Technical Assessment and Approval by VPI

in Consideration of EU Reg. 445/2011 (Sub-Functions I and IV)

(for freight/tank wagons based on the VPI maintenance manual)

(Name and address of the vehicle maintenance workshop)

The technical assessment took into consideration the requirements/principles of the Directive
2008/110/EC of the European Parliament and of the Council from 16 December 2008
amending Directive 2004/49/EC on safety on the Community’s railways as well as the
recommendation of the ERA (European Railway Agency) on the certification of maintenance
workshops (ERA/REC/2009-0611 NT).

In preparation for the technical assessment, the workshop is required to compile documents
(in German) according to the list in “Part B concerning the technical assessment - required
documents and verifications” and submit or transmit them in advance (3-4 weeks) of the on-
site assessment.

The technical assessment and approval is performed for evaluation of the competence in the
performance of maintenance / repair work on freight wagons and components in accordance
with the appended overview in table form. The implementation of the requirements of the
maintenance manual and its distribution are evaluated in the assessment. The content of the
maintenance manual is not evaluated within the scope of the technical assessment.

 The technical assessment and approval cover the following areas

1. Organisation
Information (employees)
Personnel
Quality assurance / quality management system
2. Technical equipment
3. Measurement and testing equipment
4. Maintenance system / technical regulations
5. Qualifications in joining techniques
6. Qualifications in non-destructive testing
7. Scope of the technical assessment
8. Execution of the technical assessment
9. Inspection result
10. Deviations, measures and recommendations
11. Term of validity

 The maintenance of the systems subject to monitoring in accordance with Article 33

of the German Ordinance on the Construction and Operation of Railways (§ 33 EBO)
is not subject to this technical assessment and approval.

 In regard to the compliance with the criteria for the maintenance of freight wagons,
the technically assessed and approved maintenance workshop is subject to
inspection by the keeper and/or its agents as well as the additional requirements of
the keeper.

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The following prerequisites must be met for the technical assessment and
approval of a maintenance workshop:

1. Organisation / information / personnel

 Organisation of the maintenance workshop to be technically assessed and approved

(organisational chart)

 Description of an effective quality management system / presentation of certificate

and QM manual

 Naming of the managing director / station director / technical director

 Naming of the technical supervisors of the respective maintenance areas

 Naming of other responsible persons: persons responsible for hazardous goods and
for regulations

 Naming of the persons responsible for final inspection / workshop departure

(delegation of the responsibility for acceptance inspection according to § 32 EBO and
for signing of the verification of work performed)

 Verification of the conclusion of a corresponding training by the brake mechanics

 Verification that responsibility has been delegated in writing to the technical

supervisors (on the basis of appointment letters or job descriptions)

 Training system for the education / qualification / continued training / retraining in the
areas for which the workshop has been technically assessed and approved;
documentation of the training measures

 Insurance coverage of at least EUR 5 million (product liability / comprehensive

general liability)

2. Technical equipment

 Ensuring proper maintenance by means of technical equipment and facilities that

must be present on the basis of the site itself and in accordance with the scope of the
maintenance tasks

 Overview of the most important machinery and equipment

3. Measurement and testing equipment and facilities

 The measurement and testing equipment and facilities must exhibit the metrological
properties required for the intended use and purpose, e.g. precision, measurement
stability and range as well as resolution)

 A system must exist for the monitoring of testing equipment

 Performance of the calibration by a recognised testing and calibration body

 The corresponding requirements apply to the legally regulated area

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4. Maintenance system, technical regulations

 Application of the existing and valid technical regulations:

- EBO
Applicable EN / DIN standards / UIC leaflets (e.g. UIC 700)
- VPI maintenance manual
- Accepted principles of engineering that are reflected in an applicable
maintenance system
- Maintenance regulations and maintenance instructions of keepers (e.g. tank
wagon overhaul instructions of VTG, technical instructions of GATX, etc.)

5. Qualifications in joining techniques

 A verification of manufacturer qualifications is required for the area of joining

techniques (e.g. welding). For recognition as a welding operation, qualifications are
therefore required by means of a certification verifying the suitability for welding
freight wagons and their components according to DIN EN 15085-2 by a “recognised
body”.

 Special regulations must be taken into account for the welding of systems and
hazardous goods tanks subject to monitoring. The testing/inspection supervisor must
be assigned appropriate authority to give instructions as well as decision-making
authority independent of practical assembly constraints.

6. Qualifications in non-destructive testing

 Verification of recognition by a technically competent authority (TCA) is fundamentally

required for the area of non-destructive testing. A TCA must participate in recognising
the suitability for performing non-destructive testing according to DIN 27201-7. For
maintenance workshops residing in Germany, DIN 27201-7, which requires the
inclusion of a “technically competent authority”, provides a suitable basis. VPI
assumes that all maintenance workshops resident in Germany that are active in the
area of non-destructive testing and apply for a technical assessment and approval by
VPI / DB Schenker can also present an approval by the “technically competent
authority” according to DIN 27201-7.
 Fundamentally equivalent “technical” requirements also apply to maintenance
workshops resident outside of Germany. In such cases, however, other approvals in
the area of NDT based on local practices or legislation shall be recognised. The
requirement concerning the training of the NDT personnel in the “railway sector” shall
also only apply in locations where the competent NDT organisation (in Germany:
DGZfP) has established such a sector. In all other countries, VPI recognises many
years of NDT experience or a company-internal supplemental training in the railway
sector. Where no approval procedures of any sort are implemented – but where
customer orders require work in compliance with VPI manuals – the services of the
German “technically competent authority” must be retained in order to obtain an
approval equivalent to that of DIN 27201-7 (equivalent safety level).
 The maintenance workshop must provide the relevant verification. Should doubt exist
as to whether the presented documents are sufficient to guarantee an equivalent
safety level, the services of a German “technically competent authority” must also be
retained.

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7. Scope of the technical assessment

of (check all that apply)

Maintenance measures according to EN / DIN standard, ISO 9000, UIC leaflets, VPI
maintenance manuals, maintenance regulations and maintenance instructions of
keepers

Inspections according to § 32 EBO para. 2, 3 and 4 (revisions)

G 4.0 G 4.2 G 4.8

Mobile repair via workshop wagon

Brake revisions

Br 0 Br 2 Br 3

Repair (refurbishment) of components according to VPI maintenance manual

Wheelset and wheelset bearing work in the maintenance levels

IL IS 1 IS 2 IS 3

Mechanical machining of wheelset axles acc. to VPI 04, Annex 13 via

grinding or lathing V1 V2 V3 V4

Mechanical brake parts (slack adjuster, air shut-off valve)

on (check all that apply)

Freight wagons of standard and special models

(including on-demand repairs to tank wagons
without work on the tank and equipment)

Tank wagon (class Z) / special wagon (class U)

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 8. Execution of the technical assessment

Ser. no. Requirement Implementation / verifications / measures

(445/11)

 Date of the assessment 00. – 00.00.201x

 Company / complete address

 Bank account / VAT ID

 Participants in the assessment: Persons:

Company:
Person:
Company: VPI
Person:
Company: DB Schenker Rail AG

Company profile
(General information on company
structure, founding, number of employees,
offered maintenance scope, customers,
references, etc.)

1. Organisation / personnel

1.1 Company organisational chart

(445/2011, Annex III, sub-function I, item 5)

1.2  Managing director / station director Person:

 Technical director Person:
Person:
 Contact person
Telephone: 0
Fax: 0
Email:

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 Responsible
1.3 Technical supervision
Freight wagon maintenance
Component refurbishment of
Wheelset / wheelset bearing
Brake, mechanical

1.4 Other responsible persons

Person responsible for hazardous
goods
Person responsible for regulations
Person responsible for measurement
and testing equipment

1.5 Final inspection / workshop departure /

(6) release to service
(8c, 9c) (concluding vehicle inspection and release to service)
(9a) (Inspection of performed work acc. to maintenance orders)

Implementation / verifications / measures

1.6  ECM-certified?
(Presentation of a certificate from a notified or
accredited body and test report, if applicable)
Quality management system
 Certified acc. to DIN EN ISO 9001?
(Certificate and presentation of QM manual)

 Name of QM manager
(Implementation of the ISO requirements)
Name of QM officer
(Annual management review)

 Effectiveness of the QM system

(spot checks)

 Certified acc. to DIN EN ISO 14001?

1.7 Verification of the assignment of

responsibilities
(445/2011, Annex III, sub-function I, items 5.1 and 5.3)

Technical director
Person responsible for hazardous
goods
Person responsible for regulations
Person(s) responsible for final
inspection / workshop departure
QM manager & QM officer
Person responsible for measurement
and testing equipment

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1.8 Training verification (basic training) of the
(8) brake mechanics
Verification of the training/instruction in
VPI 07, presentation of the verified
authorisation / naming of the brake
mechanic(s) (VPI 07, item 2(1)) (procedure for
training and continued training of the brake mechanics,
practical testing at workshop)

Naming of the container expert (VPI 07,

Annex 9, item 3.1(2)) including training
verification (e.g. acc. to TRBS 1203)

1.9 Insurance verification

1.10 If applicable: certification by EBA and/or

other railway authority exists (informative)

1.11 Competence management If ECM-certified, no further inspection required!

(445/2011, Annex III, sub-function I, item 1h and 6) For “combined audits”, this inspection takes
- Qualification plan place in the scope of the ECM certification.
(competence matrix, training plan)

- Quantification plan (substitute rules)

1.12 Procedure for supplier selection, overview If ECM-certified, no further inspection required!
(2a-c) of the most important suppliers including For “combined audits”, this inspection takes
supplier evaluation (use, storage, transport, receipt place in the scope of the ECM certification.
inspection, quarantine storage)

1.13 Procedure for compliance with national If ECM-certified, no further inspection required!
(3a-b) regulations for safety and health protection
(existing processes according to Directive 89/391/EEC)

1.14 Information processes If ECM-certified, no further inspection required!

(9b)
- Safety-relevant errors and defects

1.15 a) Procedure for determination of safety- General process inspection at ECM certifier,
relevant activities (EU Reg. 445/2011, Annex (implementation) inspection at VPI
III, part I, items 2 and 2.1) (e.g. quality inspection of finished wagon.)

b) Verification(s), of how employees who

perform safety-relevant actions are
instructed regarding the consequences
of violations of safety requirements
(documentation of regular trainings and instruction -
preventive)

(10a) c) Monitoring of risks, processes and

procedures for identification of
hazards, evaluating risks, defining
strategies to limit damages, assessing
the effectiveness, record-keeping for
every action/activity
(ERA/REC/2009-0611 NT)

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1.16 Documentation processes If ECM-certified, no further inspection required!
(10a) For “combined audits”, this inspection takes
a) Listing of facilities, equipment, tools for
place in the scope of the ECM certification.
safety-relevant activities
(10b) b) Listing of personnel, tools, interchange
parts, materials for maintenance work
(10c) c) Listing of monitoring measures for
release to service
(10d) d) Documentation of the results of
calibrations and inspections /
verifications
(10e) e) Documentation of measures /
decisions after identifying deviations
from calibrations and inspections

2 Technical equipment Implementation / verifications / measures

2.1 Freight wagon maintenance

(2b, 8d) (practical implementation in the framework of the workshop
inspection (e.g. brakes, component handling, etc.))
(7) a) Inspect work environment for safety
(5) b) Lifting equipment, sling gear, etc.
c) Workshop (maintenance hall and
facilities)
d) Measurement benches for
Bogie
and/or suitable measurement
equipment
Underframe
and/or suitable measurement
equipment
Wagon body
and/or suitable measurement
equipment
e) Brake
Track with pit
f) Brake testing device
Pdr 3 Pdr 4 Pdr 5 Pdr 6
(or device with same functionality)
g) Offering of mobile repair of freight
wagons via
Workshop wagon
h) Field workshops / external stations
(info also important for ECM certifier since processes
for external stations must be inspected)

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2.2 Component refurbishment
(2a-b)
Wheelset and wheelset bearing
Brake, mechanical
(slack adjuster,
air shut-off valve

2.3 Maintenance of tanks, containers and

tank containers
(8c) (vehicle inspection)
(8e) (special areas)

 Rules and procedures for work on

uncleaned/loaded tank wagons within
workshops or for mobile workshop
service
 Option of tank and container cleaning
of
Mineral oil tank wagons
Chemical tank wagons
Pressurised gas tank wagons
 Inspection of tanks, containers and
tank containers
- Instructions for inspecting and
climbing on?
- Inspection certificate with
description of the type of
measurement and the tank interior
condition?
- Instruction on measurement
performance? (Oxygen meter, device for
EX measurement, DRÄGER tubes)

- What information is available on

the measurement performance?
(Product information, safety data
sheet)
- Person responsible for inspection
approval?
- Emergency plan, emergency team
and/or emergency organisation
exists?
- Emergency exercises

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3 Measurement and Implementation / verifications / measures
testing equipment / tools
(4a-e)  Testing equipment monitoring If ECM-certified, then no further procedure
(5, 10d)
(procedures, documentation, handling, storage, inspection required (only inspect practical
monitoring, marking)
implementation)!
 Testing and calibration body/ bodies
(accreditation acc. to DIN EN ISO / IEC 17025)

(10e)  Traceability of measurement actions

(implementation)

Minimum measurement and testing

equipment
Track measurement device
Buffer height gauge
or suitable measuring equipment
Wheel profile measuring device
Torque spanner
Other measurement equipment as
required
Measuring equipment for the
tread diameter
Dial gauge (wheelset concentricity)
for (required for workshops without wheelset
workshop within G 4.8)

Suitable measuring device for

measuring bogie/undercarriage (Tape
measure or yardstick/folding yardstick not
suitable)

Gauge for measuring the bolt

middle spacing on suspension
springs or suitable meas. equipment
(rev.)
Track scale
Suitable gauges for testing bushings
and bolts (mandrel gauges, gap gauges)
Spring testing machine
Buffer head wear
Brake shoe gauge
Replacement of suspension spring
blocks
Measurement bar for axle guide
stay or gauge for spring block
replacement (Weikmann measuring bar)

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4 Management of information Implementation / verifications / measures

Information process, maintenance If ECM-certified, then no further procedure

regulation(s) inspection required (only inspect practical
implementation according to ECM Reg.
(1a) a) EBO,
445/2011, Annex 3, sub-function IV, item 6
EN / DIN standards that must be
and 9)!
present for use of the VPI maintenance
manual (VDE-TB 461 & 462), DIN EN
15528 (replaces UIC 700), GCU (for
commissioning by TOC)
(1a) b) Process for how changes to national
and international requirements are
discovered, integrated and
implemented? (Association membership, EBA
newsletter, etc.)

(1a) c) VPI maintenance manual

(customer number)

(1b) d) Translation quality (EN 15038)

(1a) e) Changes, revisions, updates and VPI
circulars, (observance, translation if necessary,
integration and application)

(1a) f) Maintenance regulations and

maintenance instructions of vehicle
keepers (enacting/ordering by the ECM)
(1c, 1d) g) Presence of a system for updating,
distributing and controlling regulations
and technical maintenance-related
instructions of keepers (verified)
(1d, 1d) h) Work-accompanying documents, such
(9a)
(10d) as work plan lists (Who performed what activity
(when)), workplace-specific instructions,
measurement sheets (bogie), test
reports (brake revision), logs on the
start of work and the vehicle final
acceptance etc.
(9a, 9b) i) Existence of a system for notifying the
keeper (ECM) concerning all
discoveries and measures within the
scope of the workshop visit (operating
experience feedback)
(10b) j) Procedure for archiving, storing records
and maintenance documents
(VPI 01, Annex 9)

k) Protection of the copyrights of

maintenance regulations and
instructions of the respective keeper
(if customer uses the VPI manuals, he must also
possess these, inquiries by contractors at the business
office of VPI or via VPI website)

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5 Qualifications in joining techniques Implementation / verifications / measures
(8a)  Certification of welding operation for the
welding of rail vehicles and vehicle
parts acc. to DIN EN 15085-2 and DIN
27201-6 by a “recognised body”
 For part classes
CL1 CL2 CL3 CL4
 If necessary recognition for the welding
of tanks acc. to RID 6.8.2.1.23 by a
national authority
Basis is a welding approval acc. to
DIN EN ISO 3834 (formerly EN 729)
and HP0 (in Germany) by a recognised
body (TÜV, DEKRA, SLV etc.)
(for German workshops, the recognition is provided by
EBA in connection with GGVSEB § 15 para. 1)

6 Qualifications in non-destructive Implementation / verifications / measures

testing
(8b) Verification of recognition by the technically
competent authority (TCA) according to
DIN 27201-7 (for NDT on safety-relevant parts) for
the testing methods:
VT
UT
MT
PT

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9. Inspection result

Based on the technical assessment, the maintenance workshop

(Name and address of the vehicle maintenance workshop

including the field workshops / external stations)

for (check all that apply)

Revisions (inspections) Workshop code: XXX

G 4.0 G 4.2 G 4.8

Maintenance acc. to EN / DIN, VPI maintenance manual, etc.

Mobile repair via workshop wagon

Brake revisions

Br 0 Br 2 Br 3

Repair (refurbishment) of components according to VPI maintenance manual

Wheelset and wheelset bearing work in the maintenance levels

IL IS 1 IS 2 IS 3

Mechanical machining of wheelset axles acc. to VPI 04, Annex 13 via

grinding or lathing V1 V2 V3 V4

Mechanical brake parts (slack adjuster, air shut-off valve)

on (check all that apply)

Freight wagons of standard and special models

(including on-demand repairs to tank wagons
without work on the tank and equipment)

Tank wagon (class Z) / special wagon (class U)

is technically approved.

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10. Deviations, measures and recommendations

We reserve the right to visit the workshop without advance warning during the
approval period and inspect the implementation of the listed measures and
recommendations.

11. Term of validity (initially 3 years, with periodic inspection)

until 00.00.201x

Changes to the named persons must be reported.

……………………………… .....................................................
(Place / Date) (Signature)

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