Entry into force

Transcription

1 GRANTING THE SAFETY AUTHORIZATION PAGE 1/25 APPROVED DIRECTOR Mihaela CARABINEANU ADVISED HEAD OF DEPARTMENT Lucian BLAGA Entry into force VERIFIED Head of Service Cristian VASILIU Copying and distribution outside the conditions laid down by PGO1 are prohibited PREPARED by Manuela PETRARU AMENDMENT ELEMENTS OF IDENTIFICATION Page Paragraph Chapter Full name and signature of the person who made the amendment Date of amendment

2 GRANTING THE SAFETY AUTHORIZATION PAGE 2/25 CONTENT 1 PURPOSE AND AREA OF APPLICATION DEFINITIONS AND ABBREVIATIONS REFERENCE DOCUMENTS DESCRIPTION OF PROCEDURE TASKS AND RESPONSIBILITIES ANNEXES.. 9 Annex 1 Application for authorization of safety Annex 2 The safety authorization Part A Annex 3 The safety authorization Part B.. 14 Annex 4 The annex to the safety authorization form B.. 16 Annex 5 Affidavit of person who provides executive management for the economic operator, stating that the company did not filed for bankruptcy or liquidation and has no debt to the general consolidated 16 budget. Annex 6 Evaluation note. 17 Annex 7 Register of applications for SA received / rejected Annex 8 Register for SA issued Annex 9 Register for SA suspended / withdrawn Annex 10 Explanatory note Annex 11 Checklist of documents required to obtain SAA 20 Annex 12 Checklist of documents required to obtain SAB Annex 13 Questionnaire for assessing satisfaction of applicants for safety authorization 24 Annex 14 Handover note... 25

3 GRANTING THE SAFETY AUTHORIZATION PAGE 3/25 1. PURPOSE AND AREA OF APPLICATION The procedure describes how to grant a safety authorization Part A to the administrator/manager of railway infrastructure in Romania. The procedure applies to the personnel performing activities of safety authorization within ASFR. 2. DEFINITIONS AND ABBREVIATIONS 2.1. Definitions Definitions used in this procedure are the one from reference documents specified in chapter Abbreviations AMRI Administrator/Manager of railway infrastructure CAEN Classification of national economic activities CFR Romanian Railway Company "C.F.R." CNCF CFR S.A. National Railway Company EC European Commission EU European Union GD Government Decision GEO Government Emergency Ordinance MT - Ministry of Transportation OMT- Order of the Minister of Transportation OMTI Order of the Minister of Transportation and Infrastructure ROG - Romanian Official Gazette AFER - Romanian Railway Authority ASFR - Romanian Railway Safety Authority RULES Safety rules for granting authorizations SA - Safety Authorization SAA - Safety Authorization Part A SAB - Safety Authorization Part B SCAS - Safety Certification and Authorization Service 3. REFERENCE DOCUMENTS 3.1. GEO no. 12/1998 on Romanian railway transport and the reorganization of the Romanian National Railway, with subsequent amendments; 3.2. GD no. 626/1998 on the organization and functioning of AFER, with subsequent amendments; 3.3. Law no. 55/2006 on Railway Safety, as amended and supplemented; 3.4. GD no. 21/2015 on the organization and functioning of the Ministry of Transportation, with subsequent amendments, in force; 3.5. OMT no. 101/2008 on granting the safety authorization to a Romanian Administrator/Manager of railway infrastructure; 3.6. OMTI no. 2180/2012 on approving tariffs for specific activities carried out by AFER benefits, with subsequent amendments, in force; 3.7. Regulation (EU) no. 1169/2010 of the Commission from 09 December 2010 on a common safety method for assessing conformity with the requirements for obtaining railway safety authorization; 3.8. Regulation (EC) no. 402/2013 of the Commission from 30 April 2013 on the CSM for risk assessment and repealing Regulation (EC) no. 352/2009;

4 GRANTING THE SAFETY AUTHORIZATION PAGE 4/ Regulation (EU) no. 1077/2012 of the Commission from16 November 2012 on a common safety method for supervision by national safety authorities, after issuing a safety certificate or a safety authorization. 4. DESCRIPTION OF PROCEDURE 4.1. Overview Authorization as a mater of safety for an administrator/manager of railway infrastructure is a process that, in accordance with the OMT no. 101/2008 is resulting in granting of a specific document called safety authorization The safety authorization consists of: a) Safety authorization Part A (SAA), confirming acceptance of the safety management system of the railway infrastructure manager; b) Safety authorization Part B (SAB), confirming acceptance of the provisions adopted by the railway infrastructure manager for meeting the specific requirements needed to guarantee the safety of railway infrastructure in design, maintenance and operation, including maintenance and the operation of the traffic control and signaling system SAA and SAB are granted to the administrator/manager of railway infrastructure satisfying the cumulative conditions set out by legislation and regulations in force on granting the SA SAA and SAB are documents with special conditions, nominal and non transferable, valid for a maximum period of ten years from the day is granted, under the conditions of applying for a regular visa every 2 years Assessing the documents and issuing a new, updated/amended, renewed SA or issuing regular visa for SA The granting of a new, updated/amended, renewed SA or the issuing of a regular visa for SA is made by ASFR, in accordance with the provisions of OMT 101/ To start the process of obtaining a new updated/amended, renewed or regular visa for SA, the applicant must submit the application for to ASFR, as the case, together with a file prepared according to granting guidelines presented on the AFER/ASFR website Documentation (letters, applications, documents, files, etc.) received from applicants to obtain of a new, updated/amended, renewed SA or the for the issuing of a regular visa for SA, as the case, as the documents prepared by SCAS (letters, communications, etc.) for applicants will be taken by the employee within SCAS, which is responsible for recording documents and proceed in accordance with SGP 1 - control of documents - revision in force, and pass them according to the data recorded on these Head of SCAS assess applications received from applicants and established by apostil who will be in charge of analyzing the documents and resolving the application The person nominated by the head of SCAS with SA application (containing all applicant documents), records the request received in "Register of SA applications received/rejected" (Annex 7 to the PS code FPS ) and gives a number on the SA application page and also on the file The person in charge with the file, based of a checklist (Annex 11 to the PS code FPS ) for SAA and (Annex 12 to the PS code FPS

5 GRANTING THE SAFETY AUTHORIZATION PAGE 5/25 12) for SAB, verifies submitted documents if it contains all the data and meets all requirements of legislation and regulations for granting a new, updated/amended, renewed SA or for issuing of a regular visa for SA, as the case To check the authenticity of documents submitted as duplicate, at the request of ASFR, the administrator/manager of railway infrastructure will have to submit the originals of those documents within an established time If the file is complete or when the applicant completes during the period time prescribed by legislation the file, then the person in charge with the file draws up an address to the applicant by which he states that file to obtain a new, updated/amended, renewed SA or issuing of a regular visa for SA, as the case, it was accepted and will be evaluated The person responsible for SA application draws up the explanatory note, according to paragraph 4.3. and the address mentioned at paragraph and sends them for approval to Head of SCAS, Head of Department and Director of ASFR If it is determined that documents are missing, the person in charge with SA application proposes, in writing, to ASFR management rejection of the file. After approval of the proposal made, the person in charge with SA application will inform the administrator/manager of railway infrastructure on ASFR decision, and that it may send a delegate to pick up the documents from SCAS. Rejected documents will be returned to the applicant based on a note prepared in accordance with Annex 14 to the PS code FPS The person in charge with SA application will mark on the file rejected and the no./date of the decision under Comments from "Register of SA applications received/rejected" (Annex 7 to the PS code FPS ) To obtain the required authorization the administrator/manager of railway infrastructure must make a new request Fee for assessing documents and issuing a new, updated/amended, renewed SA or issuing a regular visa for SA The person in charge with SA application draws up the explanatory note, (Annex 10 to the PS code FPS ), on the fee scheme for a new, updated/amended, renewed SA or the for the issuing of a regular visa for SA, as the case; For calculating the fee the person in charge with the file evaluation determines the number of hours depending on: the type of authorization (SAA and/or SAB), the length in kilometers of traffic sections, type of activity (new updated/revised, renewed or regular visa, as the case) and requested release time (normal or urgent) Explanatory note is signed by the person in charge with SA application and the head of SCAS service, after which it is sent for verification, together with a copy of the request to IPFC department For urgent requests, documentation assessment and release of SA for a new updated/revised, renewed or for a regular visa, as the case, shall be made within three days from the date when the applicant completed the file with all necessary documents After verification by IPFC department, the fee calculated in the explanatory note is inserted in the address nominated at paragraph of this procedure by the person in charge with SA application.

6 GRANTING THE SAFETY AUTHORIZATION PAGE 6/ Reporting the action of assessing and issuance of a new, updated/amended, renewed SA or issuing regular visa for SA Based on the documents analysis for granting a new updated/revised, renewed or for a regular visa, as the case, the person in charge with SA application writes down the evaluation note (Annex 6 to the PS code FPS ) and submits this for approval to the head of SCAS and to the Head of Department Evaluation note contains the proposal for granting or not granting a new updated/revised, renewed or for a regular visa, as the case A new, updated/revised or renewed SA is edited by the person in charge with the file, in two copies (one for the applicant and a copy for ASFR) according to the forms in Annexes 2, 3 and 4, prepared in accordance with OMT no. 101/2008 on granting the safety authorization to the Romanian administrator/manager of railway infrastructure. At paragraph 3 of the SA (Information on authorization) will be marked the box accordingly: new, updated/revised or renewed authorization, as the case SA is registered in the "Register of SA issued" (Annex 8 to the PS code FPS ) For SAA, the registration is done by the following codification: the letters "SAA" followed by a number aannn format, where "aa" represents the last two digits of the year and "nnn" is the order number. (Example: SAA A safety authorization from the serial number 001 issued in 2008). For each administrator/manager of railway infrastructure is issued only one SAA For SAB, registration is done by the following codification: the letters "SAB" followed by a number aannn format, where "aa" represents the last two digits of the year and "nnn" is the order number. (Example: SAB Part B safety authorization order number 001 issued in 2008) When granting a regular visa, the person in charge with the file will complete the box on the back of SA with the validity date and the director name Evaluation note for granting a new updated/revised, renewed or for a regular visa, as the case, is presented to the Head of SCAS, Head of Department, Juridical Department and to ASFR Director for approval Releasing SA SA is given to the applicant or designated representative, in original, who will sign in the "Register of SA issued" (Annex 8 to the PS code FPS ) Applicant's representative who will pick-up the SAA, will mention under "Confirm Reception" the following data: name and surname, ID (serial and no.), or no. of travel order, signature and date At the request of the SA holder, SCAS can send by mail the SA accompanied by the document transmission which will be included under the "receipt confirmation" heading from the "Register of SA issued" (Annex 8 to the PS code FPS ) Supervision during the validity period of a SA Supervision during the validity period of a new SA, is realized by ASFR departments based on specific applicable regulations.

7 GRANTING THE SAFETY AUTHORIZATION PAGE 7/ SA suspension ASFR can suspend the SA if non-compliances are identified during the document examination in order to grant a regular visa or during the supervision in the period of validity of SA, and if after supervisory actions non-compliances have not been removed within the deadlines or the administrator/manager of railway infrastructure did not submit on time how it will be eliminated. A reasoned decision on suspension of SA shall be sent in writing to its holder Cancellation of SA suspension is made by ASFR SCAS, if the holder of SA can provide evidence of the elimination of nonconformities that led to suspension and proof of payment fee for verifying the elimination of such nonconformities. Cancellation of SA suspension it will be notified in writing to the administrator/manager of railway infrastructure ASFR will notify in writing CNCF CFR S.A. about SA suspension of an administrator/manager of railway infrastructure who took over by lease a noninteroperable railway infrastructure section The period of suspension for a SA does not extend the validity period Suspension of SAA will determine suspension of SAB SA suspended are registered in the "Register of SA withdrawal/suspended (Annex 9 to the PS code FPS ) SA withdrawal Withdrawal of SAA/SAB is made by ASFR in the following situations: a) specific regulations in force and/or requirements that have been led to grant a SAA and/or a SAB are no longer complied with by an administrator/manager of railway infrastructure from Romania, in accordance with legislation and regulations in force on granting of a SA; b) when it appears serious or repeated violations of railway specific regulations; c) at the request of its holder if the concession/lease expires and is not renewed or is terminated; d) if the SA holder does not extend the agreement with AFER, according to OMT in force, for granting a SA; e) where non-compliances that led to the suspension of the SA were not removed in the deadline set. Withdrawal of SAA will determine withdrawal of SAB Decision motivation for cancellation of SAA and SAB shall be sent in writing to its holder ASFR will notify in writing CNCF CFR S.A. about SA withdrawal of an administrator/manager of railway infrastructure who took over by lease a noninteroperable railway infrastructure section SA withdrawal are registered in the "Register of SA withdrawal/suspended (Annex 9 to the PS code FPS ) Granting an SA - DUPLICATE in case of loss / damage If the administrator/manager of railway infrastructure sends to ASFR an application for a SA - DUPLICATE due to loss/destruction of SAA/SAB, accompanied by proof of payment of the fee for the activity of issuing a new SA and the legal documents to support the release a new SA, ASFR - SCAS is issuing a SA DUPLICATE.

8 GRANTING THE SAFETY AUTHORIZATION PAGE 8/ Head of SCAS will take measures for a new SA to be issued, according to paragraph 4.4. (which will retain the original number) and containing on the top right of the SA the mention DUPLICATE The SA - DUPLICATE accompanied by: original ASFR copy of SA, documents specified in section and a report prepared in this regard by the person in charge with the file, are presented to the Head of SCAS, Head of Department, Juridical Department and to Director of ASFR for approval The applicant shall be notified in writing by the person in charge with the file, to pick-up the SA DUPLICATE SA - DUPLICATE is handed to the applicant or to the designated representative, in original, who will sign in the "Register of SA issued" (Annex 8 to the PS code FPS ) SA - DUPLICATE will be entered in the "Register of SA issued" and under the heading "SAA/SAB" will be written the old identification number of the SAA/SAB, under the heading "documents issued" will be written "SAA/SAB - duplicate" and under the heading "date" the date of issuance of the SA duplicate, ASFR copy of the old SAA/SAB will be archived Assessing the level of satisfaction for SA applicants Every year, in the fourth quarter, AFER by AFERS will conduct a satisfaction survey of applicants for SA, according to form code FPS (Annex 13) Publications List of authorized administrators/managers of railway infrastructure entitled to manage and operate a rail infrastructure in Romania and the respective circulation sections of railway infrastructure, published on the site of ASFR and in the AFER bulletin The granting, renewal, amendment and withdrawal of safety authorizations are published on the site of ASFR and in the AFER bulletin, suspension and termination of suspension will be published only on the site of ASFR ASFR will notify the European Railway Agency, within one month, the issuance, renewal, amendment or withdrawal of SA, stating: the name and address of the administrator/manager of railway infrastructure, issue date, scope, validity of the safety authorization and, in case of revocation, reasons for its decision in accordance with the provisions of the Railway Safety Act in force. 5. TASKS AND RESPONSABILITIES: 5.1. ASFR Director: approves the documents for granting SA; signs the two copies of SA Head of Department: approves the documents for granting SA; signs the SA, ASFR copy Head of SCAS: monitors and manages the entire activity for granting SA; appoints the person in charge with SA application; signs the SA, ASFR copy.

9 GRANTING THE SAFETY AUTHORIZATION PAGE 9/ Person in charge with SA application: assesses all documents presented for SA; writes the explanatory and evaluation note for SA; issues the SA and sign on the ASFR copy; ensures the interface with applicant, writes, sends and receives all correspondence with the applicant; files all documents received / sent for SA Juridical Department advises in terms of legality: SA, ASFR copy; Evaluation note; Other documents on the correspondence (withdrawal / suspension / duplicate release of SA, application file rejection, correspondence with other institutions, as the case). 6. ANNEXES Annex 1 - application for authorization safety code FPS Annex 2 - SAA code FPS Annex 3 - SAB cod FPS Annex 4 - annex to SAB cod FPS Annex 5 - affidavit of the person responsible for the executive management of the economic operator, that the company is not in bankruptcy or liquidation and has no debt to the general consolidated budget code FPS Annex 6 - evaluation note code FPS Annex 7 - register for applications of SA received / rejected model code FPS Annex 8 - register of SA issued code FPS Annex 9 - register of SA suspended/revoked code FPS Annex 10 - explanatory note code FPS Annex 11 - verification list code FPS Annex 12 - verification list code FPS Annex 13 - Questionnaire for assessing satisfaction of applicants for safety authorization code FPS

10 GRANTING THE SAFETY AUTHORIZATION PAGE 10/25 Annex 1 code FPS SAFETY AUTHORISATION APPLICATION Application for Safety Authorization confirming acceptance of the infrastructure administrator/manager s Safety Management System Safety Authorization Part A and/or confirming acceptance of the provisions adopted by the infrastructure administrator/manager to meet requirements necessary for the safe design, maintenance and operation Safety Authorization Part B in conformity with Directive 2004/49/EC and applicable legislation SAFETY REFERENCE NUMBER SAFETY ORGANISATION/ CONTACT INFORMATION 1.1 Safety organization/authority addressed for the request. 1.2 Complete postal address (street, postal Code, city, country). 2.1 THIS REQUEST IS FOR THE SAFETY AUTHORISATION PART A 2.2 New authorization 2.4 Updated/amended authorization 2.3 Renewed authorization 2.5 Previous authorization identification number 2.6 Activity starts from : Administrator/manager of infrastructure estimates the number of employees and the turnover in the following categories: 2.7 Micro enterprise 2.9 Medium enterprise 2.8 Small enterprise 2.10 Large enterprise 3.1 THIS REQUEST IS FOR THE SAFETY AUTHORISATION PART B 3.2 New authorization 3.4 Updated/amended authorization 3.3 Renewed authorization 3.5 Previous authorization identification number 3.6 Activity starts from: 3.7 Required traffic sections If the applicant holds a valid Safety Authorization Part A safety (acceptance of the Safety Management System) must provide the following information:

11 GRANTING THE SAFETY AUTHORIZATION PAGE 11/ The identification number of Safety Authorization Part A APPLICANT S INFORMATION 4.1 Legal denomination 4.2 Acronym 4.3 Complete postal address (street, postal code, city, country) 4.4 Phone number 4.5 Fax number 4.6 address 4.7 Website 4.8 National registration no. 4.9 VAT no Other information Person responsible for the executive management for the administrator/manager of railway infrastructure 4.11 Full name 4.12 Position held Contact person information 4.13 Full name Complete postal address (street, postal 4.14 code, city, country) 4.15 Phone number 4.16 Fax number address Applicant (full name) Date Signature Internal reference no. Receiving application date

12 GRANTING THE SAFETY AUTHORIZATION PAGE 12/25 Annex 2 Code FPS SAFETY AUTHORIZATION PART A This Safety Authorization is confirming acceptance of the Safety Management System for the administrator/manager of railway infrastructure, in conformity with Directive 2004/49/EC on Community railway safety, Law no.55/2006 on railway safety and Order of Minister of Transportation no.101/2008 on granting safety authorization to the administrator/manager of railway infrastructure in Romania IDENTIFICATION NUMBER 1. AUTHORISED ADMINISTRATOR/MANAGER OF RAILWAY INFRASTRUCTURE Administrator/manager of railway infrastructure denomination:... Acronym:..... National registration number: ORGANISATION ISSUING AUTHORISATION VAT no.:..... The authority responsible for granting safety authorizations: ROMANIAN RAILWAY - ROMANIAN Country: ROMANIA 3. AUTHORISATION INFORMATION This is a: new authorization renewed authorization updated/amended authorization Previous authorization identification number Valid starting:... up to:... Administrator/manager of railway infrastructure size (micro enterprise, small enterprise, medium enterprise, large enterprise): APPLICABLE NATIONAL LAW - Law no. 55/2006 on railway safety - Order of the Minister of Transportation no.101/2008 on granting the safety authorization for the administrator/manager of railway infrastructure from Romania 5. ADDITIONAL INFORMATION A. The validity of the safety authorizations (Art. 4 and 7 of safety rules on granting the safety authorization for the administrator/manager of railway infrastructure in Romania approved by Order of Minister of Transport No. 101/ ). Safety Authorization Part A and Part B are valid for a maximum period of ten years from the granting date under condition of a regular visa every 2 years. In order to grant a regular visa, Romanian Railway Safety Authority will examine the accomplishment of requirements which led to granting of the safety authorization. During the validity of the safety authorization, Romanian Railway Safety Authority will conduct controls and state inspection on the compliance with the specific regulations in force and the requirements that led to granting/amending of safety authorization, under the agreement concluded with the administrator/manager of railway infrastructure and a fee approved by the Ministry of

13 GRANTING THE SAFETY AUTHORIZATION PAGE 13/25 Transportation. B. Entirely or partly update of safety authorizations (Art. 5 and 6 of the rules on granting the safety authorization for the administrator/manager of railway infrastructure in Romania, approved by Order of Minister of Transportation No. 101/ ). At the request of the administrator/manager of railway infrastructure, the Romanian Railway Safety Authority will update entirely or partly the safety authorizations Part A and/or Part B: - whenever there are substantial amendments to the railway infrastructure, signaling, power supply or to the principles of its operation and maintenance of railway infrastructure. - if the administrator/manager of railway infrastructure changes its legal status, location, name. - if the non-interoperable administrator/manager of railway infrastructure plans to expand its business on the other sections of the market or to restrict its work, giving up some traffic sections of non-interoperable railway infrastructure. In case of the data amending contained in the documents which led to granting safety authorizations Part A and/or Part B, the administrator/manager of railway infrastructure shall immediately notify Romanian Railway Safety Authority, who after verification, will communicate the motivated acceptance or non-acceptance of amendments. The administrator/manager of railway infrastructure shall notify the Romanian Railway Safety Authority starting, suspension or resumption date of the activity, as the case. Romanian Railway Safety Authority may require that the safety authorization to be revised after substantial amendments of the regulatory framework in the field of railway safety. C. Suspension / withdrawal of safety authorizations (art. 8, 9 and 10 of the rules on granting the safety authorization for the administrator/manager of railway infrastructure in Romania approved by Order of Minister of Transportation No. 101/ ). If are detected non-compliance with specific regulations in force and/or requirements that led to granting or amending the safety authorizations for an administrator/manager of railway infrastructure, Romanian Railway Safety Authority will suspend or revoke the safety authorizations Part A and/or Part B as the case. The decision to suspend or revoke shall be motivated. Romanian Railway Safety Authority shall notify the European Railway Agency, within one month of the extended, renewed, amended or withdrawn safety authorizations Part A and/or Part B, stating the name and address of the administrator/manager of railway infrastructure, date on which were granted, renewed, amended or withdrawn, field of application, validity, and in case of withdrawal, reasons for this decision. The suspension, termination of suspension and/or revocation of safety authorizations must be notified to the railway operators and administrators/managers of railway infrastructure. Issuing date: ROMANIAN DIRECTOR,... (full name, signature, seal) Communication (notification) no. of the safety authorization to CE :... REGULAR VISA Valid until:... Valid until:... Valid until:... Valid until:... Valid until:... Director,... seal Director,... seal Director,... seal Director,... seal Director,... seal

14 GRANTING THE SAFETY AUTHORIZATION PAGE 14/25 Annex 3 Code FPS SAFETY AUTHORIZATION PART B This safety authorization is confirming acceptance of the provisions adopted by the administrator/manager of railway infrastructure to meet the specific requirements needed to guarantee the safety of railway infrastructure in design, maintenance and operation, including, where appropriate, maintenance and the operation of traffic control and signaling system, in conformity with Directive 2004/49/EC on Community railway safety, Law no.55/2006 on railway safety and Order of Minister of Transportation no.101/2008 on granting safety authorization to the administrator/manager of railway infrastructure in Romania IDENTIFICATION NUMBER 1. AUTHORISED ADMINISTRATOR/MANAGER OF RAILWAY INFRASTRUCTURE Administrator/manager of railway infrastructure denomination:... Acronym:..... National registration number: ORGANISATION ISSUING AUTHORISATION VAT no.: The authority responsible for granting safety authorizations: ROMANIAN RAILWAY - ROMANIAN Country: ROMANIA 3. AUTHORISATION INFORMATION This is a: new authorization renewed authorization updated/amended authorization Previous authorization identification number Valid starting:... up to: SAFETY AUTHORIZATION - PART A (acceptance of the Safety Management System) Identification number:... Issuing country: TRAFFIC SECTIONS ON WHICH THE ADMINISTRATOR/MANAGER OF RAILWAY INFRASTRUCTURE IS AUTHORISED ARE LISTED IN THE ANNEX TO THIS AUTHORISATION 6. SPECIFIC CONDITIONS AND OBLIGATIONS: A. The validity of the safety authorizations (Art. 4 and 7 of safety rules on granting the safety authorization for the administrator/manager of railway infrastructure in Romania approved by Order of Minister of Transport No. 101/ ). Safety Authorization Part A and Part B are valid for a maximum period of ten years from the granting date under condition of a regular visa every 2 years. In order to grant a regular visa, Romanian Railway Safety Authority will examine the accomplishment of requirements which led to granting of the safety authorization. During the validity of the safety authorization, Romanian Railway Safety Authority will conduct controls and state inspection on the compliance with the specific regulations in force and the requirements that led to granting/amending of safety authorization, under the agreement concluded

15 GRANTING THE SAFETY AUTHORIZATION PAGE 15/25 with the administrator/manager of railway infrastructure and a fee approved by the Ministry of Transportation. B. Entirely or partly update of safety authorizations (Art. 5 and 6 of the rules on granting the safety authorization for the administrator/manager of railway infrastructure in Romania, approved by Order of Minister of Transportation No. 101/ ). At the request of the administrator/manager of railway infrastructure, the Romanian Railway Safety Authority will update entirely or partly the safety authorizations Part A and/or Part B: whenever there are substantial amendments to the railway infrastructure, signaling, power supply or to the principles of its operation and maintenance of railway infrastructure. if the administrator/manager of railway infrastructure changes its legal status, location, name. if the non-interoperable administrator/manager of railway infrastructure plans to expand its business on the other sections of the market or to restrict its work, giving up some traffic sections of non-interoperable railway infrastructure. In case of the data amending contained in the documents which led to granting safety authorizations Part A and/or Part B, the administrator/manager of railway infrastructure shall immediately notify Romanian Railway Safety Authority, who after verification, will communicate the motivated acceptance or non-acceptance of amendments. The administrator/manager of railway infrastructure shall notify the Romanian Railway Safety Authority starting, suspension or resumption date of the activity, as the case. Romanian Railway Safety Authority may require that the safety authorization to be revised after substantial amendments of the regulatory framework in the field of railway safety. C. Suspension / withdrawal of safety authorizations (art. 8, 9 and 10 of the rules on granting the safety authorization for the administrator/manager of railway infrastructure in Romania approved by Order of Minister of Transportation No. 101/ ). If are detected non-compliance with specific regulations in force and/or requirements that led to granting or amending the safety authorizations for an administrator/manager of railway infrastructure, Romanian Railway Safety Authority will suspend or revoke the safety authorizations Part A and/or Part B as the case. The decision to suspend or revoke shall be motivated. Romanian Railway Safety Authority shall notify the European Railway Agency, within one month of the extended, renewed, amended or withdrawn safety authorizations Part A and/or Part B, stating the name and address of the administrator/manager of railway infrastructure, date on which were granted, renewed, amended or withdrawn, field of application, validity, and in case of withdrawal, reasons for this decision. The suspension, termination of suspension and/or revocation of safety authorizations must be notified to the railway operators and administrators/managers of railway infrastructure. 7. APPLICABLE NATIONAL LAW - Law no. 55/2006 on railway safety - Order of the Minister of Transportation no.101/2008 on the approval of the rules for granting the safety authorization for the administrator/manager of infrastructure in Romania. Issuing date: REGULAR VISA ROMANIAN DIRECTOR,... (full name, signature, seal) Valid until:... Valid until:... Valid until:... Valid until:... Valid until:... Director,... seal Director,... seal Director,... seal Director,... seal Director,... seal

16 GRANTING THE SAFETY AUTHORIZATION PAGE 16/25 Annex 4 Code FPS ANNEX to Safety Authorization Part B TRAFFIC SECTIONS on which the administrator/manager of infrastructure is allowed to administrate and operate No. Branch Traffic sections Km Issuing date:..., ROMANIAN DIRECTOR,... (full name, signature, seal) Annex 5 code FPS STATEMENT, The undersigned... (full name, function) representative of the company... (denomination of the administrator/manager of railway infrastructure) with registration number at the National Trade Registry Office J..., unique registration code RO..., as an applicant for a safety authorization part A, according the Order of the Minister of Transportation no. 101/2007, hereby declare on my honor that: a) the company is not in bankruptcy or liquidation; b) the company is not subject to legal procedures for being declared in one of the situation mentioned at the previous paragraph a); c) we fulfilled the obligations of payment for taxes and social security contributions to the budgets of the general consolidated budget in accordance with the legal provisions in force in Romania. Administrator/Manager of Railway Infrastructure, (authorized signature)

17 GRANTING THE SAFETY AUTHORIZATION PAGE 17/25 Annex 6 code FPS EVALUATION NOTE ROMANIAN SAFETY CERTIFICATION AND AUTHORIZATION SERVICE APPROVED ASFR DIRECTOR, NOTE on the assessment of the documents submitted by.. to grant (renewal/updating/amending/regular visa) safety authorization part A and B Analysis of documents submitted by... to grant (renewal/updating/amending/regular visa) Safety Authorization Part A, ( no.. ) Safety Authorization Part B, ( no.. ) in accordance with the requirements of Rules for granting safety authorization for the administrator/manager of railway infrastructure in Romania hereinafter referred to as "Rules", approved by OMT no. 101/ , were found the following: It will present data on: A. Safety Authorization Part A : 1. Data on records as Romanian legal entity and on constitutive act (unique registration code, tax registration code, CAEN code); 2. Data on documents which prove that the applicant can meet financial obligations; 3. Information on how to cover civil liability (insurance agreement); 4. Data on development of railway safety management system (according to the rules). B. Safety Authorization Part B : 1. Data on SAA held by the applicant; 2. Data on traffic sections for which applied for a SAB; 3. Data on the documents on which requested traffic sections are owned (contract lease/concession or proof of winning the auction); 4. Data on its executive staff needed to start working (qualification, authorization, number of functions, employment status, etc.); 5. Data on the stage of implementation of quality management system; 6. Data on staff designated as being in charge of managing non-interoperable railway infrastructure and safety traffic, certified by AFER. 7. Data on staff in charge with control of operating activity and traffic safety on traffic sections; 8. Data on how theoretical and practical training is ensured for staff with responsibilities in traffic safety; 9. Data on how is ensured service, maintenance and repair for railway infrastructure;

18 GRANTING THE SAFETY AUTHORIZATION PAGE 18/ Data on how is ensured service, maintenance and facilities repair of signaling; 11. Data on how is ensured service, maintenance and facilities repair of telecommunication; 12. Data on convention signed with ASFR for performing control actions and state inspection concerning compliance with the specific regulations in force and the requirements for granting or amending the authorizations. Given the above, it is proposed to grant (renewal/updating/amending/regular visa) the safety authorization A, no.... (safety authorization and Part B, no....) for the administrator/manager of railway infrastructure... Head of Service, Head of Department, Person responsible for the application ADVIZED Juridical Department Annex 7 REGISTER FOR SAFETY AUTHORIZATION APPLICATIONS RECEIVED / REJECTED Code FPS REQUEST SA file no. SCAS registration no. Administrator/Manager of railway infrastructure SAA new renewed updated amended regular visa duplicate SAB new renewed updated amended regular visa duplicate Annex Comments REGISTER FOR ISSUED SAFETY AUTHORISATIONS Annex 8 Code FPS SAA Reference no. SAB Reference no. Administrator/Manager of railway infrastructure ISSUED DOCUMENT SAA/visa no./ duplicate SAB/visa no./ duplicate Annex to SAB/ duplicate Date for: Issuing or regular visa or duplicate RECEIPT Delegate full name ID No. Delegate signature

19 GRANTING THE SAFETY AUTHORIZATION PAGE 19/25 REGISTER FOR SAFETY AUTHORIZATIONS SUSPENDED/WITHDRAWN Annex 9 Code FPS SAA SAB SUSPENSION WITHDRAWAL Reference no. Reference no. Administrator/ Manager of railway infrastructure Suspension length Suspension termination From To From From REASON (renewal/update/ amending) or withdrawal decision no. No. 2210/ Annex 10 Code FPS APPROVED ASFR DIRECTOR,... EXPLANATORY NOTE on fee for granting safety authorization part for the administrator/manager of railway infrastructure Organization denomination:... File no.:.../... No. Calculation element UM Value 1 Hourly rate (Hr) Euro 2 Document assessment time (Da) hours 3 Authorization issuance (Ai) Euro... 6 Fee issuing = Da x Hr + Ai Euro 7 Fee visa = 50% x (Da x Hr) Euro Service fee:... Euro plus VAT Date:.../.../... Head of SCAS. Head of Department. Person in charge with the application.

20 GRANTING THE SAFETY AUTHORIZATION PAGE 20/25 Romanian Railway Safety Authority Safety Certification and Authorization Service Annex 11 Code FPS YES NO Date Signature File acceptance HS PF SA issuance HS PF. LIST FOR CHEKING ON THE ACCEPTANCE OF THE APPLICATION FILE AND EVALUATION FOR ISSUING THE SAFETY AUTHORISATION Acceptance Issuance Applicant: File no./ date Part A Part B * ** Safety Authorization Part A Granting Updating/amending Regular visa Renewal GRANTING Application form according to the model from Annex C of the Rules on granting safety authorizations A copy of the registration certificate from the National Trade Registry Office A copy of the constitutive act A statement from the executive manager of the economic operator that has not been convicted of serious criminal offenses, has not been convicted of serious crimes on railway transportation and is not guilty of producing a railway accident in the last 12 months Proof of financial and logistical resources necessary to conduct the activity for at least 12 months Balance sheet Proof of capital formation Bank account statement Financial audit report Economic operator executive management declaration that the company is not in bankruptcy or liquidation and has no debt to the general consolidated budget as set out in Annex D to the Rules. The list of certified staff names appointed with responsibilities in the safety management. The document proof that they are employees within the company Copy of ASFR qualifications for the staff appointed with responsibilities in the railway safety management. Copy of insurance contracts for liability coverage in case of accidents/incidents or technical rail events. Management commitment declaration to notify ASFR of any data change in documents submitted for safety authorization. Proof of fee payment for safety authorization to ASFR.

21 GRANTING THE SAFETY AUTHORIZATION PAGE 21/25 Documented procedures of railway safety management. A table of concordance between the presented procedures and requirements of Regulation (EU) no. 1169/2010. UPDATING/AMENDING A substantial change of the railway infrastructure, signaling, power supply or to its operation and maintenance principles. Changing the legal situation, location or denomination. Business expansion on other traffic sections or its reduction by giving up some traffic sections Notification of ASFR on these amendments Documents reflecting those amendments (must be specified) Proof of fee payment for related updates/amendments Revision at ASFR request. Documents reflecting conditions submitted by ASFR that must be met (must be specified) Proof of fee payment for revision. REGULAR VISA (every two years) New documents (must be specified) Specific documentation for documents that have been changed Proof of fee payment for regular visa RENEWAL Documents that have changed since the last periodic examination for visa Proof of fee payment for renewal Column * Legend Column** Document exists Document corresponds Document does not exists x Document does not exists Document is not necessary Inadequate document HS PF Head of service Person in charge with the file

22 GRANTING THE SAFETY AUTHORIZATION PAGE 22/25 Romanian Railway Safety Authority Safety Certification and Authorization Service File acceptance Annex 12 Code FPS YES NO Date Signature HS PF. SA issuance HS PF. LIST FOR CHEKING ON THE ACCEPTANCE OF THE APPLICATION FILE AND EVALUATION FOR ISSUING THE SAFETY AUTHORISATION Acceptance Issuance Applicant: File no./date * ** Part A Part B Safety Authorization Part B Granting Updating/amending Regular visa Renewal GRANTING Application form according to the model from Annex C of the Rules on granting safety authorizations A copy of safety authorization Part A Proof of auction winning to lease a section of movement A copy of the lease, concession The list of its executive staff for starting the maintenance and operation Organization chart The document certifying the status of implementation for quality management system issued by a notified body Evidence that has its own staff responsible for managing non-interoperable railway infrastructure and traffic safety Copies of certificates issued by ASFR to staff responsible for managing non-interoperable railway infrastructure and traffic safety Evidence that has its own staff for control of operating activity and traffic safety Evidence that has personnel certified by ASFR, which provides training for their staff with responsibilities in traffic safety Commitment declaration that is using/will use in organizing and management of train traffic its own qualified personnel, medically and psychologically able and authorized by ASFR Commitment declaration that is using/will use in supervision and maintenance of railway infrastructure activity its own qualified personnel, medically and psychologically able and authorized by ASFR Commitment declaration of economic operator management of compliance with technical, technological and organizational regulations and of conducting supervision, maintenance and repair of railway infrastructure, as well as those on railway infrastructure transportation Commitment declaration that is providing/will provide supervision, maintenance and repair of railway infrastructure and rolling stock with its own staff, their units or authorized economic operators having technical agreement or technical homologation certificate for these services. Commitment declaration that is using/will use for maintenance and repair of railway infrastructure and rolling stock only products for which there is technical agreement or technical homologation certificate and are accompanied by quality, compliance and security certificates.

23 GRANTING THE SAFETY AUTHORIZATION PAGE 23/25 Commitment declaration that the rolling stock owned (on property, rental, leasing, etc) have the technical and endowment characteristics required by the legislation and by the technical regulations on safety traffic and transport security. Proof of fee payment for safety authorization to ASFR. UPDATING/AMENDING A substantial change of the railway infrastructure, signaling, power supply or to its operation and maintenance principles. Changing the legal situation, location or denomination. Business expansion on other traffic sections or its reduction by giving up some traffic sections. Notification of ASFR on these amendments. Documents reflecting those amendments (must be specified) Proof of fee payment for related updates/amendments Revision at ASFR request Documents reflecting conditions submitted by ASFR that must be met (must be specified) Proof of fee payment for revision. REGULAR VISA (every two years) New documents (must be specified) Specific documentation for documents that have been changed.... Proof of fee payment for regular visa RENEWAL Documents that have changed since the last periodic examination for visa Proof of fee payment for renewal Column * Legend Column** Document exists Document corresponds Document does not exists x Document does not exists Document is not necessary Inadequate document HR PF Head of service Person in charge with the file

24 GRANTING THE SAFETY AUTHORIZATION PAGE 24/25 Annex 13 Code FPS SATISFACTION QUESTIONNAIRE FOR APPLICANTS OF SAFETY AUTHORISATIONS How satisfied are you related to the following aspects of your organization's relationship with ASFR, in connection with the granting, renewal and / or updating / amending of safety authorizations: Very Less Satisfied Neutral satisfied satisfied Dissatisfied Points Availability of ASFR staff Promptitude in meeting your request by ASFR staff Solutions offered in case of any outstanding issues by ASFR staff Courtesy of ASFR staff ASFR fee

25 GRANTING THE SAFETY AUTHORIZATION PAGE 25/25 MINISTRY OF TRANSPORTATION ROMANIAN ASFR Bucharest, Calea Griviţei, no.393, sector 1, code Annex 14 Code FPS Safety Certification and Authorization Service Fax:40(021) Tel: 40(021) No. 2210/ HANDOVER NOTE Concluded today dd.mm.yyyy at the ASFR/SCAS headquarter between the representative of ASFR/SCAS, Mr. / Ms... as the delivery person and the representative of COMPANY X, Mr. / Ms... as the receiver, while delivering - receiving the file submitted by the COMPANY X by letter no.... / dd.mm.yyyy registered at ASFR/SCAS with no /.../ dd.mm.yyyy. The file was dismissed by ASFR/SCAS address no / NNNN / dd.mm.yyyy faxed on dd.mm.yyyy, because it does not contain all the documents requested by OMT no. 101/2008, as supplemented and amended, as follows: The receiver by his signature notes and confirms the lack of the above documents and receives the file referred to, at the date of this handover note, and ASFR/SCAS operates in its specific records delivering and closing the file. This protocol has been concluded and signed in duplicate, one handed to the delivery person and one to the receiver. Delivery person Full Name Signature Receiver Full Name Signature