ECM-compliant railway processes and documentation

ECM 1 has overall responsibility for the establishment and effectiveness of the maintenance management system and monitors ECM 2 to ECM 4.

ECM 2 creates and manages the maintenance specifications. The specifications are developed further on the basis of the design, performance and operating data. In addition, compliance with standards and legal requirements is their responsibility.

ECM 3 ensures that vehicles are submitted for maintenance on time and are put back into service after maintenance. ECM 3 managers must ensure that only suitable and ECM-certified workshops are commissioned.

ECM 4 is responsible for performing maintenance on rail vehicles. Workshops must ensure that the specifications of ECM 2 are met. For this purpose, the workshop must provide evidence of maintenance activities and show operational release documents.

Each railway vehicle must be assigned to an ECM. If a vehicle is registered in the NVR, the responsible ECM must also be entered.

Each ECM must ensure that the rolling stock it maintains is in a safe operating condition by implementing a maintenance system. This doesn't affects the responsibility of railway undertakings and infrastructure managers for the safe operation of trains.

No, this is not necessary. Railways or keepers have the option of either performing the ECM tasks themselves or transferring the responsibility to a third party ECM. The regulations for the registration of vehicles must be complied with.

When the keeper delegates the ECM tasks to a third party, he remains responsible for ensuring that the vehicles and materials as well as the services comply with the specified requirements and conditions of use so that they can be safely used in operation by the railway undertaking and/or infrastructure manager. Keepers are obliged to take the following actions:

• select a qualified ECM and contract with them,
• ensure that the correct data is reported for the registration of vehicles in the NVR,
• ensure that vehicle maintenance can be performed at the locations and times specified by the ECM,
• inform the ECM of any technical problems and any corrective measures that may be required and arrange for the appropriate action to be taken,
• take concrete steps when the registered ECM's maintenance entity certificate has been suspended or withdrawn and inform the RUs/EIUs involved.

A "freight wagon" is, according to ECM Regulation (EU) 445/2011, a non-self-propelled vehicle intended for the transport of freight or other materials used for activities such as construction or infrastructure maintenance activities.

The European vehicle number is decisive for the classification of the vehicles.

The group of freight wagons includes vehicles whose 12-digit number (known as the standard number) starts with the digits 00 to 09, 10 to 19, 20 to 29, 30 to 39, 40 to 49 or 80 to 89, this number indicating the type of vehicle and its suitability for interoperability.

In principle, RUs and EIUs are expected to use vehicles only for their intended use, i.e. to use them for their intended purpose, taking into account their design characteristics, e.g. for the carriage of passengers or goods or for shunting operations. In this case, the RU or EIU is also registered in the National Vehicle Register as the responsible ECM for the vehicles.

For train movements, the RU or EIU is always the responsible undertaking indicated in the header of the timetable. For shunting, the RU or EIU is also responsible and the driver and shunting staff are assigned to the safety management system of the responsible RU or EIU.

Exceptions apply to vehicles that are only used to clear the route after an accident or for use in the context of technical assistance pursuant to § 4 (3) sentence 1 number 2 AEG.

In contrast to Regulation (EU) No 445/2011, which only applies to freight wagons, the Implementing Regulation (EU) 2019/779 applies to all types of railway vehicles. It establishes a certification system for all ECM and maintenance functions. It also establishes specific requirements for safety critical components (SSC).

According to Article 3(1), all ECMs responsible for vehicles covered by Directive (EU) 2016/798 on railway safety must comply with the requirements of Annex II. This does not take into account possible exemptions from the ECM certification system.

In Germany, this concerns all ECMs responsible for railway vehicles running on the superordinate network according to § 2b AEG.

Yes, there are exceptions for ECM certification in the following cases:

• For ECMs responsible for railway vehicles used exclusively for historical or tourist purposes.
• For ECMs responsible for rolling stock operated on railway infrastructure according to § 2b(1)(1) to (4) and running exclusively to the interchange station of the superordinate network.

In such cases, the entities in charge of the maintenance of these railway vehicles shall establish appropriate arrangements to meet public safety requirements.

Any ECM registered in the scope of the Safety Directive and entered in the National Vehicle Register, as well as any body or organisation performing one or more of the maintenance functions referred to in points (b), (c) and (d) of Article 14(3) of Directive (EU) 2016/798, may apply for ECM certification.

ECM certification is required for all ECMs that are either responsible for the maintenance of freight wagons or that are not RUs or EIUs and only maintain their own vehicles. "Maintaining" in the sense of Regulation (EU) 2019/779 means that the company operates as an ECM and is registered as such in the National Vehicle Register.

Maintenance units responsible for the maintenance of historic or tourist railway vehicles or for the operation of railway infrastructures (according to § 2b(1)(1) to (4)) and which only run as far as the transition station of the superordinate network do not need a maintenance unit certificate.

No, according to Regulation (EU) 2019/779, maintenance workshops are subcontractors of the certified ECM and provide subcontracted maintenance functions. It is the responsibility of the ECM to ensure that the external entities are competent and able to perform the maintenance tasks contracted by the ECM. There are various methods by which the ECM can assess the competence of external bodies. However, external bodies may apply for voluntary certification to provide subcontracted maintenance functions or parts thereof.

No, as of 16.06.2020, Regulation (EU) No 445/2011 is no longer valid. Certificates issued until then will be treated in the same way as the "new" Implementing Regulation (EU) 2019/779 for their original period of validity. This means that holders of such certificates do not have to apply for a new certificate under the new Regulation. This also applies to corresponding certificates for maintenance functions.

ECMs, which are registered and required to establish a maintenance system in accordance with the requirements of the first to third sentences of Article 14(3) of Directive (EU) 2016/798.

Generally, the reporting period is 12 months. This begins two months before the last inspection and ends two months before the next scheduled inspection. The report must be submitted to the certification unit at the latest one month before the next scheduled inspection. In the case of initial certification or recertification, the reporting period is determined analogously.

If monitoring is performed as part of the procedure for granting a safety certificate or authorisation (for RUs/EIUs that are not subject to the certification obligation or are not voluntarily certified), the reporting period is based on the SiBe audits.

Safety critical components are components for which the occurrence of a single failure immediately creates a real risk of a major accident as defined in Article 3(12) of Directive (EU) 2016/798.

A "serious accident" refers to a train collision or derailment in which at least one person is killed or at least five persons are seriously injured or which causes significant damage to rolling stock, infrastructure or the environment. It also refers to other accidents with similar effects which have obvious implications for railway safety regulation or safety management. Significant damage" is estimated by the investigating body as a direct cost of at least EUR 2 million.

If the ECM is an RU / EIU, the Maintenance Entity Certificate offers several benefits:

1. The maintenance requirements of Regulation (EU) 2018/798 on common safety methods are fulfilled, resulting in a reduction of effort in the safety certification process. This is about managing the relevant risks related to maintenance and directing the information and communication relevant to the management of fixed assets.
2. The ECM is authorised to operate for freight wagons.
3. Vehicles for which the ECM has been certified can also be operated by third parties.
4. The certified ECM can be registered as an ECM for the vehicles of a third party.

A railway vehicle used exclusively for historical or tourist purposes falls under § 18 of the Railway Construction and Operation Regulations. This means that the vehicle is used to demonstrate or operate historical or special forms of traction technology or rolling stock and is used exclusively for tourist, recreational or educational purposes.

In contrast to commercially operating railways, the purposes of operation of museum and tourist railways are purposes in themselves. The operation of the railway vehicle itself constitutes the actual purpose and not the transport of passengers or goods from A to B. Consequently, the operation of railway vehicles used only for historical or tourist purposes is not intended to make a profit by transporting passengers or goods. Instead, the aim, if any, is only to cover the costs of operating the railway itself. Empty, transfer and workshop journeys are also permitted to fulfil these purposes.