1. 1 EBA - Recognition procedure for AsBo´s according to CSM 402/2013 ERA – workshop CSM, 13-04 April 2016 Michael Schmitz, Eisenbahn-Bundesamt,

2. 2 Michael Schmitz, Eisenbahn-Bundesamt Agenda 1.) Application of CSM commission implementing regulation, overview 2.) AsBo recognition procedure 3.) Requirements for AsBo´s 5.) Important provisions in the EBA AsBo guide 6.) Supervision, Exchange of experience 7.) Lessions learned during the first procedures 4.) On site audit

3. 3 Michael Schmitz, Eisenbahn-Bundesamt Basis: CSM-regulation 402/2013/EU 1.) Application of CSM, overview, task of the AsBo.

4. 4 Michael Schmitz, Eisenbahn-Bundesamt 1) Aufgaben der Stellen NoBo DeBo AsBo TSI NNTR CSM-RA Significant technical operational organisatorial Change (RU, IM, ECM) New, upgraded, renewed infrastructure, vehicles Certificate Applicant declaration Report declaration (Art. 16 CSM) EBA (APIS) EBA (Safety Certificate, Authorisation, ECM – Certificate)) Proposer

5. 5 Michael Schmitz, Eisenbahn-Bundesamt Safety assessment report In order to avoid any unnecessary checks of the NSA the NSA must rely on the work performed by the involved AsBo but also the NoBo and DeBo Bodies need to have the necessary competence

6. 6 Michael Schmitz, Eisenbahn-Bundesamt EBA is aware of the high importance of the safety assessment report. Evidence that all risks are managed also for the NSAs Completed by the declaration Safety assessment report

7. 7 Michael Schmitz, Eisenbahn-Bundesamt Agenda 1.) Application of CSM commission implementing regulation, overview 2.) AsBo recognition procedure 3.) Requirements for AsBo´s 5.) Important provisions in the EBA AsBo guide 6.) Supervision, Exchange of experience 7.) Lessions learned during the first procedures 4.) On site audit

8. 8 Michael Schmitz, Eisenbahn-Bundesamt Stand 28.07.2015 2.) Recognition procedure AsBo Recognition precedure has been presented last year to ERA with positive feedback!

9. 9 Michael Schmitz, Eisenbahn-Bundesamt Agenda 1.) Application of CSM commission implementing regulation, overview 2.) AsBo recognition procedure 3.) Requirements for AsBo´s 5.) Important provisions in the EBA AsBo guide 6.) Supervision, Exchange of experience 7.) Lessions learned during the first procedures 4.) On site audit

10. 10 Michael Schmitz, Eisenbahn-Bundesamt 3.) Requirements for AsBo´s – 3 columns IMPARTIALITY & INDEPENDENCE COMPETENCE TECHNICAL & METHODIC PROCEDURES Acceptance of the AsBo – mutual recognition EN 17020 chapter 4.1 EN 17020 chapter 6 6.1 Personnel 6.3 Subcontracting EN 17020 chapter 7 7.1 Inspection procedures 7.3 Records 7.4 Inspection reports Basis: CSM-Regulation, Annex II & EN 17020 (inspection bodies)

11. 11 Michael Schmitz, Eisenbahn-Bundesamt  Strict distinction of roles (proposer AsBo)  No manipulation of the assessment(-results) internal / external 3.a) IMPARTIALITY & INDEPENDENCE

12. 12 Michael Schmitz, Eisenbahn-Bundesamt 3.) Requirements for AsBo´s – 3 columns IMPARTIALITY & INDEPENDENCE COMPETENCE TECHNICAL & METHODIC PROCEDURES Acceptance of the AsBo – mutual recognition EN 17020 chapter 4.1 EN 17020 chapter 6 6.1 Personnel 6.3 Subcontracting EN 17020 chapter 7 7.1 Inspection procedures 7.3 Records 7.4 Inspection reports Basis: CSM-Regulation, Annex II & EN 17020 (inspection bodies)

13. 13 Michael Schmitz, Eisenbahn-Bundesamt 3. b) Competence requirements for AsBo´s TECHNICAL COMPETENCE  Structured in:  Fields of activity (e.g. RST, ENE, INF)  Substructure (of a field of activity) (e.g. RST->brake, ENE->pantograph)  Knowledge about rules (e.g. EBO, TEIV, CSM, TSI, EN, UIC)  Application of rules  EBA assessor recognition is accepted, if:  Assessor recognition is still valid at time of decision  Scope matches  There are no doubts about the competence METHODIC COMPETENCE  knowledge & professional experience relating to relevant assessment methods (permissibility, suitabiltiy, manageabiltiy, informational value, if so. limitations) skills to assess the following steps of the procedure  System definition  Hazard identification and hazard classification  Scope and limitations with the application of rules  Similar reference system (in-service-experience, suitabiltiy, reliabiltiy analysis)  Quantitative and qualitative procedures to risk estimation (e.g. EN 50126, IEC 61508)  Procedure to assess the compliance of the safety requirements BASIC COMPETENCE  University degree* (bachelor, master, equivalent degrees) correspondent to the desired scope  Sufficient professional experience *or comparable level due to professional experience See handbook (D02), Annex 2 – Guide competence requirements

14. 14 Michael Schmitz, Eisenbahn-Bundesamt Templates for personal competence F09c1-6 (competence for risk management & technical competence) RST INF ENE CCS OPE ECM has to state competent staff for each point in the substructure Can limit its scope if competent staff for certain fields of activity is not available (e.g. no CCS expert) Can use subcontracting only if the AsBo is able to check the work performed by the subcontractors AsBo The entire railway system is being split up in 6 fields of activity (scope): RST INF ENE CCS OPE ECM

15. 15 Michael Schmitz, Eisenbahn-Bundesamt Template for personal competence F09cX – example RST competence in risk management technical competence substructure of RST-subsystem (* not relevant for freight wagons) Please state personal with the respective risk management and technical competence Brake Doors CCS Markings a.s.o. At least one name for each point of the substructure or limitation of scope Relevant professional experience in years / projects Existing proves of competence (e.g. EBA recognized assessor) AsBo has to determine personell for each point of the substucture (e.g. brake) including qualification, professional experience (-> CV of experts) Qualification e.g. Master degree in mechanical engineering

16. 16 Michael Schmitz, Eisenbahn-Bundesamt Stand 30.06.2015 Acceptance of existing proves of competence avoid double checking Accreditation EN17020 ECM certification EBA recognized assessors SMS Field of activity (scope) 1.Rolling stock 2.Infrastructure 3.Energy 4.CCS 5.Operations 6.ECM

17. 17 Michael Schmitz, Eisenbahn-Bundesamt Acceptance of accreditation Stand 09.07.2015 If the body is accredited to EN 17020 proofs are only required for the sections Indicated with an „X“. Personal Facilities an equipment Subcontracting Inspection methods and procedures Inspection records Inspection reports and inspection certificates

18. 18 Michael Schmitz, Eisenbahn-Bundesamt 3.) Requirements for AsBo´s – 3 columns IMPARTIALITY & INDEPENDENCE COMPETENCE TECHNICAL & METHODIC PROCEDURES Acceptance of the AsBo – mutual recognition EN 17020 chapter 4.1 EN 17020 chapter 6 6.1 Personnel 6.3 Subcontracting EN 17020 chapter 7 7.1 Inspection procedures 7.3 Records 7.4 Inspection reports Basis: CSM-Regulation, Annex II & EN 17020 (inspection bodies)

19. 19 Michael Schmitz, Eisenbahn-Bundesamt  Instruction for AsBo staff how to perform an independent assessment acc. to CSM-RA  Instruction for the planning of the independent assessment  Implementation of a control system for work orders:  Are enough resources available ?  Regular internal review and corrective actions  Records and safety assessment report 3.c) PROCEDURES

20. 20 Michael Schmitz, Eisenbahn-Bundesamt Agenda 1.) Application of CSM commission implementing regulation, overview 2.) AsBo recognition procedure 3.) Requirements for AsBo´s 5.) Important provisions in the EBA AsBo guide 6.) Supervision, Exchange of experience 7.) Lessions learned during the first procedures 4.) On site audit

21. 21 Michael Schmitz, Eisenbahn-Bundesamt 4.) On site audit – audit questionaire Assessment questionaire consists of 3 main parts: Quality management Competence about risk management Technical competence Template for on site audit questionaire ID Reference to relevant doucuments of the applicant Finding Proof of the UBS Issue resolved? Development of the audit questionaire: 1.Recognition body checks AsBo documentation against the requirements and keeps records of the findings (incl. document reference and clear explanation) 2.Recognition body submits questionaire to AsBo so that the body can clarify / justify the findings 3.Recognition body checks if the findings are the resolved 4.Not resolved findings are to be discussed during the on site audit

22. 22 Michael Schmitz, Eisenbahn-Bundesamt Agenda 1.) Application of CSM commission implementing regulation, overview 2.) AsBo recognition procedure 3.) Requirements for AsBo´s 5.) Important provisions in the EBA AsBo guide 6.) Supervision, Exchange of experience 7.) Lessions learned during the first procedures 4.) On site audit

23. 23 Michael Schmitz, Eisenbahn-Bundesamt 5.) Further important points of EBA recognition  Principle: Avoid double checking  AsBo can define it´s scope freely but reasonable scope  Also a single person can be recognized as AsBo (with respectivly limited scope)  Obligation to participate and contribute to a exchange of views organiszed by EBA (or ERA!)  EBA needs to be informed about essential changes within the AsBo – as there are:  Change of legal status  Change regarding site(s)  Change of staff (e.g. top management, personal changes with lead to a limitation of competence (technical / methodic)  Changes of procudures  Major organisational changes

24. 24 Michael Schmitz, Eisenbahn-Bundesamt Agenda 1.) Application of CSM commission implementing regulation, overview 2.) AsBo recognition procedure 3.) Requirements for AsBo´s 5.) Important provisions in the EBA AsBo guide 6.) Supervision, Exchange of experience 7.) Lessions learned during the first procedures 4.) On site audit

25. 25 Michael Schmitz, Eisenbahn-Bundesamt AsBo´s will be supervised 2-3 times within the recognition period of 5 years Spotchecking real CSM-projects Return of experience Ensure mutual recognition Feedback from the stakeholders We need to implement common procedures and requirements to recognize NoBos, DeBos and AsBos to ensure acceptance of their certificates! 6.) Supervision / Exchange of experience

26. 26 Michael Schmitz, Eisenbahn-Bundesamt 7.) Lessions learned during the first procedures  Submitted proofs of personal competence (CV) as well as list of reference projects too unspecific  Competence of the person cannot be evaluated  E.g. course of studies of the expert not stated, contribution / task of the expert for the stated reference projects unclear  Subcontractors  Notes in chapter 6.3 of EN 17020 to be considered in which cases subcontractors can be used  AsBo is responsible for the work of the subcontractors and must be able to check the work of subcontractor  Scope  For every desired substructure (e.g. brake) of the respective field of activity (e.g. rolling stock) at least one experts of the body is to be notified – otherwise the scope is to be limitated  Structure / quality of application documents of the AsBo  Clear references of the proofs (indication of chapter/page)  Use templates of the recognition body

27. 27 Michael Schmitz, Eisenbahn-Bundesamt 7.) Lessions learned during the first procedures  Procedures do no reflect the specific CSM requirement  E.g. generic procedures acc. to EN 17020 are not readily acceptable -> How an independent assessment acc. to CSM-RA is to be performed?  CSM Art. 6(1): „An assessment body shall carry out an independent assessment of the suitability of both the application of the risk management process as set out in Annex I and of its results.“  Safety assessment report  AsBo has to provide a specific template for the safety assessment report (a general report template for inspections acc. to EN 17020 is not sufficient) Essential proofs for Chapter 7 of EN 17020: An AsBo acc. to CSM is a particular type of inspection body!

28. 28 Michael Schmitz, Eisenbahn-Bundesamt Information / templates www.eba.bund.de/ubs Many thanks for your attention!