Commission Regulation (EC) No 653/2007 of 13 June 2007 on the use of a common European format for safety certificates and application documents in accordance with Article 10 of Directive 2004/49/EC of the European Parliament and of the Council and on the validity of safety certificates delivered under Directive 2001/14/EC (Text with EEA relevance)
Modified by
  • Commission Regulation (EU) No 445/2011of 10 May 2011on a system of certification of entities in charge of maintenance for freight wagons and amending Regulation (EC) No 653/2007(Text with EEA relevance), 32011R0445, May 11, 2011
  • Commission Implementing Regulation (EU) 2018/763of 9 April 2018establishing practical arrangements for issuing single safety certificates to railway undertakings pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council, and repealing Commission Regulation (EC) No 653/2007(Text with EEA relevance), 32018R0763, May 25, 2018
Commission Regulation (EC) No 653/2007of 13 June 2007on the use of a common European format for safety certificates and application documents in accordance with Article 10 of Directive 2004/49/EC of the European Parliament and of the Council and on the validity of safety certificates delivered under Directive 2001/14/EC(Text with EEA relevance)
Article 1Safety certificates issued in accordance with Article 10(2)(a) of Directive 2004/49/EC (Part A Certificate) shall use the standard format set out in Annex I to this Regulation.This format shall be used whenever a Part A Certificate is issued, renewed, updated, amended or revoked.
Article 2Safety certificates issued in accordance with Article 10(2)(b) of Directive 2004/49/EC (Part B Certificate) shall use the standard format set out in Annex II to this Regulation.This format shall be used whenever a Part B Certificate is issued, renewed, updated, amended or revoked.
Article 3Applications for Part A and/or Part B Certificates submitted in accordance with Articles 10 and 12 of Directive 2004/49/EC shall be in the standard format set out in Annex III to this Regulation.The application form shall be filled out according to the guidelines described in Annex III to this Regulation.
Article 4Each Safety Certificate shall be given a unique number, in accordance with the protocol described in Annex IV of this Regulation.
Article 5The safety authority shall inform the Agency of the issue, renewal, amendment or revocation of all Part A and Part B safety certificates issued in accordance with Article 10(2) of Directive 2004/49/EC.
Article 6All safety certificates issued in accordance with Directive 2001/14/EC shall be replaced with safety certificates to be delivered in accordance with Directive 2004/49/EC and this Regulation, at the latest by 1st January 2011.The amendment, updating or renewal of a safety certificate issued under Directive 2001/14/EC shall be done in accordance with the present Regulation and Directive 2004/49/EC.Any railway undertaking which already holds a safety certificate granted under Directive 2001/14/EC has the right to request a new safety certificate issued in accordance with this Regulation and Directive 2004/49/EC from the national safety authority.
Article 7This Regulation shall enter into force on the day following its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.ANNEX IANNEX IIANNEX IIIStandard Application Form and Guidelines
SAFETY CERTIFICATE APPLICATION
FRONT PAGE FOR ANNEXES TO THE APPLICATION FORM
GUIDELINES FOR COMPILATIONInformation to be entered into the Application Form for Safety Certificates Part A and Part B
INTRODUCTIONThis Application Form is to be used by railway undertakings (also referred to as "the applicant") applying for a Safety Certificate Part A and/or Part B (Article 10(1) — Directive 2004/49/EC). References in this document are made, unless otherwise mentioned, to Articles in Directive 2004/49/EC.A railway undertaking applying for either one of these certificates or for both may use this Application Form to forward its request to the competent issuing safety authority/organisation. Its use will enable the authority to process the request without undue delay and however within the terms fixed in Article 12(1).All fields in the form should be completed and applicable information provided by the railway undertaking.Safety Certificates Part A and Part BThis document allows a railway undertaking to apply, at the same time, both for Part A and Part B Certificates or just for one of them using the same form; it can be used to request either a new, renewed or updated/amended Part A and/or Part B Certificate (as defined in Article 10(5)).It is possible to apply only for a new Part A Certificate and, with a second application, later for the first Part B Certificate.If applying only for a Part B Certificate, it is necessary to hold a valid Part A Certificate.Type and extent of railway operationsAccording to Article 10(5), a Safety Certificate shall be wholly or partly updated whenever the type or extent of the operation is substantially altered and the holder shall without delay inform the competent safety authority of all major changes in the conditions of the relevant part of the Safety Certificate. Therefore it is important, for the safety authority to know and for the railway undertaking to establish "type" and "extent" of railway services."Type" and "extent", form the basis for the Community validity of the Part A Certificate and provide reference to define "equivalent rail transport operations" (Article 10(3)) throughout the Community."Type" of service is characterised by passenger transport, including and excluding high-speed services, freight transport, including and excluding dangerous goods services, and shunting services only."Extent" of service and of the railway undertaking is characterised by volume of passenger/goods and the estimated size of the railway undertaking in terms of employees working in the railway sector (micro, small, medium sized, large enterprise)."Type" and "extent" of services for all Part B Certificates, carried out globally by the same railway undertaking in one or more States, must be covered by "type" and "extent" of services of the Part A Certificate.All information contained in fields 2.6 to 2.19 and 3.6 to 3.16 is necessary to establish if services intended to be operated with the requested Safety Certificate are equivalent or not to other rail transport operations already carried out by the applicant under previously held valid certificate(s).ADDITIONAL INFORMATIONPage 3 of the Application Form is intended as a reminder of the documents that must accompany each application. It shall be used as a reference list both for the applicant and for the issuing organisation/authority and therefore be used as the front page of the annexes to the application form (each box must be checked according to the specific cases).For easy reference and guidance, each field in the Application Form has been numbered and explained in the following pages.A person authorised to approve the request submitted with the Application Form shall sign the document, in the appropriate space, delivered to the safety organisation/authority. The name of the signing person shall also be spelled out.EXPLANATIONS AND INSTRUCTIONS FOR USE1.1.-1.2.Name and address of the safety authority/organisation to which the application is being sent. Updated information may be found, by other means, also by checking the European Railway Agency website (www.era.eu.int) or the website of the issuing Safety Organisation/Authority (if applicable).2.1.This field is to specify if the Application Form submitted is for a Safety Certificate Part A. In this case additional information must be provided, selecting the following tick-boxes, to identify type and extent of the railway undertaking's services.2.2.The applicant must select this box in the following cases:A)if applying for the first time for a Safety Certificate Part A;B)if the previous Safety Certificate, for the same type and extent of service, has been revoked;C)in any other case not covered by the following fields 2.3 and 2.4.2.3.A Safety Certificate shall be renewed upon application by the railway undertaking at intervals not exceeding five years (Article 10(5)).2.4.Whenever the type or extent of the operation of a railway undertaking is substantially altered, a Safety Certificate shall be wholly or partly updated and it is therefore necessary to request an updated/amended certificate; in addition, the holder of the Safety Certificate shall without delay inform the competent authority of all major changes in the conditions of the relevant part of the Safety Certificate and whenever new categories of staff or new types of rolling stock are introduced (Article 10(5)).2.5.If applicable, specify the complete EU Identification Number of the previous Part A Certificate in relation to which the Application Form is being submitted to the safety authority/organisation addressed in fields 1.1 and 1.2.2.6.-2.7.When applying also/only for passenger services, it has to be specified, by ticking the appropriate box, if the operations will include or exclude high-speed services: only one option may be selected. However, services referred to the selected option 2.6 or 2.7, are also comprehensive of any other type of passenger transport (i.e. regional, short, medium, long distance etc.) as well as of any other service necessary to carry out the passenger services applying for (shunting operations, etc.). For definitions of high-speed services, it is referred to Annex I of Directive 96/48/EC.2.8.-2.9.When applying for passenger services 2.6 or 2.7, it has to be specified, by ticking the appropriate box, the estimated current or planned volume, in terms of passenger-km per year, of the services. Only one option may be selected. The categories considered are compliant and in accordance with Regulation (EC) No 1192/2003 on rail transport statistics.2.10.-2.11.When applying also/only for freight services, it has to be specified, by ticking the appropriate box, if the operations will include or exclude transport of dangerous goods: only one option may be selected. However, services referred to the selected option 2.10 or 2.11, are also comprehensive of any other type of freight transport not explicitly mentioned as well as of any other service necessary to carry out the freight services applying for (shunting operations, etc.). For definitions relating to dangerous goods, it is referred to Directive 96/49/EC and its annexes.Operators carrying out rail transport services for internal railway needs are deemed to be within the scope of the freight category (e.g. track maintenance companies transferring working machines from one site to another or companies operating measurement trains).2.12.-2.13.When applying for freight services 2.10 or 2.11, it has to be specified, by ticking the appropriate box, the estimate current or planned volume, in terms of tonne-km per year, of the services. Only one option may be selected. The categories considered are compliant and in accordance with Regulation (EC) No 1192/2003 on rail transport statistics.2.14.If the applicant intends to carry out only shunting services without performing passenger or freight transport, this box shall be selected.2.15.Referring to the services applied for (passenger, freight, shunting only), the date on which operational service is intended to begin or, in case of a renewed or updated/amended certificate, the date on which the certificate is intended to become effective and replace the previous one has to be specified.2.16.If the number of employees working in the railway sector or involved in railway operations and related matters, including the contractors, is between 0 (thus providing only a job for the entrepreneur) and 9 occupied persons, then option "Micro enterprise" has to be selected. The definition on the size of enterprises refers to that applied by the Directorate General for Enterprise and Industry. Only one option can be chosen among those available (2.16, 2.17, 2.18, 2.19).2.17.If the number of employees working in the railway sector or involved in railway operations and related matters, including the contractors, is between 10 and 49 occupied persons, then option "Small enterprise" has to be selected. The definition on the size of enterprises refers to that applied by the Directorate General for Enterprise and Industry. Only one option can be chosen among those available (2.16, 2.17, 2.18, 2.19).2.18.If the number of employees working in the railway sector or involved in railway operations and related matters, including the contractors, is between 50 and 249 occupied persons, then option "Medium sized enterprise" has to be selected. The definition on the size of enterprises refers to that applied by the Directorate General for Enterprise and Industry. Only one option can be chosen among those available (2.16, 2.17, 2.18, 2.19).2.19.If the number of employees working in the railway sector or involved in railway operations and related matters, including the contractors, is 250 or more occupied persons, then option "Large enterprise" has to be selected. The definition on the size of enterprises refers to that applied by the Directorate General for Enterprise and Industry. Only one option can be chosen among those available (2.16, 2.17, 2.18, 2.19).3.1.This field is to specify if the Application Form submitted is for a Safety Certificate Part B. In this case additional information must be provided, selecting the following tick-boxes, to identify type and extent of the railway undertaking's services.3.2.The applicant must select this box in the following cases:A)if applying for the first or any other new Safety Certificate Part B;B)if the previous Safety Certificate, for the same type and extent of service, has been revoked;C)in any other case not covered by the following fields 3.3 and 3.4.3.3.A Safety Certificate shall be renewed upon application by the railway undertaking at intervals not exceeding five years (Article 10(5)).3.4.Whenever the type or extent of the operation of a railway undertaking is substantially altered, a Safety Certificate shall be wholly or partly updated and it is therefore necessary to request an updated/amended certificate; in addition, the holder of the Safety Certificate shall without delay inform the competent authority of all major changes in the conditions of the relevant part of the Safety Certificate and whenever new categories of staff or new types of rolling stock are introduced (Article 10(5)).3.5.If applicable, specify the complete EU Identification Number of the previous Part B Certificate in relation to which the Application Form is being submitted to the safety authority/organisation addressed in fields 1.1 and 1.2.3.6.-3.7.Same as 2.6, 2.7 (see above).3.8.-3.9.Same as 2.8, 2.9 (see above).3.10.-3.11.Same as 2.10, 2.11 (see above).3.12.-3.13.Same as 2.12, 2.13 (see above).3.14.Same as 2.14 (see above).3.15.Same as 2.15 (see above).3.16.A Safety Certificate Part B may cover the whole railway network of a Member State or only a defined part thereof (Article 10(1)), it is therefore necessary to specify clearly all the lines where services (passenger, freight or shunting only) are intended to be operated. The denomination/name of the lines are those given in the "Network Statement" (refer to Article 3 and Annex I of Directive 2001/14/EC): railway undertakings must refer to the lines using these denominations/names. If the available space is not sufficient, the applicant shall provide annexes to the Application Form and use this field to specify them.3.17.This information is to be provided only if the applicant is applying for a new, renewed or updated/amended Safety Certificate Part B and already holds a valid Safety Certificate Part A. The EU Identification Number is given by each issuing authority/organisation on the basis of fixed rules, regarding the codification that will be made available through the European Railway Agency. The information provided here does not exempt the applicant from submitting a copy of the Safety Certificate Part A together with the application (8.1). If an EU Identification Number is still not available, write "NOT APPLICABLE" in the box.3.18.Here the State has to be specified that issued the Safety Certificate Part A (i.e. the State which the issuing authority/organisation belongs to). The information provided here does not exempt the applicant from submitting a copy of the Safety Certificate Part A together with the application (8.1).4.1.This information is to be provided only in case the applicant holds one or more valid Safety Certificate(s) Part B. The EU Identification Number(s) of the already issued Part B Certificate(s) has(ve) to be specified, separating them with "/" if the case applies. It is not necessary for the applicant to submit a copy of the Safety Certificate(s) Part B together with the application.4.2.This information is to be provided only if applying for either Part A and/or Part B in case the railway undertaking already has a valid Licence (Council Directive 95/18/EC as amended by Directive 2001/13/EC). The information provided does not exempt the applicant from submitting a copy of the Licence together with the application (7.2 and 8.2).NOTE: A railway undertaking, as defined in Directive 2001/14/EC, must be licensed according to applicable Community legislation, nevertheless a railway undertaking, as defined in Directive 2004/49/EC, is not always required to have a licence.4.3.Here the State has to be specified that issued the Licence (i.e. the State which the issuing authority/organisation belongs to). The information provided here does not exempt the applicant from submitting a copy of the Licence together with the application (7.2 and 8.2).5.1.If "Legal Denomination" and "Railway undertaking name" differ, then both shall be included.5.2.-5.8.Each applicant shall provide the necessary information to allow the issuing body to contact the railway undertaking (telephone numbers should indicate the number to the switchboard, where applicable, and not to the person in charge of the certification process; telephone and fax numbers should include the country code; the e-mail address should refer to the general mail box of the railway undertaking). The railway undertaking contact information should indicate the general address avoiding references to a specific person as this information may be entered in points 6.1 to 6.5. Specification of the website (5.8) is not compulsory.5.9.-5.10.If several registration numbers are attributed under national law to the applying railway undertaking, there are possibilities in the form to enter both the VAT number (5.10) and a second registration number (5.9) (e.g. trade register).5.11.Information, other than that clearly requested in the other fields, can be added if necessary.6.1.-6.5.During all the certification process, the contact person is the interface between the railway undertaking submitting the request and the issuing organisation/authority. He/she provides support, assistance, information, clarifications, where necessary, and is the reference point for the issuing body dealing with the application. Telephone and fax numbers should include the country code; e-mail address is not compulsory.7.1.This document should be submitted if applying for a Safety Certificate Part A (new, renewed or updated/amended certificate); "Summary of the Safety Management System (SMS) manual" is here intended as a document reviewing and underlining the main elements of the railway undertaking's SMS. It must detail and give supporting information and evidence of the different processes or company standards/rules implemented (or in the phase of implementation), cross referencing or linked to the items identified in Article 9 and Annex III.7.2.A railway undertaking, as defined in Directive 2001/14/EC, must be licensed according to applicable Community legislation; in Directive 2004/49/EC, however, a railway undertaking is defined as not being required to have a licence, therefore it must submit a copy of a valid licence only if the case applies. If it does not apply the option "Not applicable" should be picked (7.3 and/or 8.3).7.3.Refer to 7.2.8.1.If in this Application Form applying only for a Safety Certificate Part B (new, renewed or updated/amended certificate) but not also for a Safety Certificate Part A, then the copy of a valid Safety Certificate Part A should be submitted.8.2.Same as 7.2 (see above).8.3.Same as 7.3 (see above).8.4.According to Article 9 of Directive 95/18/EC a railway undertaking shall be adequately insured or make equivalent arrangements (e.g. a financial guarantee) for cover, in accordance with national and international law, of its liabilities in the event of accidents. The proof that a licensed railway undertaking complies with national requirements concerning insurance or has made equivalent arrangements for cover for its liabilities is annexed to the licence (Commission Recommendation 2004/358/EC). A copy of the insurance or financial cover for liability annexed to the licence must be submitted with the Application Form.8.5.The applicant shall list or submit documentation on the TSIs or parts of the TSIs and, where relevant, of the national safety rules and other rules applicable to staff, rolling stock and, in general, to the services intended to be operated with the requested certificate. Clear reference should be made to the processes and documents where the TSIs are applicable and implemented. To avoid duplication of work and to reduce the amount of information, only summary documentation should be submitted concerning elements that comply with TSIs and other requirements of Directives 96/48/EC and 2001/16/EC.8.6.The applicant shall submit a complete list of the different CATEGORIES OF STAFF employed or contracted for services intended to be operated with the requested certificate. The list of CATEGORIES OF STAFF shall comply with national and network specific rules that apply for their categorisation.8.7.The applicant shall submit a description or evidence of those processes within the Safety Management System that are related to STAFF, including evidence that they meet the requirements of the national rules and/or relevant TSIs and that the staff has been duly certified.8.8.The applicant shall submit a complete documentation on the different TYPES OF ROLLING STOCK intended to be operated with the requested certificate. The TYPES OF ROLLING STOCK shall comply with national and network specific rules that apply for their categorisation.8.9.The applicant shall submit a description or evidence of those processes within the Safety Management System that are related to ROLLING STOCK, including evidence that they meet requirements of the national rules and/or relevant TSIs and that the rolling stock has been duly certified.8.10.Available space to specify other documents submitted with the application. Please identify number and type, together with a short description of the content of the document.ANNEX IVCode for the harmonised numbering system, called European Identification Number (EIN), for Safety Certificates
Country code(2 letters)Type of document(2 digits)Issue year(4 digits)Counter(4 digits)
Example:
IT1120060005
Explanation of the structure of the European Identification Number (EIN)
IT1120060005
Country code(2 letters)Type of document(2 digits)Issue year(4 digits)Counter(4 digits)
Field 1Field 2Field 3Field 4
FIELD 1 —Country code (2 letters)The country codes are those officially published and updated on the European website in the Interinstitutional style guide and are based on the standard ISO 3166 alpha-2.
StateCode
AustriaAT
BelgiumBE
BulgariaBG
CyprusCY
Czech RepublicCZ
DenmarkDK
EstoniaEE
FinlandFI
FranceFR
GermanyDE
GreeceEL
HungaryHU
IcelandIS
IrelandIE
ItalyIT
LatviaLV
LiechtensteinLI
LithuaniaLT
LuxembourgLU
NorwayNO
MaltaMT
NetherlandsNL
PolandPL
PortugalPT
RomaniaRO
Slovak RepublicSK
SloveniaSI
SpainES
SwedenSE
SwitzerlandCH
United KingdomUK
The Channel Tunnel Safety Authority, currently the only existing multinational safety authority, will be identified through the following two letter code:
MULTINATIONAL SAFETY AUTHORITYCode
Channel Tunnel Safety AuthorityCT
FIELD 2 —Type of document (2 digit number)Two digits allow identifying the type of document: the first digit identifies the general classification of the document, whether it is a Safety Certificate (number 1) or any other kind of document (number different from 1); the second digit specifies the subtype of document, whether it is a Part A (number 1) or Part B (number 2) Certificate. For now, possible combinations in the numbers would reflect just two cases of interest and use:[1 1] for Safety Certificates — Part A;[1 2] for Safety Certificates — Part B.With the need for other codes this numbering system can be extended. Following is the proposed list of known, possible combinations of two digit numbers in relation to the type of document considered:
Number combination for field 2Document TypeSubtype of document
[0 1]LicencesNot applicable to this Regulation
[0 x]LicencesNot applicable to this Regulation
[1 1]Safety CertificatePart A
[1 2]Safety CertificatePart B
[1 x]Safety CertificateNot applicable to this Regulation
[2 1]Safety AuthorisationNot applicable to this Regulation
[2 2]Safety AuthorisationNot applicable to this Regulation
[2 x]Safety AuthorisationNot applicable to this Regulation
[3 x]Certificates for maintenance workshopsNot applicable to this Regulation
[4 x]Certificates for Notified BodiesNot applicable to this Regulation
[5 x] … [9 x]Reserve (5 document types)Not applicable to this Regulation
FIELD 3 —Issue year (4 digit number)This field indicates the year (in the specified format yyyy, i.e. 4 digits) in which the certificate has been issued.FIELD 4 —CounterThe counter shall be a progressive number to be incremented by one unit each time a certificate is issued, regardless if it is a new, renewed or updated/amended certificate. Even in case a certificate is revoked, the number to which it refers cannot be used again.Every year the counter shall restart from zero.
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