INTEROPERABILITY UNIT TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM SUBSYSTEM ROLLING STOCK LOCOMOTIVES AND PASSENGER ROLLING STOCK

INTEROPERABILITY UNIT TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM SUBSYSTEM ROLLING STOCK Reference: IU-RST-19112009-TSI Report Document type: CR TSI LOC&PAS Report Version : 2.0 Status: Report for final draft TSI Date : 19/11/2009 Edited by Reviewed by Approved by Name Denis BIASIN Andrzej HARASSEK Jean-Charles PICHANT Hubert LAVOGIEZ Mikael AHO Bas LEERMAKERS Gilles GARDIOL Position Project Officers Adviser Head of Unit Date & Signature. 19/11/2009 19/11/2009 19/11/2009 File : IU-RST-19112009-TSI Report PAGE 1 OF 93

The following document has been produced by the European Railway Agency as accompanying report of its recommendation for CR LOC&PAS TSI This document is intended to report on the drafting of the CR LOC&PAS TSI, and to give explanations on the application of the TSI. File : IU-RST-19112009-TSI Report PAGE 2 OF 93

AMENDMENT RECORD Version Date Section number Modification/description Author 0.1 20/06/2008 Draft for review in the WP DB, HL, BL, MA 0.2 01/07/2008 Draft for LOC WP N 19 and PAS WP N 18 Section 7 IC and 8 Conformity Assessment added. 0.3 21/07/2008 Remarks from LOC WP N 19 and PAS WP N 18 Additional information from ERA 0.4 29/08/2008 Report consistent with CR LOC&PAS TSI draft rev 1.0 Report issued for review by the WP, and for information of the NSA network and Interoperability Committee DB, HL, BL, MA DB, HL, BL, MA DB, HL, BL, MA,GG 0.5 27/10/2008 Draft for LOC n 21 and PAS n 20 DB, HL, BL, MA,GG 0.6 16/04/2009 Draft for LOC n 24 and PAS n 23 XXX = subject to future modifications 0.7 27/07/2009 Draft for LOC n 26 and PAS n 25 Sections 1 to 5 updated Section 6 updated (track changes) Section 6.14 (coaches)added Section 10 Economic evaluation : summary of EE report included. Sections 8 Conformity assessment & 11 Implementation restructured Section 12 Specific case added Annexes A and B modified Section 13 and Annex C added 1.0 31/07/2009 Report issued with the final draft CR LOC&PAS TSI rev 3.0 2.0 19/11/2009 Update Annnex A (standards) Update Annex B (position from org) Revision section 12 (specific cases) Report issued with final draft CR LOC&PAS TSI rev 4.0 for the ERA recommendation. DB, HL, BL, MA,GG DB, HL, BL, MA,GG DB, HL, BL, MA,GG DB, HL, BL, MA,GG IU-RST-19112009-TSI Report Version 2.0 Page 3/93

Table of Contents 1. BACKGROUND TO THE ASSIGNMENT... 7 1.2 Summary... 8 2. ABBREVIATIONS AND REFERENCES... 9 2.1 Abbreviations... 9 2.2 Reference Documents... 10 3. WORKING PARTIES AND WORKING METHOD... 12 3.1 WP 10-2 PAS... 12 3.2 WP 10-3 LOC... 14 3.3 Working method... 16 3.4 Existing TSIs to be considered for CR RST... 19 3.5 Cross-acceptance- Common checklist... 20 3.6 RIC (regolamento internazionale per lo scambio delle carrozze - Agreement governing the exchange and use of coaches in international traffic)... 20 3.7 International / National use... 21 3.8 Time plan... 21 4. INTERMEDIATE REPORT AND LIST OF BPS... 22 4.1 Basic parameter list... 22 4.2 Comments and conclusions... 22 5. DESCRIPTION OF THE SUBSYSTEM... 24 5.1 Definition of RST... 24 5.2 Categorisation of RST... 24 5.3 Conditions for assessment... 25 6. REQUIREMENTS DEFINED IN THE TSI... 27 6.1 Purpose of this section... 27 6.2 Structure and mechanical parts... 28 6.3 TRACK INTERACTION AND GAUGING... 33 6.4 BRAKING... 41 IU-RST-19112009-TSI Report Version 2.0 Page 4/93

6.5 PASSENGER RELATED ITEMS... 45 6.6 ENVIRONMENTAL CONDITIONS AND AERODYNAMIC EFFECTS... 49 6.7 SYSTEM PROTECTION... 53 6.8 TRACTION AND ELECTRICAL EQUIPMENT... 53 6.9 CAB AND OPERATION... 54 6.10 FIRE SAFETY AND EVACUATION... 57 6.11 SERVICING... 61 6.12 TECHNICAL FILE: DOCUMENTATION FOR OPERATION AND MAINTENANCE... 62 6.13 MOBILE RAILWAY INFRASTRUCTURE CONSTRUCTION AND MAINTENANCE EQUIPMENT... 62 6.14 PASSENGER COACHES ASSESSED FOR GENERAL OPERATION... 63 7. INTEROPERABILITY CONSTITUENTS... 66 8. CONFORMITY ASSESSMENT... 67 8.1 General... 67 8.2 Conformity assessment against the HS RST TSI and this TSI... 67 9. STANDARDS... 68 9.1 General... 68 9.2 List of standards used... 68 9.3 Status of requests for Standards... 68 10. ECONOMIC EVALUATION... 70 11. IMPLEMENTATION STRATEGY... 73 11.1 General... 73 11.2 Projects at advanced stage of development and contracts in course of performance... 73 11.4 Type examination certificate... 74 11.5 Upgrade and renewal... 74 11.6 Particular case of OTMs... 75 12. SPECIFIC CASES... 76 12.1 Requests for specific cases... 76 12.2 Summary of specific cases... 76 IU-RST-19112009-TSI Report Version 2.0 Page 5/93

12.3 Case of Norway... 77 13. CONSULTATION OF SOCIAL PARTNERS AND ASSOCIATIONS... 79 14. CONCLUSION... 79 Annex A: List of standards... 81 Annex B: Position of sector organisations... 91 Annex C: Comments received from Social partners and Associations (formal consultation)... 92 IU-RST-19112009-TSI Report Version 2.0 Page 6/93

1. Background to the assignment 1.1 General The European Commission s mandate to the Agency (referenced 01/12-MA04EN05 and issued on 09/02/2006) assigns the Agency with the task of drafting TSIs related to infrastructure, passenger carriages, locomotives and traction units, energy and telematic application for passengers of the conventional rail system. According to this mandate, two working parties (WPs) have been established in order to draft the TSIs concerning RST (other than Freight Wagons). The WPs are referred to as N 10-2 for passenger carriages (abbreviated as PAS) and N 10-3 locomotives and traction units (abbreviated as LOC). As required in the Mandate, 7.2, the working method adopted by the Agency was presented to the Committee in October 2006. The working parties composition and working methods are described in 3 of this document. As required in the Mandate, 7.3, an intermediate report was presented to the Committee in October 2007; conclusions of this report are reminded in 4 of this document. In particular, on the basis of the intermediate report, it was decided that a single TSI will be drafted, covering both Passenger carriages and Locomotives, traction units and self propelling thermal or electric trains. This TSI is titled Conventional Rail Locomotives and Passenger rolling stock TSI, abbreviation CR LOC&PAS TSI. This document is the Accompanying report issued with the Final draft CR LOC&PAS TSI. Its purpose is: - to report on the work of the WPs (sections 3 and 4) - to give explanations on the scope of the TSI (section 5) - to provide a background on the requirements expressed in the TSI (section 6, 7, 8) - to explain how the TSI is to be applied (section 9: relation to standards to be used for the application guide; section 11: implementation) - to give an overview on economic aspects (section 10) - to give an overview on specific cases (section 12) - to report on comments received from Representative organisations (Annex B), and from Social partners and Associations (section 13 and Annex C). IU-RST-19112009-TSI Report Version 2.0 Page 7/93

1.2 Summary To complement the set of TSIs dealing with the Conventional Rail System, the European Commission gave to the Agency a Mandate for drafting a third group of five additional TSIs in February 2006. This report is the accompanying report addressing the TSI which is in the field of Rolling Stock: Locomotives and Passenger rolling stock. Since April 2006, two Working Parties have been involved in the drafting process, gathering experts from the sector representative bodies, and from 13 NSAs. An intermediate report was presented in November 2007 to identify the basic parameters relevant for interoperability, and therefore to be specified in the TSI; for each of basic parameters, it was identified the following aspects: the concerned RST, the need for a justification by an economic evaluation, the need for standards. This was summarized in the basic parameters list attached to this report. Further to this report, the Interoperability Committee has confirmed his agreement on the following recommendations from the Agency: - A Single TSI covers Passenger carriages and Locomotives, traction units and self propelling thermal or electric trains. - The option Compatible units is not dealt with in the TSI. The TSI specifies only functional requirements. Technical solutions of interface between vehicles are left in the voluntary domain (e.g. through standards). - Safety aspects: Safety level is proposed for complex functions, consistent with the Common Safety Methods. - Fire safety and evacuation: Reference is made in the TSI to the relevant section(s) of the CEN TS 45545. A preliminary draft TSI was issued in November 2008, as a basis for the consultation of Social partners and Associations representing users, as required in the Directive and in the Agency regulation; this consultation ended in June 2009. This report is the accompanying report to the final draft TSI issued in November 2009; it gives information on the working parties, explanations regarding the specification of the basic parameters and remaining open points; it includes also the position of the Representative Bodies involved in the working parties, and the result of the consultation mentioned above. It will be use as a source of information for the Agency to update and complement the TSI application guide. IU-RST-19112009-TSI Report Version 2.0 Page 8/93

2. Abbreviations and references 2.1 Abbreviations Table 1 : Abbreviations Abbreviation RISC AEIF BP CBA CEN CER CCS CR DG TREN EIM EN ENV ERA ERFA HS IC LOC IM INF ISV MS NB = NoBo NB-Rail NNTR NSA OPE Definition Railway Interoperability and Safety Committee (former A21C) European Association for Railway Interoperability (Association Européenne pour l Interopérabilité Ferroviaire) Basic Parameter Cost benefit analysis European Committee for Standardization (Comité Européen de Normalisation) Community of European Railway and Infrastructure Companies Control-Command and Signalling Conventional Rail Directorate-General Energy and Transport European Rail Infrastructure Managers European Standards European Prestandard (published for testing) European Railway Agency (also referred to as Agency) European Rail Freight Association High-Speed Interoperability Constituent Locomotives and traction units (abbreviation for loc. and tr. units TSI) Infrastructure Manager Infrastructure Intermediate statement of verification Member State Notified Body Coordination Group of Notified Bodies Notified national technical rules National Safety Authority Operation and traffic management OTM On-Track Machinery, official definition: Mobile railway infrastructure construction and maintenance equipment IU-RST-19112009-TSI Report Version 2.0 Page 9/93

Table 1 : Abbreviations Abbreviation PA-system PAS PrEN PRM RIC RST SRT RU RFU TEN TSI UIC UIRR UITP UNIFE WP Definition Public address system Passenger Carriages Draft European Standard People with reduced mobility Regolazione intercambio carrozze (regulation for the exchange of coaches), agreement between national RUs on the basis of the UIC code Rolling Stock Safety in Railway Tunnels Railway undertaking Recommendation for use. Document issued by NB-Rail to use as guideline during conformity assessment of a specific issue. Trans-European Networks Technical Specification for Interoperability International union of Railways (Union internationale des chemins de fer) International Union of combined Road-Rail transport companies (Union Internationale des sociétés de transport combiné Rail-Route) International Association of Public Transport (Union Internationale des Transports Publics) Association of the European Railway Industries (Union des Industries Ferroviaires Européennes) Working party organised by ERA 2.2 Reference Documents Table 2 : Reference documents Ref. N Document Reference Title Last Issue [1] Directive 2008/57/EC Interoperability of the conventional rail system (also referred to as the Directive) 17.6.2008 [2] Regulation (EC) No 881/2004 Agency Regulation 30.4.2004 IU-RST-19112009-TSI Report Version 2.0 Page 10/93

Table 2 : Reference documents Ref. N Document Reference Title Last Issue [3] Decision 09/II/2006, Annex 1, Mandate to the Agency Development of the third TSI group under Directive 2001/16/EC as modified by Directive 2004/50/EC 16.12.2005 [4] Decision 2008/232/EC Technical specification for interoperability relating to the rolling stock subsystem of the trans-european highspeed rail system [5] Decision 2006/861/EC Technical specification for interoperability relating to the subsystem rolling stock Freight Wagons [6] Decision 2006/679/EC Technical specification for interoperability relating to the control-command and signalling subsystem of the trans- European conventional rail system [7] Decision 2006/920/EC Interoperability of the trans-european conventional rail system, TSI Operation and traffic management [8] Decision 2008/163/EC Interoperability of the trans-european conventional and high-speed rail system, TSI, Subsystems: Infrastructure, Energy, Operations and traffic management, Control- Command and signalling, Rolling Stock, Aspect: Safety in railway tunnels [9] Decision2008/164/EC Interoperability of the trans-european conventional and high-speed rail system, TSI, Subsystems: Infrastructure, Energy, Operations and traffic management, Control- Command and signalling, Rolling Stock, Aspect: People with reduced mobility 21.2.2008 28.7.2006 28.3.2006 11.8.2006 20.12.2007 20.12.2007 [10] IU CR RST TSI Working Method 1.0 Conventional rail rolling stock TSI WPs Working method 11.10.2006 [11] ERA_EE_004063 1 Methodology Guidelines for Economic Evaluation 12.06.2007 [12] IU-RST-IntRep 1 Intermediate report for CR RST TSI revision 1 29.11.2007 [13] IU-RST-24112009-TSI Preliminary draft CR Locomotives and Passenger RST TSI revision 4.0 24.11.2009 [14] IU-INF-090902-TSI 4.0 Final draft CR Infrastructure TSI 02.09.2008 [15] IU-ENE-090916-TSI 5.0 Final draft CR Energy TSI 16.09.2009 [16] [17] IU-RST-19112009-TSI Report Version 2.0 Page 11/93

3. Working parties and working method The WPs have been drawn up following Article 3 of the Agency regulation. The composition of the WPs is described below. 3.1 WP 10-2 PAS The working party began its activity in April 2006. The WP has held 26 meetings, some of them partly common with the LOC WP: N Date N Date N Date 1 16 / 05 / 2006 10 04 & 05 / 07 / 2007 19 29 & 30 / 09 / 2008 2 28 / 06 / 2006 11 26 & 27 / 09 / 2007 20 30 & 31 / 10 / 2008 3 19 & 20 / 09 / 2006 12 08 & 09 / 11 / 2007 21 14 & 15 / 01 / 2009 4 08 & 09 / 11 / 2006 13 06 & 07 / 12 / 2007 22 11 & 12 / 03 / 2009 5 13 & 14 / 12 / 2006 14 30 & 31 / 01 / 2008 23 20 & 21 / 04 / 2009 6 31/01 & 01/02/ 2007 15 03 & 04 / 03 / 2008 24 09 & 10 / 06 / 2009 7 14 & 15 / 03 / 2007 16 23 & 23 / 04 / 2008 25 29 / 07 / 2009 8 18 & 19 / 04 / 2007 17 05 & 06 / 06 / 2008 26 21 & 22 / 10 / 2009 9 30 & 31 / 05 / 2007 18 03 & 04 / 07 / 2008 List of attendees to the WP: Project Officers from ERA: ERA Participants Responsible Team Unit/ Function Name Since Interoperability PAS TSI chairman BIASIN, Denis April 2006 Economic Evaluation project officer GARDIOL, Gilles July 2006 Interoperability PAS TSI project officer LEERMAKERS, Bas April 2007 IU-RST-19112009-TSI Report Version 2.0 Page 12/93

Other ERA Participants Unit/ Function Name Since Interoperability LOC TSI project officer AHO, Mikael July 2006 Interoperability Adviser HARASSEK, Andrzej April 2006 Interoperability LOC. TSI project officer LAVOGIEZ, Hubert April 2006 Economic Evaluation Head of Unit MAGNIEN, Airy April 2006 The responsible team is in charge of leading the working party, and has participated in all the WP meetings. Other ERA project officers are involved in this working party as support, and participate in the WP meetings when needed, depending on their availability. Experts from Representative Bodies and from NSAs: Organisation Nominated Representative Attended or represented in meetings n CER MANCINI, Giampaolo Since kick-off CER MICHIELSEN, Louis Since kick-off EIM TIVEY, Tom Since kick-off till end of 2008 UNIFE ROBERTS, John Since kick-off UNIFE WAGNER, Joachim Since kick-off NSA Representative NSA Austria HELNWEIN, Thomas Since kick-off NSA Denmark RASMUSSEN, Thomas Gram Since April 2009 NSA France PERSON-SILHOL, Dominique Since November 2006 NSA Greece DIMITRAKOPOULOS, Niklaos PITSAS, Costas From December 2006, NSA Italy ERCOLE, Andrea Since March 2008 NSA Luxemburg BISSEN, André Since kick-off NSA Spain MONFORT TORMO Enrique Since January 2007 NSA UK RANDALL, Peter Since July 2007 IU-RST-19112009-TSI Report Version 2.0 Page 13/93

Participation to the WP meetings: CER has been represented at every meeting by two persons. EIM has been represented at every meeting by one person, UNIFE has been represented at every meeting by one or two persons. NSA Austria has been represented at every meeting. NSA Luxemburg has been represented at all meetings but meeting n 17; NSA France was not represented during the first three meetings, but has been represented from the 4th meeting onwards. NSA Greece participated in meetings 5 and 6. NSA Spain started attending the Working party from the 6 th meetings and has constantly been present since then. NSA UK started attending the Working party from the 10 th meeting and has constantly been present since then. 3.2 WP 10-3 LOC The working party began its activity in March 2006. The WP has held 27 meetings, some of them partly common with the PAS WP: N Date N Date N Date 1 06 / 04 / 2006 10 30 & 31 / 05 / 2007 19 03 & 04 / 07 / 2008 2 30 / 05 / 2006 11 03 & 04 / 07 / 2007 20 29 & 30 / 09 / 2008 3 04 / 07 / 2006 12 20 & 21 / 09 / 2007 21 30 & 31 / 10 / 2008 4 06 & 07 / 09 / 2006 13 30 & 31 / 10 / 2007 22 14 & 15 / 01 / 2009 5 24 & 25 / 10 / 2006 14 06 & 07 / 12 / 2007 23 11 & 12 / 03 / 2009 6 13 & 14 / 12 / 2006 15 24 & 25 / 01 / 2008 24 20 & 21 / 04 /2009 7 06 & 07 / 02 / 2007 16 05 & 06 / 03 / 2008 25 09 & 10 / 06 / 2009 8 15 & 16 / 03 / 2007 17 23 & 24 / 04 / 2008 26 29 / 07 / 2009 9 24 & 25 / 04 / 2007 18 04 & 05 / 06 / 2008 27 21 & 22 / 10 / 2009 IU-RST-19112009-TSI Report Version 2.0 Page 14/93

List of attendees to the WP: Project Officers from ERA: ERA Unit / Function Name Participation since Responsible team Interoperability Chairman LAVOGIEZ, Hubert March 2006 Interoperability - Project officer AHO, Mikael July 2006 Economic Evaluation - Project Officer GARDIOL, Gilles July 2006 Other attendees Interoperability - TSI Sector HARASSEK, Andrzej March 2006 Interoperability - PAS WP BIASIN, Denis April 2006 Interoperability - PAS WP LEERMAKERS, Bas April 2007 Economic Evaluation Head of unit MAGNIEN, Airy March 2006 The responsible team is in charge of leading the working party, and has participated in all the WP meetings. Other ERA project officers are involved in this working party as support, and participate in the WP meetings when needed, depending on their availability. Experts from Representative Bodies and from NSAs: Representative Body ALE CER EIM ERFA ETF Name of experts CAŇAS LLORET, Juan Carlos HERMANNS, Heinz KRETER Armin CAVALIERE, Franco MÜLLER, Ralph RACZYNSKI, Jan STEENKAMP, Harm WEGMANN, Rolph RONZONI, Luca VOIGT, Frank RAKOCZKI, Lajos SZELAGOWSKI, Michel Participation Since April 2006 until June 2008 Since April 2006 until End 2007 Few participations since April 2008 Regular since April 2006 Regular since April 2006 Only in the first meeting Regular since April 2006 IU-RST-19112009-TSI Report Version 2.0 Page 15/93

UIRR KREBS, Heiko Only in the 2nd meeting UNIFE DREXLER, Stephan LEROUGE, Bernard REIMANN, Heinz Regular since April 2006 OTIF RAFF, Karl Erik For information since February 2007 NSA NSA Austria Name of representatives ENDLICHER, Karl Otto KOSTINGER, Michael Since April 2006 NSA Belgium VANHECK, Christian Since April 2006 (few participations) NSA France BOURREL, Pascal Since July 2006 NSA Italy COSSU, Pierandrea Since July 2006 NSA Poland MROCZKO, Anita Since April 2006 NSA Spain DEL RIO, Eduardo MARTOS, Oscar Since February 2007 Since June 2008 NSA Sweden SOLLANDER, Stefan Since April 2006 NSA UK CORK, Cliff Since March 2007 NSA IE WUTTKE, Maik Since April 2008 until September 2008 NSA Germany GATTWINKEL, Mathias In March 2009 NSA Denmark WESTPHALL, Dorte In April 2009 and June 2009 3.3 Working method - Technical subjects to be covered: For the reasons set out in the Intermediate report, the technical subjects have been distributed between the two groups, LOC and PAS WP, for drafting the requirements according to the following table: Technical subject Common Traction & driving related Passenger related WP in charge Work part N Interface between vehicles Car body structure / Lifting & jacking Passenger area fitting & associated controls X PAS 1 X PAS 1 X PAS 2 IU-RST-19112009-TSI Report Version 2.0 Page 16/93

Passenger inform. & communication Bogie, gauge, dynamic behaviour, bogie X PAS 2 X LOC 3 Braking X LOC 4 Environment X LOC 6 System protection X LOC 7 Power supply, traction &electrical equipment X LOC 8 Servicing X PAS 9 Maintenance X LOC 10 Cab Operation X LOC 11 Fire safety Emergency exits X PAS 12 The PAS working party has been responsible for the following work packages: 1 Structure and mechanical parts 2 Passenger related items 9 Servicing 12 Fire safety and evacuation The LOC working party has been responsible for the following work packages: 3 Track interaction and gauging 4 Braking 6 Environmental conditions 7 System protection 8 Traction and electrical equipment 10 Technical file: documentation for operation and maintenance 11 Cab and operation - Drafting process: The drafting process has been divided in the following stages: April to July 2006: Definition of the working methods. IU-RST-19112009-TSI Report Version 2.0 Page 17/93

September 2006 to June 2007: Identification of the basic parameters to be covered and the preparation of the intermediate report. July 2007 to December 2007: Drafting of the TSI requirements with a support document per technical subject including the requirements themselves, but also their justification, the interfaces with other subsystems or TSIs, the link with standards and potential open issues. December 2007 to July 2008: Work on the preliminary draft TSI itself. September 2008 to July 2009: Work on the final draft and accompanying report. - Common WP meetings: The calendar of WP meetings allows for regular joint meetings between the two RST WPs to address issues of common interest with respect to process management, such as working methods and time plan, as well as the general sections within the TSI such as aspects of safety and maintenance. During the last stage of the drafting process, the agendas of the WP meetings were arranged in order to allow for a half-day joint meeting each time. - Interface meetings: For the basic parameters that have interfaces with other sub-systems, the LOC&PAS WPs identified early in the drafting process that there was a need for a technical exchange with the WPs responsible for these sub-systems, in order for the requirements specified for each sub-system to be coherent. To this end, interface meetings have been organised since March 2007 with the CR infrastructure WP, since May 2007 with the CR energy WP with the following rules: Limited number of participants from each of the concerned WPs On demand, participation of additional experts from the railway sector to deal with a specific subject on the agenda Proposals made have to be finally agreed in each WP A WP was also launched mid 2008 in order to review the CR CCS TSI; ERA Project Officers in charge have defined the main objective of this revision (definition of a target system for train detection systems), and have agreed on the way interfaces with rolling stock shall be addressed; documents describing this process have been reviewed in the WPs LOC&PAS and CCS. The revision of the CCS TSI will be subject of a recommendation from the Agency in 2010; therefore, it can t be referenced in the CR LOC&PAS TSI; nevertheless, the way interfaces shall be managed has been taken into account. - Economic evaluation meetings: Specific meetings are organised with RBs or NSAs on demand to give details about data expected in order to carry out the economic evaluation analysis of basic parameters. - Specific cases: NSAs have been required to address their preliminary requests for specific cases at several steps of the writing process (e.g. by May 2008 with respect to the draft TSI revision 0.3; by end of July 2008 with respect to the draft rev;0.6; by end of December 2008 re. Draft rev.1.0). IU-RST-19112009-TSI Report Version 2.0 Page 18/93

3.4 Existing TSIs to be considered for CR RST At the date of issue of this document, the status of CR system TSIs is as follows: - RST sub-system: Freight Wagons Noise Notified - In force revision in progress Amended by Decision 2009/107 on cross-authorisation. Notified - In force partial revision in progress - Transverse TSIs: Access to People with Reduced Mobility Notified - In force since July 2008 Safety in Railway Tunnels Notified - In force since July 2008 - Other sub-systems: Operation Control-Command and Signalling Notified - In force - Revision in progress. Notified - In force - Revision in progress Regarding the HS rail system, revised TSIs were voted in 2006 for rolling stock, infrastructure, energy, CCS and operation; these are notified, with entry into force dates between July and October 2008. The TSI that is the subject of this report, together with the Freight Wagons TSI and the Noise TSI are dedicated to the Conventional Rail Rolling Stock sub-system. In addition, complementary specifications regarding this sub-system can be found in the following TSIs often called transverse TSIs, namely: Accessibility for People with Reduced Mobility (PRM) and Safety in railway tunnels (SRT) which concern several sub-systems in addition to Rolling Stock. Regarding interfaces with other CR sub-systems, the following TSIs have been developed in parallel to the ones applying to RST: Infrastructure Energy Telematic applications for passengers The time-plan for this development makes it possible to deal with interfaces by a continuous contact between the ERA project officers in charge of the different TSIs, and between the concerned WPs (interface meetings) when necessary. Requirements applicable to RST which are already defined in other TSIs must be considered by the WPs to ensure consistency within the set of TSIs applicable to the RST. In general, existing TSI requirements have not been re-discussed, as any modification would need a revision of the concerned TSI. In the case where a modification is needed to ensure consistency, this is mentioned in this report. Regarding Command, control and signalling, the TSI is under revision process; see section 3.3 interface meetings above. IU-RST-19112009-TSI Report Version 2.0 Page 19/93

3.5 Cross-acceptance- Common checklist In the first phase of the work, a cross-reference table was built between the common checklist used for cross-acceptance and the requirements from existing RST HS and Freight wagons TSIs. This was produced to confirm that requirements found in these documents (checklist and TSIs) addressed the same subjects. This table has also been used to check if requirements classified A in the existing agreement between France and Germany (i.e. cross-accepted) can be harmonised, and replaced by a TSI requirement. This analysis has been extended by adding to the cross-reference table the requirements defined in the draft CR LOC&PAS TSI, and by establishing cooperation with the cross-acceptance unit newly created within the ERA in April 2008. A cross-reference table has been issued in the framework of crossacceptance. 3.6 RIC (regolamento internazionale per lo scambio delle carrozze - Agreement governing the exchange and use of coaches in international traffic) The international operation of railway coaches is achieved in the present organisation of the sector within the framework of the RIC agreement. However, the RIC, although being endorsed by States, should be considered as a multilateral agreement between Railway Undertakings to exchange coaches in order to provide uninterrupted cross-border services. It is clearly intended to be applied by national integrated companies and in this respect, it embraces not only technical, but also operational and commercial aspects. It is based on trust and only a limited number of historical RUs are allowed to grant the RIC status, which is then accepted by all RUs in the MSs who have signed the agreement. It should be noted that until recently, exchanging coaches was the only solution in order to provide crossborder services. With a few exceptions, trains are under the responsibility of the local (historical) railway company, who is responsible for safety and provides all related functions in its territory, but cannot operate across borders. The major current exceptions are for high-speed services which are operated by ad-hoc legal entities and only use dedicated fixed composition trainsets (generally self propelled units) Only those requirements of the RIC that were found to be necessary to fulfil the Essential Requirements for Interoperability will be carried over to the TSI, and extended to other types of RST as well as passenger coaches. This approach was confirmed when the intermediate report was approved (see 4). Throughout the drafting process, the WP established as guidelines the following principles: Existing RIC coaches will still be able to operate internationally under the RIC framework; Nothing in the TSI should prevent Railway Undertakings from entering into the same type of agreement between them as the RIC when the TSI is in force; It should be noted that existing coaches, including those carrying the RIC label may present noncompliances with the OPE, SRT and PRM TSIs. It is also anticipated that these coaches will not automatically be compliant with the RST TSI. Therefore, the inclusion of a TSI compliant coach in a consist incorporating non TSI compliant coaches will not always be possible. Some restrictions to the formations composed of TSI compliant and non compliant coaches may therefore need to be applied. To answer a request from the sector, guidance to how MS could close remaining open points preventing an authorisation to put into service in one MS from being accepted as valid by the others is given below in section 6.14. IU-RST-19112009-TSI Report Version 2.0 Page 20/93

3.7 International / National use The Directive Annex I mentions a possible categorisation of the RST to be covered by TSIs into RST for international use and RST for national use. Up to now, existing TSIs have not used this categorisation, as it has been judged that the necessary functional specifications to meet the essential requirements are not in direct relation with the mission profile of the RST, or with the place it is operated on the TEN. Indeed, functional specifications expressed in the TSI relate mainly to safety and technical compatibility with other sub-systems, and it shall be possible to assess a RST without having the knowledge of the way and the place it will be operated. Furthermore, the scope of these TSIs is limited to the TEN rail system, on which it is likely that RST for international use and for national use will be operated together; therefore, consistent technical requirements are necessary. Eventually, the TSI has also as target to open the market by a harmonisation of technical rules; the multiplication of different TSI requirements would jeopardise this target. CER reported to the ERA in a letter dated 03/07/2008 that they were in favour of introducing the categorisation RST for international use and RST for national use ; ERA reminded the arguments presented above; proposals from CER for different requirements applicable to particular basic parameters according to this categorisation have not been judged clear enough to be included in the TSI; the CER position is reported in Annex B. 3.8 Time plan The last major milestones in the drafting process of the TSI were the following: the preliminary draft TSI and the accompanying report have been delivered and presented to the Interoperability Committee in September 2008, and has got the approval from the committee in November 2008. the translation of the preliminary draft into German and French for the consultation of social partners and associations and bodies representing users has been launched in December 2008. the submission to social partners and associations and bodies representing users took place between April and June 2009. the final list of specific cases to be finally retained in the TSI has been validated in June 2009. the final report concerning economic evaluation and CBA has been in July 2009. the final draft TSI and accompanying report has been then issued end of July 2009. the workshop with the Interoperability Committee was held on 06 th of October 2009. IU-RST-19112009-TSI Report Version 2.0 Page 21/93

4. Intermediate report and list of BPs In accordance with 7.3 of the Mandate, the ERA drafted an intermediate report for the purpose of reviewing the status of the work with respect to the drafting of the passenger carriages and locomotives and traction units TSIs. This report identified the basic parameters proposed to be included in the TSI, for formal review by the Interoperability Committee, according to the directive. The list of basic parameters is appended to that intermediate report in Annex 1. The intermediate report was presented to the committee meeting held in October 2007, and conclusions of the report were approved in the committee held in February 2008. The main elements and conclusion are summarized below in sections 4.1 and 4.2. 4.1 Basic parameter list The proposed list of basic parameters to be considered within the CR LOC&PAS TSIs is attached in Annex 1 of the Intermediate report. This list is structured per technical subject as defined in 3.3 (1 table per technical subject). It contains the following information (in columns): basic parameter title condition to be specified: explain what the TSI requirement will address reason for being a basic parameter: justification relation to general essential requirement: link with directive, Annex III, 1 relation to essential requirement specific to RST: link with directive, Annex III, 2.4 applicable to: category of RST (as defined in 6.2) to which the basic parameter applies work expected for standardisation body (Yes/No): identification of a need for standard economic evaluation (Yes/No): identification of a need for economic evaluation impact of extending the geographical scope (Yes/No/?): identification of basic parameters which are not linked to the geographical scope. contains open points (Yes/No): identification of basic parameters for which the specification needs further work; details are given in 7. On this basis, TSI requirements have been drafted. Technical details and justification are given in the section 6 of this report, and remaining open points are identified. 4.2 Comments and conclusions Intermediate report rev 1 dated 29/11/2007 was approved and released as the final version. The following points were agreed: IU-RST-19112009-TSI Report Version 2.0 Page 22/93

A single TSI is to be drafted, covering both Passenger carriages and Locomotives, traction units and self propelling thermal or electric trains. This TSI is titled Conventional Rail Locomotives and Passenger rolling stock TSI, abbreviation CR LOC&PAS TSI. The option Compatible units presented in the Intermediate report is not to be dealt with in the TSI. The TSI specifies only functional requirements. Technical solutions for the interface between vehicles are to be left in the voluntary domain (e.g. through standards). Concerning safety aspects, safety levels are proposed for complex functions, and the assessment refers to Common Safety Methods recommended by the Agency (regulation to be adopted by the Commission and the Interoperability Committee). Concerning fire safety and evacuation, reference is to be made in the TSI to the relevant section(s) of the CEN TS 45545, in addition to the reference made to some National Standards, which will be withdrawn when the EN 45545 will be published (consistent with the HS RST TSI). IU-RST-19112009-TSI Report Version 2.0 Page 23/93

5. Description of the subsystem 5.1 Definition of RST The mandate divides the RST subsystem into passenger carriages and locomotives and traction units, the latter includes also self-propelling thermal or electric trains. It is understood that the description in the mandate includes all RST, except freight wagons already covered by the WAG TSI. Mobile railway infrastructure construction and maintenance equipment, referred to as On-Track Machines (OTMs) e.g. machines for track maintenance are within the scope of the Mandate. This has been addressed in the drafting process by first setting up all the basic parameters applicable to the RST subsystem and secondly identifying which requirements have to be adapted in order to apply to OTMs; Annex C of the draft TSI gathers requirements that have been adapted for OTMs. Different types of RST to be covered by the CR LOC&PAS TSI have been identified by the WPs, and are described in section 2 Rolling stock subsystem and functions of the CR LOC&PAS TSI. 5.2 Categorisation of RST The technical categories of the rolling stock, defined for application of the TSI requirements, is described in the clause 4.1.3 of the TSI; they are linked to the functionalities of the rolling stock, and are the following: Unit designed to carry passengers Unit designed to carry passenger-related load (luggage, cars, etc.) Unit fitted with a driver s cab Unit fitted with traction equipment Electric unit, defined as a unit supplied with electric energy by an electrification system specified in the draft CR Energy TSI. Freight locomotive: Unit designed to haul freight wagons Passenger locomotive: Unit designed to haul passenger carriages Track construction and maintenance equipment (OTMs). Unit is the generic term used in the context of this TSI to name the rolling stock which is subject to assessment against the TSI requirements. A unit can fall into one or several of the categories above. Unless stated otherwise in the TSI, the specified requirements apply to all technical categories of RST defined above. Concerning fire safety, the categories defined in the HS RST TSI are used in the same way, as described in the clause 4.1.4.of the CR LOC&PAS TSI (consistent with the SRT TSI). For the following types of rolling stock, limitations have been defined concerning the application of the TSI: IU-RST-19112009-TSI Report Version 2.0 Page 24/93

Light Rail vehicles intended to operate on lines associated to rail transport in urban and suburban areas (called also tramtrains) and on limited parts of the TEN lines are not in the scope of the TSI in its present revision. It is recognised that for this kind of RST operationally integrated with other types of RST on the TEN lines, harmonized rules will be necessary to maintain the global safety level of the Railway system, but it will be decided later how the Directive should apply to them, in the framework of the extension of scope. Throughout Europe, there are several examples of successful operation of tramtrains on parts of the TENs. Tramtrains are developed in order to meet local needs and therefore interfaces with local circumstances. Often these units are built to tramway technology standards, which can differ from generic railway requirements. UNIFE advocates considering tram-trains in the scope of the TSI, and to use the derogation process in case of non compliance to certain TSI requirements; this position has not been retained, as a need for further analysis has been identified in order to be able to instruct derogations. Traction units designed for use only in shunting yards, stations and depots are not in the scope of the TSI. However, they may be authorised to operate over very short distances (e.g. between a depot and a yard or a yard and a station) at low speed (e.g. not higher than 40 km/h) to move vehicles (normally without passengers on-board, excepted for night trains) on the open lines of the TEN e.g. in shunting movements. They are not authorised to haul an operational train formation on the TEN. The operation of these traction units on the TEN shall be strictly limited, with relevant rules defined, under the responsibility of the concerned RU, IM and NSA. Railcars, EMUs and DMUs intended to operate on local networks which are not parts of the TEN lines are not in the scope of the TSI in its present revision. OTMs are within the scope of the TSI, but only when in transport configuration (self-propelled or hauled) and running on their own rail wheels. All other working configuration is not considered in the scope of the TSI, as particular operating rules are necessary (closed line, particular procedure for traffic management). The interoperability principle applied to OTMs is to allow their transport from a working place to another one; rules to be applied when these OTMs are working shall be defined by the concerned IM and are not deemed to be an interoperability issue. For rolling stock mentioned above as excluded from the scope of the TSI, they may be authorised to operate very short distances on the TEN lines, due to the local configuration of the railway network; in that case, articles 24 and 25 of the Directive apply. The study launched on the extension of scope of the TSIs will have to consider particularly these types of rolling stock, in order to define if they require specific requirements in the TSIs. 5.3 Conditions for assessment The rolling stock which is subject to assessment against the TSI is designated as a unit. A unit can be a trainset, a single vehicle or a fixed rake of vehicles. When a unit is assessed, the conditions of the assessment have to be recorded, as described in the clause 4.1.2 of the TSI: Fixed formation: IU-RST-19112009-TSI Report Version 2.0 Page 25/93

The unit is assessed to be operated in fixed formations (single unit, multiple unit composed of X units). This may include formations composed of several units of the type under assessment for multiple operation. Predefined formation: The unit is assessed to be operated together with other units in several formations which are defined. Unit intended to be used in general operation, i.e. not in a fixed or pre-defined formation. The unit is assessed without reference to any specific formation. This may include formations that include several locomotives of the type under assessment for multiple operation. The technical category(ies) relevant for the unit subject to assessment shall be identified by the party initiating the assessment process (the applicant), and used by the notified body in charge of the assessment, in order to assess the applicable requirements from the TSI. The unit operational configuration shall also be considered when it is assessed; a distinction is made between: Unit that can be operated as a train. Unit that cannot be operated as a train alone, and requires to be coupled with other unit(s) to be operated as a train. The section 6.2 of the TSI gives additional prescriptions concerning the assessment. IU-RST-19112009-TSI Report Version 2.0 Page 26/93

6. Requirements defined in the TSI 6.1 Purpose of this section The purpose of this section is: To provide a background on the requirements expressed in the TSI (explanation and justification; discussions held in the WPs...) When a basic parameters is declared as an open point, to provide a clear technical description of the open point, and to suggest a plan in order to close it in the future. To explain how the TSI is to be applied, in relation with standards (information that will be used for the application guide) To identify and clarify potential issues that may arise when applying the TSI. This section is structured according to the section 4.2 of the draft TSI specifying technical requirements. In addition, this section addresses 2 particular types of rolling stock: OTMs, to give the background on the particular requirements defined for this type of rolling stock. Passenger coaches assessed for general operation, to suggest a way to cover the remaining open points, and allow the NSAs to recognize the authorisation for placing in service granted by another NSA. Concerning TCMS and diagnostic, relevant functional requirements are described in the dealing with the function. Requirements linked driver machine interface are described in the dealing with the driver s cab. It is found not necessary to put requirements on the TCMS or diagnostic systems themselves. Concerning the identification of the safety-related functions, and associated safety levels required, several functions are identified as safety-related in the draft TSI; a safety level (THR) is specified only for the emergency braking and parking braking function (open point for other safety related functions). Concerning software, those dealing with safety-related functions have to be designed to guarantee a certain safety level. A CENELEC working group is currently working on safety related systems for rolling stock, and will define a comprehensive overall safety approach covering all sub-parts of a system (components, control, software...), with a set of standards (existing one EN 50126, 128 and 129 to be revised, new one to be drafted for system level approach). In the meantime this revised set of standards is available reference is made to existing standards. The Annex A gives the list of standards with status mandatory or voluntary; this table will be used for the application guide; it is structured according to technical requirement clauses. The Annex B gives the position of the 3 representative organisations (CER, EIM, UNIFE) who have contributed to the drafting process and have provided their position on the draft TSI. IU-RST-19112009-TSI Report Version 2.0 Page 27/93

6.2 Structure and mechanical parts Mechanical interface between vehicles It is considered that from a strict Interoperability viewpoint, there is no need to specify any requirement regarding coupling, beyond the general functional requirements related to the necessity to secure the integrity of the train during operation and to facilitate the ability to rescue a train following a failure. This is to be achieved in two ways: a. whenever possible, with a train similar to the one to be rescued and b. with a locomotive equipped with a UIC buffer and draw gear system. The requirement will remain functional, as no particular coupling design is specified for the unit to be rescued (as opposed to the HS RST TSI where the Type 10 coupling is specified). However, facilitating the exchange of vehicles between RUs and providing the same level of protection to staff during coupling/uncoupling operations are seen as advantageous for the efficiency of the system. Therefore, only in the case of units fitted with a manual coupling system, is the coupling system harmonized in the TSI. A manual coupling system is a coupling system which requires a person to stand between the units to be mechanically coupled (this definition doesn t include semi-automatic couplings where the coupling of air brake pipes and/or electrical connections requires a person to stand between the units). The standards EN15566 and EN15551are referred to for the buffer and draw gear system. The buffer and draw gear system shall be installed as described in Annex A of the LOC&PAS TSI. In addition to the basic variants as depicted above, it is necessary to allow units which are compatible with several networks having different track gauges (e.g. 1520/1524mm and 1668mm networks). For this reason, a sentence in Annex A enables units which are compatible with (one of) the basic variants and a solution as depicted by a specific case in clause 7.3 of the TSI to be allowed to operate throughout the entire TENs network, without specific authorisation for this subject. For all units, the necessity to rescue a failed train by a compatible type of train or a by a rescue unit fitted with a harmonised coupling type has been emphasised by the Infrastructure Managers, who see a clear advantage in ensuring that they will be able to rescue any unit to be recovered with the same rescue unit. This is based on the manual coupling type specified above, with additional requirements to allow fitting a rescue adaptor. Note: the general operating rule may require that the rescue coupler is carried on-board, hence the requirement of a suitable location. The TSI does not require to carry a rescue coupler on board. However, by agreement between the RU and the IM the rescue coupler may be made available within a certain time frame instead of being available on the train. This aspect has to be managed at the operational level (and not in the LOC&PAS TSI). The IC rescue adaptor is detailed only from the point of view of its compatibility with the harmonised rescuing unit manual coupling. The interface of the adaptor with the unit to be recovered depends on the design of this unit and is not specified. IU-RST-19112009-TSI Report Version 2.0 Page 28/93

The forces that the draw gear shall withstand are quoted in clauses 4.1 and 4.2 of the EN15566 which is mandatory for units fitted with manual couplings. The same standard is considered as a proof of compliance to the requirement to be found in Annex A.1.2, which aims at preventing involuntary unscrewing of the draw gear. The features of a recovery unit (i.e. unit intended to be used for rescue purposes) are defined in the TSI. The manual coupling system as specified in the TSI and the UIC 648 leaflet are considered as fulfilled for units intended to be used as recovery units. The flow chart below summarizes the TSI text: Unit fitted with end coupling? YES All units with any kind of end coupling Resistant to forces during operation and rescue NO Manual? YES Annex A type of manual coupling NO All units with automatic end couplers No requirement on type of end coupler All units without any end coupling Shall be able to be rescued by identical coupler (if any) and by Annex A or WAG TSI kind of coupler CER considers that specifying one single target type of automatic coupling ( Type 10 like in the HS RST TSI) would be beneficial in avoiding increasing the proliferation of different solutions. To deal with the current wide variety of solutions, CER has proposed to include also any of the existing systems in the TSI. We failed to relate this requirement to any of the Essential Requirements of the Directive; therefore, it has not been retained in the draft TSI. Gangways If gangways for use by passengers or staff are fitted, they shall be designed in order to ensure the safety of passengers. Compliance to this requirement is deemed to be met by applying the provisions of the UIC code until a harmonised standard is issued in this respect (requested to CEN). Passenger related interfaces are depicted in the PRM TSI. Strength of the vehicle structure The WP agreed on the basic requirements regarding the strength of vehicle structures. The EN12663 is going to be revised (publication in 2010) to take into account the concerns of the WP. Traditionally some MS impose rules on the welding process and quality requirements. The WP has agreed on the principle IU-RST-19112009-TSI Report Version 2.0 Page 29/93