2008/163/EC: Commission Decision of 20 December 2007 concerning the technical specification of interoperability relating to safety in railway tunnels in the trans-European conventional and high-speed rail system (notified under document number C(2007) 6450) (Text with EEA relevance)
Date: 2007-12-20
Institutions: European Commission
Subjects: high-speed transport, rail transport, technical cooperation, trans-European network, transport safety, tunnel

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II

(Acts adopted under the EC Treaty/Euratom Treaty whose publication is not obligatory)

DECISIONS

COMMISSION

COMMISSION DECISION

of 20 December 2007

concerning the technical specification of interoperability relating to ‘safety in railway tunnels’ in the
trans-European conventional and high-speed rail system

(notified under document number C(2007) 6450)

(Text with EEA relevance)

(2008/163/EC)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Commu-
nity,

(2)

The first step in establishing a TSI is to have a draft TSI
drawn up by the European Association for Railway
Interoperability (AEIF) which was appointed as the joint
representative body.

Having regard to Directive 2001/16/EC of 19 March 2001 of the
European Parliament and of the Council on the interoperability
of the conventional rail system, (1) and in particular Article 6 (1)
thereof,

(3)

The AEIF has been given a mandate to draw up a draft TSI
for ‘safety in railway tunnels’
in accordance with Arti-
cle 6(1) of Directive 2001/16/EC.

Having regard to Directive 96/48/EC of 23 July 1996 of the
European Parliament and of the Council on the interoperability
of the high-speed rail system, (2) and in particular Article 6 (1)
thereof,

(4)

The draft TSI has been examined by the Committee set up
by Directive 96/48/EC on the interoperability of the trans-
European high-speed rail
system and referred to in
Article 21 of Directive 2001/16/EC.

Whereas:

(1)

In accordance with Article 5(1) of Directive 2001/16/EC,
and Article 5(1) of Directive 96/48/EC, each of
the
subsystems shall be covered by one TSI. Where necessary,
a subsystem may be covered by several TSIs and one TSI
may cover several subsystems. The decision to develop and/
or to review a TSI and the choice of its technical and
geographical scope requires a mandate in accordance with
Article 6(1) of Directive 2001/16/EC and Article 6(1) of
96/48/EC.

(1) OJ L 110, 20.4.2001, p. 1. Directive as last amended by Directive

2007/32/EC (OJ L 141, 2.6.2007).

(2) OJ L 235, 17.9.1996, p. 6. Directive as last amended by Directive

2007/32/EC

(5) Directives 2001/16/EC and 96/48/EC and the TSIs do apply
to renewals but not to maintenance-related replacements.
However Member States are encouraged, when they are able
to do so and where it is justified by the scope of the
maintenance-related work,
to apply the TSIs to main-
tenance-related replacements.

(6)

In its current version the TSI does not fully deal with all
essential requirements. In accordance with Article 17 of
Directive 2001/16/EC, and Article 17 of Directive 96/48/
EC, technical aspects which are not covered are identified as
‘Open Points’ in Annex C of this TSI.

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(7)

(8)

(9)

rules

technical

the relevant national

In accordance with Article 17 of Directive 2001/16/EC and
Article 17 of Directive 96/48/EC, individual Member States
are to inform the other Member States and the Commission
of
in use for
implementing essential requirements related to these ‘open
points’, as well as of the bodies it appoints for carrying out
the procedure for
the assessment of conformity or
suitability for use and the checking procedure in use for
verifying the interoperability of subsystems within the
meaning of Article 16(2) of Directive 2001/16/EC. For this
latter purpose, Member States should apply, as far as
possible,
in
Directives 2001/16/EC and 96/48/EC. Wherever possible
Member States should make use of the bodies notified
under Article 20 of Directive 2001/16/EC and Article 20 of
96/48/EC. The Commission should carry out an analysis of
the information forwarded by the Member States, in the
form of national rules, procedures, bodies in charge of
implementing procedures, and duration of these proce-
dures, and, where appropriate, should discuss with the
Committee the need for the adoption of any measures.

the principles and criteria provided for

The TSI in question should not demand the use of specific
technologies or technical solutions except where this is
strictly necessary for the interoperability of
the trans-
European conventional rail system.

The TSI is based on best available expert knowledge at the
time of preparation of the relevant draft. Developments in
technology, operational, safety or social requirements may
make it necessary to amend or supplement this TSI. Where
applicable, a review or updating procedure should be
initiated in accordance with Article 6(3) of Directive 2001/
16/EC, or Article 6(3) of Directive 96/48/EC.

(10) To encourage innovation and in order to take into account
the experience acquired, the attached TSI should be subject
to a periodical revision at regular intervals.

(11) Where innovative solutions are proposed the manufacturer
or the contracting entity shall state the deviation from the
relevant section of the TSI. The European Rail Agency will
finalise the appropriate functional and interface specifica-
tions of the solution and develop the assessment methods.

(12) The mandate requested that the ‘safety of railway tunnels’
TSI covered the prevention and mitigation of accidents and
incidents in tunnels, especially those originated by fire
hazards. All relevant potential risks were to be addressed in
this context
including those linked with derailment,
collision, fire and release of dangerous substances. However,
these objectives and risks would be taken into account only
insofar they had an impact on the subsystems as described
in the Directives and if the resulting specifications could be
requirements. Several
essential
associated to relevant

subsystems were expected to be considered, mainly:
infrastructure, rolling stock, operation and traffic manage-
ment, maintenance, described in Annex II of the Directives.

(13) Railway tunnel experts from the International Union of
Railways (UIC) and the United Nations Economic Commis-
sion for Europe (UNECE) have evaluated and assembled, in
the 2000-2003 period, the best measures currently applied
in Europe to ensure safety in new and existing tunnels. The
experts from Infrastructure Managers, Railway Undertak-
ings, rolling stock manufacturers and scientists gathered in
the TSI working party in the 2003-2005 period have
started their selection by considering these recommenda-
tions of best practice. Like the experts of UIC and UNECE,
those of AEIF were of the opinion that the strength of
railways lies in the prevention of accidents. Preventative
measures are generally more cost-effective than mitigating
or rescue measures. A combination of measures with
preventative and mitigating character completed with self-
rescue and rescue measures will best serve the aim of
optimal safety at reasonable costs.

interoperability. The aim was

(14) The main objective of the underlying Directives 96/48/EC
to
and 2001/16/EC is
harmonise the currently practiced safety measures and
technical rules, in order to permit interoperability and to
offer a similar approach for safety and safety measures to
In addition, a train that is
passengers all over Europe.
complying with this TSI (and the rolling stock TSI) should
be accepted, in general, in all tunnels on the trans-European
network.

(15) Safety levels in the Community rail system are generally
high, in particular compared to road transport. Tunnels are
even safer, from a statistical point of view, than the rest of
the network. It is important however that safety is at the
very least maintained during the current railways restruc-
turing phase, which will separate functions of previously
integrated railway companies and move the railway sector
further from self-regulation to public regulation. This was
the main rationale for Directive 2004/49/EC on safety on
the Community's railways and amending Council Directive
95/18/EC on the licensing of railway undertakings and
Directive 2001/14/EC on the allocation of railway infra-
structure capacity and the levying of charges for the use of
railway infrastructure and safety certification (the Railway
Safety Directive (3);: safety should be further improved,
when reasonably practicable and taking into account the
competitiveness of the rail transport mode.

(16) The objective of this TSI was to guide the technical progress
in tunnel safety towards harmonised and cost-efficient
measures; they should be as far as reasonably practicable
the same all over Europe.

(3) OJ L 164, 30.4.2004, p. 44.

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(17) This TSI applies to tunnels in the countryside with a small
traffic volume as well as to those in the heart of urban areas
with a great number of trains and passengers. This TSI
prescribes only minimal requirements: TSI conformity does
not constitute per se a guarantee for safe placing in service
and safe operation. All parties involved in work on safety
matters shall co-operate in order to achieve the appropriate
level of safety for the tunnel concerned, in accordance with
the provisions in this TSI and the interoperability directives.
Member States are invited to verify, whenever they open a
new tunnel, or when interoperable trains are running into
existing tunnels, whether the local circumstances (including
type and density of traffic) require additional measures to
those specified in this TSI. They can do that by mean of a
risk analysis or any other state-of-the-art methodology.
These verifications are part of the safety certification and
authorisation processes provided for in articles 10 and 11
of the Railway Safety Directive.

the application of
Consequently,
guarantee an absence of fatality risk.

this TSI does not

(21) As regards the role and responsibility of the rescue services,
to define it. The
national authorities are competent
measures specified in this TSI in the field of rescue are
based on the assumption that rescue services intervening in
a tunnel accident shall protect lives, not material values
such as vehicles or structures. This TSI further specified the
expected task of the rescue services for each accident type.

(22) The provisions of this Decision are in conformity with the
opinion of the Committee set up by Article 21 of Council
Directive 96/48/EC,

(18) Some Member States already have safety measures in place
which require a higher level of safety than that mandated in
this TSI. Such existing rules are to be considered in the
context of article 8 of on the Railway Safety Directive. In
addition, in accordance with Article 4 of the same directive,
Member States shall ensure that railway safety is generally
maintained and, where reasonably practicable, continuously
improved, taking into consideration the development of
Community legislation and technical and scientific progress
and giving priority to the prevention of serious accidents.

(19) Member States are free to request for specific situations
more stringent measures, as long as these measures do not
hamper interoperability. Article 8 of the Railway Safety
Directive and clause 1.1.6 of
this
possibility. Such higher requirements may be based on a
scenario analysis and risk analysis and may concern the
‘energy’ and ‘operation’. Mem-
subsystems ‘infrastructure’,
ber States are expected to consider such higher require-
ments in the light of the economical viability of the railway
and after consultation of
the concerned Infrastructure
Managers, Railway Undertakings and rescue services.

this TSI allow for

(20)

In order to define the measures to be taken for the tunnel
and for the train, only a restricted number of accident types
have been defined. Relevant measures have been identified,
which will suppress or significantly reduce the risks arising
from these accident types. They have been developed, in the
categories prevention, mitigation, evacuation, and rescue.
Annex D of this TSI shows the qualitative relationship
between the accident types and the measures, indicating
which measures deal with each class of accident types.

HAS ADOPTED THIS DECISION:

Article 1

A Technical Specification for Interoperability (‘TSI’) relating to
‘safety in railway tunnels’
in the trans-European conventional
system referred to in Article 6(1) of Directive 2001/16/EC and in
the trans-European high-speed rail system referred to in Arti-
cle 6(1) of Directive 96/48/EC is hereby adopted by the
Commission.

The TSI shall be as set out in the Annex to this Decision.

The TSI
shall be fully applicable to the trans-European
conventional rail system as defined in Annex I to Directive 2001/
16/EC, and the trans-European high-speed rail system as defined
in Annex I to Directive 96/48/EC, account being taken of
Article 2 of this Decision.

Article 2

1. With regard to those issues classified as ‘Open points’ set out
in Annex C of the TSI, the conditions to be complied with for the
verification of the interoperability pursuant to Article 16(2) of
Directive 96/48/EC and Article 16(2) of Directive 2001/16/EC
shall be those applicable technical
in use in the
Member State which authorise the placing in service of the
subsystems covered by this Decision.

rules

Each Member State shall notify to the other Member States
2.
and to the Commission within six months of the notification of
this Decision:

(a)

the list of
paragraph 1;

the applicable technical rules mentioned in

(b)

the conformity assessment and checking procedures to be
applied with regard to the application of these rules;

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(c)

the bodies it appoints for carrying out those conformity-
assessment and checking procedures.

Article 4

This Decision is addressed to the Member States.

Article 3

Done at Brussels, 20 December 2007.

For the Commission

Jacques BARROT

This Decision shall apply from 1 July 2008.

Vice-President of the Commission

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ANNEX

DIRECTIVE 2001/16/EC — INTEROPERABILITY OF THE TRANS-EUROPEAN CONVENTIONAL
RAIL SYSTEM

DIRECTIVE 96/48/EC ON THE INTEROPERABILITY OF THE TRANS-EUROPEAN HIGH-SPEED
RAIL SYSTEM

DRAFT TECHNICAL SPECIFICATION FOR INTEROPERABILITY

Subsystems: ‘Infrastucture’, ‘Energy’, ‘Operations and traffic management’, ‘Control-Command and
signalling’, ‘Rolling Stock’

Aspect: ‘Safety in railway tunnels’

1.

1.1.

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Technical scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.1.

Tunnel safety as a part of general safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.2.

Tunnel length . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.3.

Fire safety categories of passenger rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.3.1.

Rolling stock for tunnels up to 5 km in length . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.3.2.

Rolling stock for all tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.3.3

Rolling stock in tunnels with underground stations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.4.

Underground stations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.5.

Dangerous goods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.6.

Particular safety requirements in member states . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.1.7.

Risk scope, risks that are not covered by this TSI

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.2.

1.3.

2.

2.1.

2.2.

Geographical scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Content of this TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DEFINITION OF ASPECT/SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The risk scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.2.1.

‘Hot’ incidents: Fire, explosion followed by fire, emission of toxic smoke or gases.

. . . . . . . . . . . . . . . . .

2.2.2.

‘Cold’ incidents: collision, derailment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.2.3.

Prolonged stop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.2.4.

Exclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.3.

3.

3.1.

3.2.

4.

4.1.

The role of rescue services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ESSENTIAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Essential requirements as set out in Directive 2001/16/EC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Detailed essential requirements related to tunnel safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CHARACTERISATION OF THE SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10

10

10

10

10

11

11

11

11

11

11

11

12

12

12

12

13

14

14

14

14

14

15

15

15

16

16

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4.2.

Functional and technical specifications of the subsystems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17

4.2.1.

Overview of the specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.

Subsystem Infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.1.

Installation of switches and crossings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.2.

Prevent unauthorised access to emergency exits and equipment rooms . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.3.

Fire protection requirements for structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.4.

Fire safety requirements for building material . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.5.

Fire detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.

Facilities for self-rescue, evacuation and rescue in the event of an incident . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.1.

Definition of safe area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.2.

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.3.

Lateral and/or vertical emergency exits to the surface.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.4.

Cross-passages to the other tube . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.5.

Alternative technical solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.7.

Escape walkways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.8.

Emergency lighting on escape routes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.9.

Escape signage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.10.

Emergency communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.11.

Access for rescue services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.12.

Rescue areas outside tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.13. Water supply . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.

Subsystem Energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.1.

Segmentation of overhead line or conductor rails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.2.

Overhead line or conductor rail earthing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.3.

Electricity supply . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.4.

Requirements for electrical cables in tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.5.

Reliability of electrical installations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.4.

Subsystem control-command and signalling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.4.1.

Hot axle box detectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.

Subsystem rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.1.

Material properties for rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.2.

Fire extinguishers for passenger rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.3.

Fire protection for freight trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.3.1.

Running capability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.3.2.

Driver's protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.3.3.

Fire protection for trains with passengers and freight or road vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17

19

19

19

19

20

20

20

20

20

20

20

20

21

21

21

22

22

22

22

22

22

22

23

23

23

23

23

23

23

23

23

23

24

24

7.3.2008

EN

Official Journal of the European Union

L 64/7

4.2.5.4.

Fire barriers for passenger rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.5.

Additional measures for running capability of passenger rolling stock with a fire on board:

. . . . . . . .

4.2.5.5.1.

General objectives and required running capability for passenger trains . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.5.2.

Requirements for brakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.5.3.

Requirement for traction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.6.

On board fire detectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.7.

Communication means on trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.8.

Emergency brake override . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.9.

Emergency lighting system in the train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.10.

Switching off of air conditioning in the train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.11.

Escape design of passenger rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.11.1. Passengers' emergency exits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.11.2. Passenger access door . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.5.12.

Rescue service's information and access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

24

24

24

24

24

24

24

24

25

25

25

25

25

25

4.3.

Functional and technical specifications of the interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25

4.3.1.

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.

Interfaces with the Infrastructure subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.1.

Escape walkways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.2.

Inspection of tunnel condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.

Interfaces with the Energy subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.1.

Sectioning of traction energy supply systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.4.

Interfaces with the Control-Command-Signalling subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.5.

Interfaces with the Traffic Management and Operation subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.5.1.

Tunnel emergency plan and exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.5.2.

Route book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.5.3.

Provisions of on-train safety and emergency information to passengers . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.5.4.

Tunnel specific competence of the train crew and other staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.6.

Interfaces with the rolling stock subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.6.1.

Material properties for rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.6.2.

Other rolling stock specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.7.

Interfaces with the PRM subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.7.1.

Escape walkways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.

Operating rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.1.

Checking the condition of trains and appropriate actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.1.1.

Before the train commences its service.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25

25

25

26

26

26

26

26

26

26

26

27

27

27

27

27

27

27

28

28

L 64/8

EN

Official Journal of the European Union

7.3.2008

4.4.1.2.

While the train is running . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.1.2.1.

Safety-relevant equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.1.2.2.

Hot axle box incidents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.2.

Emergency rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.3.

Tunnel emergency plan and exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.3.1.

Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.3.2.

Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.3.3.

Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.4.

Earthing procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.5.

Route Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.6.

Provision of on-train safety and emergency information to passengers . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.7.

Co-ordination between tunnel control centres . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.5.

Maintenance rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.5.1.

Inspection of tunnel condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.5.2.

Maintenance of rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.5.2.1.

Passenger rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.5.2.2.

Freight rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.

Professional qualifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.1.

Tunnel specific competence of the train crew and other staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.

Health and safety conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.1.

Self-rescue device . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.8.

Infrastructure and Rolling stock registers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.8.1.

Register of infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.8.2.

Rolling Stock Register . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5.

6.

6.1.

6.2.

INTEROPERABILITY CONSTITUENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITU-
ENTS AND VERIFICATION OF THE SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Interoperability constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Subsystems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.1.

Conformity assessment (general)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.2.

Conformity assessment procedures (modules)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.3.

Existing solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.4.

Innovative solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.5.

Assessment of maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.6.

Assessment of operational rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.7.

Additional requirements for assessment of specifications concerning the IM . . . . . . . . . . . . . . . . . . . . . . . .

28

28

28

28

29

29

29

29

29

30

30

30

30

30

30

30

31

31

31

31

31

31

31

32

32

32

32

32

32

34

34

34

35

35

35

7.3.2008

EN

Official Journal of the European Union

L 64/9

6.2.7.1.

Installation of switches and crossings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.7.2.

Prevent unauthorised access to emergency exits and equipment rooms . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.7.3.

Fire protection requirements for structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.7.4.

Facilities for self-rescue, rescue and evacuation in the event of an incident . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.7.5.

Access and equipment for rescue services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.7.6.

Reliability of electrical installations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.7.7.

Hot axle box detectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.8.

Additional requirements for assessment of specifications concerning the RU . . . . . . . . . . . . . . . . . . . . . . .

6.2.8.1.

Rescue service's information and access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.8.2.

Self-rescue device . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.

7.1.

IMPLEMENTATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Application of this TSI to subsystems to be put into service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.1.1.

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.1.2.

Newly built rolling stock constructed to an existing design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.1.3.

Existing rolling stock intended to run in new tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.

Application of this TSI to subsystems already in service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.1.

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.2.

Upgrade and renewal measures for tunnels of more than 1 km, subsystems INS and ENE . . . . . . . . . .

7.2.2.1.

INS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.2.2.

ENE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.3.

Upgrade and renewal measures for the subsystems CCS, OPE, RST . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.3.1.

CCS: no measure required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.3.2.

OPE:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.3.3.

RST (Passenger rolling stock) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.2.4.

Other existing tunnels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.3.

7.4.

TSI revision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exceptions for national, bilateral, multilateral or multinational agreements . . . . . . . . . . . . . . . . . . .

7.4.1.

Existing agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.4.2.

Future agreements or modification of existing agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.5.

Specific cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.5.1.

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.5.2.

List of specific cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX A – INFRASTRUCTURE REGISTER . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX B – ROLLING STOCK REGISTER . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX C – OPEN POINTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

35

35

35

35

36

36

36

36

36

36

36

36

36

37

37

37

37

37

37

38

38

38

38

38

38

39

39

39

39

40

40

40

41

43

44

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ANNEX D – THE RELATIONSHIP BETWEEN INCIDENT TYPES AND MEASURES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX E – ASSESSMENT OF THE SUBSYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX F – MODULES FOR THE EC VERIFICATION OF SUBSYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX G – GLOSSARY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

45

48

51

70

1.

1.1.

INTRODUCTION

Technical scope

1.1.1.

Tunnel safety as a part of general safety

This TSI applies to new, renewed and upgraded subsystems. It concerns the following subsystems mentioned
Annex II to Directives 96/48/EC and 2001/16/EC, as amended by Directive 2004/50/EC: infrastructure (‘INF’),
energy (‘ENE’), control-command (‘CCS’), operation (‘OPE’) and rolling stock (‘RST’).

Safety in tunnels is influenced by general railway safety measures (such as signalling), which are not specified in
this TSI. Only specific measures, designed to reduce specific tunnel risks, are prescribed here.

General railway safety measures:

Risks related to pure railway operation, such as derailment and collision with other trains, are addressed by
general railway safety measures. The influence of the tunnel environment and therefore some of the
corresponding countermeasures are addressed in this TSI to the extent that they influence safety in railway
tunnels.

Tunnel-specific measures:

The purpose of this TSI is to define a coherent set of measures for the infrastructure, energy, command-control
& signalling, rolling stock and traffic operation & management subsystems, thus delivering an optimal level of
safety in tunnels in the most cost-efficient way. It shall permit free movement of trains complying with
Directives 96/48/EC (on high speed lines) and 2001/16/EC (on conventional lines) under harmonised safety
conditions in railway tunnels on the trans-European rail system.

1.1.2.

Tunnel length

— All specifications in this TSI apply to tunnels of more than 1 km in length, unless stated otherwise.

— Tunnels of more than 20 km in length require a special safety investigation that may lead to the
specification of additional safety measures not included in this TSI in order to admit interoperable trains
(trains complying with the relevant TSIs) in an acceptable fire-safety environment.

— Successive tunnels are NOT considered as one tunnel, if the two following requirements are fulfilled:

(A)

the separation between them in open air is longer than 500 m

(B)

there is an access/egress facility to a safe area within the open section

1.1.3.

Fire safety categories of passenger rolling stock

Rolling stock admitted in tunnels shall belong to either of the following two fire safety categories A and B (the
following definitions are harmonised with HS RST TSI 4.2.7.2.1 and prEN45545 part 1):

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1.1.3.1.

Rolling stock for tunnels up to 5 km in length

Rolling stock which is designed and built to operate on underground sections and tunnels of not more than
5 km in length, with side evacuation available is defined as category A. In the event of activation of a fire alarm,
the train will continue to a safe area (see definition in 4.2.2.6.1), not more than 4 minutes running time away,
assuming the train is able to run at 80 km/h. At the safe area, passengers and staff can evacuate the train. If it is
not possible for the train to continue, it will be evacuated using the infrastructure facilities in the tunnels.

1.1.3.2.

Rolling stock for all tunnels

Rolling stock which is designed and built to operate in all tunnels of the trans-European Network is defined as
category B. Fire barriers are provided to facilitate the protection of passengers and staff from the effects of heat
and smoke on board a burning train for 15 minutes. The fire barriers and additional measures for running
capability would permit such trains to leave a 20 km long tunnel and reach a safe area, assuming the train is
able to run at 80 km/h. If it is not possible for the train to leave the tunnel, it will be evacuated using the
infrastructure facilities provided for the tunnel.

1.1.3.3

Rolling stock in tunnels with underground stations

If there are underground stations as defined in 1.1.4 which are specified as locations for evacuation in the
emergency plan and if the distances between consecutive underground stations and the nearest underground
station to the portal are less than 5 km, the trains shall fulfil the requirements of category A.

1.1.4.

Underground stations

In respect of railway subsystems, stations that are in tunnels shall fulfil the relevant specifications of this TSI.

In addition, parts of the station open to the public shall be in conformity with the national fire safety rules.

If these two conditions are fulfilled, then an underground station can be considered as a safe area as specified in
4.2.2.6.1.

1.1.5.

Dangerous goods

The general safety measures concerning the carriage of dangerous goods are defined in OPE TSI and RID. No
tunnel specific measure is prescribed in this TSI. The Relevant National Authority may prescribe specific
measures according to clause 1.1.6.

1.1.6.

Particular safety requirements in member states

Generally, the specifications of this TSI are harmonised requirements. The existing safety level shall not be
reduced in a country as stipulated in Directive 2004/49/EC Article 4.1 (Safety Directive). Member states can
retain more stringent requirements, as long as these requirements do not prevent the operation of trains
complying with Directive 2001/16/EC as amended by Directive 2004/50/EC.

They can prescribe new and more stringent requirements in accordance with Directive 2004/49/EC (Safety
Directive) Art 8; such requirements shall be notified to the Commission before they are introduced. Such
higher requirements must be based on a risk analysis and must be justified by a particular risk situation. They
shall be the result of a consultation of the IM and of the relevant authorities for rescue, and they shall be
subject to a cost-benefit assessment.

1.1.7.

Risk scope, risks that are not covered by this TSI

This TSI covers specific risks to the safety of passengers and on-board staff in tunnels for the subsystems above.

Risks not covered by this TSI are as follows:

— Terrorism, as a deliberate and premeditated act which is designed to cause wanton destruction, injury

and loss of life.

— health and safety of staff involved in the maintenance of the fixed installations in tunnels.

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— financial loss due to damage to structures and trains.

— trespass into the tunnel

— impact of a derailed train on the tunnel structure: according to expert judgment, the impact of a derailed

train will not be sufficient to reduce the load carrying capacity of the tunnel structure.

— safety problems caused by aerodynamic effects of passing trains are not addressed within this TSI (see HS

INS TSI)

1.2.

Geographical scope

The geographical scope of this TSI is the trans-European conventional rail system as described in Annex I to
Directive 2001/16/EC and the trans-European High-Speed rail system as described in Annex I to Directive 96/
48/EC.

1.3.

Content of this TSI

In accordance with Article 5(3) of 2001/16/EC as amended by Directive 2004/50/EC, this TSI:

(a)

(b)

(c)

(d)

(e)

(f)

indicates its intended scope (part of the network or rolling stock referred to in Annex I to the Directive;
subsystem or part of subsystem referred to in Annex II to the Directive) — Chapter 2;

lays down essential requirements for each subsystem concerned and its interfaces vis-à-vis other
subsystems — Chapter 3;

establishes the functional and technical specifications to be met by the subsystem and its interfaces vis-à-
vis other subsystems. If necessary, these specifications may vary according to the use of the subsystem,
for example according to the categories of line, hub and/or rolling stock provided for in Annex I to the
Directive — Chapter 4;

determines the interoperability constituents and interfaces covered by European specifications, including
European standards, which are necessary to achieve interoperability within the trans-European
conventional rail system — Chapter 5;

states, in each case under consideration, the procedures for the assessment of conformity or suitability
for use. This includes in particular the modules defined in Decision 93/465/EEC or, where appropriate,
the specific procedures to be used to assess either the conformity or the suitability for use of
interoperability constituents and ‘EC’ verification of subsystems — Chapter 6;

indicates the strategy for implementing the TSI. In particular, it is necessary to specify the stages to be
completed in order to make a gradual transition from the existing situation to the final situation in which
compliance with the TSI shall be the norm — Chapter 7;

(g)

indicates, for the staff concerned, the professional qualifications for the operation of the subsystem
concerned, as well as for the implementation of the TSI — Chapter 4.

Moreover, in accordance with Article 5(5), provision may be made for specific cases for each TSI; these are
indicated in Chapter 7.

Lastly, this TSI also comprises, as detailed in Chapter 4, the operating and maintenance rules specific to the
scope indicated in paragraphs 1.1 and 1.2 above.

2.

2.1.

DEFINITION OF ASPECT/SCOPE

General

The TSI ‘Safety in Railway Tunnels’ extends to all parts of the railway system relevant for the safety of
passengers and on-board staff in railway tunnels during operation. The subsystems concerned have been
defined in section 1.1 Technical scope; it is also stated there that only tunnel specific safety measures are
addressed in this TSI. Chapter 2.2 deals with the risk scenarios in tunnels.

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The line of defence for the promotion of safety in tunnels comprises four successive layers: Prevention,
mitigation, evacuation and rescue. The largest contribution is in the area of prevention followed by mitigation
and so on. A major feature of railways is their inherent ability to prevent accidents through the traffic running
on a guide-way and being controlled and regulated using a signalling system. The layers of safety combine to
produce a low level of residual risk.

2.2.

The risk scenarios

This TSI assumes that the pure ‘railway risks’ are covered by appropriate measures, deriving generally from the
safety standards applying in the rail industry, and reinforced by the other TSIs which are being finalised or will
be mandated to the European Railway Agency (ERA). However this TSI will also look at measures which could
offset or mitigate the difficulty of evacuation or rescue operations following a railway accident.

Relevant measures have been identified, which will suppress or significantly reduce the risks arising from these
scenarios. They have been developed, in the categories prevention/mitigation/evacuation/rescue; however they
do not appear under these headings in this TSI but under the headings of the concerned subsystems
concerned.

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The measures prescribed can be considered as a response to the following three types of incidents

2.2.1.

‘Hot’ incidents: Fire, explosion followed by fire, emission of toxic smoke or gases.

The main danger is fire. It is assumed that the fire starts in one passenger train or power-unit and is fully
developed 15 minutes after ignition. It is discovered and the alarm is raised during these first 15 minutes.

Whenever possible the train leaves the tunnel.

If the train comes to a stop, passengers are evacuated, directed by the train crew, or by self-rescue, to a safe area.

2.2.2.

‘Cold’ incidents: collision, derailment

The tunnel specific measures concentrate on access/egress facilities to support evacuation and the intervention
of rescue forces. The difference with the hot scenarios is that there is no time constraint due to the presence of
a hostile environment created by a fire.

2.2.3.

Prolonged stop

Prolonged stop (an unplanned stop in a tunnel, without a fire on board, for longer than 10 minutes) is not, by
itself, a threat to passengers and staff. However it may lead to panic and to spontaneous, uncontrolled
evacuation that exposes people to dangers present in a tunnel environment. Measures shall be provided to keep
such a situation under control.

2.2.4.

Exclusions

The scenarios that have not been dealt with are listed in section 1.1.7.

2.3.

The role of rescue services

The definition of the role of the rescue services is a matter for the Relevant National Authority. The measures
specified in this TSI for rescue are based on the assumption that rescue services intervening in a tunnel accident
shall protect lives as a first priority and not material values such as vehicles or structures. It is assumed that
they are expected to:

In a ‘hot’ incident type

— Try to rescue people unable to reach a safe area

— Provide initial medical support to evacuees

— Fight a fire insofar as required to protect themselves and people caught in the accident

— Conduct evacuation from safe areas inside the tunnel to open air

In a ‘cold’ incident type

— Provide initial help to people with critical injuries

— Free trapped people

— Evacuate people

No demands on time or performance requirements are included in this TSI. Considering that accidents in
railway tunnels involving multiple fatalities are rare, it is implicit that there might be events, with an extremely
low probability, against which even well equipped rescue services would be powerless, such as a major fire
involving a freight train.

Detailed scenarios adapted to local conditions shall be developed for the emergency plans to be approved by
the Relevant National Authority. If the expectations of the rescue services expressed in those plans go beyond
the assumptions described above, then additional appropriate measures or equipment can be provided.

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Annex D shows the qualitative relationship between the incident types and the measures. In addition Annex D
gives a full description how the measures contribute to the four layers of defence mentioned in 2.1: prevention,
mitigation, evacuation and rescue.

3.

ESSENTIAL REQUIREMENTS

This chapter lays down the essential requirements in Annex III to the Directive which apply to the subsystem,
part of the subsystem or aspect concerned.

For each of these essential requirements, details are provided on how they are taken into account by the TSI, for
example through a functional or technical specification, an operating rule or a condition relating to the level of
staff competence.

3.1.

Essential requirements as set out in Directive 2001/16/EC

Directive 2001/16/EC as amended by Directive 2004/50/EC sets out, in annex III, the following essential
requirements to be met on the trans-European conventional system:

— Safety

— Reliability and Availability

— Health

— Environmental Protection

— Technical compatibility.

Safety and Technical compatibility are considered relevant for this TSI. (Reliability and Availability can be
considered as a prerequisite for safety and should not be diminished as a result of the provisions of this TSI.
Health and Environmental Protection involve the same detailed essential requirements in Annex III to the
Directive).

3.2.

Detailed essential requirements related to tunnel safety

The detailed essential requirements listed in Annex III of Directive 2001/16/EC as amended by Directive 2004/
50/EC, which are relevant for tunnel safety, are quoted below in italics.

Section 1.1.1 of Annex III (General): The design, construction or assembly, maintenance and monitoring of safety-critical
components and, more particularly, of the components involved in train movements must be such as to guarantee safety at
the level corresponding to the aims laid down for the network, including those for specific degraded situations.

This essential requirement is satisfied by the functional and technical specification in sections 4.2 Functional
and technical specifications of the subsystems, 4.5 Maintenance rules.

Section 1.1.4 of Annex III (General): The design of fixed installations and rolling stock and the choice of the materials
must be aimed at limiting the generation, propagation and effects of fire and smoke in the event of fire.

This essential requirement is satisfied by the functional and technical specifications in sections 4.2.2.3 Fire
protection requirements for structures 4.2.2.4 Fire safety requirements for building material and 4.2.5.1
Material properties for rolling stock

Section 2.1.1 of Annex III (Infrastructure): Appropriate steps must be taken to prevent access to or undesirable intrusions
into installations.

This essential requirement is satisfied by the functional and technical specifications in section 4.2.2.2 Prevent
unauthorised access to emergency exits and equipment rooms.

Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels

This essential requirement is satisfied by this TSI as a whole; it applies to tunnels with a length between 1 and
20 km. For tunnels longer than 20 km see 1.1.2

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Section 2.2.1 of Annex III (Energy): Operation of the energy-supply system must not impair the safety either of trains or of
persons (users, operating staff, trackside dwellers and third parties).

This essential requirement is satisfied by the functional and technical specifications in sections 4.2.3.1
Segmentation of overhead line or conductor lines, 4.2.3.2 Overhead line or conductor rail earthing, 4.2.3.5
Reliability of electrical installations and 4.2.3.4 Requirements for electrical cables in tunnels.

Section 2.4.1 of Annex III (Rolling Stock) In the event of danger, devices must enable passengers to inform the driver and
permit accompanying staff to contact him.

This essential requirement is satisfied by the functional and technical specifications in section 4.2.5.3 of the HS
RST TSI Passenger alarm. The present SRT TSI refers to this essential requirement in sections 4.2.5.7
Communication means on trains and 4.2.5.8 Emergency brake override.

Emergency exits must be provided and indicated.

This essential requirement is satisfied by the functional and technical specifications in sections 4.4.6 Provision
of on-train safety and emergency information to passengers and 4.2.5.11 Escape design of passenger rolling
stock.

Appropriate provisions must be laid down to take account of the particular safety conditions in very long tunnels.

This essential requirement is satisfied by the functional and technical specifications in sections 4.2.5.3 Fire
protection for freight trains, 4.2.5.4 Fire barriers for passenger rolling stock 4.2.5.5 Additional measures for
running capability of passenger rolling stock with a fire on board, 4.2.5.6 On-board fire detectors.

An emergency lighting system of sufficient intensity and duration is compulsory on board trains.

This essential requirement is satisfied by the functional and technical specifications in section 4.2.5.9
Emergency lighting system in the train.

Trains must be equipped with a public address system, which provides a means of communication to the public from on-
board staff and ground control.

This essential requirement is satisfied by the functional and technical specifications in sections 4.2.5.7
Communication means on trains.

Section 2.6.1 of Annex III (Operation and traffic management): Alignment of the network operating rules and the
qualifications of drivers and on-board staff and of the staff in the control centres must be such as to ensure safe operation,
bearing in mind the different requirements of cross-border and domestic services.

The maintenance operation and intervals, the training and qualifications of the maintenance and control centre staff and
the quality insurance system set up by the operators concerned in the control and maintenance centres must be such as to
ensure a high level of safety.

This essential requirement is satisfied by the functional and technical specifications in sections 4.4.1 Checking
the conditions of trains and appropriate actions, 4.4.2 Emergency rule, 4.4.5 Route book, 4.4.3 Tunnel
emergency plan and exercises and 4.6.1 Tunnel specific competence of the train crew and other staff.

4.

4.1.

CHARACTERISATION OF THE SUBSYSTEM

Introduction

The trans-European conventional rail system, to which Directive 2001/16/EC as amended by Directive 2004/
50/EC applies and of which the subsystems are parts, is an integrated system for which the consistency must be
verified. This consistency has been checked in relation to the development of the specifications within this TSI,
its interfaces with respect to the systems in which it is integrated and also the operating and maintenance rules
for the railway.

Taking account of all the applicable essential requirements, the aspect of safety in railway tunnels of the
subsystems CR INS/ENE/CCS/OPE/RST is characterised by the provisions of chapter 4.2.

This TSI applies to new, renewed and upgraded subsystems (infrastructure, energy, control-command and
signalling, operation, rolling stock) in tunnels. The conditions of application for renewed and upgraded
subsystems are defined in art 14.3 of Directive 2001/16/EC as amended by Directive 2004/50/EC, and an

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implementation strategy is outlined in chapter 7. The requirements for upgrade or renewal (described in
chapter 7) may be less extensive than those for the target subsystems (described in chapter 4).

The functional and technical specifications of the domain and its interfaces, described in sections 4.2 and 4.3,
shall not impose the use of specific technologies or technical solutions, except where this is strictly necessary
for the interoperability of the trans-European High Speed rail network. Innovative solutions, which do not
fulfil the requirements, specified in this TSI and/or which are not assessable as stated in this TSI require new
specifications and/or new assessment methods. In order to allow technological innovation, these specifications
and assessment methods shall be developed by the process described in clause 6.2.4.

4.2.

Functional and technical specifications of the subsystems

In the light of the essential requirements in Chapter 3, the functional and technical specifications of those
aspects specific to tunnel safety in the above-mentioned subsystems are as follows:

4.2.1.

Overview of the specifications

Subsystem Infrastructure

Installation of switches and crossings

Prevent unauthorised access to emergency exits and equipment rooms

Fire protection requirements for structures

Fire safety requirements for building material

Fire detection

Facilities for self-rescue, evacuation and rescue in the event of an incident

Definition of safe area

General

Lateral and/or vertical emergency exits to the surface.

Cross-passages to the other tube

Alternative technical solutions

Escape walkways

Emergency lighting on escape routes

Emergency communication

Access for rescue services

Rescue areas outside tunnels

Water supply

Subsystem Energy

Segmentation of overhead line or conductor rails

Overhead line or conductor rail earthing

Electricity supply

Requirements for electrical cables in tunnels

Reliability of electrical installations

Subsystem control-command and signalling

Hot axle box detectors

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Subsystem rolling stock

Material properties for rolling stock

Fire extinguishers for passenger rolling stock

Fire protection for freight trains

Running capability

Driver's protection

Fire protection of trains with passengers and freight or road vehicles

Fire barriers for passenger rolling stock

Additional measures for running capability of passenger rolling stock with a fire on board

General objectives and required running capability for passenger trains

Requirements for brakes

Requirement for traction

On board fire detectors

Communication means on trains

Emergency brake override

Emergency lighting system in the train

Switching off of air conditioning in the train

Escape design of passenger rolling stock

Passengers' emergency exits

Passenger access door

Rescue service's information and access

Operating Rules

Checking the condition of trains and appropriate actions

Before the train commences its service

While the train is running

Safety-relevant equipment

Hot axle box incidents

Emergency rule

Tunnel emergency plan and exercises

Content

Identification

Exercises

Earthing procedures

Route Book

Provision of on-train safety and emergency information to passengers

Co-ordination between tunnel control centres

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Maintenance Rules

Inspection of tunnel condition

Maintenance of rolling stock

Passenger rolling stock

Freight rolling stock

Professional Qualifications

Tunnel specific competence of the train crew and other staff

Health and Safety Conditions

Self-rescue device

4.2.2.

Subsystem Infrastructure

For the installation of safety equipment in tunnels, allowance shall be made for the actions of aerodynamic
effects produced by passing trains.

4.2.2.1.

Installation of switches and crossings

The infrastructure manager shall ensure that only the minimum number of switch and crossing layouts is
installed in accordance with the design, safety and operational requirements.

4.2.2.2.

Prevent unauthorised access to emergency exits and equipment rooms

For equipment rooms and emergency exits, physical systems, e.g. locks, shall be used to prevent unauthorised
access from outside; from inside, it shall always be possible to open the doors for evacuation.

4.2.2.3.

Fire protection requirements for structures

This specification applies to all tunnels, irrespective of their length.

The integrity of the structure shall be maintained, in the event of fire, for a period of time sufficiently long to
permit self-rescue and evacuation of passengers and staff and the intervention of rescue services without the
risk of structural collapse.

The fire performance of the finished tunnel surface, whether in situ rock or concrete lining, has to be assessed.
It shall withstand the temperature of the fire for a particular duration of time. The specified ‘temperature-time
curve’ (EUREKA-curve) is given in the following figure. It is to be used for the design of concrete structures
only.

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4.2.2.4.

Fire safety requirements for building material

This specification applies to all tunnels, irrespective of their length.

This specification applies to building material and installations inside tunnels other than structures, which are
covered in 4.2.2.3. They shall have low flammability, be non-flammable or protected, depending on the design
requirements. The material for tunnel substructure shall fulfil the requirements of classification A2 of
EN 13501-1:2002. Non-structural panels and other equipment shall fulfil the requirements of classification B
of EN 13501-1:2002.

4.2.2.5.

Fire detection

Technical rooms are enclosed spaces with doors for access/egress inside or outside the tunnel with safety
installations which are necessary for the following functions: self rescue and evacuation, emergency
communication, rescue and fire fighting and traction power supply. They shall be equipped with detectors
which alert the infrastructure manager in case of fire.

4.2.2.6.

Facilities for self-rescue, evacuation and rescue in the event of an incident

4.2.2.6.1.

Definition of safe area

Definition: a safe area is a place inside or outside a tunnel where all of the following criteria apply

— Conditions are survivable

— Access for people is possible aided and unaided

— People may accomplish self-rescue if the opportunity is available, or may wait to be rescued by the rescue

services using procedures detailed in the emergency plan

— Communication shall be possible, either by mobile phone or by fixed connection to the control centre of

the IM.

4.2.2.6.2.

General

The design of a tunnel shall take into account the need for provision of facilities to allow the self-rescue and
evacuation of train passengers and staff and allow the rescue services to rescue people in the event of an
incident in a tunnel.

The technical solutions described in 4.2.2.6.3 to 4.2.2.6.5 fulfil this requirement and one of them shall be
selected

4.2.2.6.3.

Lateral and/or vertical emergency exits to the surface.

These exits shall be provided at least every 1 000 m.

The minimum dimensions of lateral and or vertical emergency exits to the surface shall be 1,50 m wide and
2,25 m high. The minimum dimensions of the doors opening shall be 1,40 m wide × 2,00 m high.
Requirements for exits that function as main access routes for rescue services are described in 4.2.2.11. Access
for rescue services.

All exits shall be equipped with lighting and signs.

4.2.2.6.4.

Cross-passages to the other tube

Cross-passages between adjacent independent tunnels enable the adjacent tunnel to be employed as a safe area.
They must be equipped with lights and signs. Minimum dimensions of the cross-passage are 2,25 m
height × 1,50 m width. The minimum dimensions of the doors are 2,00 m height and 1,40 m width. Cross-
passages in conformity with these requirements shall be provided at least every 500 m.

4.2.2.6.5.

Alternative technical solutions

Alternative technical solutions providing a safe area with a minimum equivalent safety level are permitted. A
technical study shall be undertaken to justify the alternative solution which must be agreed by the Relevant
National Authority.

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4.2.2.7.

Escape walkways

This specification applies to all tunnels of more than 500 m in length.

Walkways shall be constructed in a single track tunnel on at least one side of the track and in a double track
tunnel on both sides of the tunnel. In wider tunnels with more than two tracks access to a walkway shall be
possible from each track.

The width of the walkway shall be a minimum of 0,75 m. The minimum vertical clearance above the walkway
shall be 2,25 m.

The minimum level of the walkway shall be within the height of the rail.

Local constrictions caused by obstacles in the escape area shall be avoided. The presence of obstacles shall not
reduce the minimum width to less than 0,7 m, and the length of the obstacle shall not exceed 2 m.

Handrails shall be installed approximately 1 m above walkway providing a route to a safe area. Handrails shall
be placed outside the required minimum clearance of the walkway. Handrails shall be angled at 30o to 40o to
the longitudinal axis of the tunnel at the entrance to and exit from an obstacle.

4.2.2.8.

Emergency lighting on escape routes

This specification applies to all continuous tunnels of more than 500 m length.

Emergency lighting shall be provided to guide passengers and staff to a safe area in the event of emergency.

Illumination by means other than electricity is acceptable, provided that it fulfils the intended function.

Illumination is required as follows:

Single-track tube: one side (same as walkway)

Double-track tube: both sides.

Position of lights: above walkway, as low as possible, not to interfere with the free space for the passage of
persons, or built-in into handrails.

The luminance shall be at least 1 lux at walkway level.

Autonomy and reliability: guaranteed power supply for emergency or other requirements to ensure availability
for at least 90 minutes.

If the emergency light is switched off under normal operating conditions, it shall be possible to switch it on by
both of the following means

— manually from inside the tunnel at intervals of 250 m

— by the tunnel operator using remote control

4.2.2.9.

Escape signage

This specification applies to all tunnels of more than 100 m length.

The escape signage indicates the emergency exits, the distance and the direction to a safe area. All signs shall be
designed according to the requirements of Directive 92/58/EC of 24 June 1992 concerning the provision of
health and/or safety signs at work and to ISO 3864-1.

Escape signs shall be installed on the sidewalls. The maximum distance between escape signs shall be 50 m.

Signs shall be provided in the tunnel to indicate the position of emergency equipment, where such equipment
is present.

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4.2.2.10.

Emergency communication

Radio communication between the train and the control centre shall be provided in each tunnel with GSM-R.
There is no need for additional communication systems such as emergency telephones.

Radio continuity shall be provided for permitting the rescue services to communicate with their on-site
command facilities. The system shall allow the rescue services to use their own communication equipment.

4.2.2.11.

Access for rescue services

Rescue services shall be able to enter the tunnel in the case of an incident, via the tunnel portals and/or
appropriate emergency exits (see 4.2.2.6.3). These access routes shall be at least 2,25 m wide and 2,25 m high.
The IM shall describe in the emergency plan those facilities dedicated as access routes.

If road accessibility is required in the emergency plan, it should be as close as possible to the planned rescue
area. Alternative means of access shall be described in the emergency plan.

4.2.2.12.

Rescue areas outside tunnels

Rescue areas of minimum 500 m2 shall be provided near the tunnel at the access roads. Existing roads can be
considered as rescue areas. If road access is not reasonably practicable, alternative solutions shall be provided in
consultation with the rescue services

4.2.2.13. Water supply

Water supply shall be provided at access points to the tunnel in consultation with the rescue services. The
capacity shall be minimum 800 litres per minute for two hours. The water source can be a hydrant or any
water supply of minimum 100 m3 such as a basin, river or other means. The method for bringing the water to
the site of the incident shall be described in the emergency plan.

4.2.3.

Subsystem Energy

This section applies to the infrastructure part of the subsystem Energy.

4.2.3.1.

Segmentation of overhead line or conductor rails

This specification applies to tunnels of more than 5 km in length.

The traction energy supply system in tunnels shall be divided up into sections, each not exceeding 5 km. This
specification applies only if the signalling system permits the presence of more than one train in the tunnel on
each track simultaneously.

The location of the switches shall be arranged in accordance with the requirements of the tunnel emergency
plan, and so that the number of switches in the tunnel is minimised.

Remote control and switching of each ‘switching section’ shall be provided.

A means of communication means and lighting shall be provided at the switching location to enable safe
manual operation and maintenance of the switching equipment.

4.2.3.2.

Overhead line or conductor rail earthing

Earthing devices shall be provided at tunnel access points and close to the separation points between sections
(see 4.2.3.1). These shall be either fitted manually or remote controlled fixed installations.

Communication and lighting means necessary for earthing operations shall be provided.

Procedures and responsibilities for earthing shall be defined between the infrastructure manager (IM) and the
rescue services in the emergency plan (See 4.4.4 Earthing procedures)

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4.2.3.3.

Electricity supply

The electricity power distribution system in the tunnel shall be suitable for rescue services' equipment in
accordance with the emergency plan for the tunnel.

Some national rescue services groups may be self sufficient in relation to power supply. In this case, the option
of not providing power supply facilities for the use of such groups may be appropriate. Such a decision,
however, must be described in the emergency plan.

4.2.3.4.

Requirements for electrical cables in tunnels

In case of fire, exposed cables shall have the characteristics of low flammability, low fire spread, low toxicity
and low smoke density. These requirements are fulfilled by compatibility of the cables with EN 50267-2-1
(1998), EN 50267-2-2 (1998) and EN 50268-2 (1999)

4.2.3.5.

Reliability of electrical installations

Electrical installations relevant for safety (Fire detection, emergency lighting, emergency communication and
any other system identified by the Infrastructure Manager or contracting entity as vital to the safety of
passengers in the tunnel) shall be protected against damage arising from mechanical impact, heat or fire. The
distribution system shall be designed to enable the system to tolerate unavoidable damage by (for example)
energizing alternative links. The electrical supply shall be capable of full operation in the event of the loss of
any one major element. Emergency lights and communication systems shall be provided with 90 minutes
backup.

4.2.4.

Subsystem control-command and signalling

This section applies to the trackside part of the CCS Subsystem.

4.2.4.1.

Hot axle box detectors

Line-side hot axle box detection or predictive equipments shall be installed on networks with tunnels at
strategic positions so that there is a high probability tof detecting a hot axle box before the train enters a tunnel
and that a defective train can be stopped ahead of the tunnel(s).

The IM shall designate line-side hot axle box detectors and their location in the Infrastructure Register. The RU
shall include information about these in the Route Book.

4.2.5.

Subsystem rolling stock

4.2.5.1.

Material properties for rolling stock

The selection of materials and components shall take into account the fire behaviour properties.

Passenger rolling stock: clause 4.2.7.2.2 of HS RST TSI applies also to CR rolling stock.

Freight rolling stock: See clause 4.2.7.2.2.4 of CR RST TSI (freight wagons, version EN07 dated 5.1.2005)
Material requirement

4.2.5.2.

Fire extinguishers for passenger rolling stock

The provisions of clause 4.2.7.2.3.2 of HS RST TSI apply also for CR passenger rolling stock.

4.2.5.3.

Fire protection for freight trains

4.2.5.3.1.

Running capability

No specific running capability with a fire on board is requested for freight traction units or wagons (in addition
to the specifications of CR RST TSI freight wagons) although the objective of bringing the train out of the
tunnel also applies to freight trains. On board fire detectors shall be specified for freight traction units as for
passenger power units (4.2.5.6).

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4.2.5.3.2.

Driver's protection

Minimum requirement for fire protection of the driver: Traction units shall have a fire barrier to protect the
driver's cab. The fire barriers shall satisfy requirements for integrity for a minimum of 15 minutes. The fire
performance test shall be carried out in accordance with the requirements of EN 1363-1 partition test.

(Remark: protection of the driver see also 4.7.1)

4.2.5.3.3.

Fire protection for trains with passengers and freight or road vehicles

In trains transporting passengers and freight or road vehicles, the passenger coaches shall fulfil the relevant
prescriptions of chapter 4.2.5 of this TSI. National laws can specify additional requirements in the field of
operation, in order to account for the additional risk of such trains, as long as these requirements do not
prevent the running of trains complying with Directive 2001/16/EC as amended by Directive 2004/50/EC.
(Exceptions for national, bilateral, multilateral or multinational agreements are listed in chapter 7.4)). Traction
units shall fulfil the requirements for passenger locomotives. For freight wagons, the relevant TSIs apply.

4.2.5.4.

Fire barriers for passenger rolling stock

Clause 4.2.7.2.3.3 of HS RST TSI ‘Fire resistance’ applies also to CR rolling stock,

4.2.5.5.

Additional measures for running capability of passenger rolling stock with a fire on board:

4.2.5.5.1.

General objectives and required running capability for passenger trains

This section includes measures which shall be achieved to improve the probability that a passenger train with a
fire on board will continue to operate for:

— 4 minutes for rolling stock in fire safety category A according to 1.1.3.1. This shall be deemed to be

satisfied by fulfilment of the requirements for brakes (4.2.5.5.2)

— 15 minutes for rolling stock in fire safety category B according to 1.1.3.2. This shall be deemed to be

satisfied by fulfilment of the requirements for brakes and traction (4.2.5.5.2 and 4.2.5.5.3)

For tunnels longer than 20 km, the need for additional infrastructure and operations safety measures shall be
considered. A fire safety category B train complying with the requirements of the relevant TSIs shall not be
prevented from operating in tunnels longer than 20 km.

4.2.5.5.2.

Requirements for brakes

The requirements for brakes in clause 4.2.7.2.4 of the HS RST TSI shall apply also to CR rolling stock of fire
safety categories A and B.

4.2.5.5.3.

Requirement for traction

The requirements for traction in clause 4.2.7.2.4 of the HS RST TSI shall apply also to CR rolling stock of fire
safety category B.

4.2.5.6.

On board fire detectors

The requirements of clause 4.2.7.2.3.1 of the HS RST TSI apply also to CR rolling stock.

4.2.5.7.

Communication means on trains

The requirements of clause 4.2.5.1 of the HS RST TSI apply also to CR rolling stock.

4.2.5.8.

Emergency brake override

The provisions in clause 4.2.5.3 ‘Passenger alarm’ of the HS RST TSI also apply to CR rolling stock.

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4.2.5.9.

Emergency lighting system in the train

The provisions in clause 4.2.7.13 ‘Emergency lighting’ of HS RST TSI apply also to CR passenger rolling stock,
except that an autonomy of 90 minutes after the main energy supply has failed is required

4.2.5.10.

Switching off of air conditioning in the train

The provisions in clause 4.2.7.12.1 HS RST TSI ‘Passenger and train crew areas equipped with air conditioning’
apply also to CR passenger rolling stock

4.2.5.11.

Escape design of passenger rolling stock

4.2.5.11.1. Passengers' emergency exits

Arrangement, operation and signage of emergency exits in CR passenger rolling stock shall satisfy the
requirements of clause 4.2.7.1.1, letters A to C, of HS RST TSI.

4.2.5.11.2. Passenger access door

The doors shall be provided with an individual internal and external emergency-opening device in conformity
with clause 4.2.2.4.2.1, letter g, of the HS RST TSI.

4.2.5.12.

Rescue service's information and access

The rescue services shall be provided with a description of rolling stock to permit them to handle emergencies.
In particular information should be provided on how to obtain access to the interior of the rolling stock.

4.3.

Functional and technical specifications of the interfaces

4.3.1.

General

The SRT TSI being a transverse TSI specifies measures relating to several other subsystems in one of the
following ways:

— Simply referring to a specific clause in the other subsystem

— Referring to a specific clause in the other subsystem and completing it with particular requirements for

railway tunnels (e.g. clause 4.5.1 Inspection of tunnel condition)

— Referring to a specific clause in the other subsystem and declaring that this clause shall also apply to a
subsystem for which currently no TSI exists (e.g. clause 4.2.5.2 ‘Fire extinguishers for passenger rolling
stock’ refers to HS RST TSI 4.2.7.2.3.2 and states that it shall apply also for CR rolling stock).

The list of
recommendations for the CR TSIs that are referred to.

interfaces is given below. References to clauses in other TSIs have to be considered as

4.3.2.

Interfaces with the Infrastructure subsystem

CR SRT TSI

HS INS TSI

4.2.2.7 Escape walkways

4.2.23.2 Emergency walkways in tunnels

4.5.1. Inspection of tunnel condition

4.5.1 Maintenance plan

The references of interfaces to CR INS are to be specified at a later stage, when the CR INS TSI is available

4.3.2.1.

Escape walkways

The definition of escape walkways is described in the CR SRT TSI 4.2.2.7. The HS INS TSI has referred to this
specification. The CR SRT TSI is responsible for it.

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4.3.2.2.

Inspection of tunnel condition

The inspection of tunnel condition is based on the general specifications of the maintenance plan in clause
4.5.1 of HS TSI INS and of the future CR TSI INS with the additional requirements described in clause 4.5.1. of
this TSI.

4.3.3.

Interfaces with the Energy subsystem

CR SRT TSI

HS ENE TSI

4.2.3.1 Segmentation of over head line or conductor

rails

4.2.7. Continuity of power supply in case of

disturbances

The references of interfaces to CR ENE are to be specified at a later stage, when the CR ENE TSI is available

4.3.3.1.

Sectioning of traction energy supply systems

The SRT clause 4.2.3.1 Segmentation of overhead line or conductor rails and the HS ENE TSI clause 4.2.7 deal
with the same issues: sectioning of the overhead contact line system and continuity of operation. They are
linked.

4.3.4.

Interfaces with the Control-Command-Signalling subsystem

4.2.4.1 Detectors for hot axle boxes

4.2.4.1

CR SRT TSI

HS CCS TSI

CR CCS TSI

The hot axle box detectors have to be able to detect a hot axle box. The SRT TSI defines no subsystem
specification, only the location of the hot axle box detectors.

4.3.5.

Interfaces with the Traffic Management and Operation subsystem

CR SRT TSI

HS OPE TSI

CR OPE TSI

4.4.1 Checking the condition of trains and appropriate actions

4.4.3 Tunnel emergency plan and exercises

4.4.5 Route book

4.4.6 Provisions of on-train safety and emergency information

to passengers

4.6.1 Tunnel specific competence of the train crew and other

staff

4.3.5.1.

Tunnel emergency plan and exercises

4.2.2.7.1
4.2.3.3
4.2.3.3.2
4.2.3.6.3
4.2.3.7

4.2.3.7

4.2.1.2.2

4.2.3.7

4.6 and annexes H
and J

In addition to the requirements for the management of emergency situations as described in clause 4.2.3.7 of
the CR OPE TSI, the specific requirements for a tunnel emergency plan are described in clause 4.4.3 of this TSI.

4.3.5.2.

Route book

On lines with tunnels the Route Book has to specify in addition to the requirements described in clause
4.2.1.2.2 of CR OPE TSI, the requirements described in clause 4.4.5 of this TSI.

4.3.5.3.

Provisions of on-train safety and emergency information to passengers

In addition to the requirements for management of the emergency situations as described in clause 4.2.3.7 of
the CR OPE TSI, the tunnel safety specific requirements are described in clause 4.4.6 of this TSI.

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4.3.5.4.

Tunnel specific competence of the train crew and other staff

In addition to the requirements of CR OPE TSI 4.6 dealing with the professional and linguistic competency and
the assessment process required for staff to attain this competency, the SRT TSI clause 4.6.1 specifies the
competences required to manage degraded situations in tunnels.

4.3.6.

Interfaces with the rolling stock subsystem

CR SRT TSI

HS RST TSI

CR WAG TSI

4.2.7.2.1

4.2.5.1 Material properties for rolling stock

4.2.5.2 Fire extinguishers for rolling stock

4.2.5.3 Fire protection for freight trains

4.2.5.4 Fire barriers for passenger rolling stock

4.2.5.5 Additional measures to improve running capability of
passenger rolling stock with a fire on board

4.2.5.6 On board fire detectors

4.2.5.7 Communication means on trains

4.2.5.8 Emergency brake override

4.2.5.9 Emergency lighting system in the train

4.2.5.10 Switching off of air conditioning in the train

4.2.5.11 Escape design of passenger rolling stock

4.2.7.2.2

4.2.7.2.3.2

4.2.7.2.3.3

4.2.7.2.4

4.2.7.2.3.1

4.2.5.1

4.2.5.3

4.2.7.13

4.2.7.12.1

4.2.7.1.1 A-C
4.2.2.4.2.1 g

The references to interfaces with CR RST other than freight wagons are to be specified at a later stage, when the
relevant CR RST TSI is available.

4.3.6.1.

Material properties for rolling stock

Clause 4.2.5.1 specifies the fire behaviour properties of materials and components. It requires the same
properties for CR passenger rolling stock as for HS rolling stock and therefore refers to clause 4.2.7.2.2 of the
HS RST TSI. For CR freight rolling stock, the relevant properties are defined in clause 4.2.7.2.1 of the CR WAG
TSI.

4.3.6.2.

Other rolling stock specifications

The specifications 4.2.5.2, 4.2.5.4 to 4.2.5.11 of the SRT TSI for CR rolling stock are the same as those for HS rolling
stock.

4.3.7.

Interfaces with the PRM subsystem

CR SRT TSI

PRM TSI

4.2.2.7 Escape walkways

4.2.2.3 Wheelchair spaces

4.3.7.1.

Escape walkways

The dimensions for escape walkways are chosen in relation to the CR PRM TSI, where a width of 0,75 m is
requested for the use of wheelchairs.

4.4.

Operating rules

The following operating rules do not form any part of the assessment of the subsystems.

In light of the essential requirements in Chapter 3, the operating rules specific to tunnel safety in the
subsystems concerned by this TSI are as follows:

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4.4.1.

Checking the condition of trains and appropriate actions

The condition of safety relevant equipment on the train shall be checked

— During maintenance of rolling stock, by the RU or by the entity responsible for the maintenance of the

rolling stock (See section 4.5.2)

— Before the train begins its service, by the RU,

— While the train is running, by the RU.

This requirement completes CR OPE TSI 4.2.2.7

4.4.1.1.

Before the train commences its service.

The requirement of CR OPE TSI 4.2.3.3 is important for SRT

4.4.1.2.

While the train is running

The requirements of CR OPE TSI 4.2.3.3.2, 4.2.3.6.3 and 4.2.3.7 are important for SRT

4.4.1.2.1.

Safety-relevant equipment

If one of the following items of equipment is found to be defective while the train is running:

— Public address system,

— Emergency lighting,

— Door unlocking system

— Emergency brake override system

— Fire detection

— Train radio

The RU shall have plans for continuation of safe operation of trains under the resulting degraded conditions or
to stop.

The IM shall be informed immediately by the train crew.

4.4.1.2.2.

Hot axle box incidents

If a hot axle box is detected:

— The defective train shall stop as soon as possible at an appropriate place ahead of the tunnel(s).

— The IM shall be informed of the location where the train stops immediately

— The defective parts shall be checked by the train crew

— The RU shall have rules to permit safe operation to continue under the resulting degraded conditions.

4.4.2.

Emergency rule

The IM's operation rules shall adopt and develop in more detail, if necessary, the principle that in case of an
incident (except a derailment, that requires an immediate stop)

— The train shall be brought to a halt before entering a tunnel, or driven out of a tunnel.

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— In tunnels with underground stations, the train may be evacuated at an underground platform. The
procedures for this situation shall be developed by the IM and the RU and be detailed in the emergency
plan

In all cases, the IM shall be informed immediately by the train crew and no additional scheduled train shall be
permitted to enter the tunnel.

4.4.3.

Tunnel emergency plan and exercises

An emergency plan shall be developed under the direction of the Infrastructure Manager, in co-operation,
where appropriate, with the railway undertakings, the rescue services and the relevant authorities for each
tunnel. It shall fulfil the requirements of CR OPE TSI 4.2.3.7 ‘Managing an emergency situation’ and meet the
following additional specifications.

If the tunnels on the route are similar, the emergency plan may be generic.

4.4.3.1.

Content

The emergency plan shall be consistent with the self-rescue, evacuation and rescue facilities provided.

The emergency plan shall contain as a minimum:

— The tasks, the names, the addresses and telephone numbers of all relevant organisations; any changes in
this respect shall be reported immediately and the emergency plan updated accordingly by the IM.

— The identification of the tunnel must be unique, and a precise description and plan of the access routes

for the rescue services

— The measures provided and the strategy for evacuation of passengers from the tunnel in the event of an
incident in the tunnel. In the event of a prolonged stop (defined in 2.2 Risk scenarios), it shall be possible
to make a decision and to start an appropriate course of action leading to evacuation of passengers (start
real evacuation or have an appropriate evacuation train set in movement) within 60 minutes after the
train has come to a rest. The decision must be based on an assessment of the relative risks of the
passengers remaining on board the train or being moved to a safe area.

— Isolation and Earthing procedures (see 4.4.4)

4.4.3.2.

Identification

All doors leading to emergency exits or cross-passages (see 4.2.2.6.) are to be uniquely defined and marked on
both sides. This identification shall be defined in the emergency plan and in the Route Book and shall be used
in all communications between railway undertakings, the infrastructure manager and the rescue services. Any
relevant change in this respect must be reported immediately; the emergency plan has to be updated
appropriately by the IM and the Route book by the RU according to clause 4.2.1.2.2.2 CR OPE TSI.

4.4.3.3.

Exercises

Prior to opening of a single tunnel or a series of tunnels, a full-scale exercise comprising evacuation and rescue
procedures, involving all categories of personnel defined within the emergency plan, shall take place.

The emergency plan shall define how all organisations involved can be familiarised with the infrastructure and
how often visits to the tunnel and table top or other exercises have to take place.

4.4.4.

Isolation and Earthing procedures

If the rescue services require disconnection of the traction power supply, they shall receive a guarantee that the
relevant sections of catenaries or conductor rails have been disconnected before entering the tunnel or a
section of the tunnel.

It is the responsibility of the infrastructure manager to disconnect the traction power supply. The responsibility
for earthing shall be defined in the emergency plan. Provision shall be made for isolation of the section in
which the incident has taken place.

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4.4.5.

Route Book

The Route Book defined in CR OPE TSI 4.2.1.2.2.1 shall indicate the relevant safety information for tunnels.

4.4.6.

Provision of on-train safety and emergency information to passengers

As specified in the CR OPE TSI 4.2.3.7 the RUs shall have processes to inform passengers of on board
emergency and safety procedures in tunnels. Such information shall be provided in the language of the country
the train is running in as a minimum, plus English. As far as possible, visual information (pictograms) shall be
used. The core content and minimum requirement for information should be:

— Keep corridors, doors, emergency exits and fire extinguishers free of luggage, bicycles etc

— In case of fire, and if you are able to do so, try to extinguish the fire by using the on-board extinguishers

— Alert the train crew.

— If there is no immediate danger, await instructions from the train crew.

— If necessary or if instructed move to another coach

— Once the train is stationary, follow the instructions given by the train crew.

— If leaving the train in the event of an emergency follow the emergency exit signs

— Beware of trains travelling on adjacent tracks

4.4.7.

Co-ordination between tunnel control centres

Co-ordination procedures between the relevant control centres (e.g. energy, operations, tunnel installations)
involved shall be in accordance with the requirements of the emergency plan.

4.5.

Maintenance rules

In light of the essential requirements in Chapter 3, the maintenance rules specific to tunnel safety in the
subsystems concerned by this TSI are as follows:

4.5.1.

Inspection of tunnel condition

This specification applies to all tunnels, independently of their length.

In the maintenance plan, established by the HS INS TSI 4.5.1 and also by the future CR INS TSI, the following
additional inspection rules have to be taken into account:

— annual visual inspections carried out by the IM

— detailed inspections according to the IM's maintenance plan

— special inspections after accidents, natural events that may have affected the tunnel condition

— after and during implementation of renewal and/or upgrading works and before restoring train
operation in a tunnel, an inspection has to be undertaken, with appropriate means, to ensure that the
stability of the structure is guaranteed and that there are no infringements of the gauge.

4.5.2.

Maintenance of rolling stock

4.5.2.1.

Passenger rolling stock

The maintenance plan for rolling stock used to form a passenger train shall specifically include checking the
following safety related equipment:

— Public address system

— Emergency lighting

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— Door unlocking system

— Emergency brake override system

— Switching off of air conditioning

— Train radio

— On-board fire detectors (when installed) test of functioning.

— Escape design

4.5.2.2.

Freight rolling stock

The maintenance plan for traction units used to form a freight train shall specifically include checking the
presence of at least one self-rescue device on a traction unit.

4.6.

Professional qualifications

The professional qualifications of staff required for the operation specific to tunnel safety in the subsystems
concerned by this TSI and in accordance with the operating rules in clause 4.4. of this TSI are as follows:

4.6.1.

Tunnel specific competence of the train crew and other staff

All professional staff driving and accompanying a train, as well as staff that authorise train movements, shall
have the knowledge and the ability to apply that knowledge to manage degraded situations in the event of an
incident. For staff undertaking the tasks of driving and/or accompanying trains, the general requirements are
specified in CR OPE TSI 4.6 ‘Professional qualifications’ and annexes H (Minimum elements relevant to
professional qualification for the task of driving a train) and J (Minimum elements relevant to professional
qualification for the tasks associated with accompanying trains).

All train crew shall have knowledge of the appropriate safety behaviour in tunnels and in particular be able to
evacuate a train in a tunnel. This involves instructing the passengers to go to the next coach or to exit the train,
and to lead them outside the train to a safe place.

Auxiliary train staff (e.g. catering, cleaning), who do not form part of the train crew as defined below shall, in
addition to their basic instruction, be trained to support the actions of the train crew (1).

Professional training of engineers and managers responsible for maintaining and operating the subsystems
shall include the subject of safety in railway tunnels.

4.7.

Health and safety conditions

The health and safety conditions of staff required for operation specific to tunnel safety in the subsystems
concerned by this TSI and for the implementation of the TSI are as follows:

4.7.1.

Self-rescue device

Manned traction units of freight trains shall be equipped with a self-rescue device for the driver and other
persons on board, satisfying the specifications of one of the two standards EN 402:2003 or 403:2004. The RU
has to choose one out of the two different solutions defined in these standards

4.8.

Infrastructure and Rolling stock registers

In accordance with Article 24(1) of Directive 2001/16/EC, each TSI shall indicate precisely the information
that must be included in the registers of infrastructure and of rolling stock.

4.8.1.

Register of infrastructure

See annex A of this TSI

(1) Train crew is defined in the OPE TSI Glossary as follows: Members of the on-board staff of a train, who are certified as competent and
appointed by a Railway Undertaking to carry out specific, designated safety related tasks on the train, for example the driver or the guard.

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4.8.2.

Rolling Stock Register

See Annex B of this TSI

5.

6.

INTEROPERABILITY CONSTITUENTS

There are no interoperability constituent defined in the SRT TSI.

ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITUENTS AND
VERIFICATION OF THE SUBSYSTEM

6.1.

Interoperability constituents

Not applicable, since no interoperability constituent has been defined in SRT TSI.

6.2.

Subsystems

6.2.1.

Conformity assessment (general)

The contracting entity such as a railway undertaking, an infrastructure manager, a rolling stock manufacturer
or an authorised representative established within the community shall lodge an application for assessment of
conformity of the Rolling Stock or Energy or Control-Command and Signalling or Infrastructure subsystems
with a Notified Body of its choice

At the moment, a distinction has to be made between:

— the subsystems for which a TSI already exists: CR CCS, CR OPE, CR RST (wagons)

— the subsystems for which a TSI does not already exist: CR RST other than wagons, CR ENE, CR INS

For the first situation, the assessment against the SRT TSI has to be made within the framework of the
assessment of the relevant subsystem against its specific TSI. For the second situation (CR RST other than
wagons, CR INS and CR ENE), the assessment is either described in this chapter or in the relevant chapters of
the existing HS TSIs (RST, INS, ENE).

Where the specification in CR SRT TSI chapter 4 is adequate, no further information for assessment is provided
in this chapter.

The reference is made in the following table.

Specification

4.2.2.1. Installation of switches and crossings

4.2.2.2 Prevent unauthorised access to emergency exits and equipment

rooms

4.2.2.3 Fire protection requirements for structures

4.2.2.4 Fire safety requirements for building material

4.2.2.5 Fire detection

4.2.2.6 Facilities for self-rescue, evacuation and rescue in the event of an

incident

4.2.2.7 Escape walkways

4.2.2.8 Emergency lighting on escape routes

4.2.2.9 Escape signage

4.2.2.10 Emergency communication

4.2.2.11 Access for rescue services

4.2.2.12 Rescue areas outside tunnels

Reference

CR SRT TSI 6.2.7.1

CR SRT TSI 6.2.7.2

CR SRT TSI 6.2.7.3

CR SRT TSI 4.2.2.4

CR SRT TSI 4.2.2.5

CR SRT TSI 6.2.7.4

CR SRT TSI 4.2.2.7

CR SRT TSI 4.2.2.8

CR SRT TSI 4.2.2.9

CR SRT TSI 6.2.7.5

CR SRT TSI 6.2.7.5

CR SRT TSI 6.2.7.5

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Specification

4.2.2.13 Water supply

Reference

CR SRT TSI 6.2.7.5

4.2.3.1 Segmentation of overhead line or conductor rails

CR SRT TSI 4.2.3.1

4.2.3.2 Overhead line or conductor rail earthing

4.2.3.3 Electricity supply

4.2.3.4 Requirements for electrical cables in tunnels

4.2.3.5 Reliability of electrical installations

4.2.4.1 Hot axle box detectors

CR SRT TSI 6.2.7.5

CR SRT TSI 6.2.7.5

CR SRT TSI 4.2.3.4

CR SRT TSI 6.2.7.6

CR SRT TSI 6.2.7.7

4.2.5.1 Material properties for rolling stock

HS RST TSI/CR WAG TSI

4.2.5.2 Fire extinguishers for passenger rolling stock

HS RST TSI

4.2.5.3 Fire protection for freight trains

CR SRT TSI 4.2.5.3

4.2.5.4 Fire barriers for passenger rolling stock

HS RST TSI

4.2.5.5 Additional measures for running capability of passenger rolling

stock with a fire on board:

CR SRT TSI 4.2.5.5

4.2.5.6 On board fire detectors

4.2.5.7 Communication means on trains

4.2.5.8 Emergency brake override

4.2.5.9 Emergency lighting system in the train

HS RST TSI

HS RST TSI

CR SRT TSI 4.2.5.8

CR SRT TSI 4.2.5.9

4.2.5.10 Switching off of air conditioning in the train

HS RST TSI

4.2.5.11 Escape design of passenger rolling stock

4.2.5.12 Rescue service's information and access

CR SRT TSI 4.2.5.11

CR SRT TSI 6.2.8.1

4.4.1 Checking the condition of trains and appropriate actions

CR OPE TSI

4.4.2 Emergency rule

4.4.3 Tunnel emergency plan and exercises

4.4.4 Earthing procedures

4.4.5 Route Book

CR OPE TSI

CR OPE TSI

CR OPE TSI

CR OPE TSI

4.4.6 Provision of on-train safety and emergency information to passengers

CR OPE TSI

4.4.7 Co-ordination between tunnel control centres

CR OPE TSI

4.5.1 Inspection of tunnel condition

4.5.2 Maintenance of Rolling Stock

CR SRT TSI 6.2.5

CR SRT TSI 6.2.5

4.6.1. Tunnel specific competence of the train crew and other staff

CR SRT TSI 4.6.1

4.7.1. Self-rescue device

CR SRT TSI 6.2.8.2

This Notified Body shall have been authorised:

— Either to assess each of the subsystems mentioned above

— Or to assess one of the subsystems only, but, in such a case, it shall contract arrangements with other
notified bodies notified for assessment of the other subsystems for the assessment of the relevant
requirements concerning the other subsystems (see section 4.2 of this TSI)

The EC declaration(s) of verification in accordance with Article 18(1) and Annex VI of Directive 2001/16/EC
modified by Directive 2004/50/EC, related to the subsystem(s) concerned shall be drawn up by the appli-
cant(s).

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The EC declaration(s) of verification is/are required to obtain authorisation to place the subsystem(s) into
service.

The conformity assessment of a Subsystem shall be performed according to one or a combination of the
following modules according to clause 6.2.2 and Annex E of this TSI:

Modules for the EC verification of subsystems (see Annex F)

Module SB: Type examination for design and development phases

Module SD: Product quality management system for production phase

Module SF: Product verification for production phase

Module SG: Unit verification

Module SH2: Full quality management system with design examination for design, development and
production phases

The approval process and the contents of the assessment shall be defined between the applicant and a Notified
Body according to the requirements defined in this TSI and in conformance with the rules set out in section 7
of this TSI.

6.2.2.

Conformity assessment procedures (modules)

The applicant shall choose one of the modules or module combinations indicated in the following table.

Table

Assessment procedures

Subsystem to be assessed

Module
SB+SD

Module
SB+SF

Module SG

Module SH2

Rolling Stock Subsystem

Energy subsystem

Infrastructure subsystem

Control-Command and Signalling

X

X

X

X

X

X

X

X

X

X

X

The characteristics of the subsystem to be assessed during the relevant phases are indicated in Annex E. The
applicant shall confirm that each subsystem produced complies with the type. An ‘X’ in column 4 of table E in
Annex E indicates that the relevant characteristics shall be verified by testing each single subsystem.

The assessment of the maintenance subsystem is described in clause 6.2.5.

6.2.3.

Existing solutions

If an existing solution is already assessed for an application under comparable conditions and in service, then
the following process applies:

The applicant shall demonstrate that results of tests and verifications for the previous assessment of the
application are in conformity with the requirements of this TSI. In this case the previous type assessment of the
subsystem related characteristics shall remain valid in the new application.

6.2.4.

Innovative solutions

If a subsystem includes an innovative solution as defined in section 4.1, the manufacturer or the contracting
entity shall state the deviation from the relevant clause of the TSI and submit them to the European Railway
Agency (ERA). The ERA shall produce and finalise the appropriate functional and interface specifications of
this solution and develop the assessment methods.

The appropriate functional and interface specifications and assessment methods shall be incorporated in the
TSI by the revision process. After entry into force of a decision of the Commission, taken in accordance with
Article 21(2) of Directive 2001/16/EC, as modified by Directive 2004/50/EC, the innovative solution is
permitted to be used before being incorporated into the TSI.

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6.2.5.

Assessment of maintenance

According to article 18.3 of Directive 2001/16/EC as modified by Directive 2004/50/EC, the Notified Body
shall compile the Technical File, which includes the Maintenance File. That means in particular that the Notified
Body shall verify:

— the existence of the maintenance file,

— the existence for rolling stock inside the maintenance file of the items detailed in clause 4.2.10.2 of the

HS RST TSI,

but it does not have to check the validity of the content of the maintenance file.

The conformity assessment of maintenance is the responsibility the Relevant National Authority.

6.2.6.

Assessment of operational rules

The Railway Undertaking or Infrastructure Manager shall demonstrate compliance with the requirements of
this TSI. They can do this as part of the Safety Management System as described in Directive 2004/49/EC.
Compliance with operation rules of this TSI do not require separate assessment by a Notified Body, unless
required by the OPE TSI.

The relevant Competent Authority shall carry out an assessment of any new or amended operational
procedures and processes, prior to implementation, before granting a new or revised safety authorisation/
certificate. This assessment shall be a part of the process for granting the safety certificate/authorisation.

6.2.7.

Additional requirements for assessment of specifications concerning the IM

6.2.7.1.

Installation of switches and crossings

The Notified body shall check the existence in the technical file of a technical study justifying the location of
switches and crossings in the tunnel and confirming that only the minimum number of switch and crossing
layouts has been installed in accordance with the requirements of 4.2.2.1.

6.2.7.2.

Prevent unauthorised access to emergency exits and equipment rooms

The assessment shall confirm that:

— Emergency exit doors to the surface and doors to equipment rooms are provided with suitable locks

— The locks provided are consistent with the overall strategy for security for the tunnel and adjacent

infrastructure

— Emergency exits are not lockable from the inside and may be opened by an evacuating passenger

— Access arrangements are in place for the rescue services

6.2.7.3.

Fire protection requirements for structures

The Notified Body shall assess conformity with the fire protection requirements for structures, defined in
4.2.2.3, by using the results of calculations made by the Infrastructure Manager or the contracting entity.

6.2.7.4.

Facilities for self-rescue, rescue and evacuation in the event of an incident

The Notified Body shall check that the solution adopted is clearly identified by a statement in the technical file
and is in conformity with the requirements of 4.2.2.6. In the case of 4.2.2.6.5 Alternative technical solution
the Notified Body shall check that the appropriate technical study has been carried out and was subsequently
approved by the Relevant National Authority.

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6.2.7.5.

Access and equipment for rescue services

The Notified Body shall confirm, by verification of the technical file and also considering evidence of
consultation with the rescue services, that the requirements in the following clauses have been met:

— 4.2.2.10 Emergency communication

— 4.2.2.11 Access for rescue services

— 4.2.2.12 Rescue areas outside tunnels

— 4.2.2.13 Water supply

— 4.2.3.2 Overhead line or conductor rail earthing

— 4.2.3.3 Electricity supply

6.2.7.6.

Reliability of electrical installations

The Notified Body shall confirm only that a failure mode assessment complying with the functional
requirements of 4.2.3.5 has been carried out.

6.2.7.7.

Hot axle box detectors

The Notified body shall confirm that hot axle box detectors or predictive equipment has been provided in
accordance with the requirements of clause 4.2.4.1 and that the Infrastructure Manager has established
procedures for action following alarm which prevent suspect rolling stock from entering or stopping in a
tunnel.

6.2.8.

Additional requirements for assessment of specifications concerning the RU

The specifications for CR RST made in this TSI are the same as those described in the HS RST TSI. Therefore
the assessment for rolling stock specifications has to be undertaken in accordance with the assessment
specifications in HS RST TSI chapter 6, except the following clauses where additional requirements and
information is provided:

4.2.5.3 Fire protection for freight trains

4.2.5.12 Rescue services information and access

6.2.8.1.

Rescue service's information and access

The Notified Body shall check by evidence of consultation with the rescue services that the requirements of
4.2.5.12 are satisfied.

6.2.8.2.

Self-rescue device

The conformity assessment is described in EN401:1994, EN402:2003, EN403:2004.

7.

IMPLEMENTATION

This SRT TSI specifies the basic parameters required either in new, renewed and upgraded tunnels (on
conventional lines) or new, renewed and upgraded CR rolling stock, in order to harmonise the current level of
overall safety in tunnels throughout Europe. This can be achieved mainly through an optimal combination of
safety requirements applied to the infrastructure, rolling stock and operation subsystems. In order to make a
gradual transition from the existing situation to the final situation in which compliance with the TSI shall be
the norm, this chapter defines the implementation strategy for the SRT TSI.

7.1.

Application of this TSI to subsystems to be put into service

7.1.1.

General

Chapters 4 to 6 apply in full to the subsystems falling within the geographical scope of this TSI (cf.
paragraph 1.2) which will be put into service after this TSI enters into force

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In particular they refer both to new tunnels and new tunnel projects. For projects at an advanced stage of
development, and for contracts already awarded see Art 7(a) of Directive 2001/16/EC.

7.1.2.

Newly built rolling stock constructed to an existing design

Newly built rolling stock constructed to a design existing before entry into force of this TSI and already
authorised by one or more Member States, for operation on defined lines is permitted to be placed into service
within four years after this TSI enters into force without an assessment of conformity with the SRT TSI, as long
as the train remains on its defined lines of operation.

However, if this rolling stock is intended to run on lines with tunnels > 1 km in length, it shall be equipped
with an emergency brake override device in conformity with clause 4.2.5.8 of this TSI

7.1.3.

Existing rolling stock intended to run in new tunnels

Unless it would lower the overall level of safety defined by notified national rules, no restriction shall be placed
upon the operation of existing trains in respect of TSI compliant tunnels.

7.2.

Application of this TSI to subsystems already in service

7.2.1.

Introduction

Subsystems already in service will be upgraded and renewed in accordance with the conditions laid down in
Article 14(3) of the Directive 2001/16/EC.

In this particular context, the migration strategy (see 7.2.2) indicates the manner in which each existing
subsystem inside the tunnel undergoing renewal or to upgrading processes shall be adapted to meet the
requirements of the TSI.

Upgrading and renewal are defined in Directive 2001/16EC Art 2, alineas l, m, and n. However, the measures
prescribed thereafter all apply to both upgrading and renewal actions.

To enable a proactive implementation of this TSI, Member States are encouraged to promote and support the
implementation strategy. Whenever subsystems of a tunnel section or of rolling stock already in service are to
be upgraded or renewed, the opportunity to include other parts that are not included within the plans for
upgrade and renewal, but that can be brought into conformity with this TSI, should be considered, particularly
where there are significant safety benefits and improvement can be achieved at limited additional cost.

In the event that a subsystem relevant to tunnel safety is re-assessed against any other TSI as a result of renewal
or upgrading works it shall only require re-assessment against this TSI in respect of those systems and
components directly affected by the works.

7.2.2.

Upgrade and renewal measures for tunnels of more than 1 km, subsystems INS and ENE

When upgrading or renewal of parts of the following subsystems affecting tunnel safety are undertaken, then
the following measures shall be implemented. Assemblies and components that are not included in the scope
of a particular upgrade or renewal programme do not have to be made compliant at the time of such a
programme.

7.2.2.1.

INS

— 4.5.1 Inspection of tunnel condition (responsible entity: IM)

— 4.2.2.2 Prevent unauthorised access to emergency exits and equipment rooms (responsible entity: IM)

— 4.2.2.4 Fire safety requirements for building materials (only for the new material to be installed.

Responsible entity: IM, procurement entity)

— 4.2.2.9 Escape signage (responsible entity: IM)

— 4.2.2.10 Emergency communication (responsible entity: IM)

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7.2.2.2.

ENE

4.2.3.4 Requirements for electrical cables in tunnels, when replacing cables (responsible entity: IM)

7.2.3.

Upgrade and renewal measures for the subsystems CCS, OPE, RST

When upgrading or renewal of parts of the following subsystems affecting tunnel safety are undertaken, then
the following measures shall be implemented. Assemblies and components that are not included in the scope
of a particular upgrade or renewal programme do not have to be made compliant at the time of such a
programme.

7.2.3.1.

CCS: no measure required

7.2.3.2.

OPE:

OPE measures shall be implemented in existing tunnels independently of renewal or upgrading actions in other
subsystems, according to the requirements in CR OPE TSI chapter 7

— 4.4.3 Tunnel emergency plan and exercises (responsible: IM)

— 4.4.4 Earthing procedures (responsible: IM)

— 4.4.5 Route book (responsible: RU)

— 4.6.1 Tunnel specific competence of the train crew and other staff (responsible: IM and RU)

— 4.4.6 Provision of on-train safety and emergency information to passengers (responsible: RU)

7.2.3.3.

RST (Passenger rolling stock)

— 4.2.5.1 Material properties for rolling stock (only for the new material to be installed) (responsible: RU,

procurement entity)

— 4.2.5.2 Fire extinguishers for passenger rolling stock (responsible: RU, procurement entity)

— 4.2.5.7 Communication means on trains (responsible: RU, procurement entity)

— 4.2.5.8 Emergency brake override (responsible: RU) except for locomotive-hauled trains where national

decisions shall apply

— 4.2.5.9 Emergency lighting system in the train (responsible: RU, procurement entity)

— 4.2.5.10 Switching off air conditioning in the train (responsible: RU)

— 4.2.5.11.1 Escape design of passenger rolling stock (responsible: RU, procurement entity)

— 4.2.5.12 Rescue services information and access (responsible: RU, procurement entity)

The measures required for freight wagons are as specified in the CR RST TSI (freight wagons).

7.2.4.

Other existing tunnels

This TSI does not apply to existing subsystems not subject to renewal or upgrading. It is not applicable to
tunnels shorter than 1 000 m subject to upgrade or renewal.

In order to harmonise the safety level on the TEN, attention is drawn to the recommendation of UNECE
(TRANS/AC.9/9, 01.12.2003 that says in part E ‘There are a great many tunnels already in service. Many of them
were built when safety considerations were less stringent than today. Obviously they cannot be adapted at reasonable cost to

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the dimensions suggested for new tunnels. But safety in railway tunnels does not depend only on structural measures — it
can be enhanced also through rolling stock and operational measures.

Therefore, the Group recommends that safety plans (2) for existing tunnels should be established, assessing their safety level
and proposing to raise this level, if necessary, through measures that could be realized at reasonable costs. The Group
expects these measures to be selected among the minimal standard measures for new tunnels, the first priority being given
to non-structural measures.’

7.3.

TSI revision

In conformity with article 6(3) of Directive 2001/16/EC as modified by Directive 2004/50/EC, the Agency
‘shall be responsible for preparing the review and updating of TSIs and making appropriate recommendations
to the Committee referred to in Article 21 in order to take account of developments in technology or social
requirements’.

In addition, the progressive adoption and revision of other TSIs may also impact this TSI. Proposed changes to
this TSI shall be subject to rigorous review and updated TSIs will be published on an indicative periodic basis
of 3 years.

The Agency shall be notified of any innovative solutions under consideration in order to determine its future
inclusion within the TSI.

7.4.

Exceptions for national, bilateral, multilateral or multinational agreements

7.4.1.

Existing agreements

Where agreements contain requirements related to tunnels, then Member States shall notify the Commission,
within 6 months after the entry into force of this TSI, of the following agreements under which trains related
to the scope of this TSI are operated:

(a)

(b)

(c)

national, bilateral or multilateral agreements between Member States and Railway Undertakings or
Infrastructure Managers, agreed on either a permanent or a temporary basis and necessitated by the very
specific or local nature of the intended transport service;

bilateral or multilateral agreements between Railway Undertakings, Infrastructure Managers or Member
States which deliver significant levels of local or regional interoperability;

international agreements between one or more Member States and at least one third country, or between
Railway Undertakings or Infrastructure Managers of Member States and at least one Railway Undertaking
or Infrastructure Manager of a third country, which deliver significant levels of
local or regional
interoperability.

The compatibility of these agreements with EU legislation including their non discriminatory character and, in
particular, this TSI, will be assessed and the Commission will take the necessary measures such as, for example,
the revision of this TSI to include possible specific cases or transitional measures.

These agreements remain permitted until the necessary measures are taken including EU level agreements
related to this TSI with Russian Federation and all the other CIS countries having a border with the EU.

The RID Agreement and COTIF instruments shall not be notified because they are known.

7.4.2.

Future agreements or modification of existing agreements

Any future agreement or modification of existing agreements shall take into account EU legislation and, in
particular, this TSI. Member States shall notify the Commission with such agreements/modifications. The same
procedure as § 7.4.1 then applies.

(2)

Safety plan is defined in part D of the UNECE-recommendations.

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7.5.

Specific cases

7.5.1.

Introduction

The following special provisions are permitted in the specific cases below.

These specific cases belong to two categories: the provisions apply either permanently (case ‘P’), or temporarily
(case ‘T’). In temporary cases, it is recommended that the Member States concerned should conform with the
relevant subsystem either by 2010 (case ‘T1’), an objective set out in Decision No 1692/96/EC of the European
Parliament and of the Council of 23 July 1996 on Community guidelines for the development of the trans-
European transport network, or by 2020 (case ‘T2’).

7.5.2.

List of specific cases

None

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ANNEX A

INFRASTRUCTURE REGISTER

Requirements for the Infrastructure Register

Data Item

Interoperability Critical

Safety Critical

Basic Data

Type of traffic (passengers, freight, dangerous goods or a combination,
including freight-passenger regimes)

Type of line

Start and end of tunnel (in line kilometres)

Type of tunnel (single, double bored)

Location of underground station (position in tunnel — or line — km)

Technical information

tunnel length (in m)

maximum speed (in km/h) Speed regime (minimum and max speeds for types
or trains

Cross section (in m2)

location of emergency exits (in line kilometres)

Type of emergency exit (shaft with stairs, elevator, horizontal, length of passage)

For double bored tunnels: location of cross passages

Emergency lighting

Emergency communication (System, channel, etc.)

location of access for rescue services

location of rescue areas

fire extinguishing water tubes (existing, dry, filled)

volume of fire extinguishing water capacity

(

)

overhead line earthing device (automatic/manual)

> 5 km: segmentation of overhead line, location of switches

minimum width of escape walkway

loading gauge (two level coaches)

Extra available safety measures (type and location):

Length of underground station (in m)

Distance to surface of underground station (in m)

Access/exit facilities of underground station (stairs, elevator, escalator)

Ventilation of underground station

Special fire protection measures in underground station (e.g. water mist)

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Data Item

Interoperability Critical

Safety Critical

Operational information

Name of all railway control centres involved

Name of responsible rescue control centre

Name of other control centres involved

Emergency plan (yes/no)

Required fire safety category of passenger rolling stock (1.1.3)

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ANNEX B

ROLLING STOCK REGISTER

Requirements for the rolling stock register

Data Item

Interoperability Critical

Safety Critical

Basic Data

Name of rolling stock

Type

A.
B.
C.

a.
b.
c.
d.
e.
f.
g.
h.

High-speed
Conventional
Freight

Electrical locomotive
Diesel locomotive
EMU
DMU
Normal Passenger coach
Double deck passenger coach
Sleeping car
Others (e.g. steam)

Fire safety category of passenger rolling stock (A or B, see 1.1.3)

Rolling stock not made for operation in tunnels

Technical information

Hot axle box detectors (on board or not)

Material fire properties (ignitability)

Fire barriers (locations, minutes)

Emergency brake override (yes/no)

On board fire detectors (traction unit, technical cabinets etc.)

Communication means on trains (yes/no)

Communication to control centre (yes/no)

Emergency lighting system in the train (yes/no)

Switching off of air conditioning (local and/or central, manual and/or
automatically)

Passengers' emergency exits (type and distance in meters)

Provision of on-train safety and emergency information to passengers (yes/no &
languages)

Rescue service's information and access

The rolling stock register also requires basic information like:

2.

Parties involved

— Owner or keeper

— Notified body that has certified the rolling stock.

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— National authority that has notified the notified body.

— National authority that emitted the authorisation for placing into service

3.

Conformity assessment:

— Certificate of conformity

— EC declaration of verification

— Authorisation for placing in service

— TSI's that have been applied

ANNEX C

OPEN POINTS

Conformity assessment procedure for maintenance rules referred to in Chapter 6 — section F4

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THE RELATIONSHIP BETWEEN INCIDENT TYPES AND MEASURES

ANNEX D

As suggested in a workshop with DG TREN and rescue services, the three ‘umbrella’ risk scenarios defined in section 2.2

— 2.2.1 ‘Hot’ incidents: fire, explosion followed by fire, emission of toxic smoke or gases

— 2.2.2 ‘Cold’ incidents: collision derailment

— 2.2.3 Prolonged stop: spontaneous evacuation

have been correlated to the measures defined in this TSI. The following table shows the qualitative relationship between the
incident types and the measures, indicating which measures deal with each type of incident.

The line of defence for the promotion of safety in tunnels comprises four successive layers: Prevention, mitigation,
evacuation and rescue.

As an example: for ‘hot’ incidents, the underlying strategy is:

Prevention the use of appropriate designs of materials (4.2.5.1) with a low flammability reduces the risk of a starting of a
fire. In addition checking (4.4.1) the condition of a train and appropriate action limits the start of a fire.

Mitigation: the use of appropriate designs of materials (4.2.5.1) with low fire spread considerably reduces the amount of heat
and smoke release and the speed of fire spreading in passenger trains. The use of fire extinguishers (4.2.5.2) could limit the
growth of fire. If a fire is discovered, the alarm (4.2.5.7) is raised. Passengers will first seek refuge in a sound part of the train
and are protected by fire barriers (4.2.5.4) for class B trains. Air conditioning is switched off to prevent spread of smoke
(4.2.5.10). Whenever possible the train leaves the tunnel. The emergency brake override system (4.2.5.8) prevents an
unwanted stop in a tunnel and additional measures are present to maintain the running capability (4.2.5.5) of a train with a
fire on board.

Evacuation and rescue: In case a train comes to an unwanted stop in the tunnel, the use of appropriate designs of materials
(4.2.5.1) with low fire spread, low toxicity and low smoke density of the material contributes to maintain a tunnel climate
acceptable for evacuation. If the train comes to a stop, passengers are evacuated, directed by the train crew (4.6.1), to a safe
area. The rolling stock (4.2.5.11) and the tunnel infrastructure (4.2.2.6 — 4.2.2.10) are designed to allow for evacuation in a
tunnel. The rescue services are informed how to obtain access to the tunnels (4.2.2.11) and to the interior of the rolling
stock (4.2.5.12)

Legend: INS, ENE, CCS measures blue, RST measures green, OPE measures yellow

A

Hot incident

Prevention

Mitigation

Evacuation and rescue

Fire, explosion,
toxic gas
release

4.2.5.1 Material properties for
rolling stock

4.2.5.1 Material properties for
rolling stock

4.2.5.1 Material properties for
rolling stock

4.4.1 Checking the condition of
trains and appropriate
action

4.2.2.4 Fire safety requirements

4.2.2.3 Fire protection require-

for building material

ments for structures

4.2.3.1 Segmentation of over-
head line or conductor
rails

4.2.2.7 Escape walkways

4.2.3.4 Requirement for electrical
cables in tunnels

4.2.2.8 Emergency lighting on
escape routes

4.2.3.5 Reliability of electrical
installations

4.2.2.10 Emergency communica-

tion

4.2.4.1 Hot axle box detectors

4.2.2.11 Access for rescue services

4.2.5.2 Fire extinguishers for

passenger rolling stock

4.2.2.12 Rescue areas outside

tunnels

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Prevention

Mitigation

Evacuation and rescue

4.2.5.3 Fire protection for freight

trains

4.2.2.13 Water supply

4.2.5.4 Fire barriers for passenger

rolling stock

4.2.3.2 Overhead line or conduc-
tor rail earthing

4.2.5.5 Additional measures for

running capability of
passenger rolling stock

4.2.3.3 Electricity supply

4.2.5.7 Communication means

on trains

4.2.5.11 Escape design of passen-
ger rolling stock

4.2.5.8 Emergency brake override 4.2.5.12 Rescue services informa-

tion and access

4.2.5.9 Emergency lighting
system in the train

4.4.3 Tunnel emergency plan and

exercises

4.2.5.10 Switching off of air

condition in the train

4.4.2 Emergency rule

4.4.4 Earthing procedures

4.7.1 Self-rescue device (for staff

of freight trains)

4.4.5 Route book

4.4.6 Provision of on-train safety
and emergency information
to passengers

4.4.7 Coordination between tun-
nel and control centres

4.6.1 Tunnel-specific competence
of the train crew and other
staff

B

Cold incident

Prevention

Mitigation

Evacuation and rescue

Collision,
derailment

4.2.2.1 Installation of switches
and crossings

4.2.3.1 Segmentation of over-
head line or conductor
rails

4.2.2.6 Facilities for self-rescue,

evacuation and rescue in
the event of an incident

4.5.1 Inspection of tunnel condi-

tion

4.2.3.5 Reliability of electrical
installations

4.2.2.7 Escape walkways

4.2.5.7 Communication means

on trains

4.2.2.8 Emergency lighting on
escape routes

4.2.2.9 Escape signage

4.4.5 Route book

4.2.2.10 Emergency communica-

tion

4.4.6 Provision of on-train safety
and emergency information
to passengers

4.2.2.11 Access for rescue services

4.4.7 Coordination between tun-
nel and control centres

4.2.2.12 Rescue areas outside

tunnels

4.6.1 Tunnel-specific competence
of the train crew and other
staff

4.2.2.13 Water supply

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Prevention

Mitigation

Evacuation and rescue

4.4.2 Emergency rule

4.2.3.2 Overhead line or conduc-
tor rail earthing

4.2.5.9 Emergency lighting
system in the train

4.2.3.3 Electricity supply

4.2.5.11 Escape design of passen-
ger rolling stock

4.2.5.12 Rescue services informa-
tion and access

4.4.3 Tunnel emergency plan and

exercises

4.4.4 Earthing procedures

C

Prolonged stop

Prevention

Mitigation

Evacuation and rescue

Spontaneous
evacuation

4.2.5.7 Communication means

on trains

4.4.2 Emergency rule

4.2.2.6 Facilities for self-rescue,

evacuation and rescue in
the event of an incident

4.4.6 Provision of on-train safety
and emergency information
to passengers

4.4.7 Coordination between tun-
nel and control centres

4.6.1 Tunnel-specific competence
of the train crew and other
staff

4.2.5.9 Emergency lighting sys-
tem in the train

4.4.3 Tunnel emergency plan and

exercises

4.2.2.7 Escape walkways

4.2.2.8 Emergency lighting on
escape routes

4.2.2.9 Escape signage

4.2.2.10 Emergency communica-

tion

4.2.2.11 Access for rescue services

4.2.2.12 Rescue areas outside

tunnels

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ANNEX E

ASSESSMENT OF THE SUBSYSTEMS

E.1

Scope

This annex indicates the assessment of conformity of the subsystems

E.2 Characteristics and modules

The sub-system characteristics that must be assessed in the different phases of design, development and production are
marked by X in Table E.

Table E

Assessment

1

2

3

4

5

6

Design and
development
phase

Production phase

Characteristics to be assessed

Design review

Construction,
assembling,
mounting

Assembly
(before putting
into service)

Validation under
full operation
condition

4.2.2.1.

4.2.2.2.

4.2.2.3.

4.2.2.4.

Installation of switches and
crossings

Prevent unauthorised access to
emergency exits and equipment
rooms

Fire protection requirements
for structures

Fire safety requirements for
building material

4.2.2.5.

Fire detection

4.2.2.6.

Facilities for self-rescue,
evacuation and rescue in the
event of an incident

4.2.2.6.1.

Definition of safe area

4.2.2.6.2.

General

4.2.2.6.3.

Lateral and/or vertical emer-
gency exits to the surface.

4.2.2.6.4.

Cross-passages to the other
tube

4.2.2.6.5.

Alternative technical solutions

4.2.2.7.

Escape walkways

4.2.2.8.

Emergency lighting on escape
routes

4.2.2.9.

Escape signage

4.2.2.10.

Emergency communication

4.2.2.11.

Access for rescue services

4.2.2.12.

Rescue areas outside tunnels

4.2.2.13. Water supply

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

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2

3

4

5

6

Design and
development
phase

Production phase

Characteristics to be assessed

Design review

Construction,
assembling,
mounting

Assembly
(before putting
into service)

Validation under
full operation
condition

4.2.3.1.

Segmentation of overhead line
or conductor rails

4.2.3.2.

Overhead line or conductor rail
earthing

4.2.3.3.

Electricity supply

4.2.3.4.

Requirements for electrical
cables in tunnels

4.2.3.5.

Reliability of electrical installa-
tions

4.2.5.1.

Material properties for rolling
stock

4.2.5.2.

Fire extinguishers for passenger
rolling stock

4.2.5.3.

Fire protection for freight trains

4.2.5.4.

Fire barriers for passenger roll-
ing stock

4.2.4.1.

Hot axle box detectors

4.2.5.5.

Additional measures for run-
ning capability of passenger
rolling stock with a fire on
board:

4.2.5.5.1.

General objectives and required
running capability for passen-
ger trains

4.2.5.5.2.

Requirements for brakes

4.2.5.5.3.

Requirement for traction

4.2.5.6.

On board fire detectors

4.2.5.7.

Communication means on
trains

4.2.5.8.

Emergency brake override

4.2.5.9.

Emergency lighting system in
the train

4.2.5.10.

Switching off of air condition-
ing in the train

4.2.5.11

Escape design of passenger
rolling stock

4.2.5.12.

Rescue service's information
and access

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

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2

3

4

5

6

Design and
development
phase

Production phase

Characteristics to be assessed

Design review

Construction,
assembling,
mounting

Assembly
(before putting
into service)

Validation under
full operation
condition

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4.4.1

4.5.1.

4.5.2.

Checking the conditions of
trains and appropriate actions
Note: section 6.2.6 explains why
the assessment of operational rules
shall be the responsibility of the
Safety Authority of each Member
State concerned, and why they do
not require separate assessment by
a Notified Body. The specifications
in chapters 4.4 and 4.6 therefore
are not mentioned in this table.

Inspection of tunnel condition

Maintenance of rolling stock

4.7.1.1.

Self-rescue masks

X

X

X

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ANNEX F

MODULES FOR THE EC VERIFICATION OF SUBSYSTEMS

F.1.

List of the modules

Modules for Subsystems

— Module SB: Type examination

— Module SD: Product quality management system

— Module SF: Product verification

— Module SG: Unit verification

— Module SH2: Full quality management system with design examination

Module for Maintenance Arrangements

— Module Conformity Assessment Procedure

F.2. Modules for Interoperability Constituents

Not applicable (no interoperability constituents)

F.3. Modules for the EC Verification of Subsystems

F.3.1. Module SB: Type Examination

1.

This module describes the EC verification procedure whereby a notified body checks and certifies at the request of an
contracting entity or its authorised representative established within the Community, that a type of an infrastructure,
energy, control-command or rolling stock subsystem, representative of the production envisaged,

— complies with this TSI and any other applicable TSI, which demonstrate that the essential requirements (1) of

Directive 01/16/EC have been met

— complies with the other regulations deriving from the Treaty.

The type examination defined by this module could include specific assessment phases — design review, type test or
review of manufacturing process, which are specified in the relevant TSI.

2.

The contracting entity (2) shall lodge an application for EC verification (through type examination) of the subsystem
with a notified body of his choice.

The application shall include :

— name and address of the contracting entity or its authorised representative

— the technical documentation, as described in point 3.

3.

The applicant shall place at the disposal of the notified body a specimen of the subsystem (3), representative of the
production envisaged and hereinafter called ‘type’.

A type may cover several versions of the subsystem provided that the differences between the versions do not affect
the provisions of the TSI.

(1) The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set out in

(2)

Chapter 4 of the TSI.
In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the directive or his authorised representative
established within the Community’.

(3) The relevant section of a TSI may define specific requirements in this regard.

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The notified body may request further specimens if needed for carrying out the test programme.

If so required for specific test or examination methods and specified in the TSI or in the European specification (4)
referenced to in the TSI, a specimen or specimens of a subassembly or assembly or a specimen of the subsystem in a
pre-assembled condition shall to be provided.

The technical documentation and specimen(s) shall enable the design, manufacture, installation, maintenance and
operation of the subsystem to be understood, and shall enable conformity with the provisions of the TSI to be
assessed.

The technical documentation shall include:

— a general description of the subsystem, overall design and structure,

— the infrastructure or rolling stock register, including all information as specified in the TSI

— conceptual design and manufacturing information,

for example drawings,

schemes of components,

subassemblies, assemblies, circuits, etc.,

— descriptions and explanations necessary for the understanding of the design and manufacturing information,

the maintenance and the operation of the subsystem,

— the technical specifications, including European specifications, that have been applied,

— any necessary supporting evidence for the use of the above specifications,

in particular where European

specifications and the relevant clauses have not been applied in full,

— a list of the interoperability constituents to be incorporated into the subsystem,

— copies of the EC declarations of conformity or suitability for use of interoperability constituents and all the

necessary elements defined in annex VI of the directives,

— evidence of conformity with the other regulations deriving from the treaty (including certificates)

— technical documentation regarding the manufacture and the assembly of the subsystem,

— a list of manufacturers, involved in the subsystem's design, manufacturing, assembly and installation,

— conditions for use of the subsystem (restrictions of running time or distance, wear limits etc),

— conditions for maintenance and technical documentation regarding the maintenance of the subsystem

— any technical requirement that shall be taken into account during production, maintenance or operation of the

subsystem

— results of design calculations made, examinations carried out, etc.,

— test reports.

If the TSI requires further information for the technical documentation, this shall be included.

4.

The notified body shall:

4.1. Examine the technical documentation,

4.2. Verify that the specimen(s) of the subsystem or of assemblies or subassemblies of the subsystem, has (have) been
manufactured in conformity with the technical documentation, and carry out or have carried out the type tests in
accordance with the provisions of the TSI and the appropriate European specifications. Such manufacture shall be
verified using an appropriate assessment module.

4.3. Where a design review is requested in the TSI, perform an examination of the design methods, the design tools and
the design results to evaluate their capability to fulfil the requirements for conformity for the subsystem at the
completion of the design process

(4) The definition of an European specification is indicated in the directives 96/48/EC and 01/16/EC. The guide for application of HS TSIs

explains the way to use the European Specifications.

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4.4.

Identify the elements which have been designed in accordance with the relevant provisions of the TSI and the
European specifications as well as the elements which have been designed without applying the relevant provisions of
those European specifications;

4.5. Perform or have performed the appropriate examinations and necessary tests in accordance with points 4.2. and 4.3
to establish where the relevant European specifications have been chosen, these have actually been applied;

4.6. Perform or have performed the appropriate examinations and necessary tests in accordance with point 4.2. and 4.3. to
the TSI when the appropriate European

the requirements of

establish whether the solutions adopted meet
specifications have not been applied.

4.7. Agree with the applicant the location where the examinations and necessary tests will be carried out.

5. Where the type meets the provisions of the TSI, the notified body shall issue a type-examination certificate to the
applicant. The certificate shall contain the name and address of the contracting entity and the manufacturer(s)
indicated in the technical documentation, conclusions of the examination, conditions for its validity and the necessary
data for identification of the approved type.

A list of the relevant parts of the technical documentation shall be annexed to the certificate and a copy kept by the
notified body.

If the contracting entity is denied a type-examination certificate, the notified body shall provide detailed reasons for
such denial.

Provision shall be made for an appeals procedure.

6.

7.

8.

9.

Each notified body shall communicate to the other notified bodies the relevant information concerning the type-
examination certificates issued, withdrawn or refused

The other notified bodies may receive on request copies of the type-examination certificates issued and/or their
additions. The annexes to the certificates shall be kept at the disposal of the other notified bodies.

The contracting entity shall keep with the technical documentation copies of type-examination certificates and any
additions throughout the service life of the subsystem. It shall be sent to any member state which so requests.

During the production phase, the applicant shall inform the notified body that holds the technical documentation
concerning the type-examination certificate of all modifications which may affect
the conformity with the
requirements of the TSI or the prescribed conditions for use of the subsystem. The subsystem shall receive additional
approval in such cases. In this case, the notified body shall perform only those examinations and tests, those are
relevant and necessary to the changes. This additional approval may be given either in the form of an addition to the
original type-examination certificate, or by issue of a new certificate after withdrawal of the old certificate.

F.3.2. Module SD: Production Quality Management System

1.

This module describes the EC verification procedure whereby a notified body checks and certifies, at the request of an
contracting entity or its authorised representative established within the Community, that an infrastructure, energy or
rolling stock subsystem, for which already a type-examination certificate has been issued by a notified body,

— complies with this TSI and any other applicable TSI, which demonstrate that the essential requirements (5) of

Directive 01/16/EC have been met

— complies with the other regulations deriving from the Treaty,

and may be placed in service.

2.

The notified body carries out the procedure, under the condition, that:

— the type examination certificate issued prior to the assessment remains valid for the subsystem subject to the

application,

(5) The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set out in

Chapter 4 of the TSI.

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— the contracting entity (6) and the main contractor involved are satisfying the obligations of point 3.

The ‘main contractor’ refers to companies, whose activities contribute to fulfil the essential requirements of the TSI. It
concerns:

— the company responsible for the whole subsystem project (including in particular responsibility for subsystem

integration),

— other companies only involved in a part of the subsystem project, (performing for example assembly or

installation of the subsystem).

It does not refer to manufacturer sub contractors supplying components and interoperability constituents.

3.

For the subsystem that is subject of the EC verification procedure, the contracting entity, or the main contractor when
employed, shall operate an approved quality management system for manufacture and final product inspection and
testing as specified in point 5 and which shall be subject to surveillance as specified in point 6.

When the contracting entity itself is responsible for the whole subsystem project (including in particular responsibility
for subsystem integration), or the contracting entity is directly involved in the production (including assembly and
installation), it has to operate an approved quality management system for those activities, which shall be subject to
surveillance as specified in point 6.

If a main contractor is responsible for the whole subsystem project (including in particular responsibility for
subsystem integration), it shall operate in any case an approved quality management system for manufacture and final
product inspection and testing, which shall be subject to surveillance as specified in point 6.

EC verification procedure

4.1. The contracting entity shall lodge an application for EC verification of the subsystem (through production quality
management system), including co-ordination of the surveillance of the quality management systems, as under point
5.3 and 6.5. with a notified body of its choice. The contracting entity shall inform the manufacturers involved of this
choice and of the application.

The application shall enable the design, manufacture, assembly,
installation, maintenance and operation of the
subsystem to be understood, and shall enable conformity with the type as described in the type-examination
certificate and the requirements of the TSI to be assessed.

The application shall include:

— name and address of the contracting entity or its authorised representative

— the technical documentation regarding the approved type, including the type examination certificate, as issued

after completion of the procedure defined in module SB,

and, if not included in this documentation,

— a general description of the subsystem, its overall design and structure,

— the technical specifications, including European specifications (7), that have been applied,

— any necessary supporting evidence for the use of the above specifications, in particular where these
European specifications, and the relevant clauses have not been applied in full. This supporting evidence
shall include the results of tests carried out by the appropriate laboratory of the manufacturer or on his
behalf.

— the infrastructure or rolling stock register, including all information as specified in the TSI,

— the technical documentation regarding the manufacture and the assembly of the subsystem,

(6)

In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the directive. or his authorised representative
established within the Community’.

(7) The definition of an European specification is indicated in the directives 96/48/EC and 01/16/EC. The guide for application of HS TSIs

explains the way to use the European Specifications

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— evidence of conformity to other regulations deriving from the treaty (including certificates) for the

production phase

— a list of the interoperability constituents to be incorporated into the subsystem,

— copies of the EC declarations of conformity or suitability for use with which the constituents shall be

provided, and all the necessary elements defined in annex VI of the directives,

— a list of manufacturers, involved in the subsystem's design, manufacturing, assembly and installation,

— the demonstration, that all stages, as mentioned under point 5.2, are covered by quality management systems of
the contracting entity, if involved, and/or of the main contractor, and the evidence of their effectiveness,

— indication of the notified body, responsible for the approval and surveillance of these quality management

systems.

4.3. The notified body shall fist examine the application concerning the validity of the type examination and the type

examination certificate.

If the notified body considers the type examination certificate no longer remains valid or is not appropriate and that a
new type examination is necessary, it shall justify its decision.

Quality management system

5.1. The contracting entity, if involved, and the main contractor, when employed, shall lodge an application for assessment

of their quality management systems with a notified body of their choice.

The application shall include:

— all relevant information for the subsystem envisaged,

— the quality management system documentation.

— the technical documentation of the approved type and a copy of the type examination certificate, issued after

the completion of the type examination procedure of module SB.

For those only involved in a part of the subsystem project, the information to be provided is only that for the relevant
part.

5.2. For the contracting entity or the main contractor responsible for the whole subsystem project, the quality
management systems shall ensure overall compliance of the subsystem with the type as described in the type-
examination certificate and overall compliance of the subsystem with the requirements of the TSI. For other
contractors, their quality management system(s) has (have) to ensure compliance of their relevant contribution to the
subsystem with the type as described in the type-examination certificate and with the requirements of the TSI.

All the elements, requirements and provisions adopted by the applicant(s) shall be documented in a systematic and
orderly manner in the form of written policies, procedures and instructions. This quality management system
documentation shall ensure a common understanding of the quality policies and procedures such as quality
programmes, plans, manuals and records.

It shall contain in particular an adequate description of the following items for all applicant(s):

— the quality objectives and the organisational structure,

— the corresponding manufacturing, quality control and quality management techniques, processes and systematic

actions that will be used,

— the examinations, checks and tests that will be carried out before, during and after manufacture, assembly and

installation, and the frequency with which they will be carried out,

— the quality records, such as inspection reports and test data, calibration data, qualification reports of the

personnel concerned, etc.,

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and also for the contracting entity or the main contractor responsible for the whole subsystem project:

— responsibilities and powers of the management with regard to overall subsystem quality, including in particular

the subsystem integration management.

The examinations, tests and checking shall cover all of the following stages:

— structure of subsystem,

including,

in particular, civil-engineering activities, constituent assembly,

final

adjustment,

— final testing of the subsystem,

— and, where specified in the TSI, the validation under full operation conditions.

5.3. The notified body chosen by the contracting entity shall examine, if all stages of the subsystem as mentioned under
point 5.2 are sufficiently and properly covered by the approval and surveillance of the quality management system(s)
of the applicant(s) (8).

If the conformity of the subsystem with the type as described in the type-examination certificate and the compliance
of the subsystem with the requirements of the TSI is based on more than one quality management system, the notified
body shall examine in particular,

— if the relations and interfaces between the quality management systems are clearly documented

— and if overall responsibilities and powers of the management for the compliance of the whole entire subsystem

for the main contractor are sufficiently and properly defined.

5.4. The notified body referenced to in point 5.1. shall assess the quality management system to determine whether it
satisfies the requirements referenced in point 5.2. It presumes compliance with these requirements if the applicant
implements a quality system for production, final product inspection and testing in respect of the Standard EN/ISO
9001-2000, which takes into consideration the specificity of the subsystem for which it is implemented.

When an applicant operates a certified quality management system, the notified body shall take this into account in
the assessment.

The audit shall be specific for the subsystem concerned, taking into consideration the specific contribution of the
applicant to the subsystem. The auditing team shall have at least one member experienced as an assessor in the
subsystem technology concerned. The evaluation procedure shall
include an assessment visit to the applicant's
premises.

The decision shall be notified to the applicant. The notification shall contain the conclusions of the examination and
the reasoned assessment decision.

5.5. The contracting entity, if involved, and the main contractor shall undertake to fulfil the obligations arising out of the

quality management system as approved and to uphold it so that it remains adequate and efficient.

They shall keep the notified body that has approved the quality management system, informed of any significant
change that will affect the fulfilment of the TSI requirements by the subsystem.

The notified body shall evaluate the modifications proposed and decide whether the amended quality management
system will still satisfy the requirements referenced in point 5.2 or whether a re-assessment is required.

lt shall notify its decision to the applicant. The notification shall contain the conclusions of the examination and the
reasoned assessment decision.

6.

Surveillance of the quality management system(s) under the responsibility of the notified body

6.1. The purpose of surveillance is to make sure that the contracting entity, if involved, and the main contractor, duly fulfil

the obligations arising out of the approved quality management system(s).

(8)

For the rolling stock TSI, the notified body may participate to the final in service test of locomotives or train set in the conditions
specified in the relevant chapter of the TSI.

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6.2. The contracting entity, if involved, and the main contractor shall send to the notified body referenced in point 5.1 (or
have sent) all the documents needed for that purpose including the implementation plans and technical records
concerning the subsystem (as far as relevant for the specific contribution of the applicants to the subsystem), in
particular:

— the quality management system documentation, including the particular means implemented to ensure that:

— for the contracting entity or main contractor, responsible for the whole subsystem project,

overall responsibilities and powers of the management for the compliance of the whole entire subsystem are
sufficiently and properly defined,

— for each applicant,

the quality management system is correctly managed for achieving integration at subsystem level,

— the quality records as foreseen by the manufacturing part (including assembly and installation) of the quality
management system, such as inspection reports and test data, calibration data, qualification reports of the
personnel concerned, etc.

6.3. The notified body shall periodically carry out audits to make sure that the contracting entity, if involved, and the main
contractor, maintain and apply the quality management system and shall provide an audit report to them. When those
operate a certified quality management system, the notified body shall take this into account in the surveillance.

The frequency of the audits shall be at least once a year, with at least one audit during the time period of performing
relevant activities (manufacture, assembly or installation) of the subsystem being the subject of the EC verification
procedure mentioned under point 8.

6.4. Additionally the notified body may pay unexpected visits to the relevant sites of the applicant(s). At the time of such
visits, the notified body may conduct complete or partial audits and may carry out or cause to be carried out tests, in
order to check the proper functioning of the quality management system where necessary. It shall provide the
applicant(s) with an inspection report and also, audit and/or test reports, as appropriate.

6.5. The notified body chosen by the contracting entity and responsible for the EC verification, if not carrying out the
surveillance of all the quality management system(s) concerned, shall co ordinate the surveillance activities of any
other notified body responsible for that task, in order:

— to be ensured that correct management of interfaces between the different quality management systems relating

to subsystem integration has been performed,

— to collect, in liaison with the contracting entity, the necessary elements for the assessment to guarantee the

consistency and the overall supervision of the different quality management systems.

This co ordination includes the rights of the notified body:

— to receive all documentation (approval and surveillance), issued by the other notified bodies,

— to witness the surveillance audits in point 6.3,

— to initiate additional audits as in point 6.4 under its responsibility and together with the other notified bodies.

The notified body as referenced in point 5.1. shall have entrance for inspection purposes, audit and surveillance to the
locations of building sites, production workshops, locations of assembly and installations, storage areas and where
appropriate, prefabrication and testing facilities and, more general, to all premises which it considers necessary in
order to carry out its tasks, in accordance with the applicant's specific contribution to the subsystem project.

The contracting entity, if involved, and the main contractor shall, for a period of 10 years after the last subsystem has
been manufactured, keep at the disposal of the national authorities:

7.

8.

— the documentation referenced in the second indent of the second subparagraph of point 5.1,

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— the updating referenced in the second subparagraph of point 5.5,

— the decisions and reports from the notified body, which are, referenced in points 5.4, 5.5 and 6.4.

9. Where the subsystem meets the requirements of the TSI, the notified body shall then, based on the type examination
and the approval and surveillance of the quality management system(s), draw up the certificate of conformity intended
for the contracting entity, who shall in turn draw up the EC declaration of verification intended for the supervisory
authority in the Member State within which the subsystem is located and/or operates.

The EC declaration of verification and the accompanying documents shall be dated and signed. The declaration shall
be written in the same language of the technical file and shall contain at least the information included in Annex V of
the Directive.

10. The notified body chosen by the contracting entity shall be responsible for compiling the technical file that has to
accompany the EC declaration of verification. The technical file shall include at least the information indicated in the
Art 18 (3) of the Directive, and in particular as follows:

— all necessary documents relating to the characteristics of the subsystem,

— a list of interoperability constituents incorporated into the subsystem,

— copies of the EC declarations of conformity and, where appropriate, of the EC declarations of suitability for use,
which said constituents shall be provided in accordance with Article 13 of the Directive, accompanied, where
appropriate, by the corresponding documents (certificates, quality management system approvals and
surveillance documents) issued by the notified bodies,

— all elements relating to the maintenance, the conditions and limits for use of the subsystem,

— all elements relating to the instructions concerning servicing, constant or routine monitoring, adjustment and

maintenance,

— the type-examination certificate for the subsystem and the accompanying technical documentation as defined in

the module SB,

— evidence of conformity with other regulations deriving from the treaty (including certificates)

— certificate of conformity of the notified body as mentioned under point 9, accompanied by corresponding
verification and/or calculation notes and countersigned by itself, stating that the project complies with the
Directive and the TSI, and mentioning, where appropriate, reservations recorded during performance of the
activities and not withdrawn. The certificate should also be accompanied by the inspection and audit reports
drawn up in connection with the verification, as mentioned in points 6.3 and 6.4 and in particular:

— the infrastructure or rolling stock register, including all information as specified in the TSI.

11.

Each notified body shall communicate to the other notified bodies the relevant information concerning the quality
management system approvals issued, withdrawn or refused.

The other notified bodies may receive on request copies of the quality management system approvals issued.

12. The records accompanying the certificate of conformity shall be lodged with the contracting entity.

The contracting entity within the Community shall keep a copy of the technical file throughout the service life of the
subsystem and for a further period of three years; it shall be sent to any other Member State which so requests.

F.3.3. Module SF: Product Verification

1.

This module describes the EC verification procedure whereby a notified body checks and certifies at the request of an
contracting entity or its authorised representative established within the Community, that an infrastructure, energy or
rolling stock subsystem, for which a type-examination certificate has already been issued by a notified body,

— complies with this TSI and any other applicable TSI, which demonstrate that the essential requirements (9) of

Directive 01/16/EC have been met

(9) The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set out in

Chapter 4 of the TSI.

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— complies with the other regulations deriving from the Treaty

— and may be placed into service

2.

The contracting entity (10) shall
subsystem with a notified body of his choice.

lodge an application for EC verification (through product verification) of the

The application shall include :

— The name and address of the contracting entity or its authorised representative

— the technical documentation.

3. Within that part of the procedure the contracting entity checks and attests that the subsystem concerned is in
conformity with the type as described in the type examination certificate and satisfies the requirements of the TSI that
apply to it.

The notified body shall carrying out the procedure under the condition that the type examination certificate issued
prior to the assessment remains valid for the subsystem subject to the application.

The contracting entity shall take all measures necessary in order that the manufacturing process (including assembly
and integration of interoperability constituents by main contractor (11) when employed) ensures conformity of the
subsystem with the type as described in the type-examination certificate and with the requirements of the TSI that
apply to it.

The application shall enable the design, manufacture, installation, maintenance and operation of the subsystem to be
understood, and shall enable conformity with the type as described in the type-examination certificate and the
requirements of the TSI to be assessed.

4.

5.

The application shall include:

— the technical documentation regarding the approved type, including the type examination certificate, as issued

after completion of the procedure defined in module SB,

and, if not included in this documentation,

— a general description of the subsystem, overall design and structure,

— the infrastructure or rolling stock register, including all information as specified in the TSI,

— conceptual design and manufacturing information,

for example drawings,

schemes of components,

subassemblies, assemblies, circuits, etc.,

— the technical documentation regarding the manufacture and the assembly of the subsystem,

— the technical specifications, including European specifications (12), that have been applied,

— any necessary supporting evidence for the use of the above specifications, in particular where these European

specifications and the relevant clauses have not been applied in full,

— evidence of conformity to other regulations deriving from the treaty (including certificates) for the production

phase

— a list of the Interoperability Constituents, to be incorporated into the subsystem,

— copies of the EC declarations of conformity or suitability for use with which said constituents shall be provided

and all the necessary elements defined in annex VI of the directives,

— a list of manufacturers involved in the subsystem's design, manufacture, assembly and installation,

(10)

In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the directive or his authorised representative
established within the Community’.

(11) The ‘main contractor’ refers to companies, whose activities contribute to fulfil essential requirements of the TSI. It concerns the company
that can be responsible for the whole subsystem project or other companies only involved in a part of the subsystem project, (performing
for example assembly or installation of the subsystem).

(12) The definition of an European specification is indicated in the directives 96/48/EC and 01/16/EC. The guide for application of HS TSIs

explains the way to use the European Specifications.

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If the TSI requires further information for the technical documentation, this shall be included.

6.

The notified body shall first examine the application concerning the validity of the type examination and the type
examination certificate.

If the notified body considers the type examination certificate no longer remains valid or is not appropriate and that a
new type examination is necessary, it shall justify its decision.

The notified body shall carry out the appropriate examinations and tests in order to check the conformity of the
subsystem with the type, as described in the type examination certificate and with the requirements of the TSI. The
notified body shall examine and testing of every subsystem manufactured as a serial product, as specified in point 4.

7.

Verification by examination and testing of every subsystem (as a serial product)

7.1. The notified body shall carry out the tests, examinations and verifications, to ensure conformity of the subsystems, as
serial products as provided for in the TSI. The examinations, tests and checking shall extend to the stages as provided
for in the TSI.

7.2. Each subsystem (as serial product) shall be individually examined, tested and verified (13) in order to verify its
conformity with the type as described in the type-examination certificate and the requirements of the TSI that apply to
it. When a test is not set out in the TSI, (or in a European Standard quoted in the TSI), the relevant European
Specifications or equivalent tests are applicable.

8.

The notified body shall agree with the contracting entity (and the main contractor) the locations where the tests will be
carried out and shall agree that final testing of the subsystem and, whenever required in the TSI, tests or validation
under full operating conditions, are carried out by the contracting entity under direct supervision and attendance of
the notified body.

The notified body shall have entrance for testing and verification purposes to production workshops, locations of
assembly and installations, and where appropriate, prefabrication and testing facilities in order to carry out its tasks as
provided for in the TSI.

9. Where the subsystem meets the requirements of the TSI, the notified body shall draw up the certificate of conformity
intended for the contracting entity, which in turn draws up the EC declaration of verification intended for the
supervisory authority in the Member State where the subsystem is located and/or operates.

These NB activities shall be based on the type examination and the tests, verifications and checks carried out on all
serial products as indicated in point 7 and required in the TSI and/or in the relevant European specifications.

The EC declaration of verification and the accompanying documents shall be dated and signed. The declaration shall
be written in the same language of the technical file and shall contain at least the information included in Annex V of
the Directive.

10. The notified body shall be responsible for compiling the technical file that has to accompany the EC declaration of
verification. The technical file shall include at least the information indicated in Art.18 (3) of the Directives, and in
particular as follows:

— all necessary documents relating to the characteristics of the subsystem

— the infrastructure or rolling stock register, including all information as specified in the TSI,

— the list of interoperability constituents incorporated into the subsystem,

— copies of the EC declarations of conformity and, where appropriate, of the EC declarations of suitability for use,
which the constituents shall be provided in accordance with Article 13 of the Directive, accompanied, where
appropriate, by the corresponding documents (certificates, quality management system approvals and
surveillance documents) issued by the notified bodies,

— all elements relating to the maintenance, the conditions and limits for use of the subsystem,

— all elements relating to the instructions concerning servicing, constant or routine monitoring, adjustment and

maintenance,

— the type-examination certificate for the subsystem and accompanying technical documentation, as defined in

the module SB

(13)

In particular, for the rolling stock TSI, the notified body will participate in the final in service testing of rolling stock or train set. This will
be indicated in the relevant chapter of the TSI.

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— certificate of conformity of the notified body as mentioned in point 9, accompanied by corresponding
calculation notes and countersigned by itself, stating that the project complies with the directive and the TSI,
and mentioning, where appropriate, reservations recorded during performance of activities and not withdrawn.
The certificate should also be accompanied, if relevant, by the

— inspection and audit reports drawn up in connection with the verification.

11. The records accompanying the certificate of conformity shall be lodged with the contracting entity.

The contracting entity shall keep a copy of the technical file throughout the service life of the subsystem and for a
further period of three years; it shall be sent to any other Member State which so requests.

F.3.4. Module SG: Unit verification

1.

This module describes the EC verification procedure whereby a notified body checks and certifies, at the request of an
contracting entity or its authorised representative established within the Community, that an infrastructure, energy,
control-command or rolling stock subsystem

— complies with this TSI and any other applicable TSI, which demonstrate that the essential requirements (14) of

Directive 01/16/EC have been met

— complies with the other regulations deriving from the Treaty,

and may be placed in service.

2.

The contracting entity (15) shall lodge an application for EC verification (through unit verification) of the subsystem
with a notified body of his choice.

The application shall include:

— name and address of the contracting entity or its authorised representative

— the technical documentation.

3.

The technical documentation shall enable the design, manufacture, installation and operation of the subsystem to be
understood, and shall enable conformity assessment with the requirements of the TSI.

The technical documentation shall include:

— a general description of the subsystem, its overall design and structure,

— the infrastructure or rolling stock register, including all information as specified in the TSI,

— conceptual design and manufacturing information, for example drawings, schemes of components, sub-

assemblies, assemblies, circuits, etc.,

— descriptions and explanations necessary for the understanding of the design and manufacturing information,

the maintenance and the operation of the subsystem,

— the technical specifications, including European specifications (16), that have been applied,

— any necessary supporting evidence for the use of the above specifications,

in particular where European

specifications and the relevant clauses have not been applied in full,

— a list of the interoperability constituents to be incorporated into the subsystem,

— copies of the EC declarations of conformity or suitability for use with which said constituents shall be provided

and all the necessary elements defined in annex VI of the directives,

(14) The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set out in

(15)

Chapter 4 of the TSI.
In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the directive or his authorised representative
established within the Community’.

(16) The definition of an European specification is indicated in the directives 96/48/EC and 01/16/EC. The guide for application of HS TSIs

explains the way to use the European Specifications.

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— evidence of conformity with other regulations deriving from the treaty (including certificates)

— technical documentation regarding the manufacture and the assembly of the subsystem,

— a list of manufacturers involved in the subsystem's design, manufacturing, assembly and installation,

— conditions for use of the subsystem (restrictions of running time or distance, wear limits etc),

— conditions for maintenance and technical documentation regarding the maintenance of the subsystem,

— any technical requirement that shall be taken into account during production, maintenance or operation of the

subsystem,

— results of design calculations made, examinations carried out, etc.,

— all other appropriate technical evidences, which can demonstrate that previous checking or tests have been

successfully performed, under comparable conditions, by independent and competent bodies

If the TSI requires further information for the technical documentation, this shall be included.

4.

The notified body shall examine the application and the technical documentation, and identify the elements which
have been designed in accordance with the relevant provisions of the TSI and the European specifications, as well as
the elements which have been designed without applying the relevant provisions of those European specifications.

The notified body shall examine the subsystem and verify that the appropriate and necessary tests to establish
whether, where the relevant European specifications have been chosen, these have actually been applied or whether
the solutions adopted meet the requirements of the TSI when the appropriate European specifications have not been
applied.

The examinations, tests and checks shall extend to the following stages as provided for in the TSI:

— overall design

— structure of the subsystem, including, in particular and when relevant, civil-engineering activities, constituent

assembly, overall adjustments

— final testing of the subsystem

— and, whenever specified in the TSI, the validation under full operational conditions.

The notified body may take into account evidence of examinations, checking or tests that have been successfully
performed, under comparable conditions by other bodies (17) or by (or on the behalf of) the applicant, when this is
specified by the relevant TSI. The notified body will then decide as to whether it shall use the results of these checks or
tests.

The evidences gathered by the notified body shall be suitable and sufficient to show the conformity with the
requirement of the TSI and that all required and appropriate checks and tests have been carried out.

Any evidence to be used that originates from other parties shall be considered prior to any tests or checks being
carried out, since the notified body may wish to undertake any assessment, witnessing or review of the tests or checks
at the time they are performed.

(17) The conditions to entrust checking and tests must be similar than the conditions, respected by a notified body to subcontract activities

(see § 6.5 of the Blue Guide on the New Approach).

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The extent of such other evidence shall be justified by documented analysis using, among others, the factors listed
below (18). This justification shall be included in the technical file.

In all case the notified body keeps the final responsibility of them.

5.

6.

The notified body shall agree with the contracting entity the locations where the tests will be carried out and shall
agree that final subsystem tests and, whenever required in the TSI, tests in full operating conditions, are carried out by
the contracting entity under direct supervision and attendance of the notified body.

The notified body shall have entrance for testing and verification purposes to the locations of design, building sites,
production workshops, locations of assembly and installations, and where appropriate, prefabrication and testing
facilities in order to carry out its tasks as provided for in the TSI.

7. Where the subsystem meets the requirements of the TSI, the notified body shall then, based on the tests, verifications
and checks carried out as required in the TSI and/or in the relevant European specifications, draw up the certificate of
conformity intended for the contracting entity, who shall in turn draw up the EC declaration of verification intended
for the supervisory authority in the Member State where the subsystem is located and/or operates.

The EC declaration of verification and the accompanying documents shall be dated and signed. The declaration shall
be written in the same language as the technical file and shall contain at least the information included in Annex V of
the Directive.

8.

The notified body shall be responsible for compiling the technical file that has to accompany the EC declaration of
verification. The technical file has to include at least the information indicated in Art.18 (3) of the Directive, and in
particular as follows:

— all necessary documents relating to the characteristics of the subsystem

— the list of interoperability constituents incorporated into the subsystem,

— copies of the EC declarations of conformity and, where appropriate, of the EC declarations of suitability for use,
which the constituents shall be provided in accordance with Article 13 of the Directive, accompanied, where
appropriate, by the corresponding documents (certificates, quality management system approvals and
surveillance documents) issued by the notified bodies,

— all elements relating to the maintenance, the conditions and limits for use of the subsystem,

— all elements relating to the instructions concerning servicing, constant or routine monitoring, adjustment and

maintenance,

— certificate of conformity of the notified body as mentioned in point 7, accompanied by verification and/or
corresponding calculation notes and countersigned by itself, stating that the project complies with the directive
and the TSI, and mentioning, where appropriate, reservations recorded during performance of activities and not
withdrawn; the certificate should also be accompanied, if relevant, by the inspection and audit reports drawn up
in connection with the verification,

— evidence of conformity with other regulations deriving from the treaty (including certificates)

— the infrastructure or rolling stock register, including all information as specified in the TSI.

(18) The notified body shall investigate the various parts of the subsystem work and establish before, during and on completion of the work:

— the risk and safety implications of the subsystem and its various parts
— the use of existing equipment and systems:

— used identically as before
— used before but adapted for use in the new work

— the use of existing designs, technologies, materials and production techniques.
— the arrangements for design, production, testing and commissioning
— the operational and service duty
— previous approvals from other competent bodies
— the accreditations of other involved bodies:

— it is permissible for the nb to take account of valid accreditation to EN45004, providing that no conflict of interest exists,

that accreditation covers the testing being performed and that accreditation is current.

— where no formal accreditation exists, the nb shall confirm that the systems for control of competence, independence,
testing and material handling processes, facilities and equipment and other processes relevant to the contribution to the
subsystem are controlled.

— in all cases, the notified body shall consider the appropriateness of the arrangements and decide the level of witnessing

required

— the use of homogenous lots and systems consistent with module f.

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9.

The records accompanying the certificate of conformity shall be lodged with the contracting entity

The contracting entity shall keep a copy of the technical file throughout the service life of the subsystem and for a
further period of three years; it shall be sent to any other Member State which so requests.

F.3.5. Module SH2: Full Quality Management System with Design Examination

1.

This module describes the EC verification procedure whereby a notified body checks and certifies, at the request of an
contracting entity or its authorised representative established within the Community, that an infrastructure, energy,
control-command or rolling stock subsystem

— complies with this TSI and any other applicable TSI, which demonstrate that the essential requirements (19) of

Directive 01/16/EC have been met

— complies with the other regulations deriving from the Treaty and may be placed in service

2.

The notified body shall carry out the procedure,
including a design examination of the subsystem, under the
condition, that the contracting entity (20) and the main contractor involved are satisfying the obligations of point 3.

The ‘main contractor’ refers to companies, whose activities contribute to fulfil the essential requirements of the TSI. It
concerns the company:

— responsible for the whole subsystem project (including in particular responsibility for subsystem integration),

— other companies involved only in a part of the subsystem project (performing for example design, assembly or

installation of the subsystem).

It does not refer to manufacturer sub contractors supplying components and interoperability constituents.

3.

For the subsystem that is subject of the EC verification procedure, the contracting entity or the main contractor, when
employed, shall operate an approved quality management system for design, manufacture and final product inspection
and testing as specified in point 5 and which shall be subject to surveillance as specified in point 6

The main contractor responsible for the whole subsystem project (including in particular responsibility for subsystem
integration), shall operate in any case an approved quality management system for design, manufacture and final
product inspection and testing, which shall be subject to surveillance as specified in point 6.

In the case that the contracting entity itself is responsible for the whole subsystem project (including in particular
responsibility for subsystem integration) or that the contracting entity is directly involved in the design and/or
production (including assembly and installation), it shall operate an approved quality management system for those
activities, which shall be subject to surveillance as specified in point 6.

Applicants which are only involved in assembly and installation, are permitted to operate only an approved quality
management system for manufacture and final product inspection and testing

4.

EC verification procedure

4.1. The contracting entity shall

the subsystem (through full quality
management system with design examination), including co ordination of surveillance of the quality management
systems as in points 5.4. and 6.6., with a notified body of its choice. The contracting entity shall inform the
manufacturers involved of his choice and of the application.

lodge an application for EC verification of

4.2. The application shall enable the design, manufacture, assembly,

installation, maintenance and operation of the

subsystem to be understood, and shall enable conformity with the requirements of the TSI to be assessed.

The application shall include:

— name and address of the contracting entity or its authorised representative,

(19) The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set out in

(20)

Chapter 4 of the TSI.
In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the directive or his authorised representative
established within the Community’.

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— the technical documentation including:

— a general description of the subsystem, overall design and structure,

— the technical design specifications, including European specifications (21), that have been applied,

— any necessary supporting evidence for the use of the above specifications,
European specificationsand the relevant clauses have not been applied in full.

in particular where the

— the test programme

— the infrastructure or rolling stock register, including all information as specified in the TSI,

— the technical documentation regarding the manufacture, the assembly of the subsystem,

— a list of the interoperability constituents to be incorporated into the subsystem,

— copies of the EC declarations of conformity or suitability for use with which the constituents shall be

provided and all the necessary elements defined in annex VI of the directives,

— evidence of conformity to other regulations deriving from the treaty (including certificates)

— a list of all manufacturers, involved in the subsystem's design, manufacturing, assembly and installation,

— conditions for use of the subsystem (restrictions of running time or distance, wear limits etc),

— conditions for maintenance and technical documentation regarding the maintenance of the subsystem

— any technical requirement that shall be taken into account during production, maintenance or operation

of the subsystem

— the explanation, of how all stages, as mentioned in point 5.2, are covered by quality management systems of the

main contractor and/or of the contracting entity, if involved, and the evidence of their effectiveness,

— indication of the notified body (ies) responsible for the approval and surveillance of these quality management

systems.

4.3. The contracting entity shall present the results of examinations, checking and tests (22) including type tests when

required, carried out by its appropriate laboratory or on their behalf.

4.4. The notified body shall examine the application concerning the design examination and assess the results of the tests.
Where the design meets the provisions of the Directive and of the TSI that apply to it shall issue a design examination
certificate to the applicant. The certificate shall contain the conclusions of the design examination, conditions for its
validity, the necessary data for identification of the design examined and, if relevant, a description of the subsystem's
functioning.

If the contracting entity is denied a design examination certificate, the notified body shall provide detailed reasons for
such denial.

Provision shall be made for an appeals procedure.

4.5. During the production phase, the applicant shall inform the notified body that holds the technical documentation
concerning the design examination certificate of all modifications which may affect the conformity with the
requirements of the TSI or the prescribed conditions for use of the subsystem. The subsystem shall receive additional
approval in such cases. In this case, the notified body shall perform only those examinations and tests, those are
relevant and necessary to the changes. This additional approval may be given either in the form of an addition to the
original design examination certificate, or by issue of a new certificate after withdrawal of the old certificate.

(21) The definition of an European specification is indicated in the directives 96/48/EC and 01/16/EC. The guide for application of HS TSIs

explains the way to use the European Specifications.

(22) The presentation of the results of the tests can be at the same time as the application or later.

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5.

Quality management system

5.1. The contracting entity, if involved, and the main contractor, when employed, shall lodge an application for assessment

of their quality management systems with a notified body of their choice.

The application shall include:

— all relevant information for the subsystem envisaged,

— the quality management system documentation.

— For those only involved in a part of the subsystem project, the information to be provided is only that for

the relevant part.

5.2. For the contracting entity or the main contractor responsible for the whole subsystem project, the quality

management system shall ensure overall compliance of the subsystem with the requirements of the TSI.

The quality management system(s),
contribution to the subsystem, with the requirements of the TSI.

for other contractors, has (have) to ensure compliance of

their relevant

All the elements, requirements and provisions adopted by the applicants shall be documented in a systematic and
orderly manner in the form of written policies, procedures and instructions. This quality management system
documentation shall ensure a common understanding of the quality policies and procedures such as quality
programmes, plans, manuals and records.

The system shall contain in particular an adequate description of the following items:

— for all applicants:

— the quality objectives and the organisational structure,

— the corresponding manufacturing, quality control and quality management techniques, processes and

systematic actions that will be used,

— the examinations, checking and tests that will be carried out before, during and after design, manufacture,

assembly and installation and the frequency with which they will be carried out,

— the quality records, such as inspection reports and test data, calibration data, qualification reports of the

personnel concerned, etc.,

— for the main contractor, as far as relevant for its contribution to the design of the subsystem:

— the technical design specifications, including European specifications that will be applied and, where the
European specifications will not be applied in full, the means that will be used to ensure that the
requirements of the TSI that apply to the subsystem will be met,

— the design control and design verification techniques, processes and systematic actions that will be used

when designing the subsystem,

— the means to monitor the achievement of the required design and subsystem quality and the effective

operation of the quality management systems in all phases including production.

— and also for the contracting entity or the main contractor responsible for the whole subsystem project:

— responsibilities and powers of the management with regard to overall subsystem quality, including in

particular the subsystem integration management.

The examinations, tests and checking shall cover all of the following stages:

— overall design,

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— structure of the subsystem,

including,

in particular, civil-engineering activities, constituent assembly, final

adjustment,

— final testing of the subsystem,

— and, where specified in the TSI, the validation under full operation conditions.

5.3. The notified body chosen by the contracting entity shall examine, if all stages of the subsystem as mentioned in point
5.2 are sufficiently and properly covered by the approval and surveillance of the quality management system(s) of the
applicant(s) (23).

If the compliance of the subsystem with the requirements of the TSI is based on more than one quality management
system, the notified body shall examine in particular,

— if the relations and interfaces between the quality management systems are clearly documented

and if overall responsibilities and powers of the management for the compliance of the whole entire
subsystem for the main contractor are sufficiently and properly defined.

5.4. The notified body referenced in point 5.1. shall assess the quality management system to determine whether it satisfies
the requirements of point 5.2. It presumes compliance with these requirements if the applicant implements a quality
system for design, production, final product inspection and testing in respect of the Standard EN/ISO 9001-2000,
which takes into consideration the specificity of the subsystem for which it is implemented.

When an applicant operates a certified quality management system, the notified body shall take this into account in
the assessment.

The audit shall be specific for the subsystem concerned, taking into consideration the specific contribution of the
applicant to the subsystem. The auditing team shall have at least one member experienced as an assessor in the
subsystem technology concerned. The evaluation procedure shall
include an assessment visit to the applicant's
premises.

The decision shall be notified to the applicant. The notification shall contain the conclusions of the examination and
the reasoned assessment decision.

5.5. The contracting entity, if involved, and the main contractor shall undertake to fulfil the obligations arising out of the

quality management system as approved and to uphold it so that it remains adequate and efficient.

They shall keep the notified body that has approved their quality management system informed of any significant
change that will affect the fulfilment of the requirements by the subsystem.

The notified body shall evaluate any modifications proposed and decide whether the amended quality management
system will still satisfy the requirements of point 5.2 or whether a re-assessment is required.

It shall notify its decision to the applicant. The notification shall contain the conclusions of the examination and the
reasoned assessment decision.

6.

Surveillance of the quality management system(s) under the responsibility of the notified body

6.1. The purpose of surveillance is to make sure that the contracting entity, if involved, and the main contractor duly fulfil

the obligations arising out of the approved quality management system(s).

6.2. The contracting entity, if involved, and the main contractor shall send the notified body referenced in point 5.1. (or
have sent) all the documents needed for that purpose and in particular the implementation plans and technical records
concerning the subsystem (as far as relevant for the specific contribution of the applicant to the subsystem), including:

— the quality management system documentation, including the particular means implemented to ensure that

— for the contracting entity or the main contractor, responsible for the whole subsystem project,

overall responsibilities and powers of the management for the compliance of the whole entire subsystem
are sufficiently and properly defined,

(23)

In particular, for the rolling stock TSI, the notified body will participate in the final in service testing of rolling stock or train set. This will
be indicated in the relevant chapter of the TSI.

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— for each applicant,

the quality management system is correctly managed for achieving integration at subsystem level,

— the quality records as foreseen by the design part of the quality management system, such as results of analyses,

calculations, tests, etc.,

— the quality records as foreseen by the manufacturing part (including assembly, installation and integration) of
the quality management system, such as inspection reports and test data, calibration data, competency records
of the personnel concerned, etc.

6.3. The notified body shall periodically carry out audits to make sure that the contracting entity, if involved, and the main
contractor maintain and apply the quality management system and shall provide an audit report to them. When they
operate a certified quality management system, the notified body shall take this into account in the surveillance.

The frequency of the audits shall be at least once a year, with at least one audit during the time period of performing
the relevant activities (design, manufacture, assembly or installation) for the subsystem being the subject of the EC
verification procedure mentioned in point 4.

6.4. Additionally the notified body may pay unexpected visits to the sites mentioned in point 5.2 of the applicant(s). At the
time of such visits, the notified body may conduct complete or partial audits and may carry out or cause to be carried
out tests in order to check the proper functioning of the quality management system where necessary. It shall provide
the applicant(s) with an inspection report and audit and/or test reports as appropriate.

6.5. The notified body chosen by the contracting entity and responsible for the EC verification, if not carrying out the
surveillance of all the quality management system(s) concerned as under point 5, shall co ordinate the surveillance
activities of any other notified bodies responsible for that task, in order:

— to be ensured that correct management of interfaces between the different quality management systems relating

to subsystem integration has been performed.

— to collect, in liaison with the contracting entity, the necessary elements for the assessment to guarantee the

consistency and the overall supervision of the different quality management systems.

This co ordination includes the right of the notified body

— to receive all documentation (approval and surveillance), issued by the other notified body(s),

— to witness the surveillance audits as in point 5.4.,

— to initiate additional audits as in point 5.5. under its responsibility and together with the other notified body(s).

The notified body as referenced under point 5.1. shall have entrance for inspection purposes, audit and surveillance to
the locations of design, building sites, production workshops, locations of assembly and installation, storage areas and.
where appropriate, prefabrication or testing facilities and, more general, to all premises which it considers necessary
for its task, in accordance with the applicant's specific contribution to the subsystem project.

The contracting entity, if involved, and the main contractor shall, for a period of 10 years after the last subsystem has
been manufactured, keep at the disposal of the national authorities:

7.

8.

— the documentation referenced in the second indent of the second subparagraph of point 5.1,

— the updating referenced in the second subparagraph of point 5.5,

— the decisions and reports from the notified body which are referenced in the points 5.4, 5.5 and 6.4

9. Where the subsystem meets the requirements of the TSI, the notified body shall then, based on the design examination
and the approval and surveillance of the quality management system (s), draw up the certificate of conformity
intended for the contracting entity, who shall in turn draw up the EC declaration of verification intended for the
supervisory authority in the Member State within which the subsystem is located and/or operates.

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The EC declaration of verification and the accompanying documents shall be dated and signed. The declaration shall
be written in the same language of the technical file and shall contain at least the information included in Annex V of
the Directive.

10. The notified body chosen by the contracting entity shall be responsible for compiling the technical file that has to
accompany the EC declaration of verification. The technical file shall include at least the information indicated in
Art. 18 (3) of The Directive, and in particular as follows:

— all necessary documents relating to the characteristics of the subsystem

— the list of interoperability constituents incorporated into the subsystem,

— copies of the EC declarations of conformity and, where appropriate, of the EC declarations of suitability for use,
which the constituents shall be provided in accordance with Article 13 of the Directive, accompanied, where
appropriate, by the corresponding documents (certificates, quality management system approvals and
surveillance documents) issued by the notified bodies,

— evidence of conformity to other regulations deriving from the treaty (including certificates)

— all elements relating to the maintenance, the conditions and limits for use of the subsystem,

— all elements relating to the instructions concerning servicing, constant or routine monitoring, adjustment and

maintenance

— certificate of conformity of the notified body as mentioned under point 9, accompanied by corresponding
verification and/or calculation notes and countersigned by itself, stating that the project complies with the
Directive and the TSI, and mentioning, where appropriate, reservations recorded during performance of the
activities and not withdrawn.

The certificate should also be accompanied, if relevant, by the inspection and audit reports drawn up in
connection with the verification, as mentioned in points 6.4. and 6.5.;

— the infrastructure or rolling stock register, including all information as specified in the TSI.

11.

Each notified body shall communicate to the other notified bodies the relevant information concerning the quality
management system approvals and the EC design examination certificates, which it has issued, withdrawn or refused.

The other notified bodies may receive on request copies of:

— the quality management system approvals and additional approvals issued and

— the EC design examination certificates and additions issued

12. The records accompanying the certificate of conformity shall be lodged with the contracting entity

The contracting entity shall keep a copy of the technical file throughout the service life of the subsystem and for a
further period of three years; it shall be sent to any other Member State which so requests.

F.4. Assessment of Maintenance Arrangements: Conformity Assessment Procedure

This is an open point.

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ANNEX G

GLOSSARY

cross-passage

earthing

short tunnel to connect two or more parallel tunnels, to provide a connection, used
for rescue, maintenance and installations, sometimes also for aerodynamic reasons

Measure to connect the overhead line or conductor rail directly to the earth to avoid
inadmissible high contact voltage during works at electrified lines

emergency communication

(1)
(2)

Communication between RU staff and IM in the case of emergency
Railway independent communication system for rescue services and state
authorities

Emergency plan

An emergency plan is a plan developed under the direction of the Infrastructure
Manager, in co-operation, where appropriate, with Railway Undertakings, Rescue
services and relevant authorities for each tunnel.
The emergency plan shall be consistent with the self-rescue, evacuation and rescue
facilities provided.

IM

Infrastructure Manager

protected electric cable

a protected electric cable is a cable, which is prevented from releasing products of
combustion into the environment in the event of a fire

maintenance plan

regulation for maintenance including inspection, repair and reconstruction with
relevant specifications

operation categories

safety definition for vehicles used for different networks

rescue area

rescue services

RU

safe area

area for rescue services to install different equipment (e.g. triage, on scene
commando, pumping station, etc.)
It is also possible to evacuate people from this place

includes fire brigades, medical organisations (e.g. red cross, etc), technical
organisations (e.g. THW in Germany), special army units or police units (e.g. genie
corps, SAR)

Railway Undertaking

Definition of clause 4.2.2.6.1: A safe area is a place inside or outside a tunnel where
all of the following criteria apply
— Conditions are survivable
— Access for people is possible aided and unaided
— People may accomplish self-rescue if the opportunity is available, or may wait
to be rescued by the rescue services using procedures detailed in the emergency
plan

— Communication shall be possible, either by mobile phone or by fixed

connection to the control centre of the IM.

successive tunnels

if two or more tunnels following each other without a separation of more than
500 m in open air and without an access to a safe area within the open section, the
tunnels are defined as only one tunnel and the appropriate specifications have to be
fulfilled. 500 m is as maximum the length of a train with additional space on both
sides (bad braking etc.).

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technical room

temperature-time curve

train crew

tunnel length

room with technical equipment for railway applications (e.g. signalling, energy
supply, traction control, etc.)
specification for the design and assessment of structural parts; here: specification for
the ‘design fire’, acting temperature depending on action time
Members of the on-board staff of a train, who are certified as competent and
appointed by a Railway Undertaking to carry out specific, designated safety related
tasks on the train, for example the driver or the guard.
the tunnel length is measured from portal to portal at level top of rail; range defined
in 1.1.2

underground station

station between tunnels, under the surface, with parts open to the public