responsibility finder
Schleswig-Holstein

Apply for recognition as an Independent Valuation Body (UBS)

Source: Zuständigkeitsfinder Schleswig-Holstein (Linie6PLus)

Service Description

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

Do you want to work as a valuation body in the rail sector? Then you must be 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 areas of activity and expertise listed below.

Independent assessment body (UBS)

Independent assessment bodies assess the processes and results of risk management procedures in the rail 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 carries out an independent assessment of suitability. The assessment focuses on both the application and the results of the risk management process in the following areas:

  • Rail vehicles,
    • for example, running gear, wheelset, braking equipment, vehicle structure/strength.
  • Infrastructure,
    • for example building construction, structural engineering and level crossings.
  • Energy,
    • for example, traction current switchgear, track straightener plants, converter plants, catenary systems.
  • Train control, train protection, signaling,
    • for example level crossing technology, radio systems, signal box technology.
  • Operation
    • e.g. rules for carrying out operations as well as legal obligations, operating the infrastructure, organizational requirements.
  • Maintenance of railroad vehicles,
    • for example legal standards and maintenance regulations, environmental protection, joining technology and NDT.

Recognition as a UBS

Both individuals and organizations can be UBSs.

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

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

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

Recognized UBSs are regularly monitored by the EBA.


Process flow

You can apply for recognition as a UBS online. If required, you can arrange a free information meeting with the EBA before submitting your application.

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

  • Download the application forms F09c, F09cx and F10b from the website of the Federal Railway Authority and complete them in full.
  • Call up the EBA's eService portal.
  • 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 e-mail when the application has been received.
  • If necessary, you will receive an additional request for documents still to be submitted by e-mail.
  • The EBA will confirm the completeness and verifiability of your application for recognition and put together an assessment team.
  • Once the content has been checked, you will receive a list of assessment 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 result of the review is insufficient, the EBA will carry out an on-site assessment with you.
  • Once the assessment has been completed, the assessment team submits an assessment report to the Recognition Committee and makes a proposal regarding recognition.
  • The recognition body at the EBA decides on recognition. If recognition is granted, the EBA will send you the draft certificate of recognition including the annex(es) with the request to submit a statement on this within 2 weeks.
  • If you do not submit a statement or if the certificate of recognition has been agreed between the EBA and you as a result of the statement, the EBA will finalize the notice of recognition and the certificate and send them to you by post together with the assessment report.
  • You will also receive a notification of costs, which will also be sent to you by post. Pay the fees.
Requirements

To be recognized as a UBS, you must

  • have your registered office in the Federal Republic of Germany.
  • have the number of employees with specialist knowledge and sufficient relevant experience 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 appropriate policies and procedures in place that distinguish between the tasks you perform as an IAB and other activities.
  • have appropriate procedures for carrying out your activities; the procedures shall take into account
    • the size of your organization,
    • the sector in which you operate,
    • your company structure, and
    • the degree of complexity of the product technology in question
  • have the necessary resources to perform the technical and administrative tasks associated with the assessment in an appropriate manner. In addition, you must have access to any necessary equipment or facilities.
  • have liability insurance for personal injury, property damage and financial loss, with a minimum sum insured 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 have no connection whatsoever 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 Chapter 4.1 and Annex A apply to UBS.
Which documents are required?
  • a description
    • your activities in the context of the assessment,
    • your procedures within the framework of the assessment procedures, and
    • the structural areas (infrastructure, energy supply, train control, train protection, signaling, railroad vehicles, operation, maintenance of railroad vehicles) that you cover.
  • Completed form "F10b" Checklist according to DIN EN ISO/IEC 17020.
  • Depending on the field of activity for which you wish to be recognized, in addition to application form F09c:
    • Form "F09c1" - Professional competence railroad vehicles,
    • Form "F09c2" - Infrastructure expertise,
    • Form "F09c3" - Specialist competence in energy,
    • Form "F09c4" - ZZS expertise,
    • Form "F09c5" - Specialist competence in operation,
    • Form "F09c6" - Vehicle maintenance (ECM).
  • If applicable, current certificate of accreditation in accordance with DIN EN ISO/IEC 17020.
  • If applicable, current certificate of certification according to ISO 9001.
  • If applicable, confirmation of appointment as railroad operations manager (EBL) in accordance with EBV
    • In addition: Documents on relevant further training in the past years (at least 3 years).
  • If applicable, current certificate of ECM certification in accordance with Regulation (EU) 445/2011 or Regulation (EU) 2019/779.
  • If applicable, evidence as an EBA-recognized expert.
  • If applicable, current CSMSMS certification certificate in accordance with Regulation (EU) 2018/7622.
  • Proof of safety approval (SiGe), if applicable.
  • Other proof of competence.
What are the fees?

The fees you have to pay are based on the time required to process your application:

  • Hourly rate: EUR 120.00
  • for every quarter of an hour or part thereof: EUR 30.00

Payment method: SEPA bank transfer

Legal basis
Appeal
  • Appeal. Detailed information on how to lodge an objection can be found in the notification.
  • Administrative court action.
Applications / forms

Forms available: Yes

Written form required: No

Informal application possible: No

Personal appearance necessary: No

Online services available: Yes

Author
Forwarding service: Deep link to the original portal

Eisenbahn-Bundesamt (EBA)

The text was automatically translated based on the German content.

Technically approved by

Federal Ministry for Digital and Transport Affairs (BMDV)

Professionally released on

05.07.2023

Teaser

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

Process flow

You can apply for recognition as a UBS online. If required, you can arrange a free information meeting with the EBA before submitting your application.

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

  • Download the application forms F09c, F09cx and F10b from the website of the Federal Railway Authority and complete them in full.
  • Call up the EBA's eService portal.
  • 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 e-mail when the application has been received.
  • If necessary, you will receive an additional request for documents still to be submitted by e-mail.
  • The EBA will confirm the completeness and verifiability of your application for recognition and put together an assessment team.
  • Once the content has been checked, you will receive a list of assessment 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 result of the review is insufficient, the EBA will carry out an on-site assessment with you.
  • Once the assessment has been completed, the assessment team submits an assessment report to the Recognition Committee and makes a proposal regarding recognition.
  • The recognition body at the EBA decides on recognition. If recognition is granted, the EBA will send you the draft certificate of recognition including the annex(es) with the request to submit a statement on this within 2 weeks.
  • If you do not submit a statement or if the certificate of recognition has been agreed between the EBA and you as a result of the statement, the EBA will finalize the notice of recognition and the certificate and send them to you by post together with the assessment report.
  • You will also receive a notification of costs, which will also be sent to you by post. Pay the fees.

Requirements

To be recognized as a UBS, you must

  • have your registered office in the Federal Republic of Germany.
  • have the number of employees with specialist knowledge and sufficient relevant experience 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 appropriate policies and procedures in place that distinguish between the tasks you perform as an IAB and other activities.
  • have appropriate procedures for carrying out your activities; the procedures shall take into account
    • the size of your organization,
    • the sector in which you operate,
    • your company structure, and
    • the degree of complexity of the product technology in question
  • have the necessary resources to perform the technical and administrative tasks associated with the assessment in an appropriate manner. In addition, you must have access to any necessary equipment or facilities.
  • have liability insurance for personal injury, property damage and financial loss, with a minimum sum insured 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 have no connection whatsoever 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 Chapter 4.1 and Annex A apply to UBS.

Which documents are required?

  • a description
    • your activities in the context of the assessment,
    • your procedures within the framework of the assessment procedures, and
    • the structural areas (infrastructure, energy supply, train control, train protection, signaling, railroad vehicles, operation, maintenance of railroad vehicles) that you cover.
  • Completed form "F10b" Checklist according to DIN EN ISO/IEC 17020.
  • Depending on the field of activity for which you wish to be recognized, in addition to application form F09c:
    • Form "F09c1" - Professional competence railroad vehicles,
    • Form "F09c2" - Infrastructure expertise,
    • Form "F09c3" - Specialist competence in energy,
    • Form "F09c4" - ZZS expertise,
    • Form "F09c5" - Specialist competence in operation,
    • Form "F09c6" - Vehicle maintenance (ECM).
  • If applicable, current certificate of accreditation in accordance with DIN EN ISO/IEC 17020.
  • If applicable, current certificate of certification according to ISO 9001.
  • If applicable, confirmation of appointment as railroad operations manager (EBL) in accordance with EBV
    • In addition: Documents on relevant further training in the past years (at least 3 years).
  • If applicable, current certificate of ECM certification in accordance with Regulation (EU) 445/2011 or Regulation (EU) 2019/779.
  • If applicable, evidence as an EBA-recognized expert.
  • If applicable, current CSMSMS certification certificate in accordance with Regulation (EU) 2018/7622.
  • Proof of safety approval (SiGe), if applicable.
  • Other proof of competence.

What are the fees?

The fees you have to pay are based on the time required to process your application:

  • Hourly rate: EUR 120.00
  • for every quarter of an hour or part thereof: EUR 30.00

Payment method: SEPA bank transfer

Legal basis

Appeal

  • Appeal. Detailed information on how to lodge an objection can be found in the notification.
  • Administrative court action.

Applications / forms

Forms available: Yes

Written form required: No

Informal application possible: No

Personal appearance necessary: No

Online services available: Yes

Author

Forwarding service: Deep link to the original portal

Eisenbahn-Bundesamt (EBA)

The text was automatically translated based on the German content.

Technically approved by

Federal Ministry for Digital and Transport Affairs (BMDV)

Professionally released on

05.07.2023

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