DRAFT. Transition guide from former RIV/UIC regime to new TSI/GCU regime

01/16-DV60 TRANSITION Version EN02 Origin EN Status NA DRAFT Transition guide from former RIV/UIC regime to new TSI/GCU regime 1. INTRODUCTION There is a large scale reorganisation of EU railways. The auto-regulation of the national railway undertakings in charge of all railway matters is disappearing. New regulations are coming into force. As far as the use and management of freight wagons were concerned, RIV was the industry s main agreement on rules for international and national traffic. RIV was widely applied in and outside Europe. Once both the European Directives on interoperability and safety are implemented and the new COTIF protocol of 1999 is in force, the provisions of RIV will be replaced partly by EU provisions and partly by the new GCU agreement. A number of questions have been raised in workshops and meetings held in 2005 regarding the modalities for application of these provisions during the transition period that lasts until all the TSIs are adopted, the infrastructure and rolling stock registers are in place, national safety authorities are set up and able to place in service rolling stock, including their registration, and Member States have fully transposed the interoperability and safety directives. The existence of a transition period is not a problem per se; it is nevertheless important that each actor knows his/her responsibilities and which provisions he/she has to apply during this transition period. This document is intended to give an answer to frequently asked questions. As the scope and extent of the underlying problems will be evolving throughout the transition period, it is clear this will affect the contents of this document which will have to be adapted in consequence. Therefore, it should be considered as a tool for change management and as such evolving by nature. This document is focused on freight wagons running within the EU and subject to EU legislation; however, it also applies to the EEA as the EEA Member States implement the EU legislation in this field. It is not intended to solve the potential contradictions that might arise between current EU and COTIF provisions.. - 1/28 -

Notwithstanding this fact, similar guidelines will have to be developed in the context of OTIF. 2. ISSUES, APPLICABLE PROVISIONS AND DATE OF CHANGE Each relevant issue identified as important has been addressed in Annex, using a common structure as follows: Subject Definitions Former regime New regime Transition period or date of change Required action, if any 3. LEGAL BASIS DURING THE TRANSITION PERIOD The diagram attached outlines the calendar for the closing stages of the RIV regime and the entry into force of the relevant new agreements and legislation. The end of application of the RIV regime was not triggered by the EU legislation, which in fact recognizes the existence of such agreements under article 5(4) of the Directive 2001/16/EC and in section 7.5.1 of the TSI wagons adopted by the Commission on 28 July 2006. It was in fact a practical result of the entry into force of the COTIF 1999 protocol, on 1 st of July 2006, in those Member States of OTIF having ratified already COTIF 1999.The latter notably implies that: The application of the RIP is suspended and the CUV Uniform Rules will apply in Member States which have ratified COTIF 1999. Registration contracts for privately owned wagons as defined in the RIP and based on UIC Leaflet 433 are therefore to be discontinued. It should also be stated that the formal end of the RIV regime can not be dictated either by EU law or COTIF regulations as it is intrinsically a private agreement between UIC members. The range of issues that will emerge from an end to the RIV regime were addressed by the Forum Fret of UIC. In view of facilitating the mobility of wagons during the transition period it decided on 19 April 2006 to continue the application of the technical requirements of the RIV (Chapter 2.2, numbers 21.1 to 21.7) until the national safety authorities take effective leadership of the process. (see the full UIC decision in Annex). - 2/28 -

4. REQUIRED ACTIONS By Member States concerning: Existing RIV wagons: to request NSAs to define in co-operation with the relevant rail stakeholders (RUs and IM) the due process for taking account of existing RIV wagons when granting a new safety certificate. Such due process should ultimately to be formalised within the National regulation of each MS; Registration: to ensure from 1 st May 2006 the registration of new, renewed or upgraded vehicles. In case an NVR is not available a provisional fit-forpurpose register must be established from that date. By the Commission concerning: The role of the keeper: to work towards the clarification of the EU legal basis for the role of the keeper. Particular attention will be devoted to: (i)the problematic of placing in service/registering of existing wagons which is not covered neither by the interoperability directive nor explicitly by the safety directive (cf. article 14 of the safety directive refers to article 10 which describes the safety certification procedure of a RU, not of a keeper); (ii) the role of the keeper in the maintenance process. By ERA concerning: The TSI OPE: To elaborate an explanatory note regarding the application of Annex P of the OPE TSI in order to avoid any misuse or misunderstanding. To establish a position paper addressing the issue of whether the rules for exchange of wagons now included under the new GCU should be more appropriately placed within the TSI OPE in a future revision. Maintenance rules: to evaluate the completeness of the maintenance requirements of the TSI WAG and propose potential alterations and additions should these be deemed necessary notably in view of the concrete proposals that have been submitted by UIP. To assess the impact of the potential alterations that might be proposed on new requirements for accreditation, notably of keepers and/or maintenance workshops. By UIC/UIP/ERFA concerning: Inscriptions and signs: to clarify why rules on inscriptions and signs have been kept in the new GCU whilst similar rules are now in Annex B to the TSI WAG. - 3/28 -

By all actors concerning: Maintenance rules for existing RIV wagons: to collaborate together in order to establish the most appropriate basis to support the implementation of the following specific requirement: the maintenance rules applied to existing RIV wagons must be those provided for in the former regime (RIV and relevant part of UIC 433) 1. In this context, the following alternatives are to be evaluated: (i) UIC/UIP/ERFA to sign an agreement on maintenance of existing RIV wagons; (ii) Member States to adopt the existing maintenance rules as national rules; (iii) Commission to legislate. 5. CONCLUSION Set against this background the over-riding conclusion is that the principle of mutual recognition of freight wagons still prevails as: Existing RIV wagons shall continue to be mutually recognised as long as they are maintained according to the former regime (same keeper, same maintenance policy and rules) and as long as these are not renewed or upgraded; New, revised and upgraded wagons placed in service according to the TSI NOI and WAG as from 31 January 2007 shall be mutually recognised in accordance with section 7.6 of the TSI WAG; A number of questions remain open in regard to the wagons that are to be placed in service from 23 June 2006 until 28 January 2007 notably when the following situations are at stake: Change of keeper for an existing wagon: there is no guarantee that NSAs will be willing to register wagons upon request of a keeper as the current EU legislation does not foresee the placing in service of existing wagons through a keeper; Placing in service of a new/upgraded/renewed wagon that is fully compatible with both TSIs NOI and WAG: as long as the TSI WAG is not in force an EC verification certificate cannot be formally issued; Requests by RU for new safety certificate(s) under the safety directive to one or more NSAs: as part of the certification process the RU will have to show evidence of authorisations already granted for its rolling stock (included existing RIV wagons). In absence of an applicable EU legal basis the relevant national legislation will prevail. In addition, the Commission will continue the consultations with the Interoperability/Safety Committee and with the main stakeholders in the rail sector in order to promptly find the most appropriate solution for these pending problems. - 4/28 -

NEW COTIF UT RIV Interoperability Directive 2004/50 Safety Directive 2004/49 TSI Noise TSI WAG TSI OPE VNR Transition period = adoption May 2004 Dec. 2004 July 2005 Dec. 2005 May 2006 Oct. 2006 Dec. 2006 March 2007-5/28 -

Subject Technical Specification to apply when building a new wagon Definition N/A Former regime Partly RIV and UIC433 leaflet: Wagons used in international traffic must conform with the technical provisions of the RIV (chap. 2.2, no. 21.1 to 21.7). New regime TSI WAG and TSI NOI The TSI WAG has been adopted on 28 July 2006 and will enter into force on 31 January 2007. The TSI NOI was adopted on 23 December 2005 and has entered into force on 23 June 2006. Chapter 7 of these TSIs gives details on application of TSIs to new rolling stock, possible transition periods, exceptions for national, bilateral, multilateral or multinational agreements, and specific cases. Transitional period The transition period started with the entry into force of Directive 2001/16/EC in 2006 and lasts until the entry into force of the TSI WAG (28.01.2007). During this period, firstly national rules applied, notified by Member States under article 16(3) of Directive 2001/16/EC. The national rules often refer themselves to RIV and UIC leaflets. Secondly the reference system mentioned in article 25 of Directive 2001/16/EC applied (see document 01/16-DV17 adopted at the end of 2003, which mainly also referred to RIV and UIC leaflets). Thirdly the Decision 2004/446/EC 1 on Basic Parameters applies. However, in accordance with recital (7) of Decision 2004/446, the Decision on Basic Parameters does not affect either the existing rail system or the development of new projects as long as the corresponding TSIs are not adopted Therefore the technical specifications to apply in the transition period are the national rules, which often refer themselves to RIV and UIC leaflets. However it would appear reasonable to apply immediately the technical content of the WAG TSI which has been adopted on 28 July 2006 and is a state-of-the-art document. 1 Commission Decision 2004/446/EC of 29 April 2004 specifying the basic parameters of the Noise, Freight Wagons and Telematic applications for freight Technical Specifications for Interoperability referred to in Directive 2001/16/EC - Official Journal L 155, 30/04/2004 P. 0001-0068 - 6/28 -

Subject Technical Specification to apply when renewing/upgrading an existing wagon Definition Definition 2(l) of Directive 2001/16/EC (as modified by Directive 2004/50/EC): "upgrading" means any major modification work on a subsystem or part of a subsystem which improves the overall performance of the subsystem; Definition 2(m) of Directive 2001/16/EC (as modified by Directive 2004/50/EC): (m) "renewal" means any major substitution work on a subsystem or part of a subsystem which does not change the overall performance of the subsystem; Former regime Partly RIV and UIC433 leaflet Wagons used in international traffic must conform with the technical provisions of the RIV (chap. 2.2, no. 21.1 to 21.7). New regime Article 14(3) of Directive 2001/16/EC as modified by Directive 2004/50/EC: In the event of renewal or upgrading, the infrastructure manager or the railway undertaking shall send the Member State concerned a file describing the project. The Member State shall examine this file and, taking account of the implementation strategy indicated in the applicable TSI, shall decide whether the size of the works means that a new authorisation for placing in service within the meaning of this Directive is needed. Such new authorisation for placing in service shall be required each time the overall safety level of the subsystem concerned may be affected by the works envisaged. If a new authorisation is needed, the Member State shall decide to what extent the TSIs need to be applied to the project. The Member State shall notify its decision to the Commission and the other Member States. Applicable specification: TSI WAG, section 7.4.2, plus TSI NOI. Transitional period The transition period started with the entry into force of Directive 2004/50/EC in 2006 and lasts until the entry into force of the TSI WAG (31.01.2007). When renewing/upgrading an existing wagon, two aspects need to be considered: As far as noise is concerned, TSI NOI is applicable since 23 June 2006. In this case article 14(3) of Directive 2001/16/EC is applicable and a decision of the Member - 7/28 -

State is necessary; As far as all other technical aspects are concerned, it is recommended to apply the technical content of the TSI WAG (chapters 1 to 6 and Annexes) that was adopted on 28 July 2006. - 8/28 -

Subject Placing in service of a new wagon Definition Definition 2(p) of Directive 2001/16/EC (as modified by Directive 2004/50/EC): (p) "placing in service" means all the operations by which a subsystem is put into its design operating state. Note : This fiche is intended to also cover the technical approval procedure leading to the placing in service. Former regime UIC Leaflet 433 - Article 2.1 Technical approval by a competent body. Wagons used in international traffic must conform with the technical provisions of the RIV (chap. 2.2, no. 21.1 to 21.7) New regime Placing in service by National Safety Authorities according to article 14 of Directive 2001/16/EC as modified by Directive 2004/50/EC: EC verification by Notified Body, EC declaration by Contracting Entity, authorization delivered by NSA. Transitional period The procedure of article 14 of Directive 2001/16/EC was applicable since 20 April 2003 (article 27(1)). However, in the absence of TSI, the authorisation is not delivered on the basis of an EC procedure with a Notified Body, but on the basis of a national procedure. This situation has changed since the entry into force of the NOI TSI on 23 June 2006. Therefore: Wagons were placed in service until 23 June 2006 according to a national procedure (in general RIV, but other rules/agreements exist); Wagons placed in service since 23 June 2006 but before 31 January 2007 are following the procedure of article 14 of Directive 2001/16/EC, however only concerning Noise aspects. If such wagons do not comply with the TSI NOI limits, Member States may want to use the possibility of derogations under article 7 of Directive 2001/16/EC, case (a), for projects at an advance stage of development. If such wagons comply with TSI NOI and TSI WAG specifications, a full EC procedure with Notified Body is recommended, even if this can not lead to a full EC verification certificate as long as the TSI WAG has not yet entered into force. Wagons to be placed in service after 31 January 2007 will follow the full EC - 9/28 -

procedure with full application of TSI NOI and WAG. Concerning the role of the National Safety Authority, the Member State was in charge of delivering an authorisation under Directive 2001/16/EC. In practice this task was subcontracted in some cases to other bodies or railway companies. As of 1 st May 2006, only the National Safety Authorities are allowed to deliver such authorisations, in accordance with Article 16 of Directive 2004/49/EC, without possibility of delegation/subcontracting. - 10/28 -

Subject Placing in service of a renewed/upgraded wagon Definition Definition 2(p) of Directive 2001/16/EC (as modified by Directive 2004/50/EC): (p) "placing in service" means all the operations by which a subsystem is put into its design operating state. Note : This fiche is intended to also cover the technical approval procedure leading to the placing in service. Former regime UIC Leaflet 433 - Article 2.1 Technical approval by a competent body. Wagons used in international traffic must conform with the technical provisions of the RIV (chap. 2.2, no. 21.1 to 21.7) New regime Article 14(3) of Directive 2001/16/EC as modified by Directive 2004/50/EC is applicable: In the event of renewal or upgrading, the infrastructure manager or the railway undertaking shall send the Member State concerned a file describing the project. The Member State shall examine this file and, taking account of the implementation strategy indicated in the applicable TSI, shall decide whether the size of the works means that a new authorisation for placing in service within the meaning of this Directive is needed. Such new authorisation for placing in service shall be required each time the overall safety level of the subsystem concerned may be affected by the works envisaged. If a new authorisation is needed, the Member State shall decide to what extent the TSIs need to be applied to the project. The Member State shall notify its decision to the Commission and the other Member States. If so decided by the Member State, an authorisation of placing in service is necessary and it shall be delivered by National Safety Authorities. If not required, then national rules applicable. Transitional period The procedure of article 14(3) makes sense only after entry into force of TSI NOI and WAG: respectively 23 June 2006 and 31 January 2007. Until these dates, the former regime may apply (national rules and RIV). - 11/28 -

Subject Placing in service of an existing wagon Definition Definition 2(p) of Directive 2001/16/EC (as modified by Directive 2004/50/EC): (p) "placing in service" means all the operations by which a subsystem is put into its design operating state. Note: This fiche is intended to also cover the technical approval procedure leading to the placing in service. Former regime Under RIV agreement no additional placing in service was necessary once a wagon was registered by a RU. New regime Article 14 of Directive 2001/16/EC requires that an authorization is necessary in each Member State. However existing wagons are not in the field of Directive 2001/16/EC (see article 1). Therefore here Directive 2001/16/EC does not apply. Article 14 of the safety directive is applicable: Rolling stock that has been authorised to be placed in service in one Member State in accordance with Article 10(2)(b) and is not fully covered by the relevant TSIs shall be authorised to be placed in service in another or other Member States in accordance with this Article, if an authorisation is required by the latter Member State or States. Three situations need to be covered: A RU requires a new safety certificate according to article 10 of the safety directive. This situation should not be frequent because of a Commission Decision expected in 2006 concerning the validity of existing safety certificates; According to the new COTIF (ATMF Appendice), a keeper is able to register a wagon directly with a Member State. According to the new GCU, the keeper applies European regulations. Directive 2004/50/EC and the new registration system is applicable as of 1 st May 2006; however EU legislation does not identify the role of the keeper; In all other situations, no new placing in service is required. Transitional period The transitional period is due to the fact that Member States should be ready to authorise the placing in service of existing wagons from 1 st May 2006 onwards, but that the procedures and the National Safety Authorities are not fully in place in all Member - 12/28 -

States. In addition, the placing in service is linked to the registration and the new registration process is not fully implemented (see next fiche). Situations to be covered: A RU requires a new safety certificate according to article 10 of the safety directive. The RU must request an authorisation for its existing wagons only if the Safety Authority so decides. National Safety Authorities shall not ask for such an authorisation if the wagons comply with RIV (Wagons used in international traffic must conform with the technical provisions of chap. 2.2, no.21.1 to 21.7) or with the new GCU/TSI or other bilateral/multilateral agreements that provide for an adequate maintenance regime. According to the new COTIF (ATMF Appendice), a keeper is able to register a wagon directly with a Member State. Keepers will be able to ask an authorisation for placing in service an existing wagon to NSAs. However, depending on the MS, the reaction of the NSA will be different as this situation is not foreseen by EU legislation. Concerning the registration process itself, see the relevant fiche. Required actions NSAs are requested to discuss with their RU or IM how they plan to handle the situation of a RU using existing RIV wagons and requesting a new safety certificate. According to ERA it is the responsibility of each MS to specify in its National regulation the missing legal basis. There is a need to clarify the EU legal basis for the role of the keeper, and for the placing in service/registering of existing wagons as in this case the interoperability directive is not applicable and article 14 of the safety directive refers to article 10 which describes the safety certification procedure of a RU, not of a keeper.. - 13/28 -

Subject Registration of new wagons Definition N/A Former regime P wagons: UIC Leaflet 433 (Article 3.1) Registration contract ( contract for use ) with a railway undertaking R wagons: Registration procedure specific to each RU and national law New regime Article 14(4) of Directive 2001/16/EC as modified by Directive 2004/50/EC Where Member States authorise the placing in service of rolling stock, they shall be responsible for ensuring that an alphanumeric identification code is assigned to each vehicle. This code must be marked on each vehicle and be entered in a national vehicle register that meets the following criteria: In case of rolling stock placed in service for the first time in a third country, Member States may accept vehicles clearly identified according to a different coding system. However, once a Member State has authorised the placing in service of such vehicles on its territory, it must be possible to retrieve the corresponding data, listed below in paragraph 5(c), (d) and (e), through the register. Directive 2004/50/EC and the new registration system is applicable as of 1 st May 2006. However the new National Vehicle Registers are not ready: the specifications of the NVR have been drafted by ERA and a recommendation sent to the Commission on 31 July 2006. A Commission Decision on these specifications is expected by the end of 2006. Transition period or time As of 1 st May 2006: obligation of registration with the NSA 1 st December 2006: expected date for the adoption of the specifications of the registers During the transition period the registration of wagons should continue in accordance with existing national procedures (see former regime here-above). If this presents a difficulty in terms of market competitiveness and neutrality, then the railway undertaking or the wagon keeper may refer the issues to the Regulatory Bodies. Member States - 14/28 -

should analyse the situation as to registration in their country and, if required, put in place a provisional registration scheme. This provisional situation should be as short as possible because of the risk of discrimination, the risk of diverging solutions in different Member States and the possible non compliance with article 14 of Directive 2001/16 as modified by Directive 2004/50. If railway undertakings are requested to provisionally carry out tasks on behalf of Safety Authorities, this should be subject to an agreement between the two parties and the relevant information should be published. Required action From May 1 st 2006; each MS should set up its NVR or at least provisional registers during the transition period. Registration of new, renewed or upgraded vehicles in the NVR should start from May 1 st 2006 providing a NVR or a provisional register is established. - 15/28 -

Subject Registration of renewed/upgraded wagons Definition Definition 2(l) of Directive 2001/16/EC (as modified by Directive 2004/50/EC): "upgrading" means any major modification work on a subsystem or part subsystem which improves the overall performance of the subsystem; Definition 2(m) of Directive 2001/16/EC (as modified by Directive 2004/50/EC): (m) "renewal" means any major substitution work on a subsystem or part subsystem which does not change the overall performance of the subsystem; Former regime P wagons: UIC Leaflet 433 (Article 3.1) Registration contract ( contract for use ) with a railway undertaking R wagons: Registration procedure specific to each RU and national law New regime Article 14(3) of Directive 2001/16/EC as modified by Directive 2004/50/EC is applicable: In the event of renewal or upgrading, the infrastructure manager or the railway undertaking shall send the Member State concerned a file describing the project. The Member State shall examine this file and, taking account of the implementation strategy indicated in the applicable TSI, shall decide whether the size of the works means that a new authorisation for placing in service within the meaning of this Directive is needed. Such new authorisation for placing in service shall be required each time the overall safety level of the subsystem concerned may be affected by the works envisaged. If a new authorisation is needed, the Member State shall decide to what extent the TSIs need to be applied to the project. The Member State shall notify its decision to the Commission and the other Member States. If so decided by the Member State, a placing in service by National Safety Authorities is necessary. In this case, a new registration is also necessary. If a new placing in service is not required, then no registration is needed. - 16/28 -

Transition period or time As of 1 st May 2006: obligation of registration with the NSA 1 st December 2006: expected date for the adoption of the specifications of the registers During the transition period the registration of wagons should continue in accordance with existing national procedures (see former regime here-above). If this presents a difficulty in terms of market competitiveness and neutrality, then the railway undertaking or the wagon keeper may refer the issues to the Regulatory Bodies. Member States should analyse the situation as to registration in their country and, if required, put in place a provisional registration scheme. This provisional situation should be as short as possible because of the risk of discrimination, the risk of diverging solutions in different Member States and the possible non compliance with article 14 of Directive 2001/16 as modified by Directive 2004/50. If railway undertakings are requested to provisionally carry out tasks on behalf of Safety Authorities, this should be subject to an agreement between the two parties and the relevant information should be published. Required action Same as previous fiche - 17/28 -

Subject Registration of existing wagons Definition The registration of wagons is linked to a placing in service procedure (in Directive 2004/50/EC) Former regime Under RIV agreement: only one registration New regime Article 14 of Directive 2001/16/EC requires that an authorization is necessary in each Member State. However existing wagons are not in the field of Directive 2001/16/EC (see article 1). Article 14 of the safety directive is applicable: Rolling stock that has been authorised to be placed in service in one Member State in accordance with Article 10(2)(b) and is not fully covered by the relevant TSIs shall be authorised to be placed in service in another or other Member States in accordance with this Article, if an authorisation is required by the latter Member State or States. Two situations need to be covered: An RU asks for a new safety certificate according to article 10 of the safety directive. This situation should not be frequent because of a Commission Decision expected in 2006 concerning the validity of existing safety certificates. The RU must ask for an authorisation of existing wagons only if the National Safety Authority so decides. NSA have agreed not to ask for such an authorisation if the wagons comply with RIV (Wagons used in international traffic must conform with the technical provisions of chap. 2.2, no.21.1 to 21.7) or with the new GCU/TSI or other bilateral/multilateral agreements that provide for an adequate maintenance regime. A keeper wants to register an existing wagon directly to a NSA. The new National Vehicle Registers are not ready: the specifications are being drafted by ERA and will be adopted by the Commission in 2006. There is no legal obligation for NSA to register existing wagons according to directive 2004/50. Transitional period There is no legal obligation for NSA to register existing wagons according to directive 2004/50. However ERA recommends a two step procedure to transfer existing registers from former Railways to NSA: The former registering entity responsible for vehicle registration should make all required information available according to an agreement between itself and the NSA. - 18/28 -

The data transfer should be done at least 8 months after the Commission s decision, and if possible using an electronic format. For vehicles used in international traffic, the NSA of each MS should take these vehicles into its NVR within 2 years, at the latest, after the Commission s decision. For vehicles used in domestic traffic, the NSA of each MS should take these vehicles into its NVR within 3 years, at the latest, after the Commission s decision. If an existing wagon needs to be registered again during the transition period, the existing national procedures shall apply. If this presents a difficulty in terms of market competitiveness and neutrality, then the railway undertaking or the wagon keeper may refer the issues to the national regulatory authorities. Wagons which were numbered according to RIV regulations keep their current number. - 19/28 -

Subject Operation rules, exchange of wagons and inscription/signs Definition From Annex II to Directive 2004/50/EC section 2.4 The procedures and related equipment enabling a coherent operation of the different structural subsystems, both during normal and degraded operation, including in particular train driving, traffic planning and management. The professional qualifications which may be required for carrying out cross-border services. UIC also includes in operation some management rules of the GCU. Former regime UIC leaflets and national rules. For inscriptions and signs: annex XI of RIV 2000 For exchange of wagons: annex XII to RIV2000 and UIC Leaflet 433 New regime Vehicle numbering: Annex P to TSI Operation and traffic management agreed in June 2005. Commission Decision adopted on 11 August 2006 2, entry into force in February 2006. This TSI will be implemented according to national implementation plans. Before entry into force of this TSI, article 16(3) of Directive 2001/16/EC is applicable (national rules), together with article 25 on the reference system (see document 01/16- DV17) adopted at the end of 2003. Rules for exchange of wagons: Annex 9 to the new GCU. Inscriptions and signs: Annex B to TSI WAG (adoption 28 July 2006, entry into force 28 January 2007) Transitional period The transitional period lasts until February 2007. In the transition period, it is suggested to apply: For wagons numbering: Annex P to the CR TSI OPE; 2 To be confirmed - 20/28 -

For inscriptions and signs: Annex B to TSI WAG. As far as the management of the numbering system is concerned, ERA proposes to: Continue the current situation, in accordance with UIC, during the transition period; Move the European management under the Agency s responsibility after this transition period. Required actions ERA to clarify if the rules for exchange of wagons should be moved from the new GCU to the TSI OPE in a future revision. An explanatory note of the use of Annex P of OPE TSI will be issued by ERA in order to avoid any misuse or misunderstanding. UIC/UIP/ERFA to clarify why rules on inscriptions and signs have been kept in the new GCU whilst the same (?) rules are in Annex B to the TSI WAG. - 21/28 -

Subject Maintenance rules for wagons placed in service before the entry into force of Directive 2001/16/EC (20 April 2001) Definition From Annex II to Directive 2004/50/EC, section 2.7 The procedures, associated equipment, logistics centres for maintenance work and reserves allowing the mandatory corrective and preventive maintenance to ensure the interoperability of the rail system and guarantee the performance required. Former regime Partly RIV and UIC433 leaflet P wagons: UIC Leaflet 433 (Article 2.3). In order to maintain the technical approval, the wagon must be maintained in a state conforming with the regulations in force. The maintenance work must be undertaken in approved workshops. R wagons: same procedure as for P wagons New regime Directive 2001/16/EC is not applicable. Two situations: As long as there is no request of a new safety certificate under the safety directive, there is no intervention by NSA and maintenance is carried out according to the former regime. If a new safety certificate is requested by the RU using these wagons, then Article 14 of the safety directive is applicable. A decision must be made by the NSA whether a new authorization of placing in service is necessary. If yes, the procedure of article 14 is applicable: information on maintenance programme and records is requested by the NSA. If not, it is recommended at least to check that such information exists and to check who is in charge of further maintenance. Indeed the new GCU contract places responsibility of maintenance on the keeper. Transitional period There is no transition period for this situation because the TSI WAG, adopted on 28 July 2006, provides for continued operation/maintenance of wagons covered by existing - 22/28 -

agreements. In all cases: the NSA must avoid the re-checking of the Safety Management System and the safety certificate awarded under Part A of Article 10(2) of the safety directive. the maintenance rules applied to existing RIV wagons must be those provided for in the former regime (RIV and relevant part of UIC 433). - 23/28 -

Subject Maintenance rules for wagons placed in service after the entry into force of Directive 2001/16/EC (20 April 2001) but before the entry into force of the WAG TSI (31 January 2007) Definition From Annex II to Directive 2004/50/EC, section 2.7 The procedures, associated equipment, logistics centres for maintenance work and reserves allowing the mandatory corrective and preventive maintenance to ensure the interoperability of the rail system and guarantee the performance required. Former regime Partly RIV and UIC433 leaflet P wagons: UIC Leaflet 433 (Article 2.3). In order to maintain the technical approval, the wagon must be maintained in a state conforming with the regulations in force. The maintenance work must be undertaken in approved workshops. R wagons: same procedure as for P wagons New regime Directive 2001/16/EC is applicable: Member States are in charge of placing these wagons in service, according to national rules and taking account of article 25 on the reference system. In addition, article 14(2) of the interoperability directive is applicable: Each Member State shall check when they are put into service and at regular intervals thereafter, that these subsystems are operated and maintained in accordance with the essential requirements concerning them. To that end, the assessment and verification procedures laid down in the respective structural and functional TSIs shall be used. Transitional period The transition period started 1 st July 2006 (new GCU) and lasts until entry into force of the TSI WAG (31 January 2007). In this transition period, it is suggested to apply the maintenance rules included in the WAG TSI (sections 4.2.8 and 4.5: a legal entity is in charge of the maintenance and is mentioned in the rolling stock register. A maintenance file must be maintained by this legal entity). - 24/28 -

Subject Maintenance rules for new/upgraded/renewed wagons placed in service after the entry into force of the WAG TSI (31 January 2007) Definition From Annex II to Directive 2004/50/EC, section 2.7 The procedures, associated equipment, logistics centres for maintenance work and reserves allowing the mandatory corrective and preventive maintenance to ensure the interoperability of the rail system and guarantee the performance required. Former regime Partly RIV and UIC433 leaflet P wagons: UIC Leaflet 433 (Article 2.3). In order to maintain the technical approval, the wagon must be maintained in a state conforming with the regulations in force. The maintenance work must be undertaken in approved workshops. R wagons: same procedure as for P wagons New regime New wagons placed in service after the entry into force of the WAG TSI (31/01/07) TSI WAG is fully applicable and includes maintenance rules in sections 4.2.8 and 4.5: a legal entity is in charge of the maintenance and is mentioned in the rolling stock register. A maintenance file must be maintained by this legal entity. Wagons renewed/upgraded after the entry into force of the WAG TSI Article 14(3) of Directive 2001/16/EC is applicable. In addition, TSI WAG is partially applicable; for example, maintenance rules of section 4.2.8 are not applicable. For the part not covered by the TSI, national rules and, where appropriate, the former regime apply. Transitional period Transition date = 31 January 2007 Required action The WAG TSI contains only a framework for maintenance, and not a full set of maintenance rules. This is because TSIs are not intended to be detailed specifications and must find a balance between achieving interoperability and giving freedom for innovation and industrial practice. ERA should assess if the WAG TSI needs review, and update, to ensure that additional and sufficient requirements are provided on maintenance. Concrete proposals have been submitted by UIP. However this issue is linked with the role of the keeper, their possible - 25/28 -

accreditation and the accreditation of maintenance workshops. This would entail a modification of the legislation and need, consequently, a Commission initiative. - 26/28 -

Decision proposal on the RIV Freight Forum on 19 April 2006 Aiming to keep the technical aspect of the RIV until national safety authorities have all the technical and legal tools at their disposal to enable them to perform their task in full. Explanatory Statement On 3 February a workshop was held in Brussels on the subject of wagon law. The aim of this working group was among other things to discuss and propose measures that could be taken to implement the future SUC, due to replace the RIV. During the meeting the OCTI representative indicated that the 1999 COTIF should take effect in Summer 2006. It is therefore important during this transition period to ensure operational interoperability is maintained by complying with safety rules such as those laid down in European directives. During the meeting the national safety representatives underscored the fact that the measures taken during the transition period should be underpinned by a precise and unambiguous legal basis. It should be borne in mind that once the 1999 COTIF is implemented, the 1980 COTIF will cease to apply. As a result, the RIP will become null and void and the CUV Uniform Rules will solely apply in States which have ratified the 1999 COTIF. Furthermore, railway undertakings and wagon custodians using wagons in States that have not ratified the 1999 COTIF, to the extent that it is permitted by national law, will be invited to apply the 1999 CUV Uniform Rules on a contractual basis. Quite clearly, on the same date, the Uniform Rules concerning the Validation of Technical Standards and the Adoption of Uniform Technical Prescriptions applicable to railway rolling stock intended to be used in international traffic (APTU Appendix F to the Convention) will be applicable. A legal vacuum has opened up; indeed so far, technical annexes, such as the APTU Uniform Rules, have not yet been adopted by the OCTI Committee of Technical Experts as laid down in Article 8, 3 of Appendix F to the Convention, which states: The Annexes will contain the version as it will be adopted, after the entry into force of the Protocol of 3 June 1999 for the modification of the Convention, by the Committee of Technical Experts according to the same procedure as that provided for in Articles 16, 20 and 33 6 of the Convention for modification of the Annexes. Given the possible delay that might occur between the implementation of the 1999 COTIF and the adoption of the 8 annexes by the Committee of Technical Experts, Article 11 of the APTU UR states implicitly how the afore-mentioned vacuum can be filled. Article 11 Precedence of the Annexes - 27/28 -

1 With the entry into force of the Annexes, adopted by the Committee of Technical Experts in accordance with Article 8 3, the technical standards and the uniform technical prescriptions therein shall take precedence, in relations between Contracting States, over the provisions of the 1938 version of the International Convention on the Technical Unity of Railways, signed at Berne on 21 October 1882. 2 With the entry into force of the Annexes, adopted by the Committee of Technical Experts in accordance with Article 8 3, these Uniform Rules as well as the technical standards and the uniform technical prescriptions contained in its Annexes, shall take precedence, in the Contracting States, over the technical provisions: a) of the Regulation governing the reciprocal use of coaches and brake vans in international traffic (RIC), b) of the Regulation governing the reciprocal use of wagons in international traffic (RIV). Hence it follows that as the 8 technical annexes are not yet operational and the TSI having not yet been finalised, the technical provisions of the RIV are therefore applicable and can be used as a legal basis during the transition period. The previously-mentioned OCTI report makes the following legal analysis: it is planned to include in the Annexes of the APTU Uniform Rules, in accordance with Article 8, as far as is possible and following rewording, not only the TU, but also the corresponding provisions of the RIV and RIC Regulations and the UIC technical leaflets, which are mandatory for the railways. Due to the different legal basis the TU is an agreement governed by international public law whereas the RIV and RIC are agreements between the railways no direct provision can be made by the APTU Uniform Rules for partial abrogation of RIV and RIC. Consequently, 2 stipulates only the precedence of the Technical Annexes of the APTU Uniform Rules over RIV and RIC. In view of the above, there can be little doubt that the RIC and the RIV, due to their contractual nature, will continue to apply provided they do not conflict with mandatory law and where they do, only those conflicting provisions will not apply, are not amended or abolished at the instigation of participants (indeed, the RIV can only be abolished by a decision of the UIC Freight Forum). Decision The UIC Freight Forum has decided to keep the technical aspect of the RIV (Chapter 2.2, numbers 21.1 to 21.7) until national safety authorities have all the technical and legal tools at their disposal to enable them to perform their task in full. - 28/28 -