Source: http://mkogy.jogtar.hu/jogszabaly?docid=A1100139.TV
Timestamp: 2018-07-16 14:48:46+00:00

Document:
2011. évi CXXXIX. törvény - 1.oldal - Törvények és országgyűlési határozatok
2011. évi CXXXIX. törvény
a Bernben, 1980. május 9-én kelt, Nemzetközi Vasúti Fuvarozási Egyezmény (COTIF) módosításáról Vilniusban elfogadott, 1999. június 3-án kelt Jegyzőkönyv E, F és G Függelékeinek kihirdetéséről
Uniform Rules concerning the Contract of Use of Infrastructure in International Rail Traffic (CUI - Appendix E to the Convention)
Declaration concerning liability in case of bodily loss or damage
Law remaining unaffected
Special obligations of the carrier and the manager
Concomitant causes
Damages in case of death
Damages in case of personal injury
Compensation for other bodily harm
Form and amount of damages in case of death and personal injury
Loss of right to invoke the limits of liability
Conversion and interest
Liability in case of nuclear incidents
Liability for auxiliaries
Agreements to settle
ACTIONS BY AUXILIARIES
Actions against the manager or against the carrier
Uniform Rules concerning the Validation of Technical Standards and the Adoption of Uniform Technical Prescriptions applicable to Railway Material intended to be used in International Traffic (APTU - Appendix F to the Convention)
Uniform Rules concerning the Technical Admission of Railway Material used in International Traffic (ATMF - Appendix G to the Convention)
Admission to international traffic
Interaction with other international agreements
Validity of technical certificates
Recognition of procedural documentation
Recognition of technical and operational tests
Prescriptions applicable to vehicles
Prescriptions applicable to railway infrastructure
Operation prescriptions
Application and granting of technical certificates and declarations and related conditions
Rules for withdrawals or suspensions of technical certificates
Rules for assessments and procedures
Technical Certificates and Declarations
Uniform formats
Inscriptions and signs
Accidents, incidents and severe damage
Immobilisation and rejection of vehicles
Non-compliance with the prescriptions
„Egységes Szabályok a nemzetközi vasúti forgalomban használt infrastruktúrára vonatkozó szerződésre (CUI - az Egyezmény E Függeléke)
A testi károsodással kapcsolatos felelősségre vonatkozó nyilatkozat
Kötelező jog
5bis. cikk
Továbbra is érvényes jog
A fuvarozó és az infrastruktúra-üzemeltető különleges kötelezettségei
Az infrastruktúra-üzemeltető felelőssége
Közösen okozott kár
Kártérítés halál esetén
Egyéb testi károsodások megtérítése
A kártérítés formája és összege halál és sérülés esetében
A felelősség korlátozására való hivatkozás jogának elvesztése
Átszámítás és kamatozás
Felelősség nukleáris baleset esetében
Felelősség a kisegítő munkaerőért
Kártérítési megállapodások
A KISEGÍTŐ MUNKAERŐ ÁLTAL INDÍTOTT KERESETEK
Az infrastruktúra-üzemeltető vagy a fuvarozó elleni keresetek
Békéltetési eljárás
Egységes szabályok a nemzetközi forgalomban használni tervezett vasúti berendezésekre vonatkozó műszaki szabványok érvényesítésére és egységes műszaki előírások elfogadására (APTU - az Egyezmény F függeléke)
A műszaki szabványok és az egységes műszaki előírások kidolgozása
A műszaki szabványok érvényesítése
Egységes műszaki előírások elfogadása
Következmények hatásvizsgálata
Az EME hiányosságai
A Műszaki Egység hatályon kívül helyezése
Az EME elsőbbsége
Nemzeti műszaki követelmények
Nem EME-konform járművek műszaki engedélyezése során ellenőrizendő paraméterek és a nemzeti műszaki követelmények osztályozása
Egységes Szabályok a nemzetközi forgalomban használt vasúti berendezések műszaki engedélyezésére (ATMF - az Egyezmény G függeléke)
Engedélyezés nemzetközi forgalom számára
Kölcsönhatás más nemzetközi megállapodásokkal
A műszaki tanúsítványok érvényessége
Az eljárási dokumentáció elismertetése
Műszaki és üzemi tesztek elismertetése
A járművekre vonatkozó előírások
A vasúti infrastruktúrára vonatkozó előírások
A műszaki tanúsítványok és nyilatkozatok, valamint az ezekkel kapcsolatos feltételek igénylése és megadása
A műszaki tanúsítványok visszavonásának és felfüggesztésének szabályai
Vizsgálati szabályok és eljárások
Műszaki tanúsítványok és nyilatkozatok
Egységes formátumok
Feliratok és jelzések
Balesetek, váratlan események és súlyos sérülések
Járművek leállítása és visszautasítása
Az előírások figyelmen kívül hagyása
a Bernben, 1980. május 9-én kelt, Nemzetközi Vasúti Fuvarozási Egyezmény (COTIF) módosításáról Vilniusban elfogadott, 1999. június 3-án kelt Jegyzőkönyv E, F és G Függelékeinek kihirdetéséről *
1. § Az Országgyűlés a Bernben, 1980. május 9-én kelt, Nemzetközi Vasúti Fuvarozási Egyezmény (a továbbiakban: COTIF) módosításáról Vilniusban elfogadott, 1999. június 3-án kelt Jegyzőkönyvvel megállapított E, F és G Függelékeinek módosításokkal egységes szerkezetbe foglalt hatályos szövegét (a továbbiakban: módosított Függelékek) e törvénnyel kihirdeti.
2. § A módosított Függelékek hiteles angol nyelvű szövege és hivatalos magyar nyelvű fordítása a következő:
§ 1 These Uniform Rules shall apply to any contract of use of railway infrastructure for the purposes of international carriage within the meaning of the CIV Uniform Rules and the CIM Uniform Rules. They shall apply regardless of the place of business and the nationality of the contracting parties. These Uniform Rules shall apply even when the railway infrastructure is managed or used by States or by governmental institutions or organisations.
§ 2 Subject to Article 21, these Uniform Rules shall not apply to other legal relations, such as in particular
a) the liability of the carrier or the manager to their servants or other persons whose services they make use of to accomplish their tasks;
b) the liability to each other of the carrier or the manager of the one part and third parties of the other part.
§ 1 Any State may, at any time, declare that it will not apply to victims of accidents occuring in its territory the whole of the provisions concerning liability in case of bodily loss or damage (death, injury or any other physical or mental harm), when the victims are nationals of, or have their usual place of residence in, that State.
§ 2 A State which has made a declaration in accordance with § 1 may withdraw it at any time by notification to the Depositary. This withdrawal shall take effect one month after the day on which the Depositary notifies it to the Member States.
For the purposes of these Uniform Rules, the term
a) „railway infrastructure” means all the railway lines and fixed installations, so far as these are necessary for the circulation of railway vehicles and the safety of traffic;
b) „manager” means the person who makes railway infrastructure available and who has responsibilities in accordance with the laws and prescriptions in force in the State in which the infrastructure is located;
c) „carrier” means the person who carries persons or goods by rail in international traffic under the CIV Uniform Rules or the CIM Uniform Rules and who is licensed in accordance with the laws and prescriptions relating to licensing and recognition of licenses in force in the State in which the person undertakes this activity;
d) „auxiliary” means the servants or other persons whose services the carrier or the manager makes use of for the performance of the contract when these servants or other persons are acting within the scope of their functions;
e) „third party” means any person other than the manager, the carrier and their auxiliaries;
f) „licence” means the authorisation issued by a State to a railway undertaking, in accordance with the laws and prescriptions in force in that State, by which its capacity as a carrier is recognized;
g) „safety certificate” means the document attesting, in accordance with the laws and prescriptions in force in the State in which the infrastructure is located, that so far as concerns the carrier,
- the internal organisation of the undertaking as well as
- the personnel to be employed and the vehicles to be used on the infrastructure,
meet the requirements imposed in respect of safety in order to ensure a service without danger on that infrastructure.
Unless provided otherwise in these Uniform Rules, any stipulation which, directly or indirectly, would derogate from these Uniform Rules, shall be null and void. The nullity of such a stipulation shall not involve the nullity of other provisions of the contract. Nevertheless, the parties to the contract may assume a liability greater and obligations more burdensome than those provided for in these Uniform Rules or fix a maximum amount of compensation for loss of or damage to property.
§ 1 Relations between the manager and the carrier or any other person entitled to enter into such a contract under the laws and prescriptions in force in the State in which the infrastructure is located shall be regulated in a contract of use.
§ 2 The contract shall regulate the necessary details for the determination of the administrative, technical and financial conditions of use.
§ 3 The contract must be concluded in writing or in an equivalent form. The absence or irregularity of a written form or equivalent form of contract or the absence of one of the matters specified in § 2 shall not affect the existence or the validity of the contract which shall remain subject to these Uniform Rules.
§ 1 The provisions of Article 5 as well as those of Articles 6, 7 and 22 shall not affect the obligations which the parties to the contract of use of infrastructure have to meet under the laws and prescriptions in force in the State in which the infrastructure is located including, where appropriate, the law of the European Community.
§ 2 The provisions of Articles 8 and 9 shall not affect the obligations which the parties to the contract of use of infrastructure have to meet in an EC Member State or in a State where Community legislation applies as a result of international agreements with the European Community.
§ 3 The provisions of §§ 1 and 2 concern in particular:
- agreements to be concluded between railway undertakings or authorised applicants and infrastructure managers,
- safety certification,
- charging involving performance schemes to minimise delays and disruptions and improve the performance of the railway network,
- compensation arrangements in favour of customers and
§ 1 The carrier must be authorised to undertake the activity of a carrier by rail. The personnel to be employed and the vehicles to be used must satisfy the safety requirements. The manager may require the carrier to prove, by the presentation of a valid licence and safety certificate or certified copies, or in any other manner, that these conditions are fulfilled.
§ 2 The carrier must notify the manager of any event which might affect the validity of his licence, his safety certificates or other elements of proof.
§ 3 The manager may require the carrier to prove that he has taken out a sufficient liability insurance or taken equivalent measures to cover any claims, on whatever grounds, referred to in Articles 9 to 21. Each year, the carrier must prove, by an attestation in due form, that the liability insurance or the equivalent provisions still exist; he must notify the manager of any modification relating to them before it takes effect.
§ 4 The parties to the contract must inform each other of any event which might impede the execution of the contract they have concluded.
§ 1 The manager may rescind the contract forthwith when
a) the carrier is no longer authorised to carry on the activity of carrier by rail;
b) the personnel to be employed and the vehicles to be used no longer meet the safety requirements;
c) the carrier is in arrear with payment, that is to say
1. for two successive payment periods and for an amount in excess of the equivalent of one month’s use, or
2. for a period covering more than two payment periods and for an amount equal to the value of two months’ use;
d) the carrier is in clear breach of one of the special obligations specified in Article 6 §§ 2 and 3.
§ 2 The carrier may rescind the contract of use forthwith when the manager loses his right to manage the infrastructure.
§ 3 Each party to the contract may rescind the contract of use forthwith in the case of a clear breach of one of the essential obligations by the other party to the contract, when that obligation concerns the safety of persons or goods; the parties to the contract may agree the modalities for the exercise of this right.
§ 4 The party to the contract who is the cause of its rescission shall be liable to the other party for the loss or damage resulting from it, unless he proves that the loss or damage was not caused by his fault.
§ 5 The parties to the contract may agree conditions derogating from the provisions of § 1 letters c) and d) and § 4.
§ 1 The manager shall be liable
a) for bodily loss or damage (death, injury or any other physical or mental harm),
b) for loss of or damage to property (destruction of, or damage to, movable or immovable property),
c) for pecuniary loss resulting from damages payable by the carrier under the CIV Uniform Rules and the CIM Uniform Rules,
caused to the carrier or to his auxiliaries during the use of the infrastructure and having its origin in the infrastructure.
§ 2 The manager shall be relieved of this liability
a) in case of bodily loss or damage and pecuniary loss resulting from damages payable by the carrier under the CIV Uniform Rules
1. if the incident giving rise to the loss or damage has been caused by circumstances not connected with the management of the infrastructure which the manager, in spite of having taken the care required in the particular circumstances of the case, could not avoid and the consequences of which he was unable to prevent,
2. to the extent that the incident giving rise to the loss or damage is due to the fault of the person suffering the loss or damage,
3. if the incident giving rise to the loss or damage is due to the behaviour of a third party which the manager, in spite of having taken the care required in the particular circumstances of the case, could not avoid and the consequences of which he was unable to prevent;
b) in case of loss of or damage to property and pecuniary loss resulting from damages payable by the carrier under the CIM Uniform Rules, when the loss or damage was caused by the fault of the carrier or by an order given by the carrier which is not attributable to the manager or by circumstances which the manager could not avoid and the consequences of which he was unable to prevent.
§ 3 If the incident giving rise to the loss or damage is due to the behaviour of a third party and if, in spite of that, the manager is not entirely relieved of liability in accordance with § 2, letter a), he shall be liable in full up to the limits laid down in these Uniform Rules but without prejudice to any right of recourse against the third party.
§ 4 The parties to the contract may agree whether and to what extent the manager shall be liable for the loss or damage caused to the carrier by delay or disruption to his operations.
§ 1 The carrier shall be liable
b) for loss of or damage to property (destruction of or damage to movable or immovable property),
caused to the manager or to his auxiliaries, during the use of the infrastructure, by the means of transport used or by the persons or goods carried.
§ 2 The carrier shall be relieved of this liability
a) in case of bodily loss or damage
1. if the incident giving rise to the loss or damage has been caused by circumstances not connected with the operations of the carrier which he, in spite of having taken the care required in the particular circumstances of the case, could not avoid and the consequences of which he was unable to prevent,
3. if the incident giving rise to the loss or damage is due to the behaviour of a third party which the carrier, in spite of having taken the care required in the particular circumstances of the case, could not avoid and the consequences of which he was unable to prevent;
b) in case of loss of or damage to property when the loss or damage is caused by a fault of the manager or by an order given by the manager which is not attributable to the carrier or by circumstances which the carrier could not avoid and the consequences of which he was unable to prevent.
§ 3 If the incident giving rise to the loss or damage is due to the behaviour of a third party and if, in spite of that, the carrier is not entirely relieved of liability in accordance with § 2, letter a), he shall be liable in full up to the limits laid down in these Uniform Rules but without prejudice to any right of recourse against the third party.
§ 4 The parties to the contract may agree whether and to what extent the carrier shall be liable for the loss or damage caused to the manager by disruption to his operations.
§ 1 If causes attributable to the manager and causes attributable to the carrier contributed to the loss or damage, each party to the contract shall be liable only to the extent that the causes attributable to him under Article 8 and 9 contributed to the loss or damage. If it is impossible to assess to what extent the respective causes contributed to the loss or damage, each party shall bear the loss or damage he has sustained.
§ 2 § 1 shall apply mutatis mutandis if causes attributable to the manager and causes attributable to several carriers using the same railway infrastructure contributed to the loss or damage.
§ 3 § 1, first sentence, shall apply mutatis mutandis in case of loss or damage referred to in Article 9 if causes attributable to several carriers using the same infrastructure contributed to the loss or damage. If it is impossible to assess to what extent the respective causes contributed to the loss or damage, the carriers shall be liable to the manager in equal shares.
§ 1 In case of death, the damages shall comprise:
a) any necessary costs following the death, in particular those of transport of the body and the funeral expenses;
b) if death does not occur at once, the damages provided for in Article 12.
§ 2 If, through the death, persons whom the deceased had or would have had in the future a legal duty to maintain, are deprived of their support, they shall also be compensated for that loss. Rights of action for damages by persons whom the deceased was maintaining without being legally bound to do so, shall be governed by national law.
In case of personal injury or any other physical or mental harm, the damages shall comprise:
a) any necessary costs, in particular those of treatment and of transport;
b) compensation for financial loss, due to total or partial incapacity to work, or to increased needs.
National law shall determine whether and to what extent the manager or the carrier must pay damages for bodily harm other than that provided for in Articles 11 and 12.
§ 1 The damages provided for in Article 11 § 2 and in Article 12 letter b) must be awarded in the form of a lump sum. However, if national law permits the award of an annuity, the damages shall be awarded in that form if so requested by the injured person or by persons entitled referred to in Article 11 § 2.
§ 2 The amount of damages to be awarded pursuant to § 1 shall be determined in accordance with national law. However, for the purposes of these Uniform Rules, the upper limit per person shall be set at 175,000 units of account as a lump sum or as an annuity corresponding to that sum, where national law provides for an upper limit of less than that amount.
The limits of liability provided for in these Uniform Rules as well as the provisions of national law, which limit the compensation to a certain amount, shall not apply if it is proved that the loss or damage results from an act or omission, which the author of the loss or damage has committed either with the intent to cause such loss or damage, or recklessly and with knowledge that such loss or damage would probably result.
§ 1 Where the calculation of compensation requires the conversion of sums expressed in foreign currency, conversion shall be at the exchange rate applicable on the day and at the place of payment of the compensation.
§ 2 The person entitled may claim interest on compensation, calculated at five per cent per annum, from the day of initiation of a conciliation procedure, of seizure of the Arbitration Tribunal provided for in Title V of the Convention or from the day on which legal proceedings were instituted.
The manager and the carrier shall be relieved of liability pursuant to these Uniform Rules for loss or damage caused by a nuclear incident when the operator of a nuclear installation or another person who is substituted for him is liable for the loss or damage pursuant to the laws and prescriptions of a State governing liability in the field of nuclear energy.
The manager and the carrier shall be liable for their auxiliaries.
§ 1 In all cases where these Uniform Rules shall apply, any action in respect of liability, on whatever grounds, may be brought against the manager or against the carrier only subject to the conditions and limitations laid down in these Uniform Rules.
§ 2 The same shall apply to any action brought against the auxiliaries for whom the manager or the carrier is liable pursuant to Article 18.
The parties to the contract may agree conditions in which they assert or renounce their rights to compensation from the other party to the contract.
§ 1 Any action in respect of liability brought by the auxiliaries of the carrier against the manager on account of loss or damage caused by him, on whatever grounds, may be brought only subject to the conditions and limitations laid down in these Uniform Rules.
§ 2 Any action in respect of liability brought by the auxiliaries of the manager against the carrier on account of loss or damage caused by him, on whatever grounds, may be brought only subject to the conditions and limitations laid down in these Uniform Rules.
The parties to the contract may agree conciliation procedures or appeal to the Arbitration Tribunal provided for in Title V of the Convention.
The validity of the payment made by the carrier on the basis of the CIV Uniform Rules or the CIM Uniform Rules may not be disputed when compensation has been determined by a court or tribunal and when the manager, duly served with notice of the proceedings, has been afforded the opportunity to intervene in the proceedings.
§ 1 Actions based on these Uniform Rules may be brought before the courts or tribunals of the Member States designated by agreement between the parties to the contract.
§ 2 Unless the parties to the contract otherwise agree, the competent courts or tribunals shall be those of the Member State where the manager has his place of business.
§ 1 The period of limitation for actions based on these Uniform Rules shall be three years.
§ 2 The period of limitation shall run from the day when the loss or damage occurred.
§ 3 In case of death of persons, the period of limitation shall be three years from the day after the day the death occurred, but not exceeding five years from the day after the day of the accident.
§ 4 A recourse action by a person held liable may be brought even after the expiration of the limitation period provided for in § 1, if it is brought within the period allowed by the law of the State where the proceedings are brought. However, the period allowed shall be not less than ninety days from the day when the person bringing the recourse action has settled the claim or has been served with notice of the proceedings against himself.
§ 5 The period of limitation shall be suspended when the parties agree a conciliation procedure or when they seize the Arbitration Tribunal provided for in Title V of the Convention.
§ 6 Otherwise, suspension and interruption of the limitation period shall be governed by national law.
a) „carriage” (or „coach”) means a railway vehicle, not provided with a means of traction, which is intended to carry passengers; the term includes a luggage wagon which is intended to be carried in a passenger train;
b) „project in an advanced stage of development” means any project whose planning/construction stage has reached a point where a change in the technical specifications would be unacceptable to the Contracting State concerned. Such an impediment may be legal, contractual, economic, financial, social or environmental in nature and must be duly substantiated;
c) „substitution in the framework of maintenance” means any replacement of components by parts of identical function and performance in the framework of preventive or corrective maintenance;
d) „technical prescription” means a rule, other than a technical standard, included in the UTP, relating to the construction, operation, maintenance or safety aspects, or relating to a procedure concerning railway material;
e) „technical standard” means a voluntary standard adopted by a recognised international standardisation body, according to the procedures applicable to it;
f) „traction unit” means a railway vehicle provided with a means of traction;
g) „wagon” means a railway vehicle, not provided with a means of traction, which is intended to carry goods.
§ 2 An application for adoption of a UTP or a provision amending it according to § 1 may be made by:
§ 2 In principle, each subsystem shall be subject to one UTP. Where relevant, a subsystem may be covered by several UTP and one UTP may cover several subsystems.
§ 2a The UTP shall apply to new subsystems. They shall also apply to an existing subsystem when it is renewed or upgraded and in accordance with the migration strategy referred to in § 4 f).
c) the list of Contracting States to which this UTP applies;
d) the updated list of UTP and their date of entry into force.
§ 6 The UTP shall retain, in an appropriate manner, the compatibility of the existing rail system of each Contracting State. With this objective, provision may be made in each UTP for „specific cases” covering one or more Contracting States, with regard to both network and vehicles; special attention must be given to the loading gauge, the track gauge or space between the tracks and to vehicles originating from or destined for third countries. For each specific case, the UTP shall stipulate the implementing rules of the elements indicated in § 4 c) to g).
§ 7 If certain technical aspects corresponding to the essential requirements cannot be explicitly covered in the UTP, they shall be clearly identified in it as „open points”.
§ 9 The UTP shall have a two column format. Text which appears in full width without columns is identical to corresponding texts of the European Community Technical Specifications for Interoperability (TSI). Text which is split into two columns is different for the UTP and for the corresponding TSI or other corresponding European Community regulations. The left-hand column shows the UTP text (OTIF regulations), while the right-hand column shows the European Community TSI text. On the far right the TSI reference is indicated.
a) of the Regulation governing the reciprocal use of carriages and brake vans in international traffic (RIC),
§ 1 Contracting States shall ensure that the Secretary General is informed of their national technical requirements which apply to railway vehicles and other railway material. The Secretary General shall publish these requirements in the data bank referred to in Article 13 of the ATMF Uniform Rules.
The information shall be received by the Secretary General within 3 months from the day when the revised Uniform Rules enter into force.
Such a requirement may stay in force only until it or an analogous requirement is brought into force through the adoption of prescriptions according to the Articles above. The Contracting State may at any time withdraw the temporary provision and notify this to the Secretary General.
§ 2 When a UTP has been adopted or amended, the Contracting State shall ensure that the Secretary General is informed - with justification - of those national technical requirements mentioned in § 1 which it will still require to be complied with in order to ensure the technical compatibility between the vehicles and its network concerned; this includes national rules applicable to „open points” in the technical prescriptions and applicable to the specific cases duly identified in the technical prescription.
The information shall include indication of the „open point(s)” and/or „specific case(s)” in the UTP to which each national technical requirement relates.
The national technical requirements shall only remain valid if the notification is received by the Secretary General within 6 months from the day when the technical prescription in question or the change to it has entered into force.
1.1.1.1. General documentation (including description of new, renewed or upgraded vehicle and its intended use, design, repair, operation and maintenance information, technical file, etc.)
1.1.1.2. Mechanical integrity and interface between vehicles (including draw and buffer gear, gangways), strength of vehicle structure and fittings (e.g. seats), loading capability, passive safety (including interior and exterior crashworthiness)
1.1.1.3. Mechanical interfaces to the infrastructure (including static and dynamic behaviour, clearances and fits, gauge, running gear, etc.)
1.1.1.4. Braking-related items (including wheel-slide protection, braking control, and braking performance in service, emergency and parking modes)
1.1.1.5. Passenger facilities and passenger environment (including passenger windows and doors, requirements for persons with reduced mobility, etc.)
1.1.1.6. Impact of the environment on the vehicle and impact of the vehicle on the environment (including aerodynamic conditions and both the interface between the vehicle and the trackside part of the railway system and the interface with the external environment)
1.1.1.7. External warnings, markings, functions and integrity of software, e.g. safety-related functions with an impact on train behaviour including train bus
1.1.1.8. Onboard propulsion, power and control systems, plus the interface of the vehicle with the power supply infrastructure and all aspects of electromagnetic compatibility
1.1.1.9. On-board facilities, interfaces, working conditions and environment for staff (including drivers’ cabs, driver machine interface)
1.1.1.10. Onboard facilities and interfaces for servicing
These Uniform Rules lay down, for railway vehicles and other railway material, the procedure for the admission to circulation or use in international traffic.
For the purposes of these Uniform Rules and their (future) Annex(es), the APTU Uniform Rules and their Annex(es) and the APTU Uniform Technical Prescriptions (UTP) the following definitions shall apply:
a) „accident” means an unwanted or unintended sudden event or a specific chain of such events which have harmful consequences; accidents are divided into the following categories: collisions, derailments, level-crossing accidents, accidents to persons caused by rolling stock in motion, fires and others;
b) „admission of a type of construction” means the right granted by which the competent authority authorises a type of construction of a railway vehicle, as a basis for the admission to operation for vehicles which correspond to that type of construction;
c) „admission to operation” means the right granted by which the competent authority authorises each railway vehicle or other railway material to operate in international traffic;
d) „Committee of Technical Experts” means the Committee provided for in Article 13 § 1, f) of the Convention;
da) „contracting entity” means any entity, whether public or private, which orders the design and/or construction or the renewal or upgrading of a subsystem. This entity may be a railway undertaking, an infrastructure manager or a keeper, or the concession holder responsible for carrying out a project;
e) „Contracting State” means a Member State of the Organisation which has not made a declaration in respect of these Uniform Rules in accordance with Article 42 § 1, first sentence of the Convention;
f) „declaration” means the evidence of an assessment or an element of assessments carried out to confirm that a vehicle, a type of construction or an element of construction complies with the provisions of the APTU Uniform Rules and its UTP (including applicable specific cases and national requirements in force according to Article 12 of the APTU Uniform Rules);
g) „element of construction” or „constituent” means any elementary component, group of components, complete or subassembly of equipment incorporated or intended to be incorporated into a railway vehicle, other railway material or infrastructure; the concept of an „element of construction” covers both tangible objects and intangible objects such as software;
h) „entity in charge of maintenance” (ECM) means the entity that is in charge of the maintenance of a vehicle, and is registered as such in the vehicle register according to Article 13; this definition also applies to other railway material;
i) „essential requirements” means all the conditions set out in the APTU Uniform Rules which must be met by the rail system, the subsystems and the interoperability constituents, including interfaces;
j) „incident” means any occurrence, other than accident or serious accident, associated with the operation of trains and affecting the safety of operation;
k) „infrastructure manager” means an undertaking or an authority which manages railway infrastructure;
l) „international traffic” means the circulation of railway vehicles on railway lines over the territory of at least two Contracting States;
m) „investigation” means a process conducted for the purpose of accident and incident prevention which includes the gathering and analysis of information, the drawing of conclusions, including the determination of causes (actions, omissions, events or conditions, or a combination thereof, which led to the accident or incident) and, when appropriate, the making of safety recommendations;
n) „keeper” means the person or entity that, being the owner of a vehicle or having the right to use it, exploits the vehicle as a means of transport and is registered as such in the vehicle register referred to in Article 13;
o) „Maintenance File” means the document(s) that specify the inspections and maintenance tasks to be carried out on a (type of) vehicle or other railway material, which is set up according to the rules and specifications in the UTP including specific cases and notified national technical requirements in force, if any, according to Article 12 of the APTU Uniform Rules;
p) „Maintenance Record File” means the documentation relating to an admitted vehicle or other railway material, which contains the record of its operating history and the inspections and maintenance operations that have been carried out on it;
q) „network” means the lines, stations, terminals, and all kinds of fixed equipment needed to ensure safe and continuous operation of the rail system;
r) „open points” means technical aspects relating to essential requirements which have not explicitly been covered in a UTP;
s) „other railway material” means any movable railway material intended to be used in international traffic that is not a railway vehicle;
t) „rail transport undertaking” means a private or public undertaking
- which is authorised to carry persons or goods by rail and which ensures traction or
- which only ensures traction;
u) „railway infrastructure” (or just „infrastructure”) means all the railway lines and fixed installations so far as these are necessary for the compatibility with and safe circulation of railway vehicles and other railway material admitted according to these Uniform Rules;
v) „railway material” means railway vehicles, other railway material and railway infrastructures;
w) „railway vehicle” means a vehicle suitable to circulate on its own wheels on railway lines with or without traction;
x) „regional organisation” means an organisation as defined in Article 38 of the Convention within the exclusive competence that Contracting States have ceded to it;
y) „renewal” means any major substitution work on a subsystem or part subsystem which does not change the overall performance of the subsystem;
ya) „RID” means Appendix C to the Convention;
z) „serious accident” means any train collision or derailment of trains, resulting in the death of at least one person or serious injuries to five or more persons or extensive damage to rolling stock, the railway infrastructure or the environment, and any other similar accident with an obvious impact on railway safety regulation or the management of safety; „extensive damage” means damage that can immediately be assessed by the investigating body to cost at least 1.8 million SDR in total;
aa) „specific case” means any part of the rail system of the Contracting States which needs special provisions in the UTP, either temporary or definitive, because of geographical, topographical or urban environment constraints or those affecting compatibility with the existing system. This may include in particular railway lines and networks isolated from the rest of the network, the loading gauge, the track gauge or space between the tracks as well as vehicles and other railway material strictly intended for local, regional or historical use, and vehicles and other railway material originating from or destined for third countries;
bb) „subsystems” means the result of the division of the rail system, as shown in the UTP; these subsystems, for which essential requirements must be laid down, may be structural or functional;
cc) „technical admission” means the procedure carried out by the competent authority to authorise a railway vehicle or other railway material to operate in international traffic or to authorise the type of construction;
dd) „technical certificate” means the official evidence of a successful technical admission in the form of a valid Design Type Certificate or a valid Certificate to Operation;
ee) „Technical File” means the documentation relating to the vehicle or other railway material containing all its (the type’s) technical characteristics, including a user manual and the characteristics necessary to identify the object(s) concerned;
eea) „TSI” means Technical Specification for Interoperability adopted in accordance with Directives 96/48/EC, 2001/16/EC and 2008/57/EC by which each subsystem or part of a subsystem is covered in order to meet the essential requirements and ensure the interoperability of the rail system;
ff) „type of construction” means the basic design characteristics of the railway vehicle or other railway material as covered by a single type examination certificate described in assessment module SB of the UTP;
gg) „upgrading” means any major modification work on a subsystem or part subsystem which improves the overall performance of the subsystem.
§ 1 Each railway vehicle must, for circulation in international traffic, be admitted in accordance with these Uniform Rules.
§ 2 The technical admission shall have the aim of ascertaining whether the railway vehicles satisfy
a) the construction prescriptions contained in the UTP,
b) the construction and equipment prescriptions contained in RID,
c) the special conditions of an admission under Article 7a.
§ 3 §§ 1 and 2 as well as the following articles shall apply mutatis mutandis to the technical admission of other railway material and of elements of construction either of vehicles or of other railway material.
§ 1 Railway vehicles and other railway material which have been placed in service according to applicable European Community (EC) and corresponding national legislation shall be deemed as admitted to operation by all Contracting States according to these Uniform Rules
a) in the case of full equivalence between the provisions in the applicable TSIs and the corresponding UTP and
b) provided the set of applicable TSIs, against which the railway vehicle or other railway material was authorised, cover all aspects of the relevant subsystems that are part of the vehicle and
c) provided these TSIs do not contain open points related to the technical compatibility with infrastructure and
d) provided the vehicle or other railway material is not subject to a derogation.
If these conditions are not fulfilled, the vehicle or other railway material shall be subject to Article 6 § 4.
§ 2 Railway vehicles and other railway material which have been admitted to operation according to these Uniform Rules shall be deemed as placed in service in the Member States of the European Community and in the States which apply Community legislation as a result of international agreements with the European Community in the case of
a) full equivalence between the provisions in the applicable UTP and the corresponding TSIs and
b) provided the set of applicable UTP against which the railway vehicle or other railway material was authorised covers all aspects of the relevant subsystems that are part of the vehicle and
c) provided these UTP do not contain open points related to the technical compatibility with infrastructure and
If these conditions are not fulfilled, the vehicle or other railway material shall be subject to authorisation according to the law applicable in the Member States of the European Community and in the States which apply Community legislation as a result of international agreements with the European Community.
§ 3 The admission to operation, the operation and the maintenance of railway vehicles and other railway material being used only in Member States of the European Community are regulated by the applicable Community and national legislation. This provision is also applicable to Contracting States which apply relevant European Community legislation as a result of international agreements with the European Community.
§ 4 §§ 1 to 2 apply mutatis mutandis to admissions/authorisations of vehicle types
§ 5 An entity in charge of maintenance (ECM) for a freight wagon, certified according to Article 15 § 2, shall be deemed as certified according to applicable European Community and corresponding national legislation and vice versa in the case of full equivalence between the certification system adopted under Article 14a (5) of the EC Railway Safety Directive 2004/49/EC and rules adopted by the Committee of Technical Experts according to Article 15 § 2.
§ 1 Technical admission of a vehicle shall be carried out
a) either in a single stage by the granting of admission to operation to a given individual vehicle,
b) or in two successive stages, by the granting
- of admission of a type of construction to a given type of construction,
- subsequently an admission to operation to individual vehicles corresponding to this type of construction by a simplified procedure verifying that they are of this type.
§ 2 The assessments of the conformity of a vehicle or an element of construction with the provisions of the UTP on which the admission is based may be divided into assessment elements each evidenced by a declaration. The assessment elements and the format of the declaration shall be defined by the Committee of Technical Experts.
§ 3 The procedures for the technical admission of railway infrastructure are subject to the provisions in force in the Contracting State in question.
§ 1 The technical admission shall be the task of the national or international authority competent in the matter in accordance with the laws and prescriptions in force in each Contracting State.
§ 2 The authorities referred to in § 1 may or, according to the provisions in force in their State, shall transfer to bodies with residence in their State recognised as suitable, competence to carry out assessments as a whole or partly, including the issuing of the corresponding declarations.
The transfer of competence to
a) a rail transport undertaking,
b) an infrastructure manager,
c) a keeper,
d) an entity in charge of maintenance (ECM),
e) a designer or manufacturer of railway material participating directly or indirectly in the manufacture of railway material,
including subsidiaries of the foregoing entities shall be prohibited.
§ 3 In order to be recognised as suitable the bodies mentioned in § 2 must fulfil the following conditions:
a) The body must be independent in its organisation, legal structure and decision making from any railway undertaking, infrastructure manager, applicant and procurement entity; its Director and the staff responsible for carrying out the assessments or issuing certificates and declarations may not become involved, either directly or as authorised representatives, in the design, manufacture, construction or maintenance of the constituents, vehicles or railway material or in the use thereof. This does not exclude the possibility of an exchange of technical information between the manufacturer or constructor and that body.
b) The body and the staff responsible for the assessments shall carry out the assessments with the greatest possible professional integrity and the greatest possible technical competence and shall be free of any pressure and incentive, in particular of a financial nature, which could affect their judgement or the results of their inspection, in particular from persons or groups of persons affected by the results of the assessments.
c) In particular, the body and the staff responsible for the assessments shall be functionally independent of the bodies in charge of investigations in the event of accidents.
d) The body shall employ staff and possess the means required to perform adequately the technical and administrative tasks linked to the assessments; it shall also have access to the equipment needed for exceptional assessments.
e) The staff responsible for the assessments shall possess
- proper technical and vocational training,
- satisfactory knowledge of the requirements relating to the assessments that they carry out and sufficient practice in those assessments and
- the ability to draw up the certificates, records and reports which constitute the formal record of the assessments conducted.
f) The independence of the staff responsible for the assessments shall be guaranteed. No official must be remunerated on the basis of the number of assessments performed or of the results of those assessments.
g) The body shall procure civil liability insurance unless that liability is covered by the State under national law or unless the assessments are carried out directly by that Contracting State.
h) The staff of the body shall be bound by professional secrecy with regard to everything they learn in the performance of their duties (with the exception of the competent administrative authorities in the State where they perform those activities) in pursuance of these Uniform Rules or any legal requirement and/or regulations of the Contracting State, including, where appropriate, the law of the European Community.
§ 4 The requirements of § 3 shall apply mutatis mutandis to the authorities carrying out technical admission.
§ 5 A Contracting State shall ensure, by notification or where appropriate by the means provided for in the law of the European Community or in the law of the States which apply Community legislation as a result of international agreements with the European Community, that the Secretary General is informed of the bodies responsible for carrying out the assessments, verifications and approvals, indicating each body’s area of responsibility. The Secretary General shall publish a list of bodies, their identification numbers and areas of responsibility, and shall keep the list updated.
§ 6 A Contracting State shall ensure the consistent supervision of the bodies indicated in § 2 and shall withdraw the competence from a body which no longer meets the criteria referred to in § 3, in which case it shall immediately inform the Secretary General thereof.
§ 7 Should a Contracting State consider that an assessing or approving authority of another Contracting State, or a body having competence transferred from it, does not meet the criteria of § 3, the matter shall be transferred to the Committee of Technical Experts which, within four months, shall inform the Contracting State in question of any changes that are necessary for the body to retain the status conferred upon it. In relation to this, the Committee of Technical Experts may decide to instruct the Contracting State to suspend or withdraw approvals made on the basis of work done by the body or by the authority in question.
§ 1 Technical certificates issued by the competent authority of a Contracting State in accordance with these Uniform Rules, shall be valid in all the other Contracting States. However the circulation and use on the territories of those other States shall be subject to the conditions specified in this Article.
§ 2 An admission to operation allows the rail transport undertakings to operate a vehicle only on infrastructures compatible with the vehicle according to its specifications and other conditions of the admission; it is the responsibility of the rail transport undertaking to ensure this.
§ 3 Without prejudice to Article 3a an admission to operation issued for a vehicle which is in conformity with all applicable UTP shall permit the vehicle free circulation on the territories of other Contracting States provided that
a) all essential requirements are covered in these UTP and
b) the vehicle is not subject to
- a specific case or
- open points that are related to technical compatibility with the infrastructure or
- a derogation.
The conditions for the free circulation may also be specified in the relevant UTP.
§ 4 a) Where in a Contracting State an admission to operation has been issued for a vehicle which is
- subject to a specific case, an open point which is related to the technical compatibility with the infrastructure or a derogation, or
- not in conformity with the UTP on rolling stock and all other relevant provisions, or
b) where not all essential requirements are covered in the UTP,
the competent authorities of the other States may ask the applicant for additional technical information such as risk analysis and/or vehicle tests before granting a complementary admission to operation.
For the part of the vehicle which is compliant with a UTP or part of it, the competent authorities have to accept verifications that have been made by other competent authorities according to the UTP. For the other part of the vehicle the competent authorities shall take full account of the equivalence table referred to in Article 13 of the APTU Uniform Rules.
a) identical provisions and provisions declared equivalent,
b) provisions not related to a specific case and
c) provisions not related to the technical compatibility with infrastructure,
shall not be assessed again.
§ 5 §§ 2 to 4 shall apply mutatis mutandis to an admission of a type of construction.
§ 1 Assessments, declarations and other documentation made according to these Uniform Rules shall be recognised at face value by the authorities and competent bodies, the rail transport undertakings, the keepers and the infrastructure managers in all the Contracting States.
§ 2 If a requirement or a provision has been declared as equivalent in accordance with Article 13 of the APTU Uniform Rules related assessments and tests which have already been carried out and documented shall not be repeated.
The Committee of Technical Experts may adopt rules for inclusion in an Annex to these Uniform Rules and requirements for inclusion in one or more UTP concerning the provisions for and the mutual recognition of technical inspections, maintenance record files for the admitted vehicles and operational tests such as train braking tests.
§ 1 In order to be admitted and remain admitted to circulation in international traffic, a railway vehicle must satisfy
a) the UTP and
b) where applicable, the provisions contained in RID.
§ 2 In the absence of UTP applicable to the subsystem, the technical admission shall be based on the applicable national technical requirements in force according to Article 12 of the APTU Uniform Rules in the Contracting State in which an application for technical admission is made.
§ 3 If the UTP do not cover all essential requirements or in the case of specific cases or open points, the technical admission shall be based on
a) the provisions contained in the UTP,
b) where applicable, the provisions contained in RID and
c) applicable national technical requirements in force according to Article 12 of the APTU Uniform Rules.
The Committee of Technical Experts shall adopt guidelines or mandatory provisions for derogations from the provisions of Article 7 and for the assessment methods that may or shall be used.
§ 1 To ensure that a railway vehicle admitted to international traffic in accordance with these Uniform Rules will run safely on and be compatible with the railway infrastructure to be used this railway infrastructure must satisfy
a) the provisions contained in the UTP and
§ 2 Admission of infrastructure and supervision of its maintenance remain subject to the provisions in force in the Contracting State in which the infrastructure is located.
§ 3 Article 7 and 7a shall apply mutatis mutandis to infrastructure.
§ 1 The rail transport undertakings which operate railway vehicles admitted to circulation in international traffic shall be required to comply with the prescriptions relating to the operation of a vehicle in international traffic, specified in the UTP.
§ 2 The undertakings and administrations which manage infrastructure in the Contracting States, including operational safety and control systems, intended and suitable for operation in international traffic, shall be required to comply with the technical prescriptions specified in the UTP and satisfy them permanently in respect of the construction and the management of that infrastructure.
§ 1 The grant of a technical certificate shall be related to the type of construction of a railway vehicle or to the railway vehicle itself.
§ 2 An application for a technical certificate may be made by:
a) the manufacturer,
b) a rail transport undertaking,
c) the keeper of the vehicle,
d) the owner of the vehicle,
e) the infrastructure manager.

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