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ANNEX

Technical specification for interoperability for the ‘rolling stock — wagons’ subsystem

TABLE OF CONTENTS
1.	Introduction
1.1.	Technical scope
1.2.	Geographical scope
1.3.	Content of this TSI
2.	Scope and definition of subsystem
3.	Essential requirements
4.	Characterisation of the subsystem
4.1.	Introduction
4.2.	Functional and technical specifications of the subsystem
4.2.1.	General
4.2.2.	Structures and mechanical part
4.2.2.1.	Mechanical interface
4.2.2.1.1.	End coupling
4.2.2.1.2.	Inner coupling
4.2.2.2.	Strength of unit
4.2.2.3.	Integrity of the unit
4.2.3.	Gauging and track interaction
4.2.3.1.	Gauging
4.2.3.2.	Compatibility with load carrying capacity of lines
4.2.3.3.	Compatibility with train detection systems
4.2.3.4.	Axle bearing condition monitoring
4.2.3.5.	Running safety
4.2.3.5.1.	Safety against derailment running on twisted track
4.2.3.5.2.	Running dynamic behaviour
4.2.3.6.	Running gear
4.2.3.6.1.	Structural design of bogie frame
4.2.3.6.2.	Characteristics of wheelsets
4.2.3.6.3.	Characteristics of wheels
4.2.3.6.4.	Characteristics of axles
4.2.3.6.5.	Axle boxes/bearings
4.2.3.6.6.	Automatic variable gauge systems
4.2.3.6.7.	Running gear for manual change of wheelsets
4.2.4.	Brake
4.2.4.1.	General
4.2.4.2.	Safety requirements
4.2.4.3.	Functional and technical requirements
4.2.4.3.1.	General functional requirements
4.2.4.3.2.	Brake performance
4.2.4.3.2.1.	Service brake
4.2.4.3.2.2.	Parking brake
4.2.4.3.3.	Thermal capacity
4.2.4.3.4.	Wheel slide protection (WSP)
4.2.4.3.5.	Friction elements for wheel tread brakes
4.2.5.	Environmental conditions
4.2.6.	System protection
4.2.6.1.	Fire safety
4.2.6.1.1.	General
4.2.6.1.2.	Functional and technical specification
4.2.6.1.2.1.	Barriers
4.2.6.1.2.2.	Materials
4.2.6.1.2.3.	Cables
4.2.6.1.2.4.	Flammable liquids
4.2.6.2.	Protection against electrical hazards
4.2.6.2.1.	Protective measures against indirect contact (protective bonding)
4.2.6.2.2	Protective measures against direct contact
4.2.6.3.	Attachment devices for rear-end signal
4.3.	Functional and technical specification of the interfaces
4.3.1.	Interface with the subsystem ‘infrastructure’
4.3.2.	Interface with the subsystem ‘operation and traffic management’
4.3.3.	Interface with the subsystem ‘control, command and signalling’
4.4.	Operating rules
4.5.	Maintenance rules
4.5.1.	General documentation
4.5.2.	Maintenance design justification file
4.5.3.	Maintenance description file
4.6.	Professional competencies
4.7.	Health and safety conditions
4.8.	Parameters to be recorded in the technical file and European register of authorised types of vehicles
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4.9.	Route compatibility checks before the use of authorised vehicles
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5.	Interoperability constituents
5.1.	General
5.2.	Innovative solutions
5.3.	Interoperability constituent specifications
5.3.1.	Running gear
5.3.2.	Wheelset
5.3.3.	Wheel
5.3.4.	Axle
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5.3.4a.	Friction element for wheel tread brakes
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5.3.4b.	Automatic variable gauge system
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5.3.5.	Rear-end signal
6.	Conformity assessment and EC verification
6.1.	Interoperability constituent
6.1.1.	Modules
6.1.2.	Conformity assessment procedures
6.1.2.1.	Running gear
6.1.2.2.	Wheelset
6.1.2.3.	Wheel
6.1.2.4.	Axle
6.1.2.4a.
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6.1.2.5.	Friction elements for wheel tread brakes
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6.1.2.6.	Automatic variable gauge system
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6.1.3.	Innovative solutions
6.2.	Subsystem
6.2.1.	Modules
6.2.2.	EC verification procedures
6.2.2.1.	Strength of unit
6.2.2.2.	Safety against derailment running on twisted track
6.2.2.3.	Running dynamic behaviour
6.2.2.4.	Axle box/bearings
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6.2.2.4a.	Automatic variable gauge systems
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6.2.2.5.	Running gear for manual change of wheelsets
6.2.2.6.	Thermal capacity
6.2.2.7.	Environmental conditions
6.2.2.8.	Fire safety
6.2.2.8.1.	Barriers
6.2.2.8.2.	Materials
6.2.2.8.3	Cables
6.2.2.8.4	Flammable liquids
6.2.3.	Innovative solutions
6.3.	Subsystem containing components corresponding to interoperability constituents not holding an EC declaration
6.4.	Project phases where assessment is required
6.5.	Constituents holding an EC declaration of conformity
7.	Implementation
7.1.	Authorisation for placing on the market
7.1.1.	Application to ongoing projects
7.1.2.	Mutual recognition of the first authorisation of placing on the market
7.2.	General rules for implementation
7.2.1.	Substitution of constituents
7.2.2.	Changes to a unit in operation or to an existing unit type
7.2.2.1.	Introduction
7.2.2.2.	Rules to manage changes in both a unit or a unit type
7.2.2.3.	Particular rules for units in operation not covered by an EC declaration of verification with a first authorisation for placing in service before 1 January 2015
7.2.2.4.	Rules for the extension of the area of use for units in operation having an authorisation in accordance with Directive 2008/57/EC or in operation before 19 July 2010
7.2.3.	Rules related to the EC type or design examination certificates
7.2.3.1.	Rolling stock subsystem
7.2.3.1.1.	Definitions
7.2.3.1.2.	Rules related to the EC type or design examination certificate
7.2.3.1.3.	Validity of the EC type or design examination certificate
7.2.3.2.	Interoperability constituents
7.3.	Specific cases
7.3.1.	Introduction
7.3.2.	List of specific cases
7.3.2.1.	General specific cases
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7.3.2.1a.	Gauging (point 4.2.3.1)
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7.3.2.2.	Axle bearing condition monitoring (point 4.2.3.4)
7.3.2.3.	Safety against derailment running on twisted track (point 4.2.3.5.1)
7.3.2.4.	Running dynamic behaviour (point 4.2.3.5.2)
7.3.2.5.	Brake safety requirements (point 4.2.4.2)
7.3.2.6.	Attachment devices for rear-end signals (point 4.2.6.3)
7.4.	Specific environmental conditions
7.5.	Freight wagons operating under national, bilateral, multilateral or international agreements
	Appendices

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1.   INTRODUCTION

A Technical Specification for Interoperability (TSI) is a specification that covers a subsystem (or part of it) as defined in Article 2(11) of Directive (EU) 2016/797 in order:

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1.1.    Technical scope

See Article 2 of this Regulation.

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1.2.    Geographical scope

This Regulation applies to the Union rail system.

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1.3.    Content of this TSI

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In accordance with Article 4(3) of Directive (EU) 2016/797, this TSI:

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2.   SCOPE AND DEFINITION OF SUBSYSTEM

2.1.    Scope

This TSI is applicable to ‘freight wagons including vehicles designed to carry lorries’ as referred to in Annex I Section 2 to Directive (EU) 2016/797 taking into account the limitations as set out in Article 2. In the following this part of the subsystem rolling stock is called ‘freight wagon’ and belongs to the subsystem ‘rolling stock’ as set out in Annex II to Directive 2016/797/EC.

The other vehicles listed in Section 2 of Annex I to Directive (EU) 2016/797 are excluded from the scope of this TSI; this is especially the case for:

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Note: See also section 7.1 for particular cases.

2.2.    Definitions

In the present TSI the following definitions are used:

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3.   ESSENTIAL REQUIREMENTS

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Article 3(1) of Directive (EU) 2016/797 provides that the rail system, its subsystems and their interoperability constituents are to meet the relevant essential requirements. The essential requirements are set out in general terms in Annex III to that Directive. Table 1 of this Annex indicates the basic parameters specified in this TSI and their correspondence to the essential requirements as explained in Annex III to Directive (EU) 2016/797.

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The essential requirements 1.3.1, 1.4.1, 1.4.3, 1.4.4 and 1.4.5 of Annex III to ►M3  Directive (EU) 2016/797 ◄ fall under the scope of other Union legislation.

4.   CHARACTERISATION OF THE SUBSYSTEM

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4.1.    Introduction

The rail system, to which Directive (EU) 2016/797 applies and of which freight wagons form a part, is an integrated system whose consistency shall be verified. This consistency shall be checked in particular with regard to the specifications of the rolling stock subsystem and the compatibility with the network (Section 4.2), its interfaces in relation to the other subsystems of the rail system in which it is integrated (Sections 4.2 and 4.3), as well as the initial operating and maintenance rules (Sections 4.4 and 4.5) as requested by Article 15(4) of Directive (EU) 2016/797.

The technical file, as set out in Article 15(4) of Directive (EU) 2016/797 and in point 2.4 of Annex IV to that Directive, shall contain in particular design related values concerning the compatibility with the network.

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4.2.    Functional and technical specifications of the subsystem

4.2.1.    General

In light of the essential requirements in Chapter 3, the functional and technical specifications of the subsystem ‘rolling stock — freight wagons’ are grouped and sorted out in the following points of this Chapter:

Except where this is strictly necessary for the interoperability of the rail system and to meet the relevant essential requirements, the functional and technical specifications of the freight wagon and its interfaces do not impose the use of any particular technical solutions.

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When the functional and technical specifications that are necessary in order to achieve interoperability and to meet the essential requirements, have not been developed concerning a particular technical aspect, this aspect is identified as an open point in the relevant point. As required in Article 5(6) of ►M3  Directive (EU) 2016/797 ◄ all open points are listed in Appendix A.

In Appendix C a set of conditions is specified. The conformity with this set of conditions is optional. If this option is selected, the conformity shall be assessed by a notified body within the EC verification procedure.

In accordance with Article 5(5) of ►M3  Directive (EU) 2016/797 ◄ , provision may be made for specific cases for each TSI. Such provisions are indicated in Chapter 7.

As far as possible the assessment procedure for the requirements in Section 4.2 is defined in Chapter 6. In these cases the text of Section 4.2 makes a reference to the corresponding points and sub points clauses of Chapter 6. If for a particular basic parameter the separation of requirements and assessment procedures is not feasible, no reference is given.

4.2.2.    Structures and mechanical parts

4.2.2.1.    Mechanical interface

4.2.2.1.1.    End coupling

The end coupling is the mechanical interface between units forming a train.

The coupling system shall be designed in a way that no human presence between the units to be coupled/uncoupled shall be required whilst either one unit is moving.

End couplings shall be resilient and capable of withstanding the forces in accordance with the defined design operating state of the unit.

4.2.2.1.2.    Inner coupling

The inner coupling is the mechanical interface between elements forming a unit.

The inner coupling shall be resilient and capable of withstanding the forces in accordance with the defined design operating state of the unit. The joint between two elements sharing the same running gear, is covered by point 4.2.2.2.

The longitudinal strength of the inner coupling(s) shall be equal to or higher than the one of the end coupling(s) of the unit.

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4.2.2.2.    Strength of unit

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The structure of a unit body, any equipment attachments and lifting and jacking points shall be designed such that no cracks, no significant permanent deformation or ruptures occur under the load cases defined in the specification referenced in Appendix D Index [1].

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In case of a rake of a rail compatible system composed of separate rail bogies connected to compatible road vehicles, the load cases may differ from those mentioned above, due to their bi- modal specification; in such a case, the load cases considered shall be described by the applicant based on a consistent set of specifications with consideration of the specific conditions of use related to train composition, shunting and operation.

The demonstration of conformity is described in point 6.2.2.1.

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The lifting and jacking positions shall be marked on the unit. The marking shall comply with the specification referenced in Appendix D Index [2].

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Note: Joining techniques are deemed to be covered as well by the demonstration of conformity in accordance to point 6.2.2.1.

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4.2.2.3.    Integrity of the unit

The unit shall be designed so that all movable parts intended to close an aperture (access doors, tarpaulin, lids, hatches, etc.) are prevented against an unintentional movement of these parts.

Locking devices shall indicate their status (open/closed) and shall be visible outside the unit.

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Units intended to be used for combined transport and requiring a wagon compatibility code shall be equipped with devices for securing the Intermodal Loading Unit.

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4.2.3.    Gauging and track interaction

4.2.3.1.    Gauging

This point concerns the rules for calculation intended for sizing the rolling stock to run on one or several networks without interference risk.

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The compliance of a unit with the intended reference profile including the reference profile for the lower part shall be established by one of the methods set out in the specification referenced in Appendix D Index [4].

The kinematic method, as described in the specification referenced in Appendix D Index [4] shall be used to establish conformity, if any, between the reference profile established for the unit and the respective target reference profiles G1, GA, GB and GC including those used for the lower part GI1 and GI2.

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Units intended to be used for combined transport shall be codified in accordance with the requirements of Appendix H and the specification referenced in Appendix D.2, index [B].

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4.2.3.2.    Compatibility with load carrying capacity of lines

The vertical loading characteristics of the unit shall be determined in order to check compatibility with the load carrying capacity of lines.

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The permissible payload a unit may carry, for axle loads up to and including 25 t, shall be determined by application of the specification referenced in Appendix D Index [5].

4.2.3.3.    Compatibility with train detection systems

If the unit is intended to be compatible with one or more of the following train detection systems, this compatibility shall be established in accordance with the provisions of the technical document referenced in Appendix D.2 Index [A]:

The related specific cases are defined in section 7.7 of the CCS TSI.

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4.2.3.4.    Axle bearing condition monitoring

It shall be possible to monitor the axle bearing condition either by:

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If the unit is intended to be capable of being monitored by line side equipment on the 1 435 mm track gauge network the unit shall be compliant with the specification referenced in Appendix D Index [6] in order to ensure sufficient visibility.

For units intended to be operated on the networks with track gauges of 1 524 mm, 1 600 mm, 1 668 mm, the corresponding values in Table 2 referring to the parameters of the specification referenced in Appendix D Index [6] shall be applied.

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If the unit is intended to be capable of being monitored by on-board equipment, the following requirements shall apply:

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4.2.3.5.    Running safety

The dynamic behaviour of a vehicle has a strong influence on safety against derailment, running safety and track loading.

4.2.3.5.1.    Safety against derailment running on twisted track

The unit shall be designed to ensure safe running on twisted track, taking into account specifically the transition phase between canted and level track and cross level deviations.

The demonstration of conformity is described in point 6.2.2.2.

4.2.3.5.2.    Running dynamic behaviour

The unit shall be designed to provide safe movement up to the maximum design speed.

The running dynamic behaviour of a unit shall be proven either by:

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The demonstration of conformity is described in point 6.2.2.3.

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Running dynamic behaviour is permitted to be assessed at interoperability constituent level in accordance with point 6.1.2.1. In this case a specific test or simulation at subsystem level is not required.

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4.2.3.5.3.    Derailment detection and prevention function

The derailment detection and prevention function is intended to prevent derailments or to mitigate the consequences of a derailment of the unit.

If a unit is fitted with the derailment detection and prevention function, the requirements below shall be met.

4.2.3.5.3.1.    General requirements

The function shall be able to detect either a derailment or conditions which are a precursor to derailment of the unit in accordance with one of the three sets of requirements set out in points 4.2.3.5.3.2, 4.2.3.5.3.3 and 4.2.3.5.3.4 below.

It is allowed to combine those requirements as follows:

4.2.3.5.3.2    Derailment prevention function (DPF)

The DPF shall send a signal to the driver’s cab of the locomotive hauling the train once a precursor to derailment is detected in the unit.

The signal enabling the DPF to be available at train level and its transmission between the unit, the locomotive and the other coupled unit(s) in a train shall be documented in the technical file.

4.2.3.5.3.3.    Derailment detection function (DDF)

The DDF shall send a signal to the driver’s cab of the locomotive hauling the train once the derailment is detected in the unit.

The signal enabling the DDF to be available at train level and its transmission between the unit, the locomotive and the other coupled unit(s) in a train shall be documented in the technical file.

4.2.3.5.3.4.    Derailment detection and actuation function (DDAF)

The DDAF shall automatically activate a brake application when the derailment is detected without possibility of overriding by the driver.

The risk of false derailment detections shall be limited to an acceptable level.

Therefore, the DDAF shall be subject to a risk assessment in accordance with Implementing Regulation (EU) No 402/2013.

It shall be possible to deactivate the DDAF directly on the unit when the unit is stopped. That deactivation will release and isolate the DDAF from the brake system.

The DDAF shall indicate its status (activated/deactivated) and that status shall be visible from both sides of the unit. If this is not physically feasible, the DDAF shall indicate its status from at least one side and the other side of the wagon shall be marked in accordance with the specification referenced in Appendix D Index [2].

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4.2.3.6.    Running gear

The running gear guarantees to carry and guide the unit safely as well as to transmit braking forces where so required.

4.2.3.6.1.    Structural design of bogie frame

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The integrity of the structure of a bogie frame, all attached equipment and body to bogie connection shall be demonstrated based on methods as set out in the specification referenced in Appendix D Index [9].

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The integrity of the structure of a bogie frame is permitted to be assessed at interoperability constituent level in accordance with point 6.1.2.1. In this case a specific test or simulation at subsystem level is not required.

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4.2.3.6.2.    Characteristics of wheelsets

The wheelset assembly shall be able to transmit forces and torque between the fitted parts in accordance with the area of use.

The geometric dimensions of the wheelsets, as defined in Figure 1, shall be compliant with limit values specified in Table 3. These limit values shall be taken as design values and shall be stated as in-service limit values in the maintenance file described in Section 4.5.

The demonstration of conformity is described in point 6.1.2.2.

Figure 1

Symbols for wheelsets used in Table 3

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4.2.3.6.3.    Characteristics of wheels

The geometrical dimensions of the wheels as defined in Figure 2 shall be compliant with limit values specified in Table 4.

These limit values shall be taken as design values and shall be stated as in-service limit values in the maintenance file described in Section 4.5.

Figure 2

Symbols for wheels used in Table 4

The mechanical characteristics of the wheels shall ensure the transmission of forces and torque as well as the resistance against thermal load where so required in accordance with the area of use.

The demonstration of conformity is described in point 6.1.2.3.

4.2.3.6.4.    Characteristics of axles

The characteristics of the axle shall ensure the transmission of forces and torque in accordance with the area of use.

The demonstration of conformity is described in point 6.1.2.4.

The traceability of axles shall take into accounts the findings of the ERA Task force on Freight Maintenance (see ‘ Final report on the activities of the Task Force Freight Wagon Maintenance ’ published on the ERA website http://www.era.europa.eu).

4.2.3.6.5.    Axle boxes/bearings

The axle box and the rolling bearing shall be designed with consideration of mechanical resistance and fatigue characteristics. Temperature limits reached in service relevant for the hot box detection shall be defined.

The demonstration of conformity is described in point 6.2.2.4.

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4.2.3.6.6.    Automatic variable gauge systems

This requirement is applicable to units equipped with an automatic variable gauge system with changeover mechanism of the axial position of the wheels allowing the unit to be compatible with 1 435 mm track gauge and other track gauge(s) within the scope of this TSI by means of passage through a track gauge changeover facility.

The changeover mechanism shall ensure the locking in the correct intended axial position of the wheel.

After passage through the track gauge changeover facility, the verification of the state of the locking system (locked or unlocked) and of the position of the wheels shall be performed by one or more of the following means: visual control, on-board control system or infrastructure/facility control system. In case of on-board control system, a continuous monitoring shall be possible.

If a running gear is equipped with brake equipment subject to a change in position during the gauge change operation, the automatic variable gauge system shall ensure the position and safe locking in the correct position of this equipment simultaneously to those of the wheels.

The failure of the locking of the position of the wheels and braking equipment (if relevant) during operation has typical credible potential to lead directly to a catastrophic accident (resulting in multiple fatalities); considering this severity of the failure consequence, it shall be demonstrated that the risk is controlled to an acceptable level.

The automatic variable gauge system is defined as an interoperability constituent (point 5.3.4b) and is part of the interoperability constituent wheelset (point 5.3.2). The conformity assessment procedure is specified in point 6.1.2.6 (interoperability constituent level), point 6.1.2.2 (safety requirement) and in point 6.2.2.4a (subsystem level) of this TSI.

The track gauges the unit is compatible with shall be recorded in the technical documentation.

A description of the changeover operation in normal mode, including the type(s) of track gauge changeover facility(ies) the unit is compatible with, shall be part of the technical documentation (see also section 4.4 of this TSI).

The requirements and conformity assessments required in other sections of this TSI apply independently for each wheel position corresponding to one track gauge and have to be documented accordingly.

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4.2.3.6.7.    Running gear for manual change of wheelsets

The requirement is applicable to units prepared to run on different track gauges, by means of a physical change of wheelset.

The unit shall be equipped with a locking mechanism in order to ensure the correct position of its brake equipment in the different configurations considering the dynamic effects in accordance with the design operating state of the unit.

The demonstration of conformity is described in point 6.2.2.5.

4.2.4.    Brake

4.2.4.1.    General

The purpose of the train brake system is to ensure that:

Primary factors that influence the braking performance and the braking process are:

The brake performance of a train is derived from the individual brake performance of each unit in the train.

4.2.4.2.    Safety requirements

The braking system contributes to the safety level of the railway system. Therefore the design of the braking system of a unit has to undergo a risk assessment in accordance with ►M3  Commission Implementing Regulation (EU) No 402/2013 ◄  ( 3 ) considering the hazard of complete loss of the brake capability of the unit. The severity level shall be deemed as catastrophic when:

The fulfilment of the conditions of C.9 and C.14 of Appendix C is presumed to be in conformity with this requirement.

4.2.4.3.    Functional and technical requirements

4.2.4.3.1.    General functional requirements

The brake equipment of the unit shall provide the functions of braking such as the application and the release of the brake, upon a transmitted signal. The brake shall be:

4.2.4.3.2.    Brake performance

4.2.4.3.2.1.   Service brake

The brake performance of a train or a unit is its ability to decelerate. It is the result of the braking power available to decelerate the train or unit within defined limits and all factors involved in the conversion and dissipation of energy including train resistance.

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The brake performance of a unit shall be calculated in accordance with one of the specifications referenced in Appendix D, either Index [16], Index [37], Index [58] or Index [17].

The calculation shall be validated by tests. Brake performance calculation in accordance with the specification referenced in Appendix D Index [17] shall be validated as set out in the same specification or in the specification referenced in Appendix D, Index [58].

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4.2.4.3.2.2.   Parking brake

A Parking Brake is a brake used to prevent parked rolling stock moving under the specified conditions taking into account the place, wind, gradient and rolling stock loading state, until intentionally released.

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If the unit is equipped with a parking brake, the following requirements shall be met:

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Where relevant, the calculations shall determine:

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4.2.4.3.3.    Thermal capacity

The brake equipment shall be able to withstand one emergency brake application without any loss of brake performance due to thermal or mechanical effects.

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The thermal load that the unit is capable of withstanding without any adverse loss of brake performance due to thermal or mechanical effects, shall be defined and expressed in terms of speed, axle load, gradient and brake distance.

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The demonstration of conformity is described in point 6.2.2.6.

A slope of 21 ‰ at 70 km/h during 40 km may be considered as the reference case for the thermal capacity which results in a braking power of 45 kW per wheel during 34 minutes for a nominal wheel diameter of 920 mm and an axle load of 22,5 t.

4.2.4.3.4.    Wheel slide protection (WSP)

Wheel slide protection (WSP) is a system designed to use the maximum available adhesion by decreasing, holding or increasing the brake force to prevent wheel sets from locking and uncontrolled sliding. Thereby the stopping distance shall be optimised.

If an electronic WSP-control is used negative effects caused by malfunctions of WSP shall be reduced by suitable system design processes and technical configuration.

The WSP shall not alter the functional characteristics of the brakes. The vehicle’s air equipment shall be dimensioned such that the air consumption of the WSP does not impair the performance of the pneumatic brake. The design process of the WSP shall take into account that the WSP has no detrimental effect on the constituent parts of the vehicle (brake gear, wheel tread, axle boxes, etc.).

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The following types of units shall be fitted with WSP:

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4.2.4.3.5.    Friction elements for wheel tread brakes

The friction element for wheel tread brakes (i.e. brake block) generates brake forces by friction when engaged with the wheel tread.

If wheel tread brakes are used the characteristics of the friction element shall contribute reliably to achieving the intended brake performance.

The demonstration of conformity is described in point 6.1.2.5 of this TSI.

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4.2.5.    Environmental conditions

The design of the unit, as well as its constituents shall take into account the environmental conditions to which this rolling stock will be subjected to.

The environmental parameters are described in the clauses below. For each environmental parameter, a nominal range is defined, which is the most commonly encountered in Europe, and is the basis for the interoperable unit.

For certain environmental parameters ranges other than the nominal one are defined. In that case, a range shall be selected for the design of the unit.

For the functions identified in the clauses below, design and/or testing provisions taken to ensure that the rolling stock is meeting the TSI requirements in this range shall be described in the technical file.

Depending on the ranges selected and on provisions taken (described in the technical file), appropriate operating rules could be necessary when the unit designed for the nominal range is operated on a particular line where the nominal range is exceeded at certain periods of the year.

The ranges, if different from the nominal one, to be selected to avoid any restrictive operating rule(s) linked to environmental conditions, are specified by the Member States and are listed in Section 7.4.

The unit and its constituents shall be designed under consideration of one or several of the following external air temperature ranges:

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The unit shall meet the requirements of this TSI without degradation for snow, ice and hail conditions as defined in the specification referenced in Appendix D Index [18], which correspond to the nominal range.

▼B

Where more severe ‘snow, ice and hail’ conditions than considered in the standard are selected, the unit and its constituents shall then be designed to meet TSI requirements considering the combined effect with low temperature according to the temperature range chosen.

In relation with the temperature range T2 and with the severe conditions for snow, ice and hail, the provisions taken to meet TSI requirements in these severe conditions shall be identified and verified, in particular design and/or testing provisions considering the following functions:

The demonstration of conformity is described in point 6.2.2.7.

4.2.6.    System protection

4.2.6.1.    Fire safety

4.2.6.1.1.    General

All significant potential fire sources (high risk components) on the unit shall be identified. The fire safety aspects of the unit design shall be aimed at:

The goods carried on the unit are not part of the unit and do not have to be taken into account in the conformity assessment.

4.2.6.1.2.    Functional and technical specification

4.2.6.1.2.1.   Barriers

In order to limit the effects of fire, fire barriers with integrity of at least 15 minutes shall be installed between the identified potential fire sources (high risk components) and the carried load.

The demonstration of conformity is described in point 6.2.2.8.1.

4.2.6.1.2.2.   Materials

All permanent materials used on the unit shall have limited ignitability and flame spread properties, unless:

The demonstration of conformity is described in point 6.2.2.8.2.

4.2.6.1.2.3.   Cables

The selection and installation of electrical cables shall take into account their fire behaviour properties.

The demonstration of conformity is described in point 6.2.2.8.3.

4.2.6.1.2.4.   Flammable liquids

The unit shall be provided with measures preventing a fire from occurring and spreading due to leakage of flammable liquids or gases.

The demonstration of conformity is described in point 6.2.2.8.4.

4.2.6.2.    Protection against electrical hazards

4.2.6.2.1.    Protective measures against indirect contact (protective bonding)

The impedance between vehicle body and the running rail shall be low enough to prevent hazardous voltages between them.

▼M5

Units shall be bonded in accordance with the provisions as described in the specification referenced in Appendix D Index [27].

▼B

4.2.6.2.2.    Protective measures against direct contact

The electrical installations and equipment of a unit shall be designed so as to protect persons from electric shock.

▼M5

The unit shall be designed so that direct contact is prevented following the provisions set out in the specification referenced in Appendix D Index [27].

▼B

4.2.6.3.    Attachment devices for rear-end signal

▼M1

On all units designed to receive a rear-end signal, two devices at the end of the unit shall provide for the installation of two lamps or two reflective plates as set out in Appendix E at the same height above rail and not higher than 2 000 mm. ►M5  The dimensions and clearance of these attachment devices shall be as described in the specification referenced in Appendix D Index [28]. ◄

▼B

4.3.    Functional and technical specification of the interfaces

4.3.1.    Interface with the subsystem ‘infrastructure’

4.3.2.    Interface with the subsystem ‘operation and traffic management’

4.3.3.    Interface with the subsystem ‘control, command and signalling’

▼M3

4.4.    Operating rules

Operating rules are developed within the procedures described in the railway undertaking safety management system. These rules take into account the documentation related to operation which forms a part of the technical file as required in Article 15(4) of and as set out in Annex IV to Directive (EU) 2016/797.

For the safety critical components (see also 4.5), the specific operational and operational traceability requirements are developed by the designers/manufacturers at design phase and through a collaboration between designers/manufacturers and the concerned railway undertakings or the concerned wagon keeper after vehicles have entered into operation.

The documentation related to operation describes the characteristics of the unit in relation to the design operating state to be considered in order to define the operating rules in normal and in various reasonably foreseeable degraded modes.

The documentation related to operation is composed of:

The applicant shall provide the initial version of the documentation related to operating rules. This documentation might be modified later in accordance with the corresponding Union legislation, taking into account the existing operating and maintenance conditions of the unit. ►M5  ————— ◄

4.5.    Maintenance rules

Maintenance is a set of activities intended to keep a functional unit in, or to restore it to a state in which it can perform its required function.

The following documents being part of the technical file as required in Article 15(4) of and as set out in Annex IV to Directive (EU) 2016/797 are necessary to undertake maintenance activities on the units:

The applicant shall provide the three documents described in 4.5.1, 4.5.2. and 4.5.3. This documentation might be modified later in accordance with the corresponding EU legislation, taking into account the existing operating and maintenance conditions of the unit. ►M5  ————— ◄

The applicant or any entity authorised by the applicant (e.g. a keeper) shall provide this documentation to the entity in charge of maintenance as soon as it is assigned for the maintenance of the unit.

On the basis of these three documents, the entity in charge of maintenance shall define a maintenance plan and appropriate maintenance requirements at maintenance operational level under its sole responsibility (not in the scope of the assessment against this TSI).

The documentation includes a list of safety critical components. Safety critical components are components for which a single failure has a credible potential to lead directly to a serious accident as defined in Article 3(12) of Directive (EU) 2016/798.

The safety critical components and their specific servicing, maintenance and maintenance traceability requirements are identified by the designers/manufacturers at design phase and through a collaboration between designers/manufacturers and the concerned entities in charge of maintenance after vehicles have entered into operation.

4.5.1.    General documentation

▼M5

The general documentation comprises:

▼M3

4.5.2.    Maintenance design justification file

The maintenance design justification file explains how maintenance activities are defined and designed in order to ensure that the rolling stock characteristics will be kept within permissible limits of use during its lifetime. The file shall give input data in order to determine the criteria for inspection and the periodicity of maintenance activities.  ►M5  The maintenance design justification file comprises: ◄

4.5.3.    Maintenance description file

The maintenance description file describes how maintenance activities can be conducted. Maintenance activities include, among others, inspections, monitoring, tests, measurements, replacements, adjustments and repairs.

Maintenance activities are split into:

The maintenance description file includes the following:

▼B

4.6.    Professional competencies

The professional competencies of staff required for the operation and maintenance of units are not covered by this TSI.

4.7.    Health and safety conditions

▼M1

The provisions for health and safety of staff required for the operation and maintenance of units are covered by essential requirements 1.1.5, 1.3.1, 1.3.2, 2.5.1 and 2.6.1 set out in Annex III to ►M3  Directive (EU) 2016/797 ◄ .

▼B

In particular, the following points of Section 4.2 specify provisions for health and safety of staff:

If the unit is fitted with a manual coupling system, a free space for shunters during coupling and uncoupling shall be provided.

All protruding parts deemed a hazard to operational staff shall be clearly indicated and/or fitted with protective devices.

The unit shall be equipped with footsteps and handrails except in those cases it is not intended to be operated with staff on-board, e.g. for shunting.

▼M1

4.8.    Parameters to be recorded in the technical file and European register of authorised types of vehicles

▼B

The technical file shall contain at least the following parameters:

▼M1

▼B

▼M5 —————

▼B

▼M5

▼M1

The rolling stock data that must be recorded in the ‘European register of authorised types of vehicles (ERATV)’ are set out in the Commission Implementing Decision 2011/665/EU of 4 October 2011 on the European register of authorised types of railway vehicles ( 5 ).

▼M3

4.9.    Route compatibility checks before the use of authorised vehicles

The parameters of the subsystem ‘rolling stock — freight wagons’ to be used by the railway undertaking, for the purpose of route compatibility check, are described in Appendix D1 of Commission Implementing Regulation (EU) 2019/773 ( 6 )

▼B

5.   INTEROPERABILITY CONSTITUENTS

5.1.    General

Interoperability constituents (ICs), as defined in Article 2(f) of ►M3  Directive (EU) 2016/797 ◄ , are listed in Section 5.3 together with:

When a requirement is identified in Section 5.3 as being assessed at IC level, an assessment for the same requirement at subsystem level is not required.

▼M2

5.2.    Innovative solutions

As stated in Article 10a, innovative solutions may require new specifications and/or new assessment methods. Such specifications and assessment methods shall be developed using the process described in point 6.1.3 whenever an innovative solution is envisaged for an interoperability constituent.

▼B

5.3.    Interoperability constituent specifications

5.3.1.    Running gear

▼M3

The running gear shall be designed for all application ranges, the areas of use, as defined by the following parameters:

▼B

The parameters speed and axle load may be considered in combination in order to define the appropriate area of use (e.g. maximum speed and tare weight).

The running gear shall comply with the requirements expressed in points 4.2.3.5.2 and 4.2.3.6.1. These requirements shall be assessed at IC level.

5.3.2.    Wheelset

▼M3

For the purpose of this TSI, wheelsets include the main parts ensuring the mechanical interface with the track (wheels and connecting elements: e.g. transverse axle, independent wheel axle). Accessories parts (axle bearings, axle boxes and brake discs) are assessed at subsystem level.

The wheelset shall be assessed and designed for the area of use as defined by:

▼B

A wheelset shall comply with the requirements on geometrical and mechanical parameters defined in point 4.2.3.6.2. These requirements shall be assessed at IC level.

5.3.3.    Wheel

A wheel shall be designed and assessed for an area of use defined by:

▼M3

▼B

A wheel shall comply with the requirements on geometrical, mechanical and thermo mechanical parameters defined in point 4.2.3.6.3. These requirements shall be assessed at IC level.

5.3.4.    Axle

An axle shall be designed and assessed for an area of use defined by:

An axle shall comply with the requirements on mechanical parameters defined in point 4.2.3.6.4. These requirements shall be assessed at IC level.

▼M2

5.3.4a.    Friction element for wheel tread brakes

The friction element for wheel tread brakes shall be designed and assessed for an area of use defined by:

A friction element for wheel tread brakes shall comply with the requirements defined in point 4.2.4.3.5. These requirements shall be assessed at IC level.

▼M3

5.3.4b.    Automatic variable gauge system

An IC ‘automatic variable gauge system’ shall be designed and assessed for an area of use defined by:

An automatic variable gauge system shall comply with the requirements set out in point 4.2.3.6.6; these requirements shall be assessed at IC level as set out in point 6.1.2.6.

▼B

5.3.5.    Rear-end signal

The rear-end signal, as described in Appendix E, is an independent IC. There are no requirements in Section 4.2 dealing with the rear-end signal. Its assessment by the notified body is not part of the EC verification of the subsystem.

6.   CONFORMITY ASSESSMENT AND EC VERIFICATION

6.1.    Interoperability constituent

6.1.1.    Modules

The conformity assessment of an interoperability constituent shall be performed in accordance with the module(s) described in Table 8.

These modules are specified in detail in Decision 2010/713/EU.

6.1.2.    Conformity assessment procedures

The manufacturer or his authorised representative established within the Union shall choose one of the modules or module combinations indicated in Table 9 in accordance with the required constituent.

▼M2

▼B

Within the application of the chosen module or module combination the interoperability constituent shall be assessed against the requirements mentioned in Section 4.2. If necessary, additional requirements concerning the assessment of particular interoperability constituents are given in the following clauses.

▼M3

In case of a specific case applicable to a component defined as interoperability constituent in section 5.3 of this TSI, the corresponding requirement can be part of the verification at interoperability constituent level only in the case where the component remains compliant to the chapters 4 and 5 of this TSI and where the specific case does not refer to a national rule (i.e. additional requirement compatible with the core TSI and fully specified in the TSI).

In other cases, the verification shall be made at subsystem level; when a national rule applies to a component, the concerned Member State may define relevant applicable conformity assessment procedures.

▼M5

6.1.2.1    Running gear

The demonstration of conformity for running dynamic behaviour is set out in the specification referenced in Appendix D Index [8].

Units equipped with an established running gear as described in that specification are presumed to be in conformity with the relevant requirement provided that the running gears are operated within their established area of use.

The minimum axle load and maximum axle load during operation of a wagon equipped with an established running gear shall be compliant with the loading conditions between tare and loaded specified for the established running gear, as in the specification referenced in Appendix D Index [8].

In case the minimum axle load is not achieved by the mass of the vehicle in tare condition, conditions for use can be applied to the wagon requiring to operate it always with a minimum payload or a ballast (for example with an empty loading device), to be compliant with the parameters of the specification referenced in Appendix D Index [8].

In such case, the parameter ‘Mass of wagon in tare conditions’ used for dispensation of on track tests can be substituted by ‘Minimum axle load’. This shall be reported in the Technical File as a condition for use.

The assessment of the bogie frame strength shall be based on the specification referenced in Appendix D Index [9].

6.1.2.2.    Wheelset

The demonstration of conformity for the mechanical behaviour of the wheelset assembly shall be carried out in accordance with the specification referenced in Appendix D Index [10], which defines limit values for the axial assembly force and the associated verification test.

▼B

6.1.2.3.    Wheel

▼M5

If the wheel is intended to be used with brake blocks acting on the wheel running surface, the wheel shall be thermo mechanically proven by taking into account the maximum braking energy foreseen. A type test, as described in the specification referenced in Appendix D Index [11], shall be performed in order to check that the lateral displacement of the rim during braking and the residual stress are within the specified tolerance limits.

The decision criteria of residual stresses for forged and rolled wheels are set out in the same specification.

▼M4

Alternative demonstration of conformity is allowed in accordance with point 6.1.2.4a.

▼B

▼M1

A verification procedure shall exist to ensure at the production phase that no defects may adversely affect safety due to any change in the mechanical characteristics of the wheels. The tensile strength of the material in the wheel, the hardness of the rim, the fracture toughness (only for tread-braked wheels), the resistance to impact, the material characteristics and the material cleanliness shall be verified. The verification procedure shall specify the batch sampling used for each characteristic to be verified.

▼B

6.1.2.4.    Axle

▼M5

In addition to the requirement for the assembly above, the demonstration of conformity of the mechanical resistance and fatigue characteristics of the axle shall be based on the specification referenced in Appendix D, Index [12].

That specification includes the decision criteria for the permissible stress. A verification procedure shall exist to ensure at the production phase that no defects may adversely affect safety due to any change in the mechanical characteristics of the axles. The tensile strength of the material in the axle, the resistance to impact, the surface integrity, the material characteristics and the material cleanliness shall be verified. The verification procedure shall specify the batch sampling used for each characteristic to be verified.

▼M4

Alternative demonstration of conformity is allowed in accordance with point 6.1.2.4a.

6.1.2.4a   

Where the EN standards referred to in points 6.1.2.2, 6.1.2.3 and 6.1.2.4 do not cover the proposed technical solution, it is permitted to use other standards to demonstrate conformity of the mechanical behaviour of the wheelset assembly, the mechanical characteristics of the wheels and the mechanical resistance and fatigue characteristics of the axle respectively; in that case the notified body shall verify that the alternative standards form part of a technically consistent set of standards applicable to the design, construction and testing of the wheelsets, containing specific requirements for wheelset, wheels and axles covering:

Only standards that are publicly available can be referred to in the demonstration required above. The verification carried out by the notified body shall ensure the consistency between the methodology of the alternative standards, the assumptions taken by the applicant, the intended technical solution and the intended area of use.

▼M2

6.1.2.5.    Friction elements for wheel tread brakes

The demonstration of conformity of friction elements for wheel tread brakes shall be carried out by determining the following friction element properties in accordance with the European Railway Agency (ERA) technical document ►M3  ERA/TD/2013-02/INT version 3.0 of 27.11.2015  ◄ published on the ERA website (http://www.era.europa.eu):

Demonstration of the following suitabilities shall be carried out in accordance with chapters 7 and/or 8 of the ERA technical document ►M3  ERA/TD/2013-02/INT version 3.0 of 27.11.2015  ◄ published on the ERA website (http://www.era.europa.eu), if the friction element is intended to be suitable for:

If a manufacturer does not have sufficient return of experience (according with its own judgement) for the proposed design, the type validation by in-service experience procedure (module CV) shall be part of the assessment procedure for suitability for use. Before commencing in-service tests, a suitable module (CB or CH1) shall be used to certify the design of the interoperability constituent.

The in-service tests shall be organised on request from the manufacturer, who must obtain agreement from a railway undertaking that will contribute to such an assessment.

The suitability for train detection by systems based on track circuits for friction elements intended to be used in subsystems beyond the scope set out in chapter 7 of the ERA technical document ►M3  ERA/TD/2013-02/INT version 3.0 of 27.11.2015  ◄ published on the ERA website (http://www.era.europa.eu) may be demonstrated using the procedure for innovative solutions described in point 6.1.3.

The suitability for severe environmental conditions by a dynamometer test for friction elements intended to be used in subsystems beyond the scope set out in clause 8.2.1 of the ERA technical document ►M3  ERA/TD/2013-02/INT version 3.0 of 27.11.2015  ◄ published on the ERA website (http://www.era.europa.eu) may be demonstrated using the procedure for innovative solutions described in point 6.1.3.

▼M3

6.1.2.6.    Automatic variable gauge system

The assessment procedure shall be based on a validation plan covering all aspects mentioned in points 4.2.3.6.6 and 5.3.4b.

The validation plan shall be consistent with the safety analysis required in clause 4.2.3.6.6 and shall define the assessment needed in all the following different phases:

Regarding the demonstration of compliance to the safety level required in point 4.2.3.6.6, the assumptions considered for the safety analysis related to the unit the system is intended to be integrated in, and related to the mission profile of that unit, shall be clearly documented.

The automatic variable gauge system may be subject to an assessment of suitability for use (module CV). Before commencing in-service tests, a suitable module (CB or CH1) shall be used to certify the design of the interoperability constituent. The in-service tests shall be organised on request from the manufacturer, who must obtain an agreement from a railway undertaking for its contribution to such assessment.

The certificate delivered by the notified body in charge of the conformity assessment shall include both the conditions for use as per clause 5.3.4b and the type(s) and operating conditions of the track gauge changeover facility(ies) the automatic variable gauge system has been assessed for.

▼M2

6.1.3.    Innovative solutions

If an innovative solution referred to in Article 10a is proposed for an interoperability constituent, the manufacturer or his authorised representative established within the Union shall apply the procedure set out in Article 10a.

▼B

6.2.    Subsystem

6.2.1.    Modules

The EC verification of the subsystem ‘Rolling stock — freight wagons’ shall be performed in accordance with the module(s) described in Table 10.

These modules are specified in detail in Decision 2010/713/EU.

6.2.2.    EC verification procedures

The applicant shall choose one of the following combinations of modules or module for the EC verification of the subsystem:

Within the application of the chosen module or module combination the subsystem shall be assessed against the requirements mentioned in Section 4.2. If necessary, additional requirements concerning the assessment of particular constituents are given in the following clauses.

6.2.2.1.    Strength of unit

▼M5

The demonstration of conformity shall be in accordance with one of the specifications referenced in Appendix D, either Index [3] or Index [1].

▼B

Regarding joints, a recognised verification procedure shall exist to ensure at the production phase that no defect may decrease the intended mechanical characteristics of the structure.

▼M5

6.2.2.2.    Safety against derailment running on twisted track

The demonstration of conformity shall be carried out in accordance with the specification referenced in Appendix D Index [7].

▼M3

6.2.2.3.    Running dynamic behaviour

On-track tests

▼M5

The demonstration of conformity shall be carried out in accordance with the specification referenced in Appendix D Index [7].

For units operated on the 1 668 mm track gauge network, the evaluation of the estimated value for the guiding force normalized to the radius Rm = 350 m in accordance with that specification, shall be calculated in accordance with the following formula:

▼M3

Ya,nf,qst = Ya,f,qst – (11 550 m/Rm – 33) kN.

The limit value of the quasi-static guiding force Yj,a,qst shall be 66 kN.

Values of cant deficiency can be adapted to 1 668 mm track gauge by multiplying the corresponding 1 435 mm parameter values by the following conversion factor: 1 733/1 500.

▼M5

The combination of the highest equivalent conicity and speed for which the unit meets the stability criterion in the specification referenced in Appendix D Index [7] shall be recorded in the report.

▼B

6.2.2.4.    Axle box/bearings

▼M5

The demonstration of conformity for mechanical resistance and fatigue characteristics of the rolling bearing shall be in accordance with the specification referenced in Appendix D Index [13].

▼M3

It is permitted to use other standards for the above demonstration of conformity where the EN standards do not cover the proposed technical solution; in that case the notified body shall verify that the alternative standards form part of a technically consistent set of standards applicable to the design, construction and testing of the bearings.

Only standards that are publicly available can be referred to in the demonstration required above.

In the case of bearings manufactured according to a design developed and already used to place products on the market before the entry into force of relevant TSIs applicable to those products, the applicant is allowed to deviate from the demonstration of conformity above and refer to design review and type examination performed for previous applications under comparable conditions instead; this demonstration shall be documented and is considered as providing the same level of proof as type examination according to module SB or design examination according to module SH1.

6.2.2.4a.    Automatic variable gauge systems

The safety analysis required in point 4.2.3.6.6, and performed at IC level, shall be consolidated at the level of the unit; in particular, the assumptions made in accordance with point 6.1.2.6 may need to be reviewed to take into account the unit and its mission profile.

▼M5

6.2.2.5.    Running gear for manual change of wheelsets

Changeover between 1 435 mm and 1 668 mm track gauges

The technical solutions described in the specification referenced in Appendix D Index [14] for axle units and for bogie units are deemed to be compliant with the requirements in point 4.2.3.6.7.

Changeover between 1 435 mm and 1 524 mm track gauges

The technical solution described in the specification referenced in Appendix D Index [15] is deemed to be compliant with the requirements in point 4.2.3.6.7.

▼B

6.2.2.6.    Thermal capacity

Calculations, simulations or tests shall demonstrate that the temperature of the brake block, brake pad or brake disc does not exceed their thermal capacity. The following shall be taken into account:

6.2.2.7.    Environmental conditions

Steel materials are deemed to comply with all the ranges indicated in point 4.2.5 if the material properties are determined down to – 20 °C.

6.2.2.8.    Fire safety

6.2.2.8.1.    Barriers

►M5  Barriers shall be tested in accordance with the specification referenced in Appendix D Index [19]. ◄ Steel sheets of at least 2 mm thickness and aluminium sheets of at least 5 mm thickness are deemed to comply with the integrity requirements without testing.

6.2.2.8.2.    Materials

▼M5

Testing of the materials ignitability and flame spread properties shall be performed in accordance with the specification referenced in Appendix D Index [20] for which the limit value shall be CFE ≥ 18 kW/m2.

For rubber parts of bogies, the testing shall be performed in accordance with the specification referenced in Appendix D Index [23] for which the limit value shall be MARHE ≤ 90 kW/m2 under the test conditions set out in the specification referenced in Appendix D Index [22].

▼M3

For the following materials and components the fire safety requirements are deemed to comply with the required ignitability and flame spread properties:

▼B

▼M5

6.2.2.8.3    Cables

The electrical cables shall be selected and installed in accordance with the specification referenced in Appendix D Indexes [24] and [25].

6.2.2.8.4    Flammable liquids

The measures taken shall be in accordance with the specification referenced in Appendix D Index [26].

▼M2

6.2.3.    Innovative solutions

If an innovative solution referred to in Article 10a is proposed for the ‘rolling stock — freight wagons’ subsystem, the applicant shall apply the procedure set out in Article 10a.

▼B

6.3.    Subsystem containing components corresponding to interoperability constituents not holding an EC declaration

▼M1

A Notified Body is permitted to issue an EC certificate of verification of a subsystem, even if one or more of the components corresponding to interoperability constituents incorporated within the subsystem are not covered by a relevant EC declaration of conformity in accordance with this TSI (non-certified ICs), if the constituent was manufactured before the entry into force of this TSI and the type of constituent has been:

▼B

The EC verification of the subsystem shall be carried out by the notified body against the requirements of Chapter 4 by using the corresponding requirements concerning assessment in Chapter 6 together with Chapter 7 except for specific cases. For this EC verification the modules of the subsystem, set out in point 6.2.2, apply.

EC declarations of conformity or suitability for use shall not be drawn up for the components assessed in this manner.

6.4.    Project phases where assessment is required

The assessment shall cover the following two phases as identified by ‘X’ in the Table F.1 of Appendix F in this TSI. In particular, where a type test is identified the conditions and requirements of Section 4.2 shall be considered.

Appendix F is structured according to Section 4.2. Where relevant, a reference to the points of Sections 6.1 and 6.2 is given.

6.5.    Constituents holding an EC declaration of conformity

Where a constituent has been identified as an IC and held an EC declaration of conformity before the entry into force of this TSI, its treatment under this TSI is set out as follows:

▼M1

▼B

7.   IMPLEMENTATION

▼M5

7.1.    Authorisation for placing on the market

In case the applicant chooses to apply this TSI, the corresponding EC declaration of verification shall be recognised as such by Member States.

7.1.1.    Application to ongoing projects

▼M3

7.1.2.    Mutual recognition of the first authorisation of placing on the market

In accordance with Article 21(3)(b) of Directive (EU) 2016/797 the authorisation for placing of the market of a vehicle (as defined in this TSI) is granted on the basis of:

Points (b) and (c) of Article 21(3) of Directive (EU) 2016/797 do not represent any additional requirement. The technical compatibility of the vehicle with the network being covered by rules (TSIs or national rules), this aspect is also considered at the level of the ‘EC’ verification.

Therefore, the conditions for having an area of use not limited to particular national networks are specified below as additional requirements to be covered in the EC verification of the subsystem rolling stock. These conditions shall be seen as complementary to the requirements in Section 4.2 and must be fulfilled in their entirety:

▼M5

▼M5

▼M3

▼M5

▼M3

7.2.    General rules for implementation

7.2.1.    Substitution of constituents

This section deals with substitutions of constituents as referred to in Article 2 of Directive (EU) 2016/797.

The following categories have to be considered:

▼M5

▼M3

Table 11 shows the possible permutations.

The word ‘check’ in Table 11 means that the entity in charge of maintenance (ECM) may under its responsibility substitute a component by another one utilising the same function and at least the same performance in accordance with the relevant TSI requirements considering that these components are:

▼M5

7.2.2.    Changes to a unit in operation or to an existing unit type

▼M3

7.2.2.1.    Introduction

This point 7.2.2 defines the principles to be applied by the entities managing the change and authorising entities in line with the EC verification procedure described in Article 15(9), Article 21(12) and Annex IV of Directive (EU) 2016/797. This procedure is further developed in Article 13, 15 and 16 of Commission Implementing Regulation (EU) 2018/545 ( 8 ) and in Commission Decision 2010/713/EC ( 9 ).

►M5  This point 7.2.2 applies in case of any change(s) to a unit in operation or to an existing unit type, including renewal or upgrade. ◄ It does not apply in case of changes:

The holder of the vehicle type authorisation shall provide, under reasonable conditions, the information necessary for assessing the changes to the entity managing the change.

7.2.2.2.    Rules to manage changes in both a unit or a unit type

Parts and basic parameters of the unit that are not affected by the change(s) are exempt from conformity assessment against the provisions in this TSI.

▼M5

Without prejudice to point 7.2.2.3, compliance with the requirements of this TSI or Commission Regulation (EU) No 1304/2014 ( 10 ) (‘TSI NOI’) (see point 7.2 of TSI NOI) shall only be needed for the basic parameters in this TSI which may be affected by the change(s).

▼M3

In accordance with Articles 15 and 16 of Commission Implementing Regulation (EU) 2018/545 and Decision 2010/713/EU and by application of modules SB, SD/SF or SH1 for the EC verification, and if relevant in accordance with Article 15(5) of Directive (EU) 2016/797, the entity managing the change shall inform a notified body of all changes affecting the conformity of the subsystem with requirements of the relevant TSI(s) requiring new checks by a notified body. This information shall be provided by the entity managing the change with corresponding references to the technical documentation relating to the existing EC type or design examination certificate.

Without prejudice of the general safety judgement mandated in article 21(12)(b) of Directive (EU) 2016/797, in case of changes requiring reassessment of the safety requirements set out in clauses 4.2.4.2 for the brake system, a new authorization for placing on the market will be required unless one of the following conditions are met:

National migration strategies related to the implementation of other TSIs (e.g. TSIs covering fixed installations) shall be taken into account when defining to what extent the TSIs covering rolling stock needs to be applied.

The basic design characteristics of the rolling stock are defined in Table 11a. Based on these tables and on the safety judgement mandated in Article 21(12)(b) of Directive (EU) 2016/797, the changes shall be categorised as follows:

The determination whether the changes are beyond or above the thresholds mentioned above shall be done in reference to the values of the parameters at the time of the last authorisation of the rolling stock or rolling stock type.

Changes not referred to in the paragraph above are deemed not to have any impact on the basic design characteristics and will be categorised as 15(1)(a) or 15(1)(b) of Commission Implementing Regulation (EU) 2018/545, unless the safety judgement mandated in Article 21(12)(b) of Directive (EU) 2016/797 requires to categorise them as 15(1)(d).

The safety judgement mandated in Article 21(12)(b) of Directive (EU) 2016/797 shall cover all changes concerning basic parameters of table 1, related to all the essential requirements, in particular the requirements ‘Safety’ and ‘Technical compatibility’.

Without prejudice to clause 7.2.2.3, all changes shall remain compliant with the applicable TSIs regardless their classification.

The replacement of a whole element within a rake of permanently connected elements after a severe damage does not require a conformity assessment against this TSI, as long as the element is identical to the one it replaces. Such element must be traceable and certified in accordance with any national or international rule, or any code of practice widely acknowledged in the railway domain.

▼M5

In order to establish the EC type or design examination certificate, the notified body selected by the entity managing the change may refer to:

In case the validity period of the EC type or design examination certificate for the original type is limited to 10 years (due to the application of the former Phase A/B concept), the validity period of the EC type or design examination certificate for the modified type, type variant or type version shall be limited to 14 years after the date of appointment of a notified body by the applicant for the initial rolling stock type (beginning of phase A of the original EC type or design examination certificate).

7.2.2.3.    Particular rules for units in operation not covered by an EC declaration of verification with a first authorisation for placing in service before 1 January 2015

The following rules apply, in addition to point 7.2.2.2, to units in operation with a first authorisation for placing in service before 1 January 2015, where the scope of the change has an impact on basic parameters not covered by the EC declaration.

▼M3

The compliance with technical requirements of this TSI is deemed established when a basic parameter is improved in the direction of the TSI defined performance and the entity managing the change demonstrates that the corresponding essential requirements are met and the safety level is maintained and, where reasonably practicable, improved. The entity managing the change shall in this case justify the reasons for which the TSI defined performance was not met, taking into account migration strategies of other TSIs as stated in section 7.2.2.2. This justification shall be in the technical file, if any, or in the original technical documentation of the unit.

▼M4

The particular rule set out in the above paragraph is not applicable in changes impacting the basic parameters and classified as 21(12)a set out in table 11b. For those changes, compliance with the TSI requirements is mandatory.

▼M3

▼M5

7.2.2.4.    Rules for the extension of the area of use for units in operation having an authorisation in accordance with Directive 2008/57/EC or in operation before 19 July 2010

▼M4

The following provisions for extension of area of use apply also in combination with a new authorisation as defined in point (a) of Article 14(3) of Regulation (EU) 2018/545.

The applicant shall provide an ‘EC declaration of verification’ accompanied by technical files giving evidence of compliance with the requirements set out in this TSI, or with provisions having equivalent effect, for each basic parameter referred to in column 1 of Table 11a of this TSI, through one or a combination of the following:

▼M3

7.2.3.    Rules related to the EC type or design examination certificates

▼M5

7.2.3.1.    Rolling stock subsystem

This point concerns a rolling stock type (unit type in the context of this TSI), as defined in Article 2(26) of Directive (EU) 2016/797, which is subject to an EC type or design verification procedure in accordance with section 6.2 of this TSI. It also applies to the EC type or design verification procedure in accordance with the TSI NOI, which refers to this TSI for its scope of application to freight units.

The TSI assessment basis for an EC type or design examination is defined in columns ‘Design review’ and ‘Type test’ of Appendix F of this TSI and of Appendix C of the TSI NOI.

7.2.3.1.1.    Definitions

(1)   Initial assessment framework

The initial assessment framework is the set of TSIs (this TSI and the TSI NOI) applicable at the beginning of the design phase when the notified body is contracted by the applicant.

(2)   Certification framework

The certification framework is the set of TSIs (this TSI and the TSI NOI) applicable at the time of issuing the EC type or design examination certificate. It is the initial assessment framework amended with the revisions of TSIs that came into force during the design phase.

(3)   Design phase

The design phase is the period starting once a notified body, which is responsible for EC verification, is contracted by the applicant and ending when the EC type or design examination certificate is issued.

A design phase can cover a type and one or several type variant(s) and type version(s). For all type variant(s) and type version(s), the design phase is considered as starting at the same time as for the main type.

(4)   Production phase

The production phase is the period during which units may be placed on the market on the basis of an EC declaration of verification referring to a valid EC type or design examination certificate.

(5)   Unit in operation

A unit is in operation when it is registered with ‘Valid’ registration code ‘00’, in the National Vehicle Register in accordance with Decision 2007/756/EC or in the European Vehicle Register in accordance with Implementing Decision (EU) 2018/1614 and maintained in a safe state of running in accordance with Implementing Regulation (EU) 2019/779.

7.2.3.1.2.    Rules related to the EC type or design examination certificate

▼M5

7.2.3.1.3.    Validity of the EC type or design examination certificate

▼M5

7.2.3.2.    Interoperability constituents

During this time, new constituents of the same type are permitted to be placed on the market without a new type assessment.

▼B

7.3.    Specific cases

7.3.1.    Introduction

▼M5

The specific cases, as listed in point 7.3.2, are classified as:

▼M3

All specific cases and their relevant dates shall be re-examined in the course of future revisions of the TSI with a view to limiting their technical and geographical scope based on an assessment of their impact on safety, interoperability, cross border services, TEN-T corridors, and the practical and economic impacts of retaining or eliminating them. Special account shall be given to availability of EU funding.

Specific cases shall be limited to the route or network where they are strictly necessary and taken account of through route compatibility procedures.

In case of a specific case applicable to a component defined as interoperability constituent in section 5.3 of this TSI, the conformity assessment has to be performed according to point 6.1.2.

▼B

7.3.2.    List of specific cases

7.3.2.1.    General specific cases

▼M4

Units running between a Member State and a third country with a network with 1520 mm track gauge: Specific case Finland, Poland, Slovak Republic and Sweden.

▼B

(‘P’) The application of national technical rules instead of the requirements in this TSI is allowed for third countries rolling stock.

▼M3

7.3.2.1a.    Gauging (point 4.2.3.1)

Specific case Ireland and UK for Northern Ireland

(‘P’) It is permissible for the reference profile of the upper and the lower part of the unit to be established in accordance with the national technical rules notified for this purpose.

This specific case does not prevent access of any TSI compliant rolling stock as long as it is also compatible with an IRL gauge (track gauge system 1 600  mm).

▼B

7.3.2.2.    Axle bearing condition monitoring (point 4.2.3.4)

(a)    Specific case Sweden

▼M5

(‘T2’) Units intended to operate on the Swedish railway network shall be compliant with the target and prohibitive zones as set out in Table 12.

▼B

The two zones underneath the axle box/journal set out in Table 12 referring to the parameters of the standard ►M5  EN 15437-1:2009+A1:2022 ◄ shall be free to facilitate vertical monitoring by trackside axle box detection system:

▼M4

Units mutually recognised in accordance with point 7.1.2 and units equipped with on-board axle bearing condition monitoring equipment are exempted from this specific case. The exemption of units in accordance with point 7.1.2 is not applicable when using other conformity assessment methods in accordance with point 6.1.2.4a.

▼M3 —————

▼M5

(b)    Specific case France (‘T0’)

This specific case is applicable to all units intended to operate on the French railway network.

Points 5.1 and 5.2 of standard EN 15437-1:2009+A1:2022 apply with the following specificities. The notations are the ones used in picture 3 of the standard.

WTA

=

70 mm

YTA

=

1 092,5 mm

LTA

=

Vmax x 0,56 (Vmax being the maximal line speed at the level of the Hot Axle Box Detector (HABD), expressed in km/h).

Units mutually recognised in accordance with point 7.1.2 and units equipped with on-board axle bearing condition monitoring equipment are exempted from this specific case. The exemption of units in accordance with point 7.1.2 is not applicable when using other conformity assessment methods in accordance with point 6.1.2.4a.

▼B

7.3.2.3.    Safety against derailment running on twisted track (point 4.2.3.5.1)

Specific case UK for Great Britain

(‘P’) The limitations to the use of Method 3 set out in ►M3  EN 14363:2016 clause 6.1.5.3.1 ◄ are not applicable for units that are intended for national use on the UK mainline network only.

▼M3

This specific case does not prevent the access of TSI compliant rolling stock to the national network.

▼B

7.3.2.4.    Running dynamic behaviour (point 4.2.3.5.2)

▼M5 —————

▼M3

Specific case Ireland and UK for Northern Ireland

(‘P’) For technical compatibility with the existing 1 600 mm track gauge network it is permissible to use notified national technical rules for the purpose of assessing running dynamic behaviour.

This specific case does not prevent the access of TSI compliant rolling stock to the national network.

▼M5

7.3.2.5    Brake safety requirements (point 4.2.4.2)

Specific case Finland

For freight wagon intended to operate only on 1 524 mm network, the safety requirement defined in point 4.2.4.2 is deemed fulfilled if the unit complies with conditions defined in point 9 of Appendix C with the following modifications:

▼M3 —————

▼M3

7.3.2.6.    Attachment devices for rear end signals (point 4.2.6.3)

Specific case Ireland and UK for Northern Ireland

(‘P’) The attachment devices for rear-end signals on units intended to be operated only in traffic on networks with 1 600  mm track gauge shall conform with the national rules notified for the purpose.

This specific case does not prevent the access of TSI compliant rolling stock to the national network.

▼M5 —————

▼B

7.4.    Specific environmental conditions

Specific conditions Finland and Sweden

For unrestricted access of rolling stock to the Finnish and Swedish network under winter conditions, it shall be demonstrated that the rolling stock meets the following requirements:

Specific conditions Portugal and Spain

For unrestricted access of rolling stock to the Portuguese and Spanish network under summer conditions, temperature zone T3 as specified in point 4.2.5 shall be selected.

7.5.    Freight wagons operating under national, bilateral, multilateral or international agreements

See Article 6.

▼M5 —————

▼M5

▼M1

▼B

▼B

▼M5

▼M5