Assessment Body in the Railway Sector; Application for Recognition as Independent Assessment Body

If your company is active in the railroad sector and wants to work as a so-called Independent Assessment Body, it needs a corresponding recognition by the Federal Railway Authority (EBA).

Description

You want to work as an assessment body in the railroad sector? Then you must have yourself recognized by the Federal Railway Authority (EBA) as an Independent Assessment Body (UBS). In your application, you can also limit yourself to a selection of the fields of activity and expertise listed below.

Independent Assessment Body (UBS)

Independent Assessment Bodies assess the processes and results of risk management procedures in the railroad sector. Risk management procedures are carried out in accordance with the European safety method for risk assessment. UBS prepare safety assessment reports.

UBS reviews the documents and then performs an independent assessment of suitability. The evaluation focuses on both the application and the results of the risk management procedure in the following areas:

  • Rail vehicles,
    • for example, running gear, wheelset, braking equipment, vehicle structure/strength.
  • Infrastructure,
    • for example structural engineering, structural engineering and level crossings.
  • Energy,
    • for example, traction current switchgear, track rectifier plants, converter plants, catenary systems.
  • Train control, train protection, signaling,
    • for example, level crossing technology, radio systems, interlocking technology.
  • Operation
    • For example, rules for conducting operations and legal obligations, operating the infrastructure, organizational requirements.
  • Maintenance of rolling stock,
    • for example legal standards as well as maintenance regulations, environmental protection, joining technology and NDT.

Recognition as UBS

UBS can be individuals as well as organizations.

For example, the following can apply for recognition as a UBS:

  • Railroad transport companies,
  • railroad infrastructure companies,
  • manufacturers.

The recognition as a UBS is valid for a maximum of 5 years. You can extend it for another 5 years. Their recognition as UBS is reported by EBA to the European Railway Agency (ERA) and published in the database of the European Union Agency for Railway Interoperability and Safety (ERADIS).

Recognized UBS are regularly monitored by the EBA.

Prerequisites

To be recognized as a UBS, you must

  • have your registered office in the Federal Republic of Germany.
  • have the number of employees with expertise and sufficient relevant experience as specified in European law.
  • have the relevant descriptions of procedures according to which the assessment is carried out, in order to ensure transparency and the possibility of applying these procedures.
  • Have adequate policies and appropriate procedures that distinguish between the tasks you perform as an Independent Assessment Body and other activities.
  • have appropriate procedures for carrying out your activities; the procedures take into account
    • the size of your organization
    • the industry in which you operate
    • your company structure, and
    • the degree of complexity of the product technology in question
  • Have the necessary resources to adequately perform the technical and administrative tasks associated with the evaluation. In addition, you must have access to any equipment or facilities needed.
  • Have liability insurance for personal injury, property damage, and financial loss, with a minimum insured amount of EUR 2.5 million for each insured event and at least 2 times the coverage for the entire year.
  • be impartial, which means
    • You must not have any connection with the organization or the manufacturer of the product you are evaluating,
    • if you and the organization or the manufacturer belong to the same trade or professional association:
      • there must be no conflict of interest,
  • the requirements for independence according to DIN EN ISO/IEC 17020 Chap. 4.1 and Annex A apply to UBS.

Procedure

You can apply for UBS recognition online. Before submitting your application, you can arrange a free informational interview with the EBA if needed.

If you wish to apply for recognition as a UBS, the following steps are required:

  • Download the application forms F09c, F09cx and F10b from the Federal Railway Authority's website and fill them out completely.
  • Access the eService portal of the EBA.
  • Log in with your user account.
    • If you do not yet have a user account for the e-Service portal, you must register once.
  • Select the procedure and the type of job.
  • The application wizard will guide you step by step through the required information.
  • Upload the required documents as a file and submit the application,
    • Supported file formats: PDF, DOCX, DOC, XLSX, XLS, maximum 30 megabytes per file.
  • You will receive an automated confirmation of receipt by EMail when the application has been received.
  • If necessary, you will receive a follow-up request for documents still to be submitted by e-mail.
  • The EBA confirms the completeness and verifiability of your application for recognition and puts together an assessment team.
  • After completion of the content review, you will receive a list of review questions to answer.
  • Submit the answered assessment questionnaire as a subsequent submission via the eService.
  • The EBA will check the content of the documents you have submitted.
  • If the results of the review are not satisfactory, the EBA will conduct an on-site review with you.
  • After completion of the assessment, the assessment team submits an assessment report to the recognition committee and makes a proposal regarding recognition.
  • The recognition committee at the EBA decides on the recognition. If the recognition is granted, the EBA will send you the draft of the recognition certificate including the annex(es) with the request to submit an opinion on it within 2 weeks.
  • If you do not submit an opinion or if the certificate of recognition has been agreed between the EBA and you as a result of the opinion, the EBA will finalize the notice of recognition and the certificate and send you both by post together with the assessment report.
  • You will also receive a notification of costs, which will also be sent to you by mail. Pay the fees.

Deadlines

The recognition is valid for a maximum of 5 years and can be extended for another 5 years.

Processing time

6 to 24 months

Required documents

  • Required Documents

    • eine Beschreibung
      • Ihrer Tätigkeiten im Rahmen der Bewertung,
      • Ihrer Verfahren im Rahmen der Bewertungsverfahren, und
      • der strukturellen Bereiche (Infrastruktur, Energieversorgung, Zugsteuerung, Zugsicherung, Signalgebung, Eisenbahnfahrzeuge, Betrieb, Instandhaltung von Eisenbahnfahrzeugen), die Sie abdecken.
    • ausgefülltes Formular „F10b“ Checkliste nach DIN EN ISO/IEC 17020.
    • Je nach Tätigkeitsfeld, für das Sie sich anerkennen lassen wollen, zusätzlich zum Antragsformular F09c:
      • Formular "F09c1" – Fachkompetenz Eisenbahnfahrzeuge,
      • Formular "F09c2" – Fachkompetenz Infrastruktur,
      • Formular "F09c3" – Fachkompetenz Energie,
      • Formular "F09c4" – Fachkompetenz ZZS,
      • Formular "F09c5" – Fachkompetenz Betrieb,
      • Formular "F09c6" – Instandhaltung Fahrzeuge (ECM).
    • gegebenenfalls aktuelle Urkunde der Akkreditierung nach DIN EN ISO/IEC 17020.
    • gegebenenfalls aktuelle Urkunde der Zertifizierung nach ISO 9001.
    • gegebenenfalls Bestätigung der Bestellung zum Eisenbahnbetriebsleiter beziehungsweise zur Eisenbahnbetriebsleiterin (EBL) nach EBV
      • Außerdem: Unterlagen zu relevanten Fortbildungen in den zurückliegenden Jahren (mindestens 3 Jahre).
    • gegebenenfalls aktuelle Urkunde der ECMZertifizierung nach VO (EU) 445/2011 oder VO (EU) 2019/779.
    • gegebenenfalls Nachweise als EBAanerkannte sachverständige Person.
    • gegebenenfalls aktuelle Zertifizierungsurkunde der CSMSMS nach VO (EU) 2018/7622.
    • gegebenenfalls Nachweis der Sicherheitsgenehmigung (SiGe).
    • sonstige Kompetenznachweise. 

Forms

  • Form, Bavaria-wide: Antragsformulare für Anerkennung von Unabhängigen Bewertungsstellen
    Please note

    This form has to be signed and sent to the responsible authority. You can sign the form manually and send it by email/fax or sign the form electronically with your qualified electronic signature an send it by (secure) email. If the responsible authority has set up a De-Mail account, you can also send the form by De-Mail using an sender-confirmed message.

Online procedures

  • e-Service-Portal des Eisenbahn-Bundesamts

    After successful registration, the e-Service Portal of the Federal Railway Authority offers you the possibility to submit applications online. If a particular application is not yet displayed to you, you can have it activated if necessary.

Fees

  • The fees you have to pay are calculated according to the time spent processing your application:

    • Hourly rate: 120,00 EUR
    • for each quarter of an hour or part thereof: 30,00 EUR

    Method of payment: SEPA bank transfer

Legal bases

Remedy

  • Appeal. Detailed information on how to file an appeal can be found in the notice.
  • Administrative court action.

Links to more information

Related issues

Status:30.07.2023

Responsible for editing:Bundesministerium für Digitales und Verkehr

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