02013R0321 — EN — 11.03.2020 — 004.001

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►B COMMISSION REGULATION (EU) No 321/2013 of 13 March 2013 concerning the technical specification for interoperability relating to the subsystem ‘rolling stock — freight wagons’ of the rail system in the European Union and repealing Decision 2006/861/EC (Text with EEA relevance) (OJ L 104 12.4.2013, p. 1)

Amended by:









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COMMISSION REGULATION (EU) No 321/2013

of 13 March 2013

concerning the technical specification for interoperability relating to the subsystem ‘rolling stock — freight wagons’ of the rail system in the European Union and repealing Decision 2006/861/EC

(Text with EEA relevance)







Article 1

The technical specification for interoperability (TSI) relating to the ‘rolling stock — freight wagons’ subsystem of the entire European Union’s rail system, as set out in the Annex, is hereby adopted.

Article 2

1. The TSI shall apply to the ‘rolling stock — freight wagons’ subsystem as described in ►M3 point 2.7 of Annex II to Directive (EU) 2016/797 of the European Parliament and of the Council ( 1 ) ◄ .

2. The TSI shall apply to freight wagons with a maximum operating speed lower than or equal to 160 km/h and a maximum axle load lower than or equal to 25 t.

3. The TSI shall apply to freight wagons which are intended to be operated on one or more of the following nominal track gauges: 1 435 mm, 1 524 mm, 1 600 mm, and 1 668 mm. The TSI shall not apply to freight wagons operating mainly on the 1 520 mm track gauge, which may occasionally be operated on 1 524 mm track gauge.

Article 3

The TSI shall apply to all new freight wagon rolling stock of the European Union’s rail system, taking into account Section 7 of the Annex.

The TSI set out in the Annex shall also apply to existing freight wagon rolling stock:

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(a) when it is renewed and upgraded in accordance with section 7.2.2 of the Annex to this Regulation;

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(b) with regard to specific provisions, such as the traceability of axles in point 4.2.3.6.4 and the maintenance plan in point 4.5.3;

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(c) with regards to the marking ‘GE’ as depicted in point 5 of Appendix C of the Annex, wagons of the existing fleet which have been authorised in accordance with Commission Decision 2006/861/EC as amended by Decision 2009/107/EC or with Decision 2006/861/EC as amended by Decisions 2009/107/EC and 2012/464/EU and meeting the conditions set out in point 7.6.4 of Decision 2009/107/EC may receive this marking ‘GE’ without any additional third party assessment or new authorisation for placing on the market. The use of this marking in wagons in operation remains under the responsibility of the railway undertakings;

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(d) when the area of use is extended in accordance with art. 54(3) of Directive (EU) 2016/797, provisions in Section 7.2.2.4 of the Annex to this Regulation shall apply.

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The detailed technical scope of this Regulation is set out in Chapter 2 of the Annex.

Article 4

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1. With regard to ‘open points’ set out in Appendix A, the conditions to be complied with for the verification of the essential requirements of Directive (EU) 2016/797 shall be those laid down by national rules in force in the Member State which is part of the area of use of the vehicles covered by this Regulation.

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2. Within six months of the entry into force of this Regulation, each Member State shall send the other Member States and the Commission the following information, provided it has not already been sent to them under Decision 2006/861/EC:

(a) the list of the applicable technical rules referred to in paragraph 1;

(b) the conformity assessment and verification procedures to be carried out to apply those rules;

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(c) the bodies designated to carry out the conformity assessment and verification procedures with respect to the open points.

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Article 5

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1. With regard to specific cases set out in Section 7.3 of the Annex, the conditions to be met for the verification of the essential requirements of Directive (EU) 2016/797 shall be those laid down in Section 7.3 of the Annex or by national rules in force in the Member State which is part of the area of use of the vehicles covered by this Regulation.

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2. Within six months of the entry into force of this Regulation, each Member State shall notify to the other Member States and to the Commission:

(a) the applicable technical rules referred to in paragraph 1;

(b) the conformity assessment and verification procedures to be carried out to apply the technical rules referred to in paragraph 1;

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(c) the bodies designated to carry out the conformity assessment and verification procedures for the national rules relating to the specific cases set out in point 7.3 of the Annex.

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Article 6

1. Without prejudice to the agreements which have already been notified under Decision 2006/861/EC and shall not be notified again, Member States shall notify the Commission, within six months of the entry into force of this Regulation, any national, bilateral, multilateral or international agreements under which freight wagons, falling under the scope of this Regulation, are operated.

2. Member States shall forthwith notify the Commission any future agreements or modifications of existing agreements.

Article 7

In accordance with Article 9(3) of Directive 2008/57/EC, within one year of the entry into force of this Regulation, each Member State shall communicate to the Commission a list of projects being implemented within its territory and that are at an advanced stage of development.

Article 8

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1. An EC certificate of verification for a subsystem that contains interoperability constituents which do not have an EC declaration of conformity or suitability for use may be issued during a transition period ending on 1 January 2024, provided the provisions set out in Section 6.3 of the Annex are met.

2. The production or upgrade/renewal of the subsystem using non-certified interoperability constituents shall be completed within the transition period set out in paragraph 1, including placing on the market.

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3. During the transition period set out in paragraph 1:

(a) the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure referred to in paragraph 1;

(b) the national safety authorities shall report on the use of non-certified interoperability constituents in the context of authorisation procedures in their annual report referred to in ►M3 Article 19 of Directive (EU) 2016/798 of the European Parliament and of the Council ( 2 ) ◄ .

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4. After a transition period ending on 1 January 2015, newly produced interoperability constituents of ‘rear-end signals’, shall be covered by the required EC declaration of conformity.

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Article 8a

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1. Notwithstanding the provisions in Section 6.3 of the Annex, an EC certificate of verification may be issued for a subsystem containing components corresponding to the ‘friction element for wheel tread brakes’ interoperability constituent that does not have an EC declaration of conformity during a transition period ending on 1 January 2024, if the following conditions are met:

(a) the component was manufactured before the date of application of this Regulation; and

(b) the interoperability constituent has been used in a subsystem that had been approved and placed on the market in at least one Member State before the date of application of this Regulation.

2. The production, upgrade or renewal of any subsystem using non-certified interoperability constituents shall be completed, including granting authorisation for placing on the market, before the transition period set out in paragraph 1 expires.

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3. During the transition period set out in paragraph 1:

(a) the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure for the subsystem referred to in paragraph 1; and

(b) national safety authorities shall report in their annual report, as referred to in ►M3 Article 19 of Directive (EU) 2016/798 ◄ , on the use of non-certified ‘friction element for wheel tread brakes’ interoperability constituents in the context of authorisation procedures.

Article 8b

1. Until the expiry of their current approval period, ‘friction element for wheel tread brakes’ interoperability constituents listed in Appendix G of the Annex do not need to be covered by an EC declaration of conformity. During this period, ‘friction elements for wheel tread brakes’ listed in Appendix G of the Annex shall be deemed to be compliant with this Regulation.

2. After their current approval period expires, ‘friction element for wheel tread brakes’ interoperability constituents listed in Appendix G of the Annex shall be covered by EC declaration of conformity.

Article 8c

1. Notwithstanding the provisions in Section 6.3 of the Annex, an EC certificate of verification may be issued for a subsystem containing components corresponding to the ‘friction element for wheel tread brakes’ interoperability constituent that does not have an EC declaration of conformity during a transition period of 10 years after the expiry of the approval period of the interoperability constituent, if the following conditions are met:

(a) the component was manufactured before the expiry of the approval period of the interoperability constituent; and

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(b) the interoperability constituent has been used in a subsystem that had been approved and placed on the market in at least one Member State before the expiry of its approval period.

2. The production, upgrade or renewal of any subsystem using non-certified interoperability constituents shall be completed, including granting authorisation for placing on the market, before the transition period set out in paragraph 1 expires.

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3. During the transition period set out in paragraph 1:

(a) the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure for the subsystem referred to in paragraph 1; and

(b) the national safety authorities shall report in their annual report, as referred to in ►M3 Article 19 of Directive (EU) 2016/798 ◄ , on the use of non-certified ‘friction element for wheel tread brakes’ interoperability constituents in the context of authorisation procedures.

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Article 9

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The declaration of verification and/or conformity to type of a new vehicle established in accordance with Decision 2006/861/EC shall be considered valid until the end of a transition period ending on 1 January 2017.

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Article 9a

The EC-type or EC design examination certificate for the ‘friction element for wheel tread brakes’ interoperability constituent shall be valid for 10 years. During that period, new constituents of the same type may be placed on the market on the basis of an EC declaration of conformity that refers to this EC-type or EC design examination certificate.

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Article 10

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1. The Agency shall publish on its website the list of fully approved composite brake blocks for international transport referred to in Appendix G of the Annex, for the period in which these brake blocks are not covered by EC declarations.

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2. The Agency shall keep the list referred to in paragraph 1 up to date and inform the Commission of any changes to it. The Commission shall inform the Member States of any changes to the list through the Committee established in accordance with Article 29 of Directive 2008/57/EC.

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Article 10a

1. In order to keep pace with technological progress, innovative solutions may be required that do not comply with the specifications set out in the Annex and/or for which the assessment methods set out in the Annex cannot be applied. In that case, new specifications and/or new assessment methods associated with those innovative solutions shall be developed.

2. Innovative solutions may be related to the ‘rolling stock — freight wagons’ subsystem, its parts and its interoperability constituents.

3. If an innovative solution is proposed, the manufacturer or his authorised representative established within the Union shall declare how it deviates from or complements the relevant provisions of this TSI and shall submit the deviations to the Commission for analysis.

4. The Commission shall deliver an opinion on the innovative solution proposed. If this opinion is positive, the appropriate functional and interface specifications and the assessment method, which must be included in the TSI in order to allow the use of this innovative solution, shall be developed and subsequently integrated in the TSI during the revision process carried out pursuant to ►M3 Article 5 of Directive (EU) 2016/797 ◄ . If the opinion is negative, the innovative solution proposed shall not be applied.

5. Pending the review of the TSI, the positive opinion delivered by the Commission shall be considered an acceptable means of compliance with the essential requirements of ►M3 Directive (EU) 2016/797 ◄ and may therefore be used for the assessment of the subsystem.

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Article 11

Decision 2006/861/EC is repealed with effect from 1 January 2014.

It shall continue to apply, however, to the maintenance of projects authorised in accordance with that Decision and, unless the applicant requests to apply this Regulation, to projects for new, renewed or upgraded subsystems which are at an advanced stage of development or are the subject of a contract which is being carried out on the date this Regulation is published.

Article 12

This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.

It shall apply from 1 January 2014. However, an authorisation for placing into service may be granted in application of the TSI as set out in the Annex to this Regulation, except its Section 7.1.2, before 1 January 2014.

This Regulation shall be binding in its entirety and directly applicable in all Member States.









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 ▼M3 4.9. Route compatibility checks before the use of authorised vehicles ▼B 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 ▼M2 5.3.4a. Friction element for wheel tread brakes ▼M3 5.3.4b. Automatic variable gauge system ▼B 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. ▼M2 6.1.2.5. Friction elements for wheel tread brakes ▼M3 6.1.2.6. Automatic variable gauge system ▼B 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 ▼M3 6.2.2.4a. Automatic variable gauge systems ▼B 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. Authorisation for placing into service of a new vehicle in conformity with previous WAG TSIs 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 an existing unit 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 existing units 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 existing units 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. Phase A 7.2.3.1.2. Phase B 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 ▼M3 7.3.2.1a. Gauging (point 4.2.3.1) ▼B 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. Characteristics of wheelsets, wheels and axles (points 4.2.3.6.2 and 4.2.3.6.3) 7.3.2.6. Attachment devices for rear-end signals (point 4.2.6.3) ▼M3 7.3.2.7. Rules to manage changes in both rolling stock and rolling stock type (7.2.2.2) ▼B 7.4. Specific environmental conditions 7.5. Freight wagons operating under national, bilateral, multilateral or international agreements ▼M3 7.6. Aspects that have to be considered in the revision process or in other activities of the Agency 7.6.1. Rules for implementation ▼B Appendices

1. INTRODUCTION

A Technical Specification for Interoperability (TSI) is a specification that covers a subsystem (or part of it) as described in Article 2(i) of ►M3 Directive (EU) 2016/797 ◄ in order:

— to ensure the interoperability of the rail system, and

— to meet the essential requirements.

1.1. Technical scope

See Article 2 of this Regulation.

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1.2. Geographical scope

The geographical scope of this TSI is the entire European Union's rail system as set out in the section 1 of Annex I to Directive (EU) 2016/797, taking into account the limitations concerning the track gauge set out in Article 2.

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1.3. Content of this TSI

In accordance with Article 5(3) of ►M3 Directive (EU) 2016/797 ◄ , this TSI:

(a) indicates its intended scope (Chapter 2);

(b) lays down essential requirements for the part of the rolling stock subsystem concerned and for its interfaces vis-à-vis other subsystems (Chapter 3);

(c) establishes the functional and technical specifications to be met by the subsystem and its interfaces vis-à-vis other subsystems (Chapter 4).

(d) determines the interoperability constituents and interfaces which must be covered by European specifications, including European standards, which are necessary to achieve interoperability within the rail system (Chapter 5);

(e) states, in each case under consideration, which procedures are to be used in order to assess the conformity or the suitability for use of the interoperability constituents and the ‘EC’ verification of the subsystems (Chapter 6);

(f) indicates the strategy for implementing the TSIs (Chapter 7);

(g) indicates, for the staff concerned, the professional qualifications and health and safety conditions at work that are required for the operation and maintenance of the above subsystem, as well as for the implementation of this TSI (Chapter 4).

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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:

(a) mobile railway infrastructure construction and maintenance equipment;

(b) vehicles designed to carry: — motor vehicles with their passengers on board, or — motor vehicles without passengers on board but intended to be integrated in passenger trains (car carriers);

(c) vehicles which — increase their length in loaded configuration, and — their payload itself is part of the vehicle structure.

Note: See also section 7.1 for particular cases.

2.2. Definitions

In the present TSI the following definitions are used:

(a) A ‘unit’ is the generic term used to name the rolling stock. It is subject to the application of this TSI, and therefore subject to the EC verification procedure. A unit can consist of: — a ‘wagon’ that can be operated separately, featuring an individual frame mounted on its own set of wheels, or — a rake of permanently connected ‘elements’, those elements cannot be operated separately, or — ‘separate rail bogies connected to compatible road vehicle(s)’ the combination of which forms a rake of a rail compatible system.

(b) A ‘train’ is an operational formation consisting of several units.

(c) The ‘design operating state’ covers all conditions under which the unit is intended to operate and its technical boundaries. This design operating state may go beyond the specifications of this TSI in order that units may be used together in a train on the network under the safety management system of a railway undertaking.

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3. ESSENTIAL REQUIREMENTS

Article 4(1) of ►M3 Directive (EU) 2016/797 ◄ states, that the rail system its subsystems and their interoperability constituents shall meet the relevant essential requirements. The essential requirements are set out in general terms in Annex III to ►M3 Directive (EU) 2016/797 ◄ . Table 1 indicates the basic parameters specified in this TSI and their correspondence to the essential requirements as explained in Annex III to ►M3 Directive (EU) 2016/797 ◄ .







Table 1 Basic parameters and their correspondence to the essential requirements Point Basic parameter Essential requirements Safety Reliability and availability Health Environment protection Technical compatibility 4.2.2.1.1 End coupling 1.1.1, 1.1.3, 1.1.5, 2.4.1 4.2.2.1.2 Inner coupling 1.1.1, 1.1.3, 2.4.1 4.2.2.2 Strength of unit 1.1.1, 1.1.3, 2.4.1 4.2.2.3 Integrity of the unit 1.1.1 4.2.3.1 Gauging 1.1.1 2.4.3 4.2.3.2 Compatibility with load carrying capacity of lines 1.1.1 2.4.3 4.2.3.3 Compatibility with train detection systems 1.1.1 2.4.3 4.2.3.4 Axle bearing condition monitoring 1.1.1 1.2 2.4.3 4.2.3.5.1 Safety against derailment running on twisted track 1.1.1, 1.1.2, 2.4.1 2.4.3 4.2.3.5.2 Running dynamic behaviour 1.1.1 1.1.2 2.4.3 4.2.3.6.1 Structural design of bogie frame 1.1.1, 1.1.2, 1.1.3 4.2.3.6.2 Characteristics of wheelsets 1.1.1, 1.1.2, 1.1.3 2.4.3 4.2.3.6.3 Characteristics of wheels 1.1.1, 1.1.2, 1.1.3 2.4.3 4.2.3.6.4 Characteristics of axles 1.1.1, 1.1.2, 1.1.3 4.2.3.6.5 Axle box/bearings 1.1.1, 1.1.2, 1.1.3 ▼M3 4.2.3.6.6 Automatic variable gauge systems 1.1.1, 1.1.2, 1.1.3 1.2 1.5 ▼B 4.2.3.6.7 Running gear for manual change of wheelsets 1.1.1, 1.1.2, 1.1.3 4.2.4.2 Brake — Safety requirements 1.1.1, 1.1.3 1.2 2.4.2 4.2.4.3.1 Brake — General functional requirements 1.1.1 2.4.1 2.4.2 4.2.4.3.2.1 Brake performance — In-service brake 1.1.1, 1.1.2 2.4.1 2.4.2 1.5 4.2.4.3.2.2 Brake performance — Parking brake 2.4.1 2.4.3 4.2.4.3.3 Brake — Thermal capacity 1.1.1, 1.1.3 2.4.1 2.4.3 4.2.4.3.4 Brake — Wheel slide protection (WSP) 2.4.1 2.4.2 ▼M2 4.2.4.3.5 Friction elements for wheel tread brakes 1.1.1, 1.1.2, 1.1.3, 2.4.1 2.4.3 ▼B 4.2.5 Environmental conditions 1.1.1 1.1.2 2.4.3 4.2.6.1 Fire safety 1.1.1 1.1.4 4.2.6.1.2.1 Fire safety Barriers 1.1.4 1.3.2 1.4.2 4.2.6.1.2.2 Fire safety Materials 1.1.4 1.3.2 1.4.2 4.2.6.1.2.3 Fire safety Cables 1.1.4 1.1.5 1.3.2 1.4.2 4.2.6.1.2.4 Fire safety — Flammable liquids 1.1.4 1.3.2 1.4.2 4.2.6.2 Protection against electric hazard 1.1.5 2.4.1 4.2.6.3 Attachment device for rear-end signal 1.1.1

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

4.1. Introduction

The rail system, to which ►M3 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 18(3) of ►M3 Directive (EU) 2016/797 ◄ .

The technical file, as set out in Article 18(3) and Annex VI to ►M3 Directive (EU) 2016/797 ◄ (Section 4.8), shall contain in particular design related values concerning the compatibility with the network.

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:

— Structures and mechanical parts

— Gauging and vehicle track interaction

— Brake

— Environmental conditions

— System protection.

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

▼M3

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 Chapter 5 of EN 12663-2:2010.

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.

The lifting and jacking positions shall be marked on the unit. The marking shall comply with point 4.5.14 of EN 15877-1:2012.

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

▼B

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.

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.

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 ►M3 EN 15273-2:2013+A1:2016 ◄ .

The kinematic method, as described in ►M3 EN 15273-2:2013+A1:2016 ◄ 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 ►M3 GI1 and GI2 ◄ .

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.

The permissible payload a unit may carry, for axle loads up to and including 25 t, shall be determined by application of clauses 6.1 and 6.2 of ►M3 EN 15528:2015 ◄ .

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 according to the provisions of the ►M3 ERA/ERTMS/033281 rev. 4.0 ◄ ►M3 ◄ :

(a) train detection systems based on track circuits;

(b) train detection systems based on axle counters;

(c) train detection systems based on loop equipment.

4.2.3.4. Axle bearing condition monitoring

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

— line side detection equipment, or

— on-board equipment.

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 clauses 5.1 and 5.2 of EN 15437-1:2009 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 standard EN 15437-1:2009 shall be applied.







Table 2 Target and prohibitive zone for units intended to be operated on particular networks YTA [mm] WTA [mm] LTA [mm] YPZ [mm] WPZ [mm] LPZ [mm] 1 524 mm (both areas are relevant) 1 080 ± 35 ≥ 50 ≥ 200 1 080 ± 5 ≥ 140 ≥ 500 894 ± 2 ≥ 14 ≥ 200 894 ± 2 ≥ 28 ≥ 500 1 600 mm 1 110 ± 2 ≥ 70 ≥ 180 1 110 ± 2 ≥ 125 ≥ 500 1 668 mm 1 176 ± 10 ≥ 55 ≥ 100 1 176 ± 10 ≥ 110 ≥ 500

▼M3

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

— This equipment shall be able to detect a deterioration of any of the axle box bearings of the unit.

— The bearing condition shall be evaluated either by monitoring its temperature, or its dynamic frequencies or some other suitable bearing condition characteristic.

— The detection system shall be located entirely on board the unit, and diagnosis messages shall be available on board the unit.

— The diagnosis messages delivered and how they are made available shall be described in the operating documentation set out in section 4.4 of this TSI, and in the maintenance rules described in section 4.5 of this TSI.

▼B

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:

— ►M3 ◄ , or following the procedures set out inchapters 4, 5 and 7 of EN 14363:2016, or

— performing simulations using a validated model.

The demonstration of conformity is described in point 6.2.2.3.

▼M1

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.

▼B

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

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 point 6.2 of EN 13749:2011.

▼M1

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.

▼B

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







Table 3 Limits of use of the geometric dimensions of wheelsets Designation Wheel diam. D [mm] Minimum value [mm] Maximum value [mm] 1 435 mm Front-to-front dimension (SR) 330 ≤ D ≤ 760 1 415 1 426 760 < D ≤ 840 1 412 1 426 D > 840 1 410 1 426 Back to back distance (AR) 330 ≤ D ≤ 760 1 359 1 363 760 < D ≤ 840 1 358 1 363 D > 840 1 357 1 363 1 524 mm Front-to-front dimension (SR) 400 ≤ D < 840 1 492 1 514 D ≥ 840 1 487 1 514 Back to back distance (AR) 400 ≤ D < 840 1 444 1 448 D ≥ 840 1 442 1 448 1 600 mm Front-to-front dimension (SR) 690 ≤ D ≤ 1 016 1 573 1 592 Back to back distance (AR) 690 ≤ D ≤ 1 016 1 521 1 526 1 668 mm Front-to-front dimension (SR) 330 ≤ D < 840 1 648 (1) 1 659 840 ≤ D ≤ 1 250 1 643 (1) 1 659 Back to back distance (AR) 330 ≤ D < 840 1 592 1 596 840 ≤ D ≤ 1 250 1 590 1 596 (1) Two-axle wagons with axle load up to 22,5 t the value shall be taken as 1 651 mm.

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.







Table 4 Limits of use of the geometric dimensions of wheels Designation Wheel diam. D [mm] Minimum value [mm] Maximum value [mm] 1 435 mm Width of the rim (BR) (with maximum BURR of 5 mm) D ≥ 330 133 140 Thickness of the flange (Sd) 330 ≤ D ≤ 760 27,5 33 760 < D ≤ 840 25 33 D > 840 22 33 Height of the flange (Sh) 330 ≤ D ≤ 630 31,5 36 630 < D ≤ 760 29,5 36 D > 760 27,5 36 Face of the flange (qR) D ≥ 330 6,5 — 1 524 mm Width of the rim (BR) (with maximum BURR of 5 mm) D ≥ 400 134 140 Thickness of the flange (Sd) 400 ≤ D < 760 27,5 33 760 ≤ D < 840 25 33 D ≥ 840 22 33 Height of the flange (Sh) 400 ≤ D < 630 31,5 36 630 ≤ D < 760 29,5 36 D ≥ 760 27,5 36 Face of the flange (qR) D ≥ 400 6,5 — 1 600 mm Width of the rim (BR) (with maximum BURR of 5 mm) 690 ≤ D ≤ 1 016 137 139 Thickness of the flange (Sd) 690 ≤ D ≤ 1 016 26 33 Height of the flange (Sh) 690 ≤ D ≤ 1 016 28 38 Face of the flange (qR) 690 ≤ D ≤ 1 016 6,5 — 1 668 mm Width of the rim (BR) (with maximum BURR of 5 mm) D ≥ 330 133 140 Thickness of the flange (Sd) 330 ≤ D ≤ 840 27,5 33 D > 840 22 (PT); 25 (ES) 33 Height of the flange (Sh) 330 ≤ D ≤ 630 31,5 36 630 ≤ D ≤ 760 29,5 36 D > 760 27,5 36 Face of the flange (qR) D ≥ 330 6,5 —

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.

▼M3

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.

▼B

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:

— the train’s speed can be reduced,

— the train’s speed can be maintained on a slope,

— the train can be stopped within the maximum allowable braking distance, and that

— the train can be immobilised.

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

— the braking power,

— the train mass,

— the speed,

— the allowable braking distance,

— the available adhesion, and

— the track gradient.

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:

— it affects the unit alone (combination of failures), or

— it affects the brake capability of more than the unit (single fault).

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:

— continuous (the brake application or release signal is transmitted from a central command to the whole train by a control line),

— automatic (an inadvertent disruption of the control line shall lead to brake activation on all units of the train bringing each part to stand still),

— disengageable, which enables its release and isolation.

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.

The brake performance of a unit shall be calculated in accordance with one of the following documents:

— EN 14531-6:2009, or

▼M1

The calculation shall be validated by tests. Brake performance calculation in accordance with UIC 544-1 shall be validated as set out in ►M3 UIC 544-1:2014 ◄ .

▼B

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.

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

— the immobilisation shall remain until intentionally released,

— where it is not possible to identify the state of the parking brake directly, an indicator showing the state shall be provided on both sides on the outside of the vehicle,

▼M1

— ►M3 ◄ , considering no wind, shall be determined by calculations as defined in Clause 6 of EN 14531-6:2009, the minimum parking brake force, considering no wind, shall be determined by calculations as defined in Clause 6 of EN 14531-6:2009,

▼B

— ►M3 ◄ The parking brake of a unit shall be designed considering a wheel/rail (steel/steel) adhesion factor not higher than 0,12. —————The parking brake of a unit shall be designed considering a wheel/rail (steel/steel) adhesion factor not higher than 0,12.

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.

▼M1

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.

▼B

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.).

▼M1

The following types of units shall be fitted with WSP:

— types of units equipped with all types of brake blocks except composite brake blocks, for which the maximum mean utilisation of adhesion is greater than 0,12,

— types of units equipped with disc brakes only and/or with composite brake blocks, for which the maximum mean utilisation of adhesion is greater than 0,11.

▼M2

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.

▼B

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:

— T1: – 25 °C to + 40 °C (nominal),

— T2: – 40 °C to + 35 °C, and

— T3: – 25 °C to + 45 °C.

The unit shall meet the requirements of this TSI without degradation for snow, ice and hail conditions as defined in clause 4.7 of ►M3 EN 50125-1:2014 ◄ , which correspond to the nominal range.

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:

— Coupling function restricted to the resiliency of couplings.

— Brake function, including brake equipment.

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:

— preventing a fire from occurring,

— limiting the effects if a fire occurs.

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 material is separated from all potential fire risks on the unit by a fire barrier and the safe application is supported by a risk assessment, or

— the component has a mass < 400 g, and is located within a horizontal distance of ≥ 40 mm and a vertical distance of ≥ 400 mm to other non-tested components.

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.

Units shall be bonded in accordance with the provisions as described in clause 6.4 of ►M3 EN 50153:2014 ◄ .

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.

The unit shall be designed so that direct contact is prevented following the provisions set out in clause 5 of ►M3 EN 50153:2014 ◄ .

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. The dimensions and clearance of these attachment devices shall be as described in ►M3 Figure 11 of EN 16116-2:2013 ◄ .

▼B

4.3. Functional and technical specification of the interfaces

4.3.1. Interface with the subsystem ‘infrastructure’







Table 5 Interface with infrastructure subsystem Reference in this TSI Reference Commission Decision 2011/275/EU (*1) 4.2.3.1 Gauging 4.2.4.1 Minimum structure gauge 4.2.4.2 Distance between track centres 4.2.4.5 Minimum radius of vertical curve 4.2.3.2 Compatibility with load carrying capacity of lines 4.2.7.1 Track resistance to vertical loads 4.2.7.3 Lateral track resistance 4.2.8.1 Resistance of bridges to traffic loads 4.2.8.2 Equivalent vertical loading for earthworks and earth pressure effects 4.2.8.4 Resistance of existing bridges and earthworks to traffic loads 4.2.3.5.2 Running dynamic behaviour 4.2.9 Track geometrical quality 4.2.3.6.2 Characteristics of wheelsets 4.2.3.6.3 Characteristics of wheels 4.2.5.1 Nominal track gauge 4.2.5.6 Rail head profile for plain line 4.2.6.2 In service geometry of switches and crossings (*1) OJ L 126, 14.5.2011, p. 53.

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







Table 6 Interface with operation and traffic management subsystem Reference in this TSI Reference Commission Decision 2011/314/EU (*1) 4.2.2.2 Strength of unit — Lifting and jacking 4.2.3.6.3 Contingency arrangements 4.2.3.1 Gauging 4.2.2.5 Train composition 4.2.3.2 Compatibility with load carrying capacity of lines 4.2.2.5 Train composition 4.2.4 Brake 4.2.2.6 Train braking 4.2.6.3 Attachment devices for rear-end signal. Appendix E Rear-end signal 4.2.2.1.3.2 Rear-end (*1) OJ L 144, 31.5.2011, p. 1.

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







Table 7 Interface with control, command and signalling subsystem ▼M1 Reference in this TSI ►M3 Reference ERA/ERTMS/033281 rev. 4.0 ◄ 4.2.3.3 a) Rolling stock characteristics compatible with train detection system based on track circuits — axle distances (3.1.2.1, 3.1.2.4, 3.1.2.5 and 3.1.2.6), — vehicle axle load (3.1.7.1), — impedance between wheels (3.1.9), — use of composite brake blocks (3.1.6). 4.2.3.3 b) Rolling stock characteristics compatible with train detection system based on axle counters — axle distances (3.1.2.1, 3.1.2.2, 3.1.2.5 and 3.1.2.6), — wheel geometry (3.1.3.1-3.1.3.4), — metal/inductive components-free space between wheels (3.1.3.5) — wheel material (3.1.3.6). 4.2.3.3 c) Rolling stock characteristics compatible with train detection system based on loop equipment — vehicle metal construction (3.1.7.2).

▼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:

— a description of operation in normal mode, including the operational characteristics and limitations of the unit (e.g. vehicle gauge, maximum design speed, axle loads, brake performance, compatibility with train detection systems, permitted environmental conditions, type(s) and operation of track gauge changeover facility(ies) the unit is compatible with),

— a description of operation in degraded mode (when equipment or functions described in this TSI suffer safety failures) as far as can reasonably predicted, together with the related acceptable limits and operating conditions of the unit that could be experienced,

— a safety critical components list: The safety critical components list shall contain the specific operational and operational traceability requirements.

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. The Notified Body shall verify only that the documentation on operation is provided.

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:

— general documentation (point 4.5.1),

— the maintenance design justification file (point 4.5.2), and

— the maintenance description file (point 4.5.3).

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. The Notified Body shall verify only that the documentation on maintenance is provided.

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

The general documentation comprises of:

— Drawings and description of the unit and its components.

— Any legal requirement concerning the maintenance of the unit.

— Drawing of systems (electrical, pneumatic, hydraulic and control-circuit diagrams).

— Additional on-board systems (description of the systems including description of functionality, specification of interfaces and data processing and protocols).

— Configuration files for each vehicle (parts list and bill of material) to enable (in particular but not only) traceability during maintenance activities.

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. The maintenance design justification file consists of:

— Precedents, principles and methods used to design the maintenance of the unit.

— Precedents, principles and methods used to identify the safety critical components and their specific operational, servicing, maintenance and traceability requirements.

— Limits of the normal use of the unit (e.g. km/month, climatic limits, foreseen types of loads, etc.).

— Relevant data used to design the maintenance and origin of these data (return of experience).

— Tests, investigations and calculations carried out to design the maintenance.

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:

— preventive maintenance (scheduled and controlled), and

— corrective maintenance.

The maintenance description file includes the following:

— Component hierarchy and functional description which sets up the boundaries of the rolling stock by listing all the items belonging to the product structure of that rolling stock and using an appropriate number of discrete levels. The lowest item of the hierarchy shall be a replaceable component.

— Parts list which shall contain the technical and functional descriptions of the spare parts (replaceable units). The list shall include all parts specified for changing based on condition, which may require a replacement following electrical or mechanical malfunction or which will foreseeable require a replacement after an accidental damage. Interoperability constituents shall be indicated and referenced to their corresponding declaration of conformity.

— Safety critical components list: The safety critical components list shall contain the specific servicing, maintenance and servicing/maintenance traceability requirements.

— Limit values for components which are not to be exceeded in service. It is permitted to specify operational restrictions in degraded mode (limit value reached).

— List of reference to the European legal obligations to which components or subsystems are subject.

— Maintenance plan ( 4 ) i.e. the structured set of tasks to perform the maintenance including the activities, procedures and means. The description of this set of tasks includes: (a) Disassembly/assembly instructions drawings necessary for correct assembly/disassembly of replaceable parts. (b) Maintenance criteria. (c) Checks and tests in particular of safety relevant parts; these include visual inspection and non-destructive tests (where appropriate e.g. to detect deficiencies that may impair safety). (d) Tools and materials required to undertake the task. (e) Consumables required to undertake the task. (f) Personal protective safety provision and equipment.

— Necessary tests and procedures to be undertaken after each maintenance operation before re-entry into service of rolling stock.

▼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:

point 4.2.2.1.1: End coupling,

point 4.2.6.1: Fire safety,

point 4.2.6.2: Protection against electrical hazards.

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:

— Type, position and resiliency of the end coupling

— Load due to dynamic traction forces and compressive forces

— Gauge reference profiles to which the unit complies

— Conformity, if any, to target gauge reference profile(s) G1, GA, GB and GC

— ►M3 ◄ Compliance, if any, to gauge lower reference profile(s)GI1 and GI2

— Mass per axle (tare and fully laden)

— Position of the axles along the unit and number of axles

— Length of the unit

— Maximum design speed

— Track gauges(s) the unit can be operated on

— Compatibility with train detection systems (track circuits/axle counters/loop equipment)

— Compatibility with hot axle box detection systems

— In-service temperature range of the axle bearings

— Nature of the signal which controls the brake (example: pneumatic main brake pipe, electric brake type XXX, etc.)

— Characteristics of the control line and of its coupling with other units (main brake pipe diameter, section of the electric cable etc.)

— Individual nominal performance of the brake unit, depending on the brake mode, if any (response time, brake force, level of adhesion required, etc.)

— Braking distance or brake weight depending on the brake mode, if any.

▼M1

— Thermal load of the brake components expressed in terms of speed, axle load, gradient and brake distance

▼B

— Temperature range and severity level of snow/ice/hail conditions

— Brake weight and maximum gradient of the parking brake (if applicable)

— Ability/inability to be hump shunted

— Presence of footsteps and/or handrails.

▼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:

— their area of use covering parameters of the subsystem, and

— the reference to corresponding requirements defined in Section 4.2.

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:

— Track gauge

▼B

— Maximum speed

— Maximum cant deficiency

— Minimum tare of the unit

— Maximum axle load

— Range of distances between bogie pivots or range of wheelbase of ‘two-axle units’

— Maximum height of centre of gravity of empty unit

— Coefficient of height of centre of gravity of loaded unit

— Minimum torsional stiffness coefficient of car body

— Maximum mass distribution coefficient for empty units with: Where: Izz = moment of inertia of the car body relative to the vertical axis through the centre of gravity of the car body m = mass of the car body 2a* = wheelbase

— Minimum nominal wheel diameter

— Rail inclination.

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:

— track gauge,

▼B

— nominal wheel tread diameter, and

— maximum vertical static force.

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:

— nominal tread diameter,

— maximum vertical static force,

▼M3

— maximum speed,

— in-service limits, and

▼B

— maximum braking energy.

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:

— maximum vertical static force.

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:

— dynamic friction coefficients and their tolerance bands,

— minimum static friction coefficient,

— maximum permitted brake forces applied on the element,

— suitability for train detection by systems based on track circuits,

— suitability for severe environmental conditions.

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:

— the track gauges the system is designed for,

— the range of maximum static axle loads,

— the range of nominal wheel tread diameters,

— the maximum design speed of the unit, and

— the types of track gauge changeover facility(ies) the system is designed for, including the nominal speed through the track changeover facility(ies) and the maximum axial forces during the automatic gauge changeover process.

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.







Table 8 Modules for conformity assessment of interoperability constituents Module CA1 Internal production control plus product verification by individual examination Module CA2 Internal production control plus product verification at random intervals Module CB EC-Type examination Module CD Conformity to type based on quality management system of the production process Module CF Conformity to type based on product verification Module CH Conformity based on full quality management system Module CH1 Conformity based on full quality management system plus design examination ▼M2 Module CV Type validation by in-service experience (suitability for use) ▼B

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







Table 9 Modules to be applied for interoperability constituents Point Constituent Modules CA1 or CA2 CB + CD CB + CF CH CH1 CV 4.2.3.6.1 Running gear X X X Running gear — established X X 4.2.3.6.2 Wheelset X (*1) X X X (*1) X 4.2.3.6.3 Wheel X (*1) X X X (*1) X 4.2.3.6.4 Axle X (*1) X X X (*1) X ▼M3 4.2.3.6.6 Automatic variable gauge system X (*1) X X X (*1) X X (*2) ▼M2 4.2.4.3.5 Friction element for wheel tread brakes X (*1) X X X (*1) X X (*2) 5.3.5 Rear-end signal X X (*1) Modules CA1, CA2 or CH may be used only in the case of products placed on the market, and therefore developed, before the entry into force of this TSI, provided that the manufacturer demonstrates to the NoBo that design review and type examination were performed for previous applications under comparable conditions, and are in conformity with the requirements of this TSI; this demonstration shall be documented, and is considered as providing the same level of proof as module CB or design examination according to module CH1. (*2) Module CV shall be used in case the manufacturer of friction element for wheel tread brakes has no sufficient return of experience (according to its own judgment) for the proposed design.

▼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.

▼M3

6.1.2.1. Running gear

The demonstration of conformity for running dynamic behaviour is set out in EN 16235:2013.

Units equipped with an established running gear as described in chapter 6 of EN 16235:2013 are presumed to be in conformity with the relevant requirement provided that the running gears are operated within their established area of use.

The assessment of the bogie frame strength shall be based on clause 6.2 of EN 13749:2011.

▼B

6.1.2.2. Wheelset

The demonstration of conformity for the mechanical behaviour of the wheelset assembly shall be carried out according to clause 3.2.1 of EN 13260:2009+A1:2010, which defines limit values for the axial assembly force and the associated verification test.

▼M4

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

▼M3

A verification procedure shall exist to ensure at the assembly phase that no defects may detrimentally affect safety due to any change in the mechanical characteristics of the fitted parts of the axle. This procedure shall contain the determination of the interference values and, in case of press-fitted wheelsets, the corresponding press-fitting diagram.

▼B

6.1.2.3. Wheel

(a) Forged and rolled wheels: The mechanical characteristics shall be proven following the procedure as specified in clause 7 of EN 13979-1:2003+A1:2009+A2:2011.

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 clause 6.2 of EN 13979-1:2003+A1:2009+A2:2011 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 EN 13979-1:2003+A1:2009+A2:2011.

▼M4

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

▼B

(b) Other types of wheels: Other types of wheels are permitted for units in national use. In that case the decision criteria and the fatigue stress criteria shall be specified in national rules. Those national rules shall be notified by Member States in accordance with Article 17(3) of ►M3 Directive (EU) 2016/797 ◄ .

▼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

▼M1

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 Clauses 4, 5 and 6 of EN13103:2009 + A2:2012.

The decision criteria for the permissible stress are specified in Clause 7 of EN EN13103:2009 + A2:2012. 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:

— wheelset assembly,

— mechanical resistance,

— fatigue characteristics,

— permissible stress limits,

— thermomechanical characteristics.

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):

— dynamic friction performance (chapter 4);

— static friction coefficient (chapter 5);

— mechanical characteristics including properties in respect to shear strength test and flexural strength test (chapter 6).

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:

— train detection by systems based on track circuits; and/or

— severe environmental conditions.

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:

— Design review

— Static tests (bench tests and integration-in-the-wheelset/unit tests)

— Test on track gauge changeover facility(ies), representative of in-service conditions

— On-track tests, representative of in-service conditions.

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.







Table 10 Modules for EC verification of subsystems SB EC-Type Examination SD EC verification based on quality management system of the production process SF EC verification based on product verification SH1 EC verification based on full quality management system plus design examination

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:

— (SB+SD), or

— (SB+SF), or

— (SH1).

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

▼M3

The demonstration of conformity shall be in accordance with chapters 6 and 7 of EN 12663-2:2010, or alternatively with chapter 9.2 of EN 12663-1:2010+A1:2014.

▼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.

▼M3

6.2.2.2. Safety against derailment running on twisted track

The demonstration of conformity shall be carried out in accordance with chapters 4, 5 and 6.1 of EN 14363:2016.

6.2.2.3. Running dynamic behaviour

On-track tests

The demonstration of conformity shall be carried out in accordance with chapters 4, 5 and 7 of EN 14363:2016.

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 according to EN 14363:2016, clause 7.6.3.2.6 (2), shall be calculated according to the following formula:

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.

The combination of the highest equivalent conicity and speed for which the unit meets the stability criterion in chapters 4, 5 and 7 of EN 14363:2016 shall be recorded in the report.

▼B

6.2.2.4. Axle box/bearings

The demonstration of conformity for mechanical resistance and fatigue characteristics of the rolling bearing shall be in accordance with clause 6 of EN 12082:2007+A1:2010.

▼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.

▼B

6.2.2.5. Running gear for manual change of wheelsets

Changeover between 1 435 mm and 1 668 mm track gauges

▼M1

The technical solutions described in the following figures of UIC leaflet 430-1:2012 are deemed to be compliant with the requirements in point 4.2.3.6.7:

— for axle units: Figures 9 and 10 of Annex B.4, and Figure 18 of Annex H of UIC leaflet 430-1:2012,

— ►M3 ◄ for bogie units: Figure 18 of Annex H and Figures 19 and 20 of Annex I of UIC leaflet 430-1:2012.

▼B

Changeover between 1 435 mm and 1 524 mm track gauges

The technical solution described in Appendix 7 of UIC leaflet 430-3:1995 is deemed to be compliant with the requirements in point 4.2.3.6.7.

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:

(a) concerning the emergency brake application: the critical combination of speed and payload considering straight and level track, minimum wind and dry rails;

(b) concerning the continuous brake application: — the range up to the maximum braking power, — the range up to the maximum speed, and — the corresponding brake application time.

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

Barriers shall be tested in accordance with ►M3 EN 1363-1:2012 ◄ . 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

▼M3

Testing of the materials ignitability and flame spread properties shall be performed in accordance with ISO 5658-2:2006/Am1:2011 for which the limit value shall be CFE ≥ 18 kW/m2.

For rubber parts of bogies, the testing shall be performed in accordance with ISO 5660-1:2015 for which the limit value shall be MARHE ≤ 90 kW/m2 under the test conditions specified in reference T03.02 of Table 6 of EN 45545-2:2013+A1:2015.

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

— Wheelsets, coated or uncoated,

▼B

— metals and alloys with inorganic coatings (such as, but not limited to: galvanised coating, anodic coating, chromate film, phosphate conversion coating),

— metals and alloys with an organic coating with a nominal thickness less than 0,3 mm (such as, but not limited to paints, plastic coating, asphaltic coating),

— metals and alloys with a combined inorganic and organic coating of which the nominal thickness of the organic layer is less than 0,3 mm,

— glass, stoneware, ceramic and natural stone products,

— materials that meet the requirements of category C-s3, d2 or higher in accordance with EN 13501-1:2007+A1:2009.

6.2.2.8.3 Cables

The electrical cables shall be selected and installed in accordance with ►M3 EN 50355:2013 ◄ and ►M3 EN 50343:2014 ◄ .

6.2.2.8.4 Flammable liquids

The measures taken shall be in accordance with ►M3 EN 45545-7:2013 ◄ .

▼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:

— used in a subsystem already approved, and

— placed in service in at least one Member State before the entry in force of this TSI.

▼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.

(a) Design and development phase: — Design review and/or design examination — Type test: test to verify the design, if and as defined in the Section 4.2.

(b) Production phase: — Routine test to verify the conformity of production. The entity in charge of the assessment of the routine tests is determined according to the assessment module chosen.

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:

(a) In the case this constituent is not recognised as an IC in this TSI, neither the certificate nor the declaration are valid for the EC verification procedure related to this TSI.

▼M1

(b) The EC certificates of conformity, EC-type examination certificates and EC-design examination certificates of the following ICs shall remain valid under this TSI until their expiry: — Wheelset; — Wheel; — Axle.

▼B

7. IMPLEMENTATION

▼M3

7.1. Authorisation for placing on the market

This TSI is applicable to the subsystem ‘rolling stock — freight wagons’ within the scope set out in its Sections 1.1, 1.2 and 2.1, which are placed on the market after the date of application of this TSI.

This TSI is also applicable on a voluntary basis to:

— units referred to in section 2.1 point (a) in transport (running) configuration, in case they correspond to a ‘unit’ as defined in this TSI, and

— units as defined in section 2.1 point (c), in case they are in empty configuration.

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

▼B

7.1.1. Authorisation for placing in service of a new vehicle in conformity with the previous WAG TSIs ( 7 )

See Article 9.

▼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:

— in accordance with point (a) of Article 21(3): the ‘EC’ declaration of verification as provided for in Article 15 of the same directive, and

— in accordance with (d) of Article 21(3): evidence of the technical compatibility of the unit with the network in the area of use covering the EU network.

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:

(a) The unit must be equipped with forged and rolled wheels assessed according to point 6.1.2.3(a).

(b) The compliance/non-compliance with the requirements regarding the axle bearing condition monitoring by line side equipment as set out in point 7.3.2.2.(a) must be recorded in the technical file.

(c) The reference profile established for the unit as per point 4.2.3.1 must be allocated to one of the target reference profile(s) G1, GA, GB and GC including those used for the lower part GI1 and GI2.

(d) The unit must be compatible with the train detection systems based on track circuits, on axle counters and on loop equipment as specified in clauses 4.2.3.3(a), 4.2.3.3(b) and 4.2.3.3(c).

(e) The unit must be equipped with the manual coupling system in accordance with the prescriptions set out in Appendix C, Section 1, including the fulfilment of Section 8 or with any semi-automatic or automatic standardised coupling system.

(f) The brake system must be in accordance with the conditions of Appendix C, Sections 9, 14 and 15 when applying the reference case set out in point 4.2.4.2.

(g) The unit must be marked with all applicable markings in accordance with EN 15877-1:2012, except the marking defined in its clause 4.5.25(b).

(h) The parking brake force shall be marked as set out in Figure 1, 30 mm below the marking defined in clause 4.5.3 of EN 15877-1: Figure 1 Marking of the pa