ANNESS

1. Introduction 236

1.1. Technical Scope 236

1.2. Geographical Scope 236

1.3. Content of this TSI 236

2. Rolling stock subsystem and functions 237

2.1. The rolling stock subsystem as part of the Union's rail system 237

2.2. Definitions related to rolling stock 238

2.2.1. Train formation 238

2.2.2. Rolling stock 238

2.3. Rolling stock in the scope of this TSI 239

2.3.1. Types of rolling stock 239

2.3.2. Track gauge 240

2.3.3. Maximum speed 240

3. Essential requirements 240

3.1. Elements of the rolling stock subsystem corresponding to the essential requirements 240

3.2. Essential requirements not covered by this TSI 246

3.2.1. General requirements, requirements related to maintenance and operation 246

3.2.2. Requirements specific to other subsystems 247

4. Characterisation of the rolling stock subsystem 247

4.1. Introduction 247

4.1.1. General 247

4.1.2. Description of the Rolling stock subject to the application of this TSI 248

4.1.3. Main categorisation of the rolling stock for application of TSI requirements 248

4.1.4. Categorisation of the rolling stock for fire safety 249

4.2. Functional and technical specification of the sub-system 249

4.2.1. General 249

4.2.2. Structure and mechanical parts 250

4.2.3. Track interaction and gauging 257

4.2.4. Braking 267

4.2.5. Passenger related items 279

4.2.6. Environmental conditions and aerodynamic effects 287

4.2.7. External lights & visible and audible warning devices 291

4.2.8. Traction and electrical equipment 294

4.2.9. Driver's Cab and driver-machine interface 301

4.2.10. Fire safety and evacuation 307

4.2.11. Servicing 311

4.2.12. Documentation for operation and maintenance 312

4.3. Functional and technical specification of the interfaces 316

4.3.1. Interface with Energy subsystem 316

4.3.2. Interface with Infrastructure subsystem 317

4.3.3. Interface with Operation subsystem 318

4.3.4. Interface with the Control, command and signalling subsystem 319

4.3.5. Interface with the Telematic application for passengers subsystem 319

4.4. Operating rules 320

4.5. Maintenance rules 320

4.6. Professional competencies 321

4.7. Health and safety conditions 321

4.8. European register of authorised types of vehicles 321

5. Interoperability constituents 321

5.1. Definition 321

5.2. Innovative solution 322

5.3. Interoperability constituent specification 322

5.3.1. Automatic centre buffer coupler 322

5.3.2. Manual end coupling 322

5.3.3. Rescue couplers 323

5.3.4. Wheels 323

5.3.5. WSP (wheel slide protection system) 323

5.3.6. Head lamps 323

5.3.7. Marker lamps 323

5.3.8. Tail lamps 323

5.3.9. Horns 324

5.3.10. Pantograph 324

5.3.11. Contact strips 324

5.3.12. Main circuit breaker 325

5.3.13. Driver's seat 325

5.3.14. Toilet discharge connection 325

5.3.15. Inlet connection for water tanks 325

6. Assessment of conformity or suitability for use and “EC” verification 325

6.1. Interoperability constituents 325

6.1.1. Conformity assessment 325

6.1.2. Application of modules 325

6.1.3. Particular assessment procedures for interoperability constituents 327

6.1.4. Project phases where assessment is required 330

6.1.5. Innovative solutions 330

6.1.6. Assessment of suitability for use 330

6.2. Rolling stock subsystem 330

6.2.1. EC verification (general) 330

6.2.2. Application of modules 331

6.2.3. Particular assessment procedures for subsystems 331

6.2.4. Project phases where assessment is required 340

6.2.5. Innovative solutions 341

6.2.6. Assessment of documentation requested for operation and maintenance 341

6.2.7. Assessment of units intended to be used in general operation 341

6.2.8. Assessment of units intended to be used in predefined formation(s) 341

6.2.9. Particular case: Assessment of units intended to be included in an existing fixed formation 341

6.3. Subsystem containing Interoperability constituents not holding an EC declaration 342

6.3.1. Conditions 342

6.3.2. Documentation 342

6.3.3. Maintenance of the subsystems certified according to clause 6.3.1 342

7. Implementation 343

7.1. General rules for implementation 343

7.1.1. Application to newly built rolling stock 343

7.1.2. Renewal and upgrade of existing rolling stock 345

7.1.3. Rules related to the type or design examination certificates 346

7.2. Compatibility with other subsystems 347

7.3. Specific cases 347

7.3.1. General 347

7.3.2. List of specific cases 348

7.4. Specific environmental conditions 360

7.5. Aspects that have to be considered in the revision process or in other activities of the Agency 361

7.5.1. Aspects related to a basic parameter in this TSI 362

7.5.2. Aspects not related to a basic parameter in this TSI but subject to research projects 362

7.5.3. Aspects relevant for the EU railway system but out of the scope of TSI's 363

APPENDIX A — Buffers and screw coupling system 365

APPENDIX B — 1 520 mm system gauge “T” 367

APPENDIX C — Special provisions for on track machines (OTM) 369

APPENDIX D — On-board energy measurement system 377

APPENDIX E — Anthropometric measurements of the driver 374

APPENDIX F — Front visibility 375

APPENDIX G — Servicing 376

APPENDIX H — Assessment of the rolling stock subsystem 378

APPENDIX I — Aspects for which the technical specification is not available (open points) 386

APPENDIX J — Technical specifications referred to in this TSI 387

1. INTRODUCTION

1.1. Technical Scope

This technical specification for interoperability (TSI) is a specification by which a particular subsystem is addressed in order to meet the essential requirements and ensure the interoperability of the Union's rail system as described in Article 1 of Directive 2008/57/EC.

The particular subsystem is the rolling stock of the Union's rail system referred to in Annex II Section 2.7 of Directive 2008/57/EC.

This TSI is applicable to rolling stock:

— which is (or is intended to be) operated on the rail network defined in the Section 1.2 “Geographical scope” of this TSI, and

— which is of one of the following types (as defined in Annex I Sections 1.2 and 2.2 of Directive 2008/57/EC): — Self-propelling thermal or electric trains, — Thermal or electric traction units, — Passenger carriages, — Mobile railway infrastructure construction and maintenance equipment.

Rolling stock of the types mentioned in Article 1(3) of Directive 2008/57/EC are excluded from the scope of this TSI:

— Metros, tram, and other light rail vehicles,

— Vehicles for the operation of local, urban or suburban passenger services on networks that are functionally separate from the rest of the railway system,

— Vehicles exclusively used on privately owned railway infrastructure that exists solely for use by the owner for its own freight operations,

— Vehicles reserved for a strictly local, historical or touristic use.

The detailed definition of the rolling stock in the scope of this TSI is given in Chapter 2.

1.2. Geographical Scope

The geographical scope of this TSI is the network of the whole rail system, composed of:

— The trans-European conventional rail system network (TEN) as described in Annex I Section 1.1 “Network” of Directive 2008/57/EC

— The trans-European high-speed rail system network (TEN) as described in Annex I Section 2.1 “Network” of Directive 2008/57/EC

— Other parts of the network of the whole rail system, following the extension of the scope as described in Annex I Section 4 of Directive 2008/57/EC,

and excludes the cases referred to in Article 1(3) of Directive 2008/57/EC.

1.3. Content of this TSI

In accordance with Article 5(3) of Directive 2008/57/EC this TSI:

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

(b) lays down essential requirements for the subsystem rolling stock “Locomotives and passenger rolling stock” and 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 European Union's 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, on the one hand, or the “EC” verification of the subsystems, on the other hand (Chapter 6);

(f) indicates the strategy for implementing this TSI (Chapter 7);

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

In accordance with Article 5(5) of Directive 2008/57/EC, provision may be made for specific cases for each TSI; such specific cases are indicated in Chapter 7.

2. ROLLING STOCK SUBSYSTEM AND FUNCTIONS

2.1. The rolling stock subsystem as part of the Union's rail system

The Union's rail system has been broken down into the following subsystems as defined in Annex II (Section 1) of Directive 2008/57/EC.

(a) Structural areas: — Infrastructure, — Energy, — trackside control-command and signalling, — on-board control-command and signalling, — rolling stock;

(b) Functional areas: — Operation and traffic management, — Maintenance, — telematics applications for passenger and freight services.

With the exception of maintenance, each sub-system is dealt with in specific TSI(s).

The rolling stock subsystem dealt with in this TSI (as defined in Section 1.1) has interfaces with all other subsystems of the Union rail system mentioned above; these interfaces are considered within the frame of an integrated system, compliant with all the relevant TSIs.

Additionally, there are two TSIs describing specific aspects of the railway system and concerning several subsystems, the rolling stock subsystem being one of them:

(a) safety in railway tunnels (TSI SRT);

(b) accessibility for people with reduced mobility (TSI PRM);

and two TSIs concerning particular aspects of the rolling stock subsystem:

(c) noise (TSI Noise);

(d) freight wagons.

The requirements concerning the rolling stock subsystem expressed in these four TSIs are not repeated in the present TSI. These four TSIs apply also for the rolling stock subsystem according to their respective scopes and implementation rules.

2.2. Definitions related to rolling stock

For the purpose of this TSI, the following definitions apply:

2.2.1. Train formation:

(a) A “unit” is the generic term used to name the rolling stock which is subject to the application of this TSI, and therefore subject to “EC” verification.

(b) A Unit may be composed of several “vehicles”, as defined in Directive 2008/57/EC, Article 2(c); considering the scope of this TSI, the use of the term “vehicle” in this TSI is limited to the rolling stock subsystem as defined in Chapter 1.

(c) A “train” is an operational formation consisting of one or more units.

(d) A “passenger train” is an operational formation accessible to passengers (a train composed of passenger vehicles but not accessible to passengers is not considered as a passenger train).

(e) A “fixed formation” is a train formation that can only be reconfigured within a workshop environment.

(f) A “predefined formation(s)” is a train formation(s) of several units coupled together, which is defined at design stage and can be reconfigured during operation.

(g) “Multiple operation”: is an operational formation consisting of more than one unit: — Trainsets designed so that several of them (of the type under assessment) are capable of being coupled together to operate as a single train controlled from 1 driver's cab. — Locomotives designed so that several of them (of the type under assessment) are capable of being included in a single train controlled from 1 driver's cab.

(h) “General operation”: A unit is designed for general operation when the unit is intended to be coupled with other unit(s) in a train formation which is not defined at design stage.

2.2.2. Rolling stock:

Definitions below are classified in four groups as defined in the Section 1.2 of Annex I to Directive 2008/57/EC.

(A) Self-propelling thermal and/or electric trains: (a) A “trainset” is a fixed formation that can operate as a train; it is by definition not intended to be reconfigured, except within a workshop environment. It is composed of only motored or of motored and non-motored vehicles. (b) An “electric and/or diesel multiple unit” is a trainset in which all vehicles are capable of carrying a payload (passengers or luggage/mail or freight). (c) A “railcar” is a vehicle that can operate autonomously and is capable of carrying a payload (passengers or luggage/mail or freight).

(B) Thermal and/or electric traction units: A “locomotive” is a traction vehicle (or combination of several vehicles) that is not intended to carry a payload and has the ability to be uncoupled in normal operation from a train and to operate independently. A “shunter” is a traction unit designed for use only on shunting yards, stations and depots. Traction in a train can also be provided by a powered vehicle with or without driving cab, which is not intended to be uncoupled during normal operation. Such a vehicle is called a “power unit” (or “power car”) in general or a “power head” when located at one end of the trainset and fitted with a driving cab.

(C) Passenger carriages and other related cars: A “coach” is a vehicle without traction in a fixed or variable formation capable of carrying passengers (by extension, requirements specified to apply to coaches in this TSI are deemed to apply also to restaurant cars, sleeping cars, couchettes cars, etc.). A “van” is a vehicle without traction capable of carrying payload other than passengers, e.g. luggage or mail, intended to be integrated into a fixed or variable formation which is intended to transport passengers. A “driving trailer” is a vehicle without traction equipped with a driving cab. A coach may be equipped with a driver's cab; such a coach is then named a “driving coach”. A van may be fitted with a driver's cab and as such is known as a “driving van”. A “car carrier” is a vehicle without traction capable of carrying passenger motor cars without their passengers and which is intended to be integrated in a passenger train. A “fixed rake of coaches” is a formation of several coaches “semi-permanently” coupled together, or which can be reconfigured only when it is out of service.

(D) Mobile railway infrastructure construction and maintenance equipment “On track machines (OTMs)” are vehicles specially designed for construction and maintenance of the track and infrastructure. OTMs are used in different modes: working mode, transport mode as self-propelling vehicle, transport mode as a hauled vehicle. “Infrastructure inspection vehicles” are utilised to monitor the condition of the infrastructure. They are operated in the same way as freight or passenger trains, with no distinction between transport and working modes.

2.3. Rolling stock in the scope of this TSI

2.3.1. Types of rolling stock

The scope of this TSI concerning rolling stock, classified in four groups as defined in the Annex I Section 1.2 of Directive 2008/57/EC, is detailed as follows:

(A) Self-propelling thermal and/or electric trains: This type includes any train in fixed or predefined formation, composed of vehicles passenger carrying and/or vehicles not carrying passengers. Thermal or electric traction equipment is installed in some vehicles of the train, and the train is fitted with a driver's cab. Exclusion from the scope: — Railcars or Electric and/or Diesel Multiple Units intended to operate on explicitly identified local, urban or suburban networks functionally separate from the rest of the railway system are not in the scope of this TSI. — Rolling stock which is designed to operate primarily on urban metro, tramway or other light rail networks is not in the scope of this TSI. These types of rolling stock may be authorised to operate on particular sections of the Union railway network that are identified for this purpose (due to the local configuration of the railway network) by reference to the Register of Infrastructure. In that case, and provided that they are not explicitly excluded from the scope of Directive 2008/57/EC, Articles 24 and 25 of Directive 2008/57/EC (referring to national rules) are applicable.

(B) Thermal and/or electric traction units: This type includes traction vehicles that are not capable of carrying a payload, such as thermal or electric locomotives or power units. The concerned traction vehicles are intended for freight or/and passenger transport. Exclusion from the scope: Shunters (as defined in Section 2.2) are not in the scope of this TSI; when they are intended to operate on the Union railway network (movement between shunting yards, stations and depots), Articles 24 and 25 of Directive 2008/57/EC (referring to national rules) are applicable.

(C) Passenger carriages and other related cars: — Passenger carriages: This type includes vehicles without traction carrying passengers (coaches, as defined in Section 2.2), and operated in a variable formation with vehicles from the category “thermal or electric traction units” defined above to provide the traction function. — Non-passenger carrying vehicles included in a passenger train: This type include vehicles without traction included in passenger trains (e.g. luggage or postal vans, car carriers, vehicles for service, etc.); they are in the scope of this TSI, as vehicles related to transport of passengers. Exclusion from the scope of this TSI: — Freight wagons are not in the scope of this TSI; they are covered by the “freight wagons” TSI even when they are included in a passenger train (the train composition is in this case an operational issue). — Vehicles intended to carry road motor vehicles (with persons on-board these road motor vehicles) are not in the scope of this TSI; when they are intended to operate on the Union railway network, Articles 24 and 25 of Directive 2008/57/EC (referring to national rules) are applicable.

(D) Mobile railway infrastructure construction and maintenance equipment This type of rolling stock is in the scope of the TSI only when: — It is running on its own rail wheels, and — It is designed and intended to be detected by a track based train detection system for traffic management, and — In case of OTMs, it is in transport (running) configuration, self-propelled or hauled. Exclusion from the scope of this TSI: In case of OTMs, working configuration is outside the scope of this TSI.

2.3.2. Track gauge

This TSI is applicable to rolling stock which is intended to be operated on networks of track gauge 1 435 mm, or on one of the following nominal track gauges: 1 520 mm, 1 524 mm system, 1 600 mm system and 1 668 mm system.

2.3.3. Maximum speed

Considering the integrated railway system composed of several subsystems (in particular fixed installations; see Section 2.1), the maximum design speed of rolling stock is deemed to be lower or equal to 350 km/h.

In case of maximum design speed higher than 350 km/h, this technical specification applies, but has to be complemented for the speed range above 350 km/h (or maximum speed related to a particular parameter, where specified in the relevant point of Section 4.2 up to the maximum design speed, by application of the procedure for innovative solutions described in Article 10.

3. ESSENTIAL REQUIREMENTS

3.1. Elements of the rolling stock subsystem corresponding to the essential requirements

The following table indicates the essential requirements, as set out and numbered in Annex III of Directive 2008/57/EC, taken into account by the specifications set out in Chapter 4 of this TSI.

Rolling stock elements corresponding to essential requirements

Note: only points in Section 4.2 which contain requirements are listed.

Ref. Point Element of the rolling stock sub-system Safety Reliability-Availability Health Environmental protection Technical compatibility 4.2.2.2.2 Inner coupling 1.1.3 2.4.1 4.2.2.2.3 End coupling 1.1.3 2.4.1 4.2.2.2.4 Rescue coupling 2.4.2 2.5.3 4.2.2.2.5 Staff access for coupling and uncoupling 1.1.5 2.5.1 2.5.3 4.2.2.3 Gangways 1.1.5 4.2.2.4 Strength of vehicle structure 1.1.3 2.4.1 4.2.2.5 Passive safety 2.4.1 4.2.2.6 Lifting and jacking 2.5.3 4.2.2.7 Fixing of devices to carbody structure 1.1.3 4.2.2.8 Staff and freight access doors 1.1.5 2.4.1 4.2.2.9 Mechanical characteristics of glass 2.4.1 4.2.2.10 Load conditions and weighted mass 1.1.3 4.2.3.1 Gauging 2.4.3 4.2.3.2.1 Axle load parameter 2.4.3 4.2.3.2.2 Wheel load 1.1.3 4.2.3.3.1 Rolling stock characteristics for compatibility with train detection systems 1.1.1 2.4.3 2.3.2 4.2.3.3.2 Axle bearing condition monitoring 1.1.1 1.2 4.2.3.4.1 Safety against derailment running on twisted track 1.1.1 1.1.2 2.4.3 4.2.3.4.2 Running dynamic behaviour 1.1.1 1.1.2 2.4.3 4.2.3.4.2.1 Limit values for running safety 1.1.1 1.1.2 2.4.3 4.2.3.4.2.2 Track loading limit values 2.4.3 4.2.3.4.3 Equivalent conicity 1.1.1 1.1.2 2.4.3 4.2.3.4.3.1 Design values for new wheel profiles 1.1.1 1.1.2 2.4.3 4.2.3.4.3.2 In-service values of wheelset equivalent conicity 1.1.2 1.2 2.4.3 4.2.3.5.1 Structural design of bogie frame 1.1.1 1.1.2 4.2.3.5.2.1 Mechanical and geometrical characteristics of wheelsets 1.1.1 1.1.2 2.4.3 4.2.3.5.2.2 Mechanical and geometrical characteristics of wheels 1.1.1 1.1.2 4.2.3.5.2.3 Variable gauge wheelsets 1.1.1 1.1.2 4.2.3.6 Minimum curve radius 1.1.1 1.1.2 2.4.3 4.2.3.7 Life guards 1.1.1 4.2.4.2.1 Braking — Functional requirements 1.1.1 2.4.1 2.4.2 1.5 4.2.4.2.2 Braking — Safety requirements 1.1.1 1.2 2.4.2 4.2.4.3 Type of brake system 2.4.3 4.2.4.4.1 Emergency braking command 2.4.1 2.4.3 4.2.4.4.2 Service braking command 2.4.3 4.2.4.4.3 Direct braking command 2.4.3 4.2.4.4.4 Dynamic braking command 1.1.3 4.2.4.4.5 Parking braking command 2.4.3 4.2.4.5.1 Braking performance — General requirements 1.1.1 2.4.1 2.4.2 1.5 4.2.4.5.2 Emergency braking 1.1.2 2.4.1 2.4.3 4.2.4.5.3 Service braking 2.4.3 4.2.4.5.4 Calculations related to thermal capacity 2.4.1 2.4.3 4.2.4.5.5 Parking brake 2.4.1 2.4.3 4.2.4.6.1 Limit of wheel rail adhesion profile 2.4.1 1.2 2.4.2 4.2.4.6.2 Wheel slide protection system 2.4.1 1.2 2.4.2 4.2.4.7 Dynamic brake — Braking systems linked to traction system 2.4.1 1.2 2.4.2 4.2.4.8.1. Braking system independent of adhesion conditions — General 2.4.1 1.2 2.4.2 4.2.4.8.2. Magnetic track brake 2.4.3 4.2.4.8.3 Eddy current track brake 2.4.3 4.2.4.9 Brake state and fault indication 1.1.1 1.2 2.4.2 4.2.4.10 Brake requirements for rescue purposes 2.4.2 4.2.5.1 Sanitary systems 1.4.1 4.2.5.2 Public address system: audible communication system 2.4.1 4.2.5.3 Passenger alarm 2.4.1 4.2.5.4 Communication devices for passengers 2.4.1 4.2.5.5 Exterior doors: access to and egress from Rolling stock 2.4.1 4.2.5.6 Exterior doors: system construction 1.1.3 2.4.1 4.2.5.7 inter-unit doors 1.1.5 4.2.5.8 Internal air quality 1.3.2 4.2.5.9 body side windows 1.1.5 4.2.6.1 Environmental conditions 2.4.2 4.2.6.2.1 Slipstream effects on passengers on platform and on workers at track side 1.1.1 1.3.1 4.2.6.2.2 Head pressure pulse 2.4.3 4.2.6.2.3 Maximum pressure variations in tunnels 2.4.3 4.2.6.2.4 Cross wind 1.1.1 4.2.6.2.5 Aerodynamic effect on ballasted track 1.1.1 2.4.3 4.2.7.1.1 Head lights 2.4.3 4.2.7.1.2 Marker lights 1.1.1 2.4.3 4.2.7.1.3 Tail lights 1.1.1 2.4.3 4.2.7.1.4 Lamp controls 2.4.3 4.2.7.2.1 Horn — General 1.1.1 2.4.3 2.6.3 4.2.7.2.2 Warning horn sound pressure levels 1.1.1 1.3.1 4.2.7.2.3 Protection 2.4.3 4.2.7.2.4 Horn control 1.1.1 2.4.3 4.2.8.1 Traction performance 2.4.3 2.6.3 4.2.8.2 4.2.8.2.1 to 4.2.8.2.9 Power supply 1.5 2.4.3 2.2.3 4.2.8.2.10 Electrical protection of the train 2.4.1 4.2.8.3 Diesel and other thermal traction system 2.4.1 1.4.1 4.2.8.4 Protection against electrical hazards 2.4.1 4.2.9.1.1 Driver's cab — General — — — — — 4.2.9.1.2 Access and egress 1.1.5 2.4.3 4.2.9.1.3 External visibility 1.1.1 2.4.3 4.2.9.1.4 Interior layout 1.1.5 4.2.9.1.5 Driver's seat 1.3.1 4.2.9.1.6 Driver's desk- Ergonomics 1.1.5 1.3.1 4.2.9.1.7 Climate control and air quality 1.3.1 4.2.9.1.8 Internal lighting 2.6.3 4.2.9.2.1 Windscreen — Mechanical characteristics 2.4.1 4.2.9.2.2 Windscreen — Optical characteristics 2.4.3 4.2.9.2.3 Windscreen — Equipment 2.4.3 4.2.9.3.1 Driver's activity control function 1.1.1 2.6.3 4.2.9.3.2 Speed indication 1.1.5 4.2.9.3.3 Driver display unit and screens 1.1.5 4.2.9.3.4 Controls and indicators 1.1.5 4.2.9.3.5 Labelling 2.6.3 4.2.9.3.6 Radio remote control function by staff for shunting operation 1.1.1 4.2.9.4 On-board tools and portable equipment 2.4.1 2.4.3 2.6.3 4.2.9.5 Storage facility for staff personal effects — — — — — 4.2.9.6 Recording device 2.4.4 4.2.10.2 Fire safety — Measures to prevent fire 1.1.4 1.3.2 1.4.2 4.2.10.3 Measures to detect/control fire 1.1.4 4.2.10.4 Requirements related to emergency situations 2.4.1 4.2.10.5 Requirements related to evacuation 2.4.1 4.2.11.2 Train exterior cleaning 1.5 4.2.11.3 Connection to toilet discharge system 1.5 4.2.11.4 Water refilling equipment 1.3.1 4.2.11.5 Interface for water refilling 1.5 4.2.11.6 Special requirements for stabling of trains 1.5 4.2.11.7 Refuelling equipment 1.5 4.2.11.8 Train interior cleaning — power supply 2.5.3 4.2.12.2 General documentation 1.5 4.2.12.3 Documentation related to maintenance 1.1.1 2.5.1 2.5.2 2.6.1 2.6.2 4.2.12.4 Operating documentation 1.1.1 2.4.2 2.6.1 2.6.2 4.2.12.5 Lifting diagram and instructions 2.5.3 4.2.12.6 Rescue related descriptions 2.4.2 2.5.3

3.2. Essential requirements not covered by this TSI

Some of the essential requirements classified as “general requirements” or “specific to other subsystems” in Annex III to Directive 2008/57/EC have an impact on the rolling stock subsystem; those that are not covered, or are covered with limitations within the scope of this TSI, are identified below

3.2.1. General requirements, requirements related to maintenance and operation

The numbering of the paragraphs and the essential requirements hereunder are those set out in Annex III to Directive 2008/57/EC.

The essential requirements that are not covered within the scope of this TSI are the following:

1.4. Environmental protection

1.4.1. “The environmental impact of establishment and operation of the rail system must be assessed and taken into account at the design stage of the system in accordance with the Community provisions in force.” This essential requirement is covered by the relevant European provisions in force.

1.4.3. “The rolling stock and energy-supply systems must be designed and manufactured in such a way as to be electromagnetically compatible with the installations, equipment and public or private networks with which they might interfere.” This essential requirement is covered by the relevant European provisions in force.

1.4.4. “Operation of the rail system must respect existing regulations on noise pollution.” This essential requirement is covered by the relevant European provisions in force (in particular Noise TSI, and HS RST TSI 2008 until all rolling stock are covered by the Noise TSI).

1.4.5. “Operation of the rail system must not give rise to an inadmissible level of ground vibrations for the activities and areas close to the infrastructure and in a normal state of maintenance.” This essential requirement is in the scope of the Infrastructure.

2.5 Maintenance

These essential requirements are relevant within the scope of this TSI according to Section 3.1 of this TSI only for the technical maintenance documentation related to the rolling stock subsystem; they are not covered within the scope of this TSI regarding maintenance installations.

2.6 Operation

These essential requirements are relevant within the scope of this TSI according to Section 3.1 of this TSI for the operating documentation related to the rolling stock subsystem (essential requirements 2.6.1 and 2.6.2), and for technical compatibility of the rolling stock with operating rules (essential requirements 2.6.3).

3.2.2. Requirements specific to other subsystems

Requirements on the relevant other sub-systems are necessary to fulfil these essential requirements for the whole railway system.

The requirements on the rolling stock subsystem which contribute to the fulfilment of these essential requirements are mentioned in the Section 3.1 of this TSI; corresponding essential requirements are those set out in Sections 2.2.3 and 2.3.2 of Annex III to Directive 2008/57/EC.

Other essential requirements are not covered within the scope of this TSI.

4. CHARACTERISATION OF THE ROLLING STOCK SUBSYSTEM

4.1. Introduction

4.1.1. General

(1) The Union's rail system, to which Directive 2008/57/EC applies and of which the rolling stock subsystem is a part, is an integrated system whose consistency needs to be verified. This consistency must be checked in particular with regard to the specifications of the rolling stock subsystem, its interfaces with the other subsystems of the Union's rail system in which it is integrated, as well as the operating and maintenance rules.

(2) The basic parameters of the rolling stock sub-system are defined in the present Chapter 4 of this TSI.

(3) Except where this is strictly necessary for the interoperability of the Union's rail system, the functional and technical specifications of the subsystem and its interfaces described in Sections 4.2 and 4.3, do not impose the use of specific technologies or technical solutions.

(4) Some of the rolling stock characteristics that are mandated to be recorded in the “European register of authorised types of vehicles” (according to the relevant Commission Decision) are described in Sections 4.2 and 6.2 of this TSI. Additionally, these characteristics are required to be provided in the rolling stock technical documentation described in point 4.2.12 of this TSI.

4.1.2. Description of the Rolling stock subject to the application of this TSI

(1) Rolling stock subject to the application of this TSI (designated as a unit in the context of this TSI) shall be described in the certificate of “EC” verification, using one of the following characteristics: — Trainset in fixed formation and, when required, predefined formation(s) of several trainsets of the type under assessment for multiple operation. — Single vehicle or fixed rakes of vehicles intended for predefined formation(s). — Single vehicle or fixed rakes of vehicles intended for general operation and when required, predefined formation(s) of several vehicles (locomotives) of the type under assessment for multiple operation. Note: Multiple operation of the unit under assessment with other types of rolling stock is not in the scope of this TSI.

(2) Definitions related to train formation and units are given in Section 2.2 of this TSI.

(3) When a unit intended for use in fixed or predefined formation(s) is assessed, the formation(s) for which such assessment is valid shall be defined by the party asking for assessment, and stated in the certificate of “EC” verification. The definition of each formation shall include the type designation of each vehicle (or of vehicle bodies and wheelsets in case of articulated fixed formation), and their arrangement in the formation. Additional details are given in clauses 6.2.8 and 9.

(4) Some characteristics or some assessments of a unit intended to be used in general operation, will require defined limits regarding the train formations. These limits are laid down in Section 4.2 and in clause 6.2.7.

4.1.3. Main categorisation of the rolling stock for application of TSI requirements

(1) A rolling stock technical categorisation system is used in the following clauses of this TSI to define relevant requirements applicable to a unit.

(2) The technical category(ies) relevant for the unit subject to the application of this TSI shall be identified by the party asking for assessment. This categorisation shall be used by the notified body in charge of the assessment, in order to assess the applicable requirements from this TSI, and shall be stated in the certificate of “EC” verification.

(3) The technical categories of rolling stock are the following: — Unit designed to carry passengers — Unit designed to carry passenger-related load (luggage, cars, etc.) — Unit designed to carry other payload (mail, freight, etc.) in self-propelling trains — Unit fitted with a driver's cab — Unit fitted with traction equipment — Electric unit, defined as a unit supplied with electric energy by electrification system(s) specified in the Energy TSI. — Thermal traction unit — Freight locomotive: Unit designed to haul freight wagons — Passenger locomotive: Unit designed to haul passenger carriages — OTMs — Infrastructure inspection vehicles. A unit is characterised by one or several of the categories above.

(4) Unless stated otherwise in the clauses of Section 4.2, requirements specified in this TSI apply to all technical categories of rolling stock defined above.

(5) The unit operational configuration shall also be considered when it is assessed; a distinction shall be made between: — A unit that can be operated as a train. — A unit that cannot be operated alone, and that has to be coupled with other unit(s) to be operated as a train (see also clauses 4.1.2, 6.2.7 and 6.2.8).

(6) The maximum design speed of the unit subject to the application of this TSI shall be declared by the party asking for assessment; it shall be a multiple of 5 km/h (see also clause 4.2.8.1.2) when its value is higher than 60 km/h; it shall be used by the notified body in charge of the assessment, in order to assess the applicable requirements from this TSI, and shall be stated in the certificate of “EC” verification.

4.1.4. Categorisation of the rolling stock for fire safety

(1) In respect of fire safety requirements, four categories of rolling stock are defined and specified in the TSI SRT. — Category A passenger rolling stock (including passenger locomotive), — Category B passenger rolling stock (including passenger locomotive), — Freight locomotive, and self-propelling unit designed to carry other payload than passengers (mail, freight, infrastructure inspection vehicle, etc.), — OTMs.

(2) The compatibility between the category of the unit and its operation in tunnels is set out in the TSI SRT.

(3) For units designed to carry passengers or haul passenger carriages, and subject to the application of this TSI, category A is the minimum category to be selected by the party asking for assessment; the criteria for selecting category B are given in the TSI SRT.

(4) This categorisation shall be used by the notified body in charge of the assessment, in order to assess the applicable requirements from the clause 4.2.10 of this TSI, and shall be stated in the certificate of “EC” verification.

4.2. Functional and technical specification of the sub-system

4.2.1. General

4.2.1.1. Breakdown

(1) The functional and technical specifications of the rolling stock subsystem are grouped and sorted out in the following clauses of this section: — Structures and mechanical parts — Track interaction and gauging — Braking — Passenger related items — Environmental conditions — External lights & audible and visible warning devices — Traction and electrical equipment — Driver's cab and driver-machine interface — Fire safety and evacuation — Servicing — Documentation for operation and maintenance

(2) For particular technical aspects specified in Chapters 4, 5 and 6, the functional and technical specification makes an explicit reference to a clause of an EN standard or other technical document, as allowed by Article 5(8) of Directive 2008/57/EC; these references are listed in the Appendix J of this TSI.

(3) Information needed on board for the train staff to be aware of the operational state of the train (normal state, equipment out of order, degraded situation …) are described in the clause dealing with the relevant function, and in clause 4.2.12 “documentation for the operation and maintenance”.

4.2.1.2. Open points

(1) When, for a particular technical aspect, the functional and technical specification necessary to meet the essential requirements has not been yet developed, and therefore is not included in this TSI, this aspect is identified as an open point in the relevant clause; Appendix I of this TSI lists all open points, as required in Article 5(6) of Directive 2008/57/EC. The Appendix I mentions also if the open points relate to technical compatibility with the network; for this purpose, the Appendix I is split in 2 parts: — Open points that relate to technical compatibility between the vehicle and the network. — Open points that do not relate to technical compatibility between the vehicle and the network.

(2) As required in Articles 5(6) and 17(3) of Directive 2008/57/EC, open points shall be addressed by the application of national technical rules.

4.2.1.3. Safety aspects

(1) The functions that are essential to safety are identified in Section 3.1 of this TSI by their link to the essential requirements “safety”.

(2) Safety requirements related to these functions are covered by the technical specifications expressed in the corresponding clause of Section 4.2 (e.g. “passive safety”, “wheels”, etc.).

(3) Where these technical specifications need to be complemented by requirements expressed in terms of safety requirements (severity level), they are also specified in the corresponding clause of Section 4.2.

(4) Electronic devices and software, which are used to fulfil functions essential to safety shall be developed and assessed according to a methodology adequate for safety related electronic devices and software.

4.2.2. Structure and mechanical parts

4.2.2.1. General

(1) This part addresses requirements relating to the design of vehicle structural body (strength of vehicle structure) and of the mechanical links (mechanical interfaces) between vehicles or between units.

(2) Most of these requirements aim at ensuring the train's mechanical integrity in operation and rescue operation as well as protecting passenger and staff compartments in the event of collision or derailment.

4.2.2.2. Mechanical interfaces

4.2.2.2.1. General and definitions

In order to form a train (as defined in Section 2.2) vehicles are coupled together in a way that enables them to be operated together. The coupling is the mechanical interface that enables this. There are several types of couplings:

(1) “Inner” coupling (also called “intermediate” coupling) is the coupling device between vehicles in order to form a unit composed of several vehicles (e.g. a fixed rake of coaches or a trainset)

(2) “End coupling” (“external” coupling) of units is the coupling device used to couple together two (or several) units to form a train. An end coupling can be “automatic”, “semi-automatic” or “manual”. An end coupling can be used for rescue purpose (see clause 4.2.2.2.4). In the context of this TSI, a “Manual” coupling is an end coupling system which requires (one or several) person(s) to stand between the units to be coupled or uncoupled for the mechanical coupling of these units.

(3) “Rescue coupling” is the coupling device that enables a unit to be rescued by a recovery power unit equipped with a “standard” manual coupling as per clause 4.2.2.2.3 where the unit to be rescued is equipped with a different coupling system or is not equipped with any coupling system.

4.2.2.2.2 Inner coupling

(1) Inner couplings between the different vehicles (fully supported by their own wheels) of a unit shall incorporate a system capable of withstanding the forces due to the intended operating conditions.

(2) Where the inner coupling system between vehicles has a lower longitudinal strength than the end coupling(s) of the unit, provisions shall be made to rescue the unit in case of breakage of any such inner coupling; these provisions shall be described in the documentation required in clause 4.2.12.6.

(3) In case of articulated units, the joint between two vehicles sharing the same running gear shall comply with the requirements of the specification referenced in Appendix J-1, index 1.

4.2.2.2.3 End coupling

(a) General Requirements (a-1) Requirements on characteristics of end coupling (1) Where an end coupling is provided at any end of a unit, the following requirements apply to all types of end coupling (automatic, semi-automatic or manual): — End couplings shall incorporate a resilient coupling system, capable of withstanding the forces due to the intended operational and rescue conditions. — The type of mechanical end coupling together with its nominal maximum design values of tensile and compressive forces and the height above rail level of its centre line (unit in working order with new wheels) shall be recorded in the technical documentation described in clause 4.2.12. (2) Where there is no coupling at any end of a unit, a device to allow a rescue coupling shall be provided at such end of the unit. (a-2) Requirements on type of end coupling (1) Units assessed in fixed or predefined formation, and of maximum design speed higher or equal to 250 km/h, shall be equipped at each end of the formation with an automatic centre buffer coupler geometrically and functionally compatible with a “Type 10 latch system automatic centre buffer coupler” (as defined in clause 5.3.1); the height above rail of its coupling centre line shall be 1 025 mm + 15 mm /– 5 mm (measured with new wheels in load condition “design mass in working order”). (2) Units designed and assessed for general operation and designed to be operated solely on the 1 520 mm system shall be fitted with a centre buffer coupler geometrically and functionally compatible with a “SA3 coupling”; the height above rail of its coupling centre line shall be between 980 to 1 080 mm (for all wheel and load conditions).

(b) Requirements on “Manual” coupling system (b-1) Provisions to units (1) The following provisions apply specifically to units fitted with a “Manual” coupling system: — The coupling system shall be designed so that no human presence between the units to be coupled/uncoupled is required whilst either one is moving. — For units designed and assessed to be operated in “general operation” or in “predefined formation”, and fitted with a manual coupling system, this coupling system shall be of UIC type (as defined in clause 5.3.2). (2) These units shall comply with the additional requirements of point (b-2) below. (b-2) Compatibility between units On units equipped with manual coupling system of UIC type (as described in clause 5.3.2) and pneumatic brake system compatible with UIC type (as described in clause 4.2.4.3), the following requirements apply: (1) The buffers and the screw coupling shall be installed according to clauses A.1 to A.3 of Appendix A. (2) The dimensions and layout of brake pipes and hoses, couplings and cocks shall meet the following requirements: — The interface of the brake pipe and main reservoir pipe shall be as set out in the specification referenced in Appendix J-1, index 2. — The opening of the automatic air brake coupling head shall face the left when looking at the end of the vehicle. — The opening of the main reservoir coupling head shall face the right when looking at the end of the unit. — The end cocks shall be in accordance with the specification referenced in Appendix J-1, index 3. — The lateral location of brake pipes and cocks shall be compatible with the requirements of the specification referenced in Appendix J-1, index 4.

4.2.2.2.4 Rescue coupling

(1) Provisions shall be made to enable the recovery of the line in case of breakdown by hauling or propelling the unit to be rescued.

(2) Where the unit to be rescued is fitted with an end coupling, rescue shall be possible by means of a power unit equipped with the same type of end coupling system (including compatible height above rail level of its centre line).

(3) For all units, rescue shall be possible by means of a recovery unit i.e. a power unit featuring at each of its ends intended to be used for rescue purposes: (a) On 1 435 mm, 1 524 mm, 1 600 mm or 1 668 mm systems: — A manual coupling system of UIC type (as described in clauses 4.2.2.2.3 and 5.3.2) and pneumatic brake system of UIC type (as described in clause 4.2.4.3), — Lateral location of brake pipes and cocks according to the specification referenced in Appendix J-1, index 5, — A free space of 395 mm above the centre line of the hook to allow the fitting of the rescue adaptor as described below. (b) On 1 520 mm system: — A centre buffer coupler geometrically and functionally compatible with a “SA3 coupling”; the height above rail of its coupling centre line being between 980 to 1 080 mm (for all wheel and load conditions). This is achieved either by means of a permanently installed compatible coupling system or through a rescue coupler (also called rescue adaptor). In the latter case, the unit assessed against this TSI shall be designed so that it is possible to carry the rescue coupler on-board.

(4) The rescue coupler (as defined in clause 5.3.3) shall comply with the following requirements: — To be designed to allow the rescue at a speed of at least 30 km/h, — To be secured after mounting onto the recovery unit in a way that prevents it coming off during the rescue operation, — To withstand the forces due to the intended rescuing conditions, — To be designed such that it does not require any human presence between the recovery unit and the unit to be rescued whilst either one is moving, — Neither the rescue coupler nor any braking hose shall limit the lateral movement of the hook when fitted onto the recovery unit.

(5) The brake requirement for rescue purpose is covered by the clause 4.2.4.10 of this TSI.

4.2.2.2.5 Staff access for coupling and uncoupling

(1) Units and end coupling-systems shall be designed so that staff is not exposed to undue risk during coupling and uncoupling, or rescue operations.

(2) To comply with this requirement, units fitted with manual coupling systems of UIC type as per clause 4.2.2.2.3(b) shall comply with the following requirements (the “Bern rectangle”): — On units equipped with screw couplers and side buffers, the space for staff operation shall be in accordance to the specification referenced in Appendix J-1, index 6. — Where a combined automatic and screw coupler is fitted it is permissible for the auto coupler head to infringe the Berne rectangle on the left hand side when it is stowed and the screw coupler is in use. — There shall be a handrail under each buffer. The handrails shall withstand a force of 1,5 kN.

(3) The operating and rescue documentation specified in clauses 4.2.12.4 and 4.2.12.6 shall describe measures that are necessary to meet this requirement. Member States may also require application of those requirements.

4.2.2.3. Gangways

(1) Where a gangway is provided as a means for passengers to circulate from one coach or one trainset to another, it shall accommodate all relative movements of vehicles in normal operation without exposing passengers to undue risk.

(2) Where operation with the gangway not being connected is foreseen, it shall be possible to prevent access by passengers to the gangway.

(3) Requirements related to the gangway door when the gangway is not in use are specified in clause 4.2.5.7 “Passenger-related items — Inter-unit doors”.

(4) Additional requirements are expressed in the TSI PRM.

(5) These requirements of this clause do not apply to the end of vehicles where this area is not intended for regular use by passengers.

4.2.2.4. Strength of vehicle structure

(1) This clause applies to all units except OTMs.

(2) For OTMs, alternative requirements to those expressed in this clause for static load, category and acceleration are set out in Appendix C, clause C.1.

(3) The static and dynamic strength (fatigue) of vehicle bodies is relevant to ensure the safety required for the occupants and the structural integrity of the vehicles in train and in shunting operations. Therefore, the structure of each vehicle shall comply with the requirements of the specification referenced in Appendix J-1, index 7. The rolling stock categories to be taken into account shall correspond to category L for locomotives and power head units and categories PI or PII for all other types of vehicle within the scope of this TSI, as defined in the specification referenced in Appendix J-1, index 7, clause 5.2.

(4) Proof of the strength of the vehicle body may be demonstrated by calculations and/or by testing, according to the conditions set up in the specification referenced in Appendix J-1, index 7, clause 9.2.

(5) In case of a unit designed for higher compressive force than those of the categories (required above as a minimum) in the specification referenced in Appendix J-1, index 7, this specification does not cover the proposed technical solution; it is then permissible to use for compressive force other normative documents that are publicly available. In that case it shall be verified by the notified body that the alternative normative documents form part of a technically consistent set of rules applicable to the design, construction and testing of the vehicle structure. The value of compressive force shall be recorded in the technical documentation defined in clause 4.2.12.

(6) The load conditions considered shall be consistent with those defined in clause 4.2.2.10 of this TSI.

(7) The assumptions for aerodynamic loading shall be those described in clause 4.2.6.2.2 of this TSI (passing of 2 trains).

(8) Joining techniques are covered by the above requirements. A verification procedure shall exist to ensure at the production phase that defects that may decrease the mechanical characteristics of the structure are controlled.

4.2.2.5. Passive safety

(1) The requirements specified in this clause apply to all units, except to units not intended to carry passengers or staff during operation and except to OTMs.

(2) For units designed to be operated on the 1 520 mm system, the requirements on passive safety described in this clause are of voluntary application. If the Applicant chooses to apply the requirements on passive safety described in this clause, this shall be recognised by Member States. Member States may also require application of those requirements.

(3) For locomotives designed to be operated on the 1 524 mm system, the requirements on passive safety described in this clause are of voluntary application. If the Applicant chooses to apply the requirements on passive safety described in this clause, this shall be recognised by Member States.

(4) Units which cannot operate up to the collision speeds specified under any of the collision scenarios below are exempted from the provisions related to that collision scenario.

(5) Passive safety is aimed at complementing active safety when all other measures have failed. For this purpose, the mechanical structure of vehicles shall provide protection of the occupants in the event of a collision by providing means of: — limiting deceleration — maintaining survival space and structural integrity of the occupied areas — reducing the risk of overriding — reducing the risk of derailment — limiting the consequences of hitting a track obstruction. To meet these functional requirements, units shall comply with the detailed requirements specified in the specification referenced in Appendix J-1, index 8 related to crashworthiness design category C-I (as per the specification referenced in Appendix J-1, index 8,Table 1 Section 4), unless specified otherwise below. The following four reference collision scenarios shall be considered: — scenario 1: A front end impact between two identical units, — scenario 2: A front end impact with a freight wagon, — scenario 3: An impact of the unit with a large road vehicle on a level crossing;, — scenario 4: An impact of the unit into a low obstacle (e.g. car on a level crossing, animal, rock, etc.) These scenarios are described in the specification referenced in Appendix J-1, index 8, Table 2 of Section 5.

(6) Within the scope of the present TSI, “Table 2 application rules” in the specification referenced in point (5) above are completed by the following: the application of requirements related to scenarios 1 and 2 to locomotives: — fitted with automatic end centre buffer couplers, — and capable of a traction effort higher than 300 kN is an open point. Note: such high traction effort is required for heavy haul freight locomotives.

(7) Due to their specific architecture, it is permitted for locomotives with single “central cab” as an alternative method to demonstrate compliance against the requirement of scenario 3 by demonstrating compliance with following criteria: — the frame of the locomotive is designed according to the specification referenced in Appendix J-1, index 8 cat L (as already specified in clause 4.2.2.4 of this TSI), — the distance between buffers and windscreen cab is at least 2,5 m.

(8) The present TSI specifies crashworthiness requirements applicable within its scope; therefore, the Annex A of the specification referenced in Appendix J-1, index 8 shall not apply. The requirements of the specification referenced in Appendix J-1, index 8 Section 6 shall be applied in relation to the above given reference collision scenarios.

(9) To limit the consequences of hitting a track obstruction, the leading ends of locomotives, power heads, driving coaches and trainsets shall be equipped with an obstacle deflector. The requirements with which obstacle deflectors shall comply are defined in the specification referenced in Appendix J-1, index 8, Table 3 of Section 5 and Section 6.5.

4.2.2.6. Lifting and jacking

(1) This clause applies to all units.

(2) Additional provisions concerning the lifting and jacking of OTMs are specified in Appendix C, clause C.2.

(3) It shall be possible to safely lift or jack each vehicle composing the unit, for recovery purposes (following derailment or other accident or incident), and for maintenance purposes. To this purpose, suitable vehicle body interfaces (lifting/jacking points) shall be provided, which permit the application of vertical or quasi-vertical forces. The vehicle shall be designed for complete lifting or jacking, including the running gear (e.g. by securing/attaching the bogies to the vehicle body). It shall also be possible to lift or jack any end of the vehicle (including its running gear) with the other end resting on the remaining running gear(s).

(4) It is recommended to design jacking points so that they can be used as lifting points with all the running gears of the vehicle linked to the underframe of the vehicle.

(5) Jacking/Lifting points shall be located such as to enable the safe and stable lifting of the vehicle; sufficient space shall be provided underneath and around each jacking point to allow an easy installation of rescue devices. Jacking/Lifting points shall be designed such that staff is not exposed to any undue risk under normal operation or when using the rescue equipment.

(6) When the lower structure of the bodyshell does not allow the provision of permanent built-in jacking/lifting points, this structure shall be provided with fixtures which permit the fixation of removable jacking/lifting points during the re-railing operation.

(7) The geometry of permanent built-in jacking/lifting points shall be compliant with the specification referenced in Appendix J-1, index 9, clause 5.3; the geometry of removable jacking/lifting points shall be compliant with the specification referenced in Appendix J-1, index 9, clause 5.4.

(8) Marking of lifting points shall be made by signs compliant with the specification referenced in Appendix J-1, index 10.

(9) The structure shall be designed with consideration of the loads specified in the specification referenced in Appendix J-1, index 11, clauses 6.3.2 and 6.3.3; proof of the strength of the vehicle body may be demonstrated by calculations or by testing, according to the conditions set up in the specification referenced in Appendix J-1, index 11, clause 9.2. Alternative normative documents may be used under the same conditions as defined in clause 4.2.2.4 above.

(10) For each vehicle of the unit, a jacking and lifting diagram and corresponding instructions shall be provided in the documentation as described in clauses 4.2.12.5 and 4.2.12.6 of this TSI. Instructions shall be given as far as feasible by pictograms.

4.2.2.7. Fixing of devices to carbody structure

(1) This clause applies to all units, except to OTMs.

(2) Provisions concerning the structural strength of OTMs are specified in Appendix C, clause C.1.

(3) Fixed devices including those inside the passenger areas, shall be attached to the car body structure in a way that prevents these fixed devices becoming loose and presenting a risk of passenger injuries or lead to a derailment. To this aim, attachments of these devices shall be designed according to the specification referenced in Appendix J-1, index 12, considering category L for locomotives and category P-I or P-II for passenger rolling stock.

Alternative normative documents may be used under the same conditions as defined in clause 4.2.2.4 above.

4.2.2.8. Staff and freight Access doors

(1) The doors for use of passengers are covered by the clause 4.2.5 of this TSI: “Passenger related items”. Cab doors are addressed in clause 4.2.9 of this TSI. This clause addresses doors for freight use and for use of train crew other than cab doors.

(2) Vehicles fitted with a compartment dedicated to train crew or freight shall be equipped with a device to close and lock the doors. The doors shall remain closed and locked until they are intentionally released.

4.2.2.9. Mechanical characteristics of glass (other than windscreens)

(1) Where glass is used in glazing (including mirrors), it shall be either laminated or toughened glass which is in accordance with one of the relevant publicly available standards suitable for railway application with regard to the quality and area of use, thereby minimising the risk to passenger and staff being injured by breaking glass.

4.2.2.10. Load conditions and weighed mass

(1) The following load conditions defined in the specification referenced in Appendix J-1, index 13, clause 2.1 shall be determined: — Design mass under exceptional payload — Design mass under normal payload — Design mass in working order

(2) The hypothesis taken for arriving at the load conditions above shall be justified and documented in the general documentation described in clause 4.2.12.2 of this TSI. These hypothesis shall be based on a rolling stock categorisation (high speed and long distance train, other) and on a payload description (passengers, payload per m2 in standing and service areas) consistent with the specification referenced in Appendix J-1, index 13; values for the different parameters may deviate from this standard provided that they are justified.

(3) For OTMs, different load conditions (minimum mass, maximum mass) may be used, in order to take into account optional on-board equipment.

(4) The conformity assessment procedure is described in clause 6.2.3.1 of this TSI.

(5) For each load condition defined above, the following information shall be provided in the technical documentation described in clause 4.2.12: — Total vehicle mass (for each vehicle of the unit) — Mass per axle (for each axle) — Mass per wheel (for each wheel).

Note: for units equipped with independently rotating wheels, “axle” shall be interpreted as a geometric notion, and not as a physical component; this is valid to the whole TSI, unless stated otherwise.

4.2.3. Track interaction and gauging

4.2.3.1. Gauging

(1) This clause concerns the rules for calculation and verification intended for sizing the rolling stock to run on one or several infrastructures without interference risk.

For units designed to be operated on other track gauge(s) than 1 520 mm system:

(2) The applicant shall select the intended reference profile including the reference profile for the lower parts. This reference profile shall be recorded in the technical documentation defined in clause 4.2.12 of this TSI.

(3) The compliance of a unit with this intended reference profile shall be established by one of the methods set out in the specification referenced in Appendix J-1, index 14. During a transitional period ending 3 years after the date of application of this TSI, for technical compatibility with the existing national network it is permissible for the reference profile of the unit to alternatively be established in accordance with the national technical rules notified for this purpose. This shall not prevent the access of TSI compliant rolling stock to the national network.

(4) In case the unit is declared as compliant with one or several of the reference contours G1, GA, GB, GC or DE3, including those related to the lower part GI1, GI2 or GI3, as set out in the specification referenced in Appendix J-1, index 14, compliance shall be established by the kinematic method as set out in the specification referenced in Appendix J-1, index 14. The compliance to those reference contour(s) shall be recorded in the technical documentation defined in clause 4.2.12 of this TSI.

(5) For electric units, the pantograph gauge shall be verified by calculation according to the specification referenced in Appendix J-1, index 14, clause A.3.12 to ensure that the pantograph envelope complies with the mechanical kinematic pantograph gauge which in itself is determined according to Appendix D of TSI ENE, and depends on the choice made for the pantograph head geometry: the two permitted possibilities are defined in clause 4.2.8.2.9.2 of this TSI. The voltage of the power supply is considered in the infrastructure gauge in order to ensure the proper insulation distances between the pantograph and fixed installations.

(6) The pantograph sway as specified in clause 4.2.10 of TSI ENE and used for the mechanical kinematic gauge calculation shall be justified by calculations or measurements as set out in the specification referenced in Appendix J-1, index 14.

For units designed to be operated on track gauge of 1 520 mm system:

(7) The static contour of the vehicle shall be within the “T” uniform vehicle gauge; the reference contour for infrastructure is the “S” gauge. This contour is specified in Appendix B.

(8) For electric units the pantograph gauge shall be verified by calculation to ensure that the pantograph envelope complies with the mechanical static pantograph gauge which is defined in Appendix D of TSI ENE; the choice made for the pantograph head geometry shall be taken into account: the permitted possibilities are defined in clause 4.2.8.2.9.2 of this TSI.

4.2.3.2. Axle load and wheel load

4.2.3.2.1. Axle load parameter

(1) The axle load is an interface parameter between the unit and the infrastructure. The axle load is a performance parameter of the infrastructure specified in clause 4.2.1 of the INF TSI and depends on the traffic code of the line. It has to be considered in combination with the axle spacing, with the train length and with the maximum allowed speed for the unit on the considered line.

(2) The following characteristics to be used as an interface to the infrastructure shall be part of the general documentation produced when the unit is assessed, and described in clause 4.2.12.2 of this TSI: — The mass per axle (for each axle) for the three load conditions (as defined and required to be part of the documentation in clause 4.2.2.10 of this TSI). — The position of the axles along the unit (axle spacing). — The length of the unit. — The maximum design speed (as required to be part of the documentation in clause 4.2.8.1.2 of this TSI).

(3) Use of this information at operational level for compatibility check between rolling stock and infrastructure (outside the scope of this TSI): The axle load of each individual axle of the unit to be used as interface parameter to the infrastructure has to be defined by the railway undertaking as required in clause 4.2.2.5 of the TSI OPE, considering the expected load for the intended service (not defined when the unit is assessed). The axle load in load condition “design mass under exceptional payload” represents the maximum possible value of the axle load mentioned above. The maximum load considered for the design of the brake system defined in clause 4.2.4.5.2 has also to be considered.

4.2.3.2.2. Wheel load

(1) The ratio of wheel load difference per axle Dqj = (Ql – Qr)/(Ql + Qr), shall be evaluated by wheel load measurement, considering the load condition “design mass in working order”. Wheel load difference higher than 5 % of the axle load for that wheelset are allowed only if demonstrated as acceptable by the test to prove safety against derailment on twisted track specified in the clause 4.2.3.4.1 of this TSI.

(2) The conformity assessment procedure is described in clause 6.2.3.2 of this TSI.

(3) For units with axle load in design mass under normal payload lower or equal to 22,5 tons and a worn wheel diameter higher than or equal to 470 mm, the wheel load over the wheel diameter (Q/D) shall be lower or equal to 0,15 kN/mm, as measured for a minimum worn wheel diameter and design mass under normal payload.

4.2.3.3. Rolling Stock parameters which influence ground based systems

4.2.3.3.1 Rolling Stock characteristics for the compatibility with train detection systems

(1) For units designed to be operated on other track gauges than the 1 520 mm system, the set of rolling stock characteristics for compatibility with train detection target systems are given in clauses 4.2.3.3.1.1, 4.2.3.3.1.2 and 4.2.3.3.1.3. Reference is made to clauses of the specification referenced in Appendix J-2, index 1 of this TSI (also referenced in Annex A, Index 77 of CCS TSI).

(2) The set of characteristics the rolling stock is compatible with shall be recorded in the technical documentation described in clause 4.2.12 of this TSI.

4.2.3.3.1.1 Rolling stock characteristics for compatibility with train detection system based on track circuits

— Vehicle geometry (1) The maximum distance between 2 consecutive axles is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.2.1. (distance a1 in Figure 1). (2) The maximum distance between buffer end and first axle is specified in the specification referenced in Appendix J-2, index 1, clauses 3.1.2.5 and 6. (distance b1 in Figure 1). (3) The minimum distance between end axles of a unit is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.2.4.

— Vehicle design (4) The minimum axle load in all load conditions is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.7. (5) The electrical resistance between the running surfaces of the opposite wheels of a wheelset is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.9 and the method to measure is specified in the same clause. (6) For electric units equipped with a pantograph, the minimum impedance between pantograph and each wheel of the train is specified in the specification referenced in Appendix J-2, index 1, clause 3.2.2.1.

— Isolating emissions (7) The limitations of use of sanding equipment are given in the specification referenced in Appendix J-2, index 1, clause 3.1.4; “sand characteristics” is part of in this specification. In case where an automatic sanding function is provided, it shall be possible for the driver to suspend its use on particular points of the track identified in operating rules as non-compatible with sanding. (8) The limitations of use of composite brake blocks are given in the specification referenced in Appendix J-2, index 1, clause 3.1.6.

— EMC (9) The requirements related to electromagnetic compatibility are specified in the specification referenced in Appendix J-2, index 1, clauses 3.2.1.and 3.2.2. (10) The electromagnetic interference limit levels rising from traction currents are specified in the specification referenced in Appendix J-2, index 1, clause 3.2.2.

4.2.3.3.1.2 Rolling stock characteristics for compatibility with train detection system based on axle counters

— Vehicle geometry (1) The maximum distance between 2 consecutive axles is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.2.1. (2) The minimum distance between 2 consecutive axles of the train is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.2.2. (3) At the end of a unit intended to be coupled, the minimum distance between end and first axle of the unit is half of the value specified in the specification referenced in Appendix J-2, index 1, clause 3.1.2.2. (4) The maximum distance between end and first axle is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.2.5 & 6 (distance b1 in Figure 1).

— Wheel geometry (5) Wheel geometry is specified in the clause 4.2.3.5.2.2 of the present TSI. (6) The minimum wheel diameter (speed dependant) is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.3

— Vehicle design (7) The metal-free space around wheels is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.3.5. (8) The characteristics of the wheel material regarding magnetic field is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.3.6.

— EMC (9) The requirements related to electromagnetic compatibility are specified in specification referenced in Appendix J-2, index 1, clauses 3.2.1.and 3.2.2. (10) The electromagnetic interference limit levels rising from the use of eddy current or magnetic track brakes are specified in the specification referenced in Appendix J-2, index 1, clause 3.2.3.

4.2.3.3.1.3 Rolling stock characteristics for compatibility with loop equipment

— Vehicle design (1) The vehicle metal construction is specified in the specification referenced in Appendix J-2, index 1, clause 3.1.7.2.

4.2.3.3.2 Axle bearing condition monitoring

(1) Axle bearing condition monitoring objective is to detect deficient axle box bearings.

(2) For units of maximum design speed higher than or equal to 250 km/h, on board detection equipment shall be provided.

(3) For units of maximum design speed lower than 250 km/h, and designed to be operated on others track gauge systems than the 1 520 mm system, axle bearing condition monitoring shall be provided and be achieved either by on board equipment (according to specification in clause 4.2.3.3.2.1) or by using track side equipment (according to specification in clause 4.2.3.3.2.2).

(4) The fitment of on board system or/and the compatibility with track side equipment shall be recorded in the technical documentation described in clause 4.2.12 of this TSI.

4.2.3.3.2.1. Requirements applicable to on board detection equipment

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

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

(3) The detection system shall be located entirely on board the unit, and diagnosis messages shall be made available on board.

(4) The diagnosis messages delivered shall be described, and shall be taken into account in the operating documentation described in clause 4.2.12.4 of this TSI, and in the maintenance documentation described in clause 4.2.12.3 of this TSI.

4.2.3.3.2.2. Rolling stock requirements for compatibility with trackside equipment

(1) For units designed to be operated on the 1 435 mm system, the zone visible to the trackside equipment on rolling stock shall be the area as defined in the specification referenced in Appendix J-1, index 15.

(2) For units designed to be operated on other track gauges a specific case is declared where relevant (harmonised rule available for the concerned network).

4.2.3.4. Rolling stock dynamic behaviour

4.2.3.4.1. Safety against derailment running on twisted track

(1) 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.

(2) The conformity assessment procedure is described in clause 6.2.3.3 of this TSI.

This conformity assessment procedure is applicable for axle loads in the range of those mentioned in the clause 4.2.1 of the TSI INF and in the specification referenced in Annex J-1, index 16.

It is not applicable to vehicle designed for higher axle load, such cases may be covered by national rules or by the procedure for innovative solution described in article 10 and Chapter 6 of this TSI.

4.2.3.4.2. Running dynamic behaviour

(1) This clause is applicable to units designed for a speed higher than 60 km/h, except to on-track machines for which the requirements are set out in Appendix C, clause C.3 and except units designed to be operated on the 1 520 mm track gauge for which the corresponding requirements are considered as “open point”.

(2) The dynamic behaviour of a vehicle has a strong influence on running safety and track loading. It is an essential function for safety, covered by the requirements of this clause.

(a) Technical requirements

(3) The unit shall run safely and produce an acceptable level of track loading when operated within the limits defined by the combination(s) of speed and cant deficiency under the reference conditions set out in the technical document referenced in Appendix J-2, index 2. This shall be assessed by verifying that limit values specified below in clauses 4.2.3.4.2.1 and 4.2.3.4.2.2 of this TSI are respected; the conformity assessment procedure is described in clause 6.2.3.4 of this TSI.

(4) The limit values and conformity assessment mentioned in point 3 are applicable for axle loads in the range of those mentioned in the clause 4.2.1 of the TSI INF and in the specification referenced in Annex J-1, index 16. They are not applicable to vehicles designed for higher axle load, as harmonised track loading limit values are not defined; such cases may be covered by national rules or by the procedure for innovative solution described in article 10 and Chapter 6 of this TSI.

(5) The running dynamic behaviour test report (including limits of use and track loading parameters) shall be stated in the technical documentation described in clause 4.2.12 of this TSI. Track loading parameters (including the additional ones Ymax, Bmax and the Bqst where relevant) to be recorded are defined in the specification referenced in Appendix J-1, index 16 with the modifications as set out in the technical document referenced in Appendix J-2, index 2.

(b) Additional requirements when an active system is used

(6) When active systems (based on software or programmable controller controlling actuators) are used, the functional failure has typical credible potential to lead directly to “fatalities” for both of the following scenarios: 1. failure in the active system leading to a non-compliance with limit values for running safety (defined in accordance with clauses 4.2.3.4.2.1 and 4.2.3.4.2.2); 2. failure in the active system leading to a vehicle outside of the kinematic reference contour of the carbody and pantograph, due to tilting angle (sway) leading to non-compliance with the values assumed as set out in clause 4.2.3.1. Considering this severity of the failure consequence it shall be demonstrated that the risk is controlled to an acceptable level. The demonstration of compliance (conformity assessment procedure) is described in clause 6.2.3.5 of this TSI.

(c) Additional requirements when an instability detection system is installed (option)

(7) The instability detection system shall provide information regarding the need to take operative measures (such as reduction of speed etc.), and it shall be described in the technical documentation. The operative measures shall be described in the operating documentation set out in clause 4.2.12.4 of this TSI.

4.2.3.4.2.1. Limit values for running safety

(1) The limit values for running safety which the unit shall meet are specified in the specification referenced in Appendix J-1, index 17, and additionally for trains intended to be operated with a cant deficiencies > 165 mm in the specification referenced in Appendix J-1, index 18, with the modifications as set out in the technical document referenced in Appendix J-2, index 2.

4.2.3.4.2.2. Track loading limit values

(1) The limit values for track loading which the unit shall meet (when assessing with the normal method) are specified in the specification referenced in Appendix J-1, index 19 with the modifications as set out in the technical document referenced in Appendix J-2, index 2.

(2) In case the estimated values exceed the limit values expressed above, the operational conditions for the rolling stock (e.g. maximum speed, cant deficiency) may be adjusted taking into account track characteristics (e.g. curve radius, cross section of the rail, sleeper spacing, track maintenance intervals).

4.2.3.4.3. Equivalent conicity

4.2.3.4.3.1. Design values for new wheel profiles

(1) The clause 4.2.3.4.3 is applicable to all units, except for unit designed to be operated on the 1 520 mm or 1 600 mm track gauge for which the corresponding requirements are an open point.

(2) A new wheel profile and the distance between active faces of the wheels shall be checked in respect of target equivalent conicities using the calculation scenarios provided in clause 6.2.3.6 of this TSI in order to establish the suitability of the new proposed wheel profile for infrastructure in accordance with the TSI INF.

(3) Units equipped with independently rotating wheels are exempt from these requirements.

4.2.3.4.3.2 In-service values of wheelset equivalent conicity

(1) The combined equivalent conicities the vehicle is designed for, as verified by the demonstration of conformity of the running dynamic behaviour specified in clause 6.2.3.4 of this TSI, shall be specified for in-service conditions in the maintenance documentation as set out in point 4.2.12.3.2, taking into account the contributions of wheel and rail profiles.

(2) If ride instability is reported, the railway undertaking and the Infrastructure Manager shall localise the section of the line in a joint investigation.

(3) The railway undertaking shall measure the wheel profiles and the front-to-front distance (distance of active faces) of the wheelsets in question. The equivalent conicity shall be calculated using the calculation scenarios provided in clause 6.2.3.6 in order to check if compliance with the maximum equivalent conicity the vehicle was designed and tested for is met. If it is not the case, the wheel profiles have to be corrected.

(4) If the wheelset conicity complies with the maximum equivalent conicity the vehicle was designed and tested for, a joint investigation by the railway undertaking and the infrastructure manager shall be undertaken to determine the characteristics reason for the instability.

(5) Units equipped with independently rotating wheels are exempt from these requirements.

4.2.3.5. Running gear

4.2.3.5.1. Structural design of bogie frame

(1) For units which include a bogie frame, the integrity of the structure of the bogie frame, axle box housing and all attached equipment shall be demonstrated based on methods as set out in the specification referenced in Appendix J-1, index 20.

(2) The body to bogie connection shall comply with the requirements of the specification referenced in Appendix J-1, index 21.

(3) The hypothesis taken to evaluate the loads due to bogie running (formulas and coefficients) in line with the specification referenced in Appendix J-1, index 20 shall be justified and documented in the technical documentation described in clause 4.2.12 of this TSI.

4.2.3.5.2. Wheelsets

(1) For the purpose of this TSI, wheelsets are defined to include main parts ensuring the mechanical interface with the track (wheels and connecting elements: e.g. transverse axle, independent wheel axle) and accessories parts (axle bearings, axle boxes, gearboxes and brake discs).

(2) The wheelset shall be designed and manufactured with a consistent methodology using a set of load cases consistent with load conditions defined in clause 4.2.2.10 of this TSI.

4.2.3.5.2.1. Mechanical and geometric characteristics of wheelsets

Mechanical behaviour of wheelsets

(1) The mechanical characteristics of the wheelsets shall ensure the safe movement of rolling stock. The mechanical characteristics cover: — assembly — mechanical resistance and fatigue characteristics The conformity assessment procedure is described in clause 6.2.3.7 of this TSI.

Mechanical behaviour of axles

(2) The characteristics of the axle shall ensure the transmission of forces and torque. The conformity assessment procedure is described in clause 6.2.3.7 of this TSI.

Case of units equipped with independently rotating wheels

(3) The characteristics of the end of axle (interface between wheel and running gear) shall ensure the transmission of forces and torque. The conformity assessment procedure shall be in accordance with point (7) of clause 6.2.3.7 of this TSI.

Mechanical behaviour of the axle boxes

(4) The axle box shall be designed with consideration of mechanical resistance and fatigue characteristics. The conformity assessment procedure is described in clause 6.2.3.7 of this TSI.

(5) Temperature limits shall be defined by testing and recorded in the technical documentation described in clause 4.2.12 of this TSI. Axle bearing condition monitoring is defined in clause 4.2.3.3.2 of this TSI.

Geometrical dimensions of wheelsets

(6) The geometric dimensions of the wheelsets (as defined in Figure 1) shall be compliant with limit values specified in Table 1 for the relevant track gauge. These limit values shall be taken as design values (new wheelset) and as in-service limit values (to be used for maintenance purposes; see also clause 4.5 of this TSI). Table 1 In-service limits 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) SR = AR + Sd,left + Sd, right 330 ≤ D ≤ 760 1 415 1 426 760 < D ≤ 840 1 412 D > 840 1 410 Back to back distance (AR) 330 ≤ D ≤ 760 1 359 1 363 760 < D ≤ 840 1 358 D > 840 1 357 1 524 mm Front-to-front dimension (SR) SR = AR + Sd,left + Sd, right 400 ≤ D < 725 1 506 1 509 D ≥ 725 1 487 1 514 Back to back distance (AR) 400 ≤ D < 725 1 444 1 446 D ≥ 725 1 442 1 448 1 520 mm Front-to-front dimension (SR) SR = AR + Sd,left + Sd, right 400 ≤ D ≤ 1 220 1 487 1 509 Back to back distance (AR) 400 ≤ D ≤ 1 220 1 437 1 443 1 600 mm Front-to-front dimension (SR) SR = AR + Sd,left + Sd, right 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) SR = AR + Sd,left + Sd, right 330 ≤ D < 840 1 648 1 659 840 ≤ D ≤ 1 250 1 643 1 659 Back to back distance (AR) 330 ≤ D < 840 1 592 1 596 840 ≤ D ≤ 1 250 1 590 1 596 The dimension AR is measured at the height of the top of rail. The dimensions AR and SR shall be complied with in laden and tare conditions. Smaller tolerances within the above limits may be specified by the manufacturer in the maintenance documentation for in-service values. The dimensions SR is measured at 10 mm above tread datum (as shown in Figure 2). Figure 1 Symbols for wheelsets

4.2.3.5.2.2 Mechanical and geometrical characteristics of wheels

Mechanical behaviour of wheels

(1) The characteristics of the wheels shall ensure the safe movement of rolling stock and contribute to the guidance of the rolling stock. The conformity assessment procedure is described in clause 6.1.3.1 of this TSI.

Geometrical dimensions of wheels

(2) The geometrical dimensions of the wheels (as defined in Figure 2) shall be compliant with limit values specified in Table 2. These limit values shall be taken as design values (new wheel) and as in-service limit values (to be used for maintenance purposes; see also clause 4.5). Table 2 In-service limits of the geometric dimensions of wheel Designation Wheel diameter D (mm) Minimum value (mm) Maximum value (mm) Width of the rim (BR + Burr) D ≥ 330 133 145 Thickness of the flange (Sd) D > 840 22 33 760 < D ≤ 840 25 330 ≤ D ≤ 760 27,5 Height of the flange (Sh) D > 760 27,5 36 630 < D ≤ 760 29,5 330 ≤ D ≤ 630 31,5 Face of flange (qR) ≥ 330 6,5 Figure 2 Symbols for wheels Test ta 'immaġni Reverse slope Burr Chamfer Flange angle

(3) Units equipped with independently rotating wheels shall, in addition to the requirements in this clause dealing with wheels, meet the requirements in this TSI for geometrical characteristics of wheelsets defined in clause 4.2.3.5.2.1.

4.2.3.5.2.3 Variable gauge wheelsets

(1) This requirement is applicable to units equipped with variable gauge wheelsets with changeover between the track gauge 1 435 mm and another track gauge in the scope of this TSI.

(2) The changeover mechanism of the wheelset shall ensure the safe locking in the correct intended axial position of the wheel.

(3) External visual verification of the state of the locking system (locked or unlocked) shall be possible.

(4) If the wheelset is equipped with brake equipment, the position and locking in the correct position of this equipment shall be ensured.

(5) The conformity assessment procedure of the requirements specified in this clause is an open point.

4.2.3.6. Minimum curve radius

(1) The minimum curve radius to be negotiated shall be 150 m for all units.

4.2.3.7. Life guards

(1) This requirement applies to units fitted with a driving cab.

(2) The wheels shall be protected against damages caused by minor items on the rails. This requirement can be met by life guards in front of the wheels of the leading axle.

(3) The height of the lower end of the life guard above the plain rail shall be: — 30 mm minimum in all conditions — 130 mm maximum in all conditions taking into account in particular wheel wear and suspension compression.

(4) If an obstacle deflector specified in clause 4.2.2.5 has its lower edge at less than 130 mm above the plain rail in all conditions, it fulfils the functional requirement of the life guards and therefore it is permissible not to fit life guards.

(5) A life guard shall be designed to withstand a minimum longitudinal static force without permanent deformation of 20 kN. This requirement shall be verified by a calculation.

(6) A life guard shall be designed so that, during plastic deformation, it does not foul the track or running gear and that contact with the wheel tread, if it occurs, does not pose a risk of derailment.

4.2.4. Braking

4.2.4.1. General

(1) The purpose of the train braking system is to ensure that the train's speed can be reduced or maintained on a slope, or that the train can be stopped within the maximum allowable braking distance. Braking also ensures the immobilisation of a train.

(2) The primary factors that influence the braking performance are the braking power (braking force production), the train mass, the train rolling resistance, the speed, the available adhesion.

(3) Individual unit performance for units operated in various train formations is defined so that the overall braking performance of the train can be derived.

(4) The braking performance is determined by deceleration profiles (deceleration = F(speed) and equivalent response time). Stopping distance, brake weight percentage (also called “lambda” or “braked mass percentage”), braked mass may also be used, and can be derived (directly or via stopping distance) from deceleration profiles by a calculation. The braking performance could vary with the mass of the train or vehicle.

(5) The minimum train braking performance required to operate a train on a line at an intended speed is dependent on the line characteristics (signalling system, maximum speed, gradients, line safety margin) and is a characteristic of the infrastructure. The train or vehicle main data characterising the braking performance is defined in the clause 4.2.4.5 of this TSI.

4.2.4.2. Main functional and safety requirements

4.2.4.2.1. Functional requirements

The following requirements apply to all units.

Units shall be equipped with:

(1) a main brake function used during operation for service and emergency braking.

(2) a parking brake function used when the train is parked, allowing the application of a brake force without any available energy on board for an unlimited period of time.

The main brake function of a train shall be:

(3) continuous: the brake application signal is transmitted from a central command to the whole train by a control line.

(4) automatic: an inadvertent disruption (loss of integrity, line de-energised, etc.) of the control line leads to brake activation on all vehicles of the train.

(5) It is permitted to complement the main brake function by additional brake systems described in clause 4.2.4.7 (dynamic brake — braking system linked to traction system) and/or clause 4.2.4.8 (braking system independent of adhesion conditions).

(6) The dissipation of the braking energy shall be considered in the design of the braking system, and shall not cause any damage to the components of the braking system in normal operation conditions; this shall be verified by a calculation as specified in clause 4.2.4.5.4 of this TSI. The temperature reached around the brake components shall also be considered in the design of the rolling stock.

(7) The design of the brake system shall include means for monitoring and tests as specified in clause 4.2.4.9 of this TSI. The requirements below in this clause 4.2.4.2.1 apply at train level to units for which the operating formation(s) is (are) defined at design stage (i.e. unit assessed in fixed formation, unit assessed in predefined formation(s), locomotive operated alone).

(8) The braking performance shall be consistent with safety requirements expressed in clause 4.2.4.2.2 in case of inadvertent disruption of the brake control line, and in the event of the braking energy supply being disrupted, the power supply failing or other energy source failure.

(9) In particular, there shall be sufficient braking energy available on board the train (stored energy), distributed along the train consistent with the design of the brake system, to ensure the application of the required brake forces.

(10) Successive applications and releases of the brake shall be considered in the design of the braking system (inexhaustibility).

(11) In case of unintentional train separation, the two parts of the train shall be brought to a standstill; the braking performances on the two parts of the train are not required to be identical to the braking performance in normal mode.

(12) In the event of the braking energy supply being disrupted or the power supply failing, it shall be possible to hold in a stationary position a unit with maximum braking load (as defined in clause 4.2.4.5.2) on a 40 ‰ gradient by using the friction brake of the main brake system alone, for at least two hours.

(13) The unit braking control system shall have three control modes: — emergency braking: application of a predefined brake force in a predefined maximum response time in order to stop the train with a defined level of brake performance. — service braking: application of an adjustable brake force in order to control the speed of the train, including stop and temporary immobilisation. — parking braking: application of a brake force to maintain the train (or the vehicle) in permanent immobilisation in a stationary position, without any available energy on board.

(14) A brake application command, whatever its control mode, shall take control of the brake system, even in case of active brake release command; this requirement is permitted not to apply when intentional suppression of the brake application command is given by the driver (e.g. passenger alarm override, uncoupling…).

(15) For speeds higher than 5 km/h, the maximum jerk due to the use of brakes shall be lower than 4 m/s3. The jerk behaviour may be derived from the calculation and from the evaluation of the deceleration behaviour as measured during the brake tests (as described in the clauses 6.2.3.8 and 6.2.3.9).

4.2.4.2.2. Safety requirements

(1) The braking system is the means to stop a train, and therefore contributes to the safety level of the railway system. The functional requirements expressed in clause 4.2.4.2.1 contribute to ensure safe functioning of the braking system; nevertheless, a risk based analysis is necessary to evaluate the braking performance, as many components are involved.

(2) For the hazardous scenarios considered, the corresponding safety requirements shall be met, as defined in the Table 3 below. Where a severity is specified within this table, it shall be demonstrated that the corresponding risk is controlled to an acceptable level, considering the functional failure with their typical credible potential to lead directly to that severity as defined within the table. Table 3 Braking system — safety requirements Safety requirement to be met Functional failure with its hazardous scenario Associated severity/Consequence to be prevented Minimum allowable number of combinations of failures No 1 Applies to units fitted with a cab (brake command) After activation of an emergency brake command no deceleration of the train due to failure in the brake system (complete and permanent loss of the brake force). Note: activation by the driver or by the CCS system to be considered. Activation by passengers (alarm) not relevant for the present scenario. Fatalities 2 (no single failure is accepted) No 2 Applies to units equipped with traction equipment After activation of an emergency brake command, no deceleration of the train due to failure in the traction system (Traction force ≥ Brake force). Fatalities 2 (no single failure is accepted) No 3 Applies to all units After activation of an emergency brake command, the stopping distance is longer than the one in normal mode due to failure(s) in the brake system. Note: the performance in the normal mode is defined in clause 4.2.4.5.2. NA single point(s) failure(s) leading to the longest calculated stopping distance shall be identified, and the increase of the stopping distance compared to the normal mode (no failure) shall be determined. No 4 Applies to all units After activation of a parking brake command, no parking brake force applied (complete and permanent loss of the parking brake force). NA 2 (no single failure is accepted) Additional brake systems shall be considered in the safety study under the conditions specified in clauses 4.2.4.7 and 4.2.4.8. The demonstration of compliance (conformity assessment procedure) is described in clause 6.2.3.5 of this TSI.

4.2.4.3. Type of brake system

(1) Units designed and assessed to be operated in general operation (various formations of vehicles from different origins; train formation not defined at design stage) on other track gauge systems than the 1 520 mm system shall be fitted with a brake system with a brake pipe compatible with the UIC brake system. To this end, the specification referenced in Appendix J-1, index 22. “Requirements for the brake system of trains hauled by a locomotive” specifies the principles to be applied. This requirement is set to ensure technical compatibility of the brake function between vehicles of various origins in a train.

(2) There is no requirement on the type of brake system for units (trainsets or vehicles) assessed in fixed or predefined formation.

4.2.4.4. Brake command

4.2.4.4.1. Emergency braking command

(1) This clause applies to units fitted with a driver's cab.

(2) At least two independent emergency brake command devices shall be available, allowing the activation of the emergency brake by a simple and single action from the driver in his normal driving position, using one hand. The sequential activation of these two devices may be considered in the demonstration of compliance to the safety requirement No 1 of Table 3 of clause 4.2.4.2.2. One of these devices shall be a red punch button (mushroom push button). The emergency brake position of these two devices when activated shall be self-locking by a mechanical device; unlocking this position shall be possible only by an intentional action.

(3) The activation of the emergency brake shall also be possible by the Control-Command and signalling on-board system, as defined in the TSI CCS.

(4) Unless the command is cancelled, the emergency brake activation shall lead permanently, automatically to the following actions: — transmission of an emergency brake command along the train by the brake control line, — cut-off of all tractive effort in less than 2 seconds; this cut-off shall not be able to be reset until the traction command is cancelled by the driver, — an inhibition of all “release brake” commands or actions.

4.2.4.4.2 Service braking command

(1) This clause applies to units fitted with a driver's cab.

(2) The service brake function shall allow the driver to adjust (by application or release) the brake force between a minimum and a maximum value in a range of at least 7 steps (including brake release and maximum brake force), in order to control the speed of the train.

(3) The service braking command shall be active only in one location in a train. To meet this requirement, it shall be possible to isolate the service braking function of the other service braking command(s) of the unit(s) part of a train formation, as defined for fixed and predefined formations.

(4) When the speed of the train is higher than 15 km/h, the service brake activation by the driver shall lead automatically to the cut-off of all tractive effort; this cut-off shall not be reset until the traction command is cancelled by the driver.

Notes:

— in case of service brake and traction controlled by automatic speed regulation, the traction cut-off is not required to be cancelled by the driver.

— a friction brake may be used intentionally at speed higher than 15 km/h with traction for specific purpose (de-icing, cleaning of brake components…); it shall not be possible to use these particular functionalities in case of emergency or service brake activation.

4.2.4.4.3 Direct braking command

(1) Locomotives (units designed to haul freight wagons or passenger carriages) assessed for general operation shall be fitted with a direct brake system.

(2) The direct brake system shall allow the application of a brake force on the concerned unit(s) independently of the main brake command, with other unit(s) of the train remaining without brake applied.

4.2.4.4.4 Dynamic braking command

If a unit is equipped with a dynamic brake system:

(1) It shall be possible to prevent the use of regenerative braking on electric units so that there is no return of energy to the overhead contact line when driving on a line which does not allow that. See also clause 4.2.8.2.3 for regenerative brake.

(2) It is permitted to use a dynamic brake independently from other brake systems, or together with other brake systems (blending).