV Uniform Rules concerning the Contract of International Carriage of Passengers by Rail Uniform Rules concerning the Contract of International Carriage of Goods by Rail Regulationconcerning the InternationalCarriage of Dangerous Goods By Rail Uniform Rules concerning Contracts of Use of Vehicles in International Rail Traffic Uniform Rules concerning the Contracts of Use of Infrastructure in International Rail Traffic Railway Days, Bucharest, 8 October 2013

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

8. Content • OTIF introduction • Geographical vision • Mission • New opportunities • New tasks • OTIF and EU technical regulations compared • The convention and UTP development • International mutual acceptance of wagons Railway Days, Bucharest, 8 October 2013

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

10. Content • OTIF introduction • Geographical vision • Mission • New opportunities • New tasks • OTIF and EU technical regulations compared • The convention and UTP development • International mutual acceptance of wagons Railway Days, Bucharest, 8 October 2013

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

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

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

14. Content • OTIF introduction • Geographical vision • Mission • New opportunities • New tasks • OTIF and EU technical regulations compared • The convention and UTP development • International mutual acceptance of wagons Railway Days, Bucharest, 8 October 2013

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

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

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

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

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

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

21. Content • OTIF introduction • Geographical vision • Mission • New opportunities • New tasks • OTIF and EU technical regulations compared • The convention and UTP development • International mutual acceptance of wagons Railway Days, Bucharest, 8 October 2013

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

23. OTIF New tasks2/4 The Organisation Redefinition of therailfacilitation • Involvement of OTIF in the UNECE process for unified railway law: • There is a need for general transport contracts (GTC) • Interoperability issues must be addressed. • A business oriented strategy involving our Member States in partnership with EU, CIT and UIC: • Identify tests on freight corridors: Asia/Middle East/Euro-Mediterranean area • Review deficiencies and opportunity for development. • => The rail facilitation process could foster the development of corridors with legal and technical coordination

24. OTIF New tasks3/4 The Organisation Standard contractsfor ECM

25. OTIF New tasks4/4 The Organisation Standard contractsfor ECM • The ECM regulations require exchanges of information between RU and ECM, even though they may have no contractual relationship • The RU remains in charge of safety • GCU must be developed to take these matters into account • CUV should be able to cope with these questions • OTIF is the right place to develop within CUV a common understanding in order to ensure that critical information for safety and operation is available. • A new working group was created to modernise CUV with input from EU, CER, UIP, UIC and NSAs

26. Content • OTIF introduction • Geographical vision • Mission • New opportunities • New tasks • OTIF and EU technical regulations compared • The convention and UTP development • International mutual acceptance of wagons Railway Days, Bucharest, 8 October 2013

27. OTIF technical regulations compared to EU rail regulations Differences in objectives Functional and technical requirements (equivalent not identical) Means of compliance (identical) Railway Days, Bucharest, 8 October 2013

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

29. Content • OTIF introduction • Geographical vision • Mission • New opportunities • New tasks • OTIF and EU technical regulations compared • The convention and UTP development • International mutual acceptance of wagons Railway Days, Bucharest, 8 October 2013

30. COTIF Convention concerning International Carriage by Rail OTIF Technical Admission Admission Procedure Technical Prescriptions AppendixG AppendixF ATMF APTU Uniform Rules concerning the Technical Admission of Railway Material used in International Traffic Uniform Rules concerning the Validation of Technical Standards and Adoption of Uniform Technical Prescriptions applicable to Railway Material intended to be used in International Traffic COTIF 1999 Appendix А AppendixB AppendixC AppendixD AppendixE CIM RID CUV CUI CIV Uniform Rules concerning the Contract of International Carriage of Passengers by Rail Uniform Rules concerning the Contract of International Carriage of Goods by Rail Regulationconcerning the InternationalCarriage of Dangerous Goods By Rail Uniform Rules concerning Contracts of Use of Vehicles in International Rail Traffic Uniform Rules concerning the Contracts of Use of Infrastructure in International Rail Traffic Railway Days, Bucharest, 8 October 2013

31. Appendix G ATMF Appendix F APTU OTIF Registers GEN-C Technical File GEN-B Subsystems GEN-A Essential requirements UTP WAG Freight Wagons (revised) UTP NOI Rolling Stock - Noise Uniform format of certificates GEN-D Assessment Procedures (Modules) Register of admitted types National Vehicle Register (NVR) ECM / ECM certification bodies Vehicle Keeper Marking (VKM) GEN-E Assessing Entity – Qualifications and Independence Annex A Certification and Auditing of Entities in Charge of Maintenance (ECM) GEN-G (revised) Common Safety Methods (CSM) Risk evaluation and assessment Annex B Requirements and Procedure for Derogations Uniform Technical Prescriptions, ATMF Annexes and Registers adopted, and in force. Railway Days, Bucharest, 8 October 2013

32. Thank you very much for your attention! Peter Sorger + 41 31 359 10 26 peter.sorger@otif.org www.otif.org Gryphenhübeliweg30, CH - 3006 Bern Railway Days, Bucharest, 8 October 2013