1. Peter Sorger Section Technology
OTIF development of technical regulations for international railway traffic
Peter Sorger
Section Technology
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

2. OTIF, COTIF and its application The appendices APTU and ATMF UTPs
Content
OTIF, COTIF and its application
The appendices APTU and ATMF
UTPs
The admission of vehicles to international traffic
The use of vehicles in international traffic
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

3. OTIF
Organisation intergouvernementale pour les transports internationaux ferroviaires
Zwischenstaatliche Organisation für den Internationalen Eisenbahnverkehr
Intergovernmental Organisation for International Carriage by Rail
Межправительственная организация по международным железнодорожным перевозкам
国际铁路联运组织
المنظمة الحكومية الدولية للنقل الدولي السككي
Inter-Governmental organisation
founded 1 May 1985
predecessor of OTIF was OCTI (Office Central des transports internationaux par chemins de fer) since 1893
48 Member States + 1 associate member
270,000 km of railway lines
Official languages: English, French and German
Headquarters: Berne, Switzerland
Staff: +/- 20 fte
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

4. The Organisation – The staff
Operational departments:
Legal department : 3 experts responsible for private law questions
Technical department : 3 experts responsible for implementing uniform prescriptions compatible with EU law.
RID department : 2 experts coordinating regulations on the international carriage of dangerous goods
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

5. CTE SWGTECH Committee of Technical Experts - yearly cycles of the work
Preparation of documents
in 3 languages
Notification
of adopted documents
4 m.
4 m.
ad-hoc WG
2 m.
2 m.
ad-hoc WG
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

6. International Convention concerning the Carriage of Goods by Rail signed in 1890
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

7. The legal interfaces of OTIF
OTIF: Regulations on international rail transport
Technical rules for interoperability/dangerous goods
Regulation of transport contracts
No prerequisite for regulating the rail market.
European Union:
Technical rules for interoperability and safety
Internal regulation of transport contracts
Implementation of liberal regulations for the rail market.
OSJD:
Technical rules for interoperability and safety
Internal regulation of conditions of transport
Administrative regulation of the rail market.
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

8. Convention concerning
COTIF 1999
COTIF
Convention concerning
International Carriage by Rail
Appendix А
Appendix B
Appendix C
Appendix D
Appendix E
Appendix F
Appendix G
CIV
CIM
RID
CUV
CUI
APTU
ATMF
Uniform Rules
concerning
the Contract
of International
Carriage
of Passengers
by Rail
Uniform Rules
concerning
the Contract
of International
Carriage
of Goods
by Rail
Regulation concerning
the International Carriage
of Dangerous Goods
By Rail
Uniform Rules
concerning
Contracts of Use
of Vehicles
in International
Rail Traffic
Uniform Rules
concerning
the Contracts
of Use
of Infrastructure
in International
Rail Traffic
Uniform Rules
concerning
the Validation
of Technical
Standards and
Adoption of
Uniform Technical
Prescriptions
applicable to
Railway Material
intended
to be used
in International
Traffic
Uniform Rules
concerning
the Technical
Admission of
Railway Material
used
in International
Traffic
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

9. Convention concerning OTIF Technical Admission
COTIF 1999
Note: RIV and RIC have no origin in COTIF
COTIF
Convention concerning
International Carriage by Rail
OTIF Technical Admission
Technical
Prescriptions
Appendix F
APTU
Uniform Rules
concerning
the Validation
of Technical
Standards and
Adoption of
Uniform Technical
applicable to
Railway Material
intended
to be used
in International
Traffic
Admission
Procedure
Appendix G
ATMF
Uniform Rules
concerning
the Technical
Admission of
Railway Material
used
in International
Traffic
Appendix А
Appendix B
Appendix C
Appendix D
Appendix E
CIV
CIM
RID
CUV
CUI
Uniform Rules
concerning
the Contract
of International
Carriage
of Passengers
by Rail
Uniform Rules
concerning
the Contract
of International
Carriage
of Goods
by Rail
Regulation concerning
the International Carriage
of Dangerous Goods
By Rail
Uniform Rules
concerning
Contracts of Use
of Vehicles
in International
Rail Traffic
Uniform Rules
concerning
the Contracts
of Use
of Infrastructure
in International
Rail Traffic
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

10. Geographical scope of COTIF and its appendices
Situation on 3rd February 2014
Tous les appendices de la COTIF (33)
Alle Anhänge des COTIF (33)
All COTIF appendices (33)
Sans ATMF (1)
Ohne ATMF (1)
Without ATMF (1)
Sans CUI/ATMF (1)
Ohne CUI/ATMF (1)
Without CUI/ATMF (1)
Sans CUI/APTU/ATMF (5)
Ohne CUI/APTU/ATMF (5)
Without CUI/APTU/ATMF (5)
Sans CUV/CUI/APTU/ATMF (1)
Ohne CUV/CUI/APTU/ATMF (1)
Without CUV/CUI/APTU/ATMF (1)
Sans CIV/RID/CUV/CUI/APTU/ATMF (2)
Ohne CIV/RID/CUV/CUI/APTU/ATMF (2)
Without CIV/RID/CUV/CUI/APTU/ATMF (2)
COTIF 1999 pas encore ratifiée (3)
COTIF 1999 noch nicht ratifiziert (3)
COTIF 1999 not yet ratified (3)
Suspension de la qualité de membre (2)
Ruhen der Mitgliedschaft (2)
Membership suspended (2)
Membres associés (1)
Assoziierte Mitglieder (1)
Associate Members (1)
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

11. OTIF and EU Member States as at 01.01.2014
OTIF + EU (26)
EU (2)
OTIF membership
COTIF 1999 not yet ratified :
Italia, Ireland, Sweden
Membership suspended :
Iraq / Lebanon
Associate member state :
Jordan
Regional economic integration organisation (OTIF member) :
European Union (EU)
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

12. OTIF and OSJD Member States as at 01.01.2014
OSShD
OTIF & OSShD
OTIF & EU
OTIF & OSShD & EU KM KM
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

13. OTIF, COTIF and its application The appendices APTU and ATMF UTPs
Content
OTIF, COTIF and its application
The appendices APTU and ATMF
UTPs
The admission of vehicles to international traffic
The use of vehicles in international traffic
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

14. Comparing the objectives of EU and OTIF regulations
Improve efficiency and market share of rail.
Promote, improve and facilitate international traffic
Scope of application
Domestic and international traffic in the EU
International traffic between OTIF Member States
Market model
EU Member States are required to open their rail markets to competition
OTIF does not have requirements imposing a particular market model
Prerequisites
Interoperability by harmonisation of technical parameters, rules and safety requirements. Opening of supply market. Allowing competition.
As a minimum: exchangeable vehicles
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

15. Exchange of vehicles compared to interoperability
RU2 takes over the vehicles from RU1 at a border crossing station
Interoperability: uninterrupted movement of trains across borders
Country A
Country B
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

16. OTIF technical regulations compared to EU rail regulations
APTU /ATMF
UTPs
EN Standards, UIC leaflets, etc.
Interop.& Safety Directives
TSIs
EN Standards, UIC leaflets, etc.
Objectives
(different)
Functional and technical requirements
(equivalent)
Means of compliance
(identical)
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

17. Scope of APTU and ATMF Adoption of new requirements (UTP)
Technical prescriptions
ATMF
Admission and use of vehicles
Adoption of new requirements (UTP)
Responsibilities in approval process
Responsibilities in international operation
Validity of national requirements
Admission procedures
Responsibility for maintenance of vehicles
X-acceptance of national requirements
International recognition of admissions
Accidents, non-compliance and other problems
registers
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

18. OTIF, COTIF and its application The appendices APTU and ATMF UTPs
Content
OTIF, COTIF and its application
The appendices APTU and ATMF
UTPs
The admission of vehicles to international traffic
The use of vehicles in international traffic
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

19. Additional requirements in force based on EU requirements
Developed under APTU
Developed under ATMF
2008/57/EC
Annex III
UTP GEN-A
(Essential requirements)
ATMF Annex A : ECM
Regulation (EU)
445/2011
2008/57/EC
Annex II
UTP GEN –B
(subsystems)
ATMF Annex B Derogations
2008/57/EC
Art. 9
2008/57/EC
Annex VI, 2.4
UTP GEN-C
(Technical file)
2008/57/EC
Annex VIII
UTP GEN-E
(assessing entity)
Uniform certificates
Decision
2010/713/EU
UTP GEN-D
(Modules)
Regulation (EC)
No 402/2013
UTP GEN-G
(Risk assessment)
NVR specification
Decision
2011/107/EU
Regulation (EU)
No 321/2013
UTP Freight wagons
ECM register
Decision
2011/229/EU
UTP Noise
VKM register
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

20. Main developments ATMF revision Development under APTU
Development under ATMF
ATMF revision
2008/57/EC
Annex III
UTP GEN-A revised
(Essential requirements)
2008/57/EC
Annex VI, 2.4
UTP GEN-C revised
(Technical file)
ECM register
ERADIS
EU RISC opinion
UTP LOC&PAS
VKM register
EU RISC opinion expected
UTP PRM
2014
2014
Appendix P to the OPE TSI
UTP Marking
ERA recommendation issued
UTP Noise revised
2015
ERA technical documents
UTP Wagon updated
Decision 212/757/EU
UTP Operation
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

21. Exchange of vehicles Interoperability
development of OTIF under APTU/ATMF
Base level: Application of APTU and ATMF
Compliant separate assessment
Level 1: Freight wagons
UTPs GEN-A to GEN-G
UTP WAG, UTP NOI
RIV equivalence
Level 2: Passenger carriages
UTP PAS, SRT, PRM
Safety management provisions
RIC equivalence (?)
Level 3: Interoperability at Train level
UTP LOC
UTP OPE
UTP ENE
RINF
Register of types of vehicles
Signalling
Certification of RU/Driver
Level 4: Infrastructure
UTP INF
Infrastructure and operational harmonisation on corridors
2020
Contracting states choose the level of application.
2017
2015
2012
2009
OTIF to assist with legal and technical implementation where requested
Exchange of vehicles Interoperability
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

22. OTIF, COTIF and its application The appendices APTU and ATMF UTPs
Content
OTIF, COTIF and its application
The appendices APTU and ATMF
UTPs
The admission of vehicles to international traffic
The use of vehicles in international traffic
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

23. Vehicle approval based on UTPs
Contracting States
Enacts the UTP rules (through validation of OTIF regulation)
Manufacturer
Designs and builds his product in compliance with the UTP rules
Assessing entity (appointed or recognised by the Contracting State)
Assessed and validates that the rules have been applied correctly
Applicant (e.g. Manufacturer, RU, keeper)
Requests the technical certificate based on the assessment
Technical requirements
For the subsystem (rolling stock)
For the Elements of Construction (ICs)
Procedures for assessment
Modules as per UTP GEN-D
As required by the chapter 6
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

24. Equivalence principle ATMF, for fully UTP compliant vehicles
COTIF
Admission to operation on the basis of ATMF, APTU EU
Authorisation for placing in service on the basis of EU–Law
Art. 3a § 2
ATMF, APTU
2008/57/EC
Art. 6 § 3
Art. 3a § 1
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

25. OTIF, COTIF and its application The appendices APTU and ATMF UTPs
Content
OTIF, COTIF and its application
The appendices APTU and ATMF
UTPs
The admission of vehicles to international traffic
The use of vehicles in international traffic
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

26. Data exchange per ATMF OTIF CS in which the wagon is operated VKM
OTIF CS in which ECM and/or keeper is located
ECM and Keeper remain the same, independent from where the wagon is operated
Competent authority
Admission to operation
Maintenance data
Operational data
ECM
Maintenance file
Keeper
Technical file RU
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

27. Phases and activities regulated in COTIF
Structural UTPs
UTP GEN-D
UTP GEN-E
ATMF
ATMF & operational rules
ECM regulation
Design and production
Manufacturer
Verification
Assessing entity (NoBo)
Admission
Applicant
Competent authority
Operation
Keeper
Railway undertaking
Maintenance
ECM
Technical file
UTP certificate of verification
Certificate of operation
Railway infrastructure development in the programming period , Sibiu, 19 February 2014

28. Thank you for your attention
Bas Leermakers, Head of Section technology
Peter Sorger
Dragan Nesić
Gryphenhübeliweg 30, CH Bern
Railway infrastructure development in the programming period , Sibiu, 19 February 2014