Circular No. 30/2014/TT-BGTVT on issuing safety certificates for railway business enterprises

CIRCULAR

Regulations on Issuing Safety Certificates for Railway Business Enterprises

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Pursuant to the Railway Law dated June 14, 2005;

Pursuant to Decree No. 107/2012/NĐ-CP dated December 20, 2012 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Transport;

Pursuant to Decree No. 109/2006/NĐ-CP dated September 22, 2006, of the Government detailing the implementation of certain provisions of the Railway Law, and Decree No. 03/2012/NĐ-CP dated January 19, 2012, of the Government amending and supplementing certain provisions of Decree No. 109/2006/NĐ-CP dated September 22, 2006, of the Government;

At the proposal of the Director of the Department of Traffic Safety and the Director of the Vietnam Railway Administration,

The Minister of Transport hereby issues this Circular stipulating regulations on issuing Safety Certificates for railway business enterprises.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular specifies the types of railway business enterprises required to have Safety Certificates and the conditions, procedures, and formalities for issuing Safety Certificates.

Article 2. Applicability

This Circular applies to railway infrastructure business enterprises; railway transportation business enterprises operating on national railways, urban railways, dedicated railways, and organizations and individuals related to the issuance of Safety Certificates.

Chapter II

TYPES OF RAILWAY BUSINESS ENTERPRISES REQUIRED TO HAVE SAFETY CERTIFICATES, SAMPLE OF SAFETY CERTIFICATE, AND ISSUING AUTHORITY FOR SAFETY CERTIFICATES

Article 3. Types of railway business enterprises required to have Safety Certificates

1. Railway infrastructure business enterprises.

2. Railway transportation business enterprises.

Article 4. Safety Certificate

1. A Safety Certificate is a certificate issued by the competent state management agency specified in Article 5 of this Circular to railway business enterprises that meet all safety conditions as prescribed, allowing them to participate in railway business operations.

2. The sample of the Safety Certificate is specified in Appendix I of this Circular.

3. The Safety Certificate has a validity period of five years. At least one month before the Safety Certificate expires, the enterprise is responsible for preparing and submitting the necessary documents to the competent state management agency to apply for renewal of the Safety Certificate.

Article 5. Management and Issuing Authority for Safety Certificates

The Vietnam Railway Administration is the authority responsible for managing and issuing Safety Certificates to railway business enterprises when they meet the conditions stipulated in this Circular.

Chapter III

CONDITIONS FOR ISSUANCE OF SAFETY CERTIFICATES AND PROCEDURES FOR ISSUING SAFETY CERTIFICATES

Article 6. Conditions for Issuance of Safety Certificates for Railway Infrastructure Business Enterprises

1. Regarding material and technical facilities

a) Railway infrastructure must be maintained in accordance with current technical standards and regulations, ensuring safe train operation at prescribed speed and load limits;

b) Special-purpose railway vehicles used for railway infrastructure maintenance by the enterprise or leased by the enterprise must have valid registration certificates for railway transport vehicles, quality standard certificates, technical safety certificates, and environmental protection certificates.

2. Human resources

a) There must be at least one staff member responsible for safety work, holding a bachelor's degree in railway construction engineering and having at least three years of direct experience in managing and operating railway infrastructure;

b) Positions of railway employees directly serving train operations must meet the required standards and must undergo occupational safety training as prescribed by law.

3. Regarding organizational management and maintenance of railway infrastructure

a) Speed orders and load orders must be appropriate for the railway infrastructure under the enterprise’s jurisdiction;

b) There must be a manpower allocation plan for track inspection, bridge inspection, tunnel inspection, common bridge watch, tunnel watch, level crossing watch, and railway infrastructure maintenance, ensuring compliance with technical standards and characteristics of the railway infrastructure under the enterprise’s jurisdiction;

c) There must be an organizational and management plan for railway infrastructure ensuring compliance with current technical standards and regulations;

d) There must be a procedure for managing technical files of railway infrastructure under the enterprise;

đ) There must be emergency response plans for natural disasters, rescue operations, and implementation plans for rescue operations when accidents or incidents occur on railway infrastructure under the enterprise’s jurisdiction.

Article 7. Conditions for Issuing a Safety Certificate to Railway Transport Enterprises

1. Railway transportation means under the management of the enterprise must meet circulation conditions as prescribed by law.

2. There must be a production and business plan issued by the enterprise that is consistent with the published train schedules.

3. The enterprise must have at least one safety officer with a bachelor's degree in railway transport and at least three years of direct experience in managing and operating railway transport.

4. Positions of railway staff directly serving train operations must meet standards and must be trained in occupational safety according to legal provisions.

5. There must be a personnel arrangement plan for serving passenger and freight trains that is appropriate to the enterprise’s production and business plan.

6. There must be a plan to ensure railway traffic safety and a contingency plan for natural disasters, rescue, and emergency response when disasters, accidents, or incidents occur.

Article 8. Procedures for Issuing a Safety Certificate

1. Railway transport enterprises eligible for a Safety Certificate submit an application for the Safety Certificate to the Vietnam Railway Administration via postal service, direct submission, or other suitable methods.

2. The Vietnam Railway Administration receives and reviews the application. In cases where the application requires amendments or supplements, the Vietnam Railway Administration will provide direct guidance to complete the application on the same working day (for direct submissions) or notify and guide in writing within three working days from receipt of the application (for postal submissions) regarding incomplete or required modifications.

3. Based on the conditions for issuing a Safety Certificate, the Vietnam Railway Administration issues the Safety Certificate to the enterprise within twenty days from the date of receiving a complete application in accordance with regulations. If not issued, a written response with reasons must be provided.

Article 9. Application Documents for Issuing a Safety Certificate

1. Number of sets of documents: One set.

2. Components of the application documents and evidence proving the conditions for issuing a Safety Certificate include:

a) An application form for a Safety Certificate as stipulated in Appendix II of this Circular;

b) A report explaining the conditions for issuing a Safety Certificate along with supporting documents proving these conditions as specified in Appendices III, IV, and V of this Circular corresponding to each type of enterprise;

c) Evidence regarding railway transportation means as prescribed in Appendix VI of this Circular;

d) Evidence regarding railway staff directly serving train operations as prescribed in Appendix VII of this Circular;

đ) Evidence regarding safety officers: Certified copies or copies accompanied by original graduation certificates;

e) Evidence regarding plans to ensure railway traffic safety and emergency response plans for natural disasters, accidents, or incidents: Annual plans for ensuring railway traffic safety and emergency response plans for natural disasters, accidents, or incidents issued by the enterprise.

Article 10. Temporary Revocation of a Safety Certificate

1. Enterprises may have their Safety Certificates temporarily revoked in the following situations:

a) Occurrence of an accident due to subjective reasons reaching a serious level or higher, and the enterprise fails to take timely measures to address it;

b) Upon inspection, if any of the conditions for obtaining a Safety Certificate does not comply with regulations.

2. When an enterprise has its Safety Certificate temporarily revoked, the enterprise can still engage in railway business but must promptly address the consequences of the accident, eliminate causes leading to the accident, and promptly supplement conditions for issuing a Safety Certificate that are not met as stipulated in Articles 6 and 7 of this Circular.

3. During the period of temporary revocation of a Safety Certificate, the railway business activities of the enterprise are subject to supervision by the Vietnam Railway Administration.

Article 11. Revocation of Safety Certificate

1. The enterprise shall have its Safety Certificate revoked in the following cases:

a) When the business registration certificate for railway operations is revoked;

b) When the competent authority decides to suspend the enterprise's railway business operations;

c) When the Safety Certificate is erased or forged.

2. In the event of revocation of the Safety Certificate, the enterprise will immediately cease railway business operations.

Article 12. Cases for Reissuing the Safety Certificate

The enterprise shall be reissued the Safety Certificate in the following cases:

1. The enterprise proves that it has addressed the causes of accidents and supplemented all necessary safety measures.

2. When the enterprise meets the conditions stipulated in Articles 6 and 7 of this Circular.

3. When the enterprise receives a new business registration certificate for railway operations or when the competent authority permits the resumption of railway business operations.

Article 13. Procedures for Reissuing the Safety Certificate

1. An enterprise requesting a reissue of the Safety Certificate shall submit the application for reissuance to the Vietnam Railway Administration via postal service, direct submission, or other appropriate methods.

2. The Vietnam Railway Administration receives and reviews the application. In cases where the application requires amendments or supplements, the Vietnam Railway Administration will provide direct guidance to complete the application on the same working day (for direct submissions) or notify and guide in writing within three working days from receipt of the application (for postal submissions) regarding incomplete or required modifications.

3. Based on the conditions for reissuing the Safety Certificate, the Vietnam Railway Administration shall issue a new Safety Certificate to the enterprise within twenty days from the date of receipt of complete and compliant documents. If not issued, a written response with specific reasons must be provided.

Article 14. Documents Required for Reissuing the Safety Certificate

1. Number of sets of documents: One set.

2. The documents include:

a) Application form for reissuing the Safety Certificate as prescribed in Appendix VIII of this Circular;

b) A report explaining the conditions for reissuing the Safety Certificate, accompanied by documents proving compliance with the conditions for issuing the Safety Certificate as stipulated in Clause 2, Article 9 of this Circular;

c) Business registration certificate for railway operations or a document from the competent authority permitting the resumption of railway business operations (for cases covered under Clause 3, Article 12 of this Circular);

d) For cases where the Safety Certificate was revoked according to Point a, Clause 1, Article 10 of this Circular, additional documents proving supplementary safety measures must be submitted.

Article 15. Cases for Exchanging the Safety Certificate

The Safety Certificate shall be exchanged in the following cases:

1. When the Safety Certificate is lost or damaged;

2. When the Safety Certificate expires.

Article 16. Procedures for Exchanging the Safety Certificate

1. An enterprise requesting an exchange of the Safety Certificate shall submit the application for exchanging the Safety Certificate to the Vietnam Railway Administration via postal service, direct submission, or other appropriate methods.

2. The Vietnam Railway Administration receives and reviews the application. In cases where the application requires amendments or supplements, the Vietnam Railway Administration will provide direct guidance to complete the application on the same working day (for direct submissions) or notify and guide in writing within three working days from receipt of the application (for postal submissions) regarding incomplete or required modifications.

3. The Vietnam Railway Administration shall exchange the Safety Certificate for the enterprise within ten days from the date of receipt of complete and compliant documents. If not exchanged, a written response with specific reasons must be provided.

Article 17. Documents Required for Exchanging the Safety Certificate

1. Number of sets of documents: One set.

2. The documents include:

a) Application form for exchanging the Safety Certificate as prescribed in Appendix IX of this Circular;

b) A report explaining the conditions for exchanging the Safety Certificate, accompanied by documents proving compliance with the conditions for issuing the Safety Certificate as stipulated in Clause 2, Article 9 of this Circular (for cases where the Safety Certificate has expired);

c) Original Safety Certificate (for cases where the Safety Certificate is damaged).

Article 18. Fees

A business newly granted, reissued, or exchanged with a Safety Certificate must pay fees to the issuing authority for the Safety Certificate in accordance with the provisions of the law.

Article 19. Responsibilities of railway businesses

1. Shall be responsible under the law for the accuracy of the Report on conditions for granting the Safety Certificate as stipulated in Clause 2 of Article 9, Clause 2 of Article 14, and Clause 2 of Article 17 of this Circular.

2. Manage the Safety Certificate and present it upon request of the competent authority.

3. Maintain and ensure safety conditions during railway operations as reported in the explanatory report on conditions for granting the Safety Certificate in accordance with this Circular.

Article 20. Responsibilities of the Vietnam Railway Administration

1. Notify businesses that must have a Safety Certificate and guide them on procedures for issuing, reissuing, and exchanging the Safety Certificate.

2. Organize the review of reports on conditions for granting the Safety Certificate, files proving the safety conditions of businesses when implementing new issuance, reissuance, exchange, and issuance of the Safety Certificate as prescribed.

3. Take the lead and coordinate with relevant agencies annually to inspect and check compliance with contents in the explanatory report on conditions for granting the Safety Certificate as stipulated in this Circular and handle violations according to the law.

4. Revoke the Safety Certificate in accordance with the regulations.

5. Compile issues arising and report to the Ministry of Transport for resolution.

6. Shall be responsible under the law and to the Minister of Transport for issuing, exchanging, reissuing, and revoking the Safety Certificate.

Chapter IV

IMPLEMENTING PROVISIONS

Article 21. Effective Date

1. This Circular takes effect from September 15, 2014.

2. This Circular replaces Decision No. 61/2007/QD-BGTVT dated December 24, 2007 of the Minister of Transport promulgating regulations on types of railway businesses required to have a Safety Certificate and conditions, procedures, and formalities for issuing the Safety Certificate, and Circular No. 09/2011/TT-BGTVT dated March 11, 2011 of the Minister of Transport amending and supplementing certain articles related to administrative procedures of the regulations on types of railway businesses required to have a Safety Certificate and conditions, procedures, and formalities for issuing the Safety Certificate issued together with Decision No. 61/2007/QD-BGTVT dated December 24, 2007 of the Minister of Transport.

Article 22. Implementation organization

The Head of the Ministry's Office, the Inspector General of the Ministry, Heads of Departments under the Ministry, Director of the Vietnam Railway Administration, General Directors of the Vietnam Railway Corporation, General Directors of the Vietnam Coal and Mineral Industry Group, General Directors of the Vietnam Chemicals Corporation, General Directors of the Vietnam Steel Corporation, Heads of agencies, organizations, and individuals concerned shall be responsible for implementing this Circular./.