2006/66/EC: Commission Decision of  23 December 2005  concerning the technical specification for interoperability relating to the subsystem  rolling stock — noise  of the trans-European conventional rail system ( notified under document number C(2005) 5666 )   (Text with EEA relevance)
Date: 2005-12-23
Institutions: European Commission
Subjects: harmonisation of standards, noise, rail network, technical specification, technical standard, trans-European network, vehicle

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II

(Acts whose publication is not obligatory)

COMMISSION

COMMISSION DECISION

of 23 December 2005
concerning the technical specification for interoperability relating to the subsystem ‘rolling stock
— noise’ of the trans-European conventional rail system

(notified under document number C(2005) 5666)

(Text with EEA relevance)

(2006/66/EC)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European
Community,

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

Whereas:

(4) The AEIF has been given a mandate to draw up a draft
TSI for the subsystem ‘noise’ in accordance with Article 6
(1) of the Directive. The basic parameters for this draft
TSI were adopted by Commission Decision 2004/446/
EC of 29 April 2004 specifying the basic parameters of
the noise, freight wagons and telematics applications for
freight
interoperability
for
referred to in Directive 2001/16/EC (2).

specifications

technical

(5) The draft TSI set up on the basis of the basic parameters
was accompanied by an introductory report containing
the cost-benefit analysis as provided for in Article 6(5) of
the Directive.

(1)

(2)

In accordance with Article 2(c) of Directive 2001/16/EC,
the trans-European conventional rail system is subdi-
vided into structural and functional subsystems.

In accordance with Article 23(1) of the Directive, the
subsystem ‘noise’ needs to be covered by a technical
specification for interoperability (TSI).

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

(6) The draft TSI has been examined by the Committee set
up under Article 21 of Council Directive 96/48/EC of
23 July 1996 on the interoperability of
the trans-
European high-speed rail system (3), in the light of the
introductory report.

(7) Directive 2001/16/EC and the TSIs do apply to renewals
but not to maintenance-related replacements. However
Member States are encouraged, when they are able to do
so and where it
the
maintenance-related work, to apply the TSIs to main-
tenance-related replacements.

is justified by the scope of

(1) OJ L 110, 20.4.2001, p. 1. Directive as amended by Directive
2004/50/EC (OJ L 164, 30.4.2004, p. 114, corrected by OJ
L 220, 21.6.2004, p. 40).

(2) OJ L 155, 30.4.2004, p. 1, corrected by OJ L 193, 1.6.2004, p. 1.
(3) OJ L 235, 17.9.1996, p. 6. Directive as last amended by

Directive 2004/50/EC.

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(8) The TSI regarding rolling-stock noise should not demand
the use of specific technologies or technical solutions
except where this is strictly necessary for the interoper-
ability of the trans-European conventional rail system.

revision mechanism provided for in Chapter 7, the Commis-
sion shall deliver to the Committee set up by Article 21 of
Directive 96/48/EC, no later than seven years after the date on
which this Decision becomes applicable, a report and,
if
needed, a proposal for revising section 7.2 of the Annex.

in technology, operational,

(9) The TSI is based on best available expert knowledge at
the time of preparation of the relevant draft. Develop-
ments
social
requirements may make it necessary to amend or
the TSI. Where applicable, a review or
supplement
updating procedure will be initiated in accordance with
Article 6(3) of Directive 2001/16/EC.

safety or

(10) To encourage innovation and in order to take into
account the experience acquired, the TSI could be subject
to revision at regular intervals. This provision is detailed
in Chapter 7 of the TSI.

(11) Conventional rail rolling stock currently operates under
existing national, bilateral, multinational or international
agreements. It is important that those agreements do not
hinder current and future progress towards interoper-
ability. To this end, it is necessary that the Commission
examine those agreements in order to determine whether
the TSI contained in the Annex needs to be revised
accordingly.

(12)

In order to avoid any confusion, it is necessary to state
the provisions of Decision 2004/446/EC which
that
concern the basic parameters of
the trans-European
conventional rail system shall not apply anymore.

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

HAS ADOPTED THIS DECISION:

Article 1

The Technical Specification for Interoperability (hereinafter
referred to as the TSI) relating to the subsystem ‘noise’ of the
system referred to in
trans-European conventional
Article 6(1) of Directive 2001/16/EC shall be as set out in
the Annex to this Decision.

rail

The TSI shall be fully applicable to the rolling stock of the
trans-European conventional rail system as defined in Annex I
to Directive 2001/16/EC.

Article 2

The TSI shall comprise a two-step approach, as specified in
Chapter 7 of the Annex. Without prejudice to the regular

Article 3

Where agreements contain requirement relating to noise
emission limits, Member States shall notify them to the
Commission within six months of the entry into force of this
Decision. The types of agreements to be notified shall be:

(a)

national agreements between the Member States and
railway undertakings or infrastructure managers, agreed
on either a permanent or a temporary basis and
necessitated by the very specific or local nature of the
intended transport service;

(b) bilateral or multilateral agreements between railway
undertakings,
infrastructure managers or safety autho-
rities which deliver significant levels of local or regional
interoperability;

(c)

international agreements between one or more Member
States and at least one third country, or between railway
undertakings or
infrastructure managers of Member
States and at least one railway undertaking or infra-
structure manager of a third country which deliver
significant levels of local or regional interoperability.

Article 4

The provisions of Decision 2004/446/EC concerning the basic
parameters of the trans-European conventional rail system
shall no longer apply as from the date on which this Decision
becomes applicable.

Article 5

This Decision shall become applicable six months after the
date of its notification.

Article 6

This Decision is addressed to the Member States.

Done at Brussels, 23 December 2005.

For the Commission

Jacques BARROT

Vice-President

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Technical specification for interoperability relating to the subsystem ‘rolling stock — noise’ of the trans-
European conventional rail

ANNEX

1.

1.1.

1.2.

1.3.

2.

2.1.

2.2.

3.

3.1.

3.2.

3.3.

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

TECHNICAL SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

GEOGRAPHICAL SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CONTENT OF THIS TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DEFINITION OF SUBSYSTEM/SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DEFINITION OF SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

INTERFACES OF SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

GENERAL ESSENTIAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3.3.1.

Environmental protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3.4.

4.

4.1.

4.2.

ASPECTS RELATING TO ESSENTIAL REQUIREMENTS SPECIFIC FOR THE ROLLING STOCK
SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

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

FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1. Noise emitted by freight wagons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1.1. Limits for pass-by noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1.2. Limits for stationary noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2. Noise emitted by locomotives, multiple units and coaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.1.

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

4.2.2.2. Limits for stationary noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.3. Limits for starting noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.4. Limits for pass-by noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.

Interior noise of locomotives, multiple units and driving trailers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.

FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE INTERFACES . . . . . . . . . . . . . . . . . . . . . . . .

4.3.1.

Conventional rail rolling stock subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.

The locomotives, multiple units and coaches subsystems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.

4.5.

4.6.

4.7.

4.8.

OPERATING RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

MAINTENANCE RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PROFESSIONAL QUALIFICATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

HEALTH AND SAFETY CONDITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

INFRASTRUCTURE AND ROLLING STOCK REGISTERS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.8.1.

Infrastructure register . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.8.2.

Rolling stock register . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

6

6

6

7

7

7

7

7

8

8

8

8

9

9

9

9

10

11

11

11

12

12

13

13

14

14

14

14

15

15

15

15

15

15

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5.

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

5.1.

DEFINITION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.

6.1.

6.2.

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

INTEROPERABILITY CONSTITUENTS NOT APPLICABLE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

SUBSYSTEM ROLLING STOCK REGARDING NOISE EMITTED BY ROLLING STOCK . . . . . . . . . . . . .

6.2.1. Assessment procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.2. Modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.3.

Subsystem rolling stock aspect noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.

7.1.

7.2.

7.3.

7.4.

7.5.

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

GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

TSI REVISION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A TWO STEP APPROACH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

RETROFITTING PROGRAMME FOR NOISE REDUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

APPLICATION OF THIS TSI TO NEW ROLLING STOCK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.5.1.

Transitional period for external noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.5.2.

Starting noise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.5.3. Noise within the driver's cab . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.5.4.

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

7.5.4.1. Existing agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.5.4.2. Future agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.6.

APPLICATION OF THIS TSI TO EXISTING ROLLING STOCK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.6.1.

Renewal or upgrading of existing freight wagons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.6.2.

Renewal or upgrading of locomotives, multiple units and coaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.7.

SPECIFIC CASES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.7.1.

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

7.7.2.

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

7.7.2.1. Limit for stationary noise, ‘strictly for use on the UK and Ireland networks only’ . . . . . . . . . . . . . . . . . .

7.7.2.2. Finland . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.7.2.3. Limits for starting noise, ‘strictly for the use on the UK and Ireland networks only’

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

7.7.2.4. Limits for pass-by noise for freight wagons in Finland, Norway, Estonia, Latvia and Lithuania . . . . .

7.7.2.5. Specific case for Greece . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.7.2.6. Specific case for Estonia, Latvia and Lithuania . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX A: MEASURING CONDITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.1.

DEVIATIONS FROM PREN ISO 3095:2001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.1.1.

STATIONARY NOISE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.1.2.

STARTING NOISE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.1.3.

PASS-BY NOISE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.1.4.

REFERENCE TRACK FOR PASS-BY NOISE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

15

15

16

16

16

16

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A.2.

CHARACTERISATION OF THE DYNAMIC PERFORMANCES OF THE REFERENCE
TRACKS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.2.1. MEASUREMENT PROCEDURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.2.2. MEASUREMENT SYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.2.3. DATA PROCESSING . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

A.2.4.

TEST REPORT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX B: MODULES FOR THE EC VERIFICATION OF SUBSYSTEMS — ASPECT NOISE: . . . . . . . . .

B.1.

B.2.

B.3.

B.4.

MODULE SB: TYPE EXAMINATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

MODULE SD: PRODUCTION QUALITY MANAGEMENT SYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

MODULE SF: PRODUCT VERIFICATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

MODULE SH2: FULL QUALITY MANAGEMENT SYSTEM WITH DESIGN EXAMINATION . . . . . . . .

25

25

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30

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TRANS-EUROPEAN CONVENTIONAL RAIL SYSTEM

Technical specification for interoperability

Subsystem: Conventional rolling stock

Scope: Noise

Aspect: Noise emitted by freight wagons, locomotives, multiple units and coaches

1.

INTRODUCTION

1.1.

Technical scope

This TSI concerns the rolling stock subsystem shown in the list in point 1 of Annex II to Directive
2001/16/EC.

Further information on the rolling stock subsystem is provided in Chapter 2.

This TSI covers noise emitted by freight wagons, locomotives, multiple units and coaches.

1.2.

Geographical scope

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

1.3.

Content of this TSI

In accordance with Article 5(3) of Directive 2001/16/EC, this TSI:

(a)

(b)

(c)

(d)

(e)

(f)

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

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

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

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

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

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

(g)

indicates, for the staff concerned, the professional qualifications and health and safety conditions at
work required for the operation and maintenance of the subsystem concerned, as well as for the

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implementation of the TSI — Chapter 4.

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

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

2.

DEFINITION OF SUBSYSTEM/SCOPE

2.1.

Definition of subsystem

The rolling stock that is the subject of this TSI comprises locomotives, multiple units, freight wagons, and
coaches likely to travel on all or part of the trans-European conventional rail network. Freight wagons
include rolling stock designed to carry lorries.

This rolling stock include those designed for international use and those designed for national (specific) use
only, taking due account of the local, regional or long distance use of the stock.

The rolling stock subsystem TSI noise includes limits for stationary noise, starting noise, pass-by noise and
interior noise for driver's cabs caused by conventional rolling stock.

2.2.

Interfaces of subsystem

This noise TSI has interfaces with:

— The freight wagon subsystem, the TSI of which belongs to the first priority TSIs according Article 23(1)

(a) of Directive 2001/16/EC, with regard to:

— pass-by noise,

— stationary noise;

— The locomotives, multiple units and coaches subsystems, the TSIs of which do not belong to the first
priority TSIs according Article 23(1)(b) of Directive 2001/16/EC and do not exist yet, with regard to:

— stationary noise,

— starting noise,

— pass-by noise,

— interior noise within the driver's cab, where applicable.

3.

ESSENTIAL REQUIREMENTS

3.1.

General

In the scope of the present TSI, fulfilment of relevant essential requirements quoted in Chapter 3 of this TSI
will be ensured by the compliance with the specifications described in Chapter 4 for the subsystem, as
demonstrated by a positive result of the assessment of the verification of the subsystem, as described in
Chapter 6.

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Nevertheless, if part of the essential requirements are covered by national rules because of:

— open and reserved points declared in the TSI,

— derogation under Article 7 of the Directive 2001/16/EC,

— specific cases described in point 7.6 of the present TSI,

the corresponding conformity assessment shall be carried out according to procedures under the
responsibility of the Member State concerned.

According to Article 4(1) of Directive 2001/16/EC, the trans-European conventional rail system, subsystems
and interoperability constituents including interfaces shall meet the relevant essential requirements set out in
Annex III to the Directive.

3.2.

Essential requirements

The essential requirements relate to:

— safety,

— reliability and availability,

— health,

— environmental protection,

— technical compatibility.

These requirements include general requirements, and requirements specific to each subsystem.

3.3.

General essential requirements

3.3.1.

Environmental protection

Essential requirement 1.4.4 of Annex III to Directive 2001/16/EC: Operation of
conventional rail system must respect existing regulations on noise pollution.

the trans-European

As far as the rolling stock subsystem regarding noise emitted by rolling stock is concerned, this essential
requirement is addressed by the specification of the subsections:

— Pass-by noise (basic parameter 4.2.1.1 and 4.2.2.4),

— Stationary noise (basic parameter 4.2.1.2 and 4.2.2.2),

— Starting noise (basic parameter 4.2.1.3),

— Interior noise of locomotives, multiple units and driving trailers (basic parameter 4.2.3).

3.4.

Aspects relating to essential requirements specific for the rolling stock subsystem

The essential requirements specific for the rolling stock subsystem are not relevant as far as noise emitted by
rolling stock is concerned.

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4.

CHARACTERISATION OF THE SUBSYSTEM

4.1.

Introduction

The trans-European conventional rail system, to which Directive 2001/16/EC applies and of which the
rolling stock subsystem is a part,
is an integrated system whose consistency must be verified. This
consistency must be checked in particular with regard to the specifications of the subsystem, its interfaces
vis-à-vis the system into which it is integrated, as well as the operating and maintenance rules.

Taking account of all the applicable essential requirements, the rolling stock subsystem regarding Noise
emitted by rolling stock is characterised in the present Chapter 4.

This TSI is applicable to new vehicles, and renewed or upgraded rolling stock if required by the provisions of
Chapter 7.2.

Point 4.2 of this TSI is applicable only for the putting into service of rolling stock according Article (14)(1) or
14(3) of Directive 2001/16/EC.

4.2.

Functional and technical specifications of the subsystem

In light of the essential requirements in Chapter 3, the functional and technical specifications of the rolling
stock subsystem regarding Noise emitted by rolling stock are as follows:

— stationary noise (basic parameters 4.2.1.2 and 4.2.2.2),

— starting noise (basic parameter 4.2.2.3),

— pass-by noise (basic parameters 4.2.1.1 and 4.2.2.4),

— interior noise of locomotives, multiple units and driving trailers (basic parameter 4.2.3).

Infrastructure maintenance machines have to be considered as locomotives during transfer travel, but have
not to comply with this TSI, when working.

4.2.1. Noise emitted by freight wagons

Noise emitted by freight wagons subdivides into pass-by noise and stationary noise.

The pass-by noise of a freight wagon is highly influenced by its rolling noise (noise of the wheel/rail contact)
which is a function of speed.

The rolling noise itself is caused by the combined wheel and rail roughness and by the dynamic behaviour of
the track and wheel-set.

The parameter set for the characterisation of pass-by noise comprises:

— sound pressure level, according to a defined measuring method.

— microphone position,

— speed of the wagon,

— rail roughness,

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— dynamic and radiation behaviour of the track.

Stationary noise of a freight wagon will only be of relevance if the wagon is equipped with auxiliary devices
like engines, generators, cooling systems. It is mostly applicable to refrigerated wagons.

The parameters set for the characterisation of stationary noise comprise:

— sound pressure level, according to a defined measuring method and microphone position,

— operating conditions.

4.2.1.1. L i m i t s f o r p a s s - b y n o i s e

The indicator for pass-by noise is the A-weighted equivalent continuous sound pressure level LpAeq, Tp
measured over the pass-by time at a distance of 7,5 m from the track centreline, 1,2 m above top of rail.
Measurements shall be made in accordance to prEN ISO 3095:2001 except that the reference track shall
meet the requirements stated in Annex A1.4. The reference track shall be made available in a non-
discriminatory way.

The limiting values LpAeq,Tp for the pass-by noise of freight wagons under the conditions stated above are
given in Table 1.

Table 1

Limiting values LpAeq,Tp for the pass-by noise of freight wagons

Wagons

New wagons with an average number of axles per unit length (apl) up to
0,15 m-1 at 80 km/h

Renewed or upgraded wagons according Article 14(3) of Directive
2001/16/EC with an average number of axles per unit length (apl) up to
0,15 m-1 at 80 km/h

LpAeq,Tp

< = 82 dB(A)

< = 84 dB(A)

New wagons with an average number of axles per unit length (apl) higher
than 0,15 m-1 up to 0,275 m-1 at 80 km/h

< = 83 dB(A)

Renewed or upgraded wagons according Article 14(3) of Directive
2001/16/EC with an average number of axles per unit length (apl) higher
than 0.15 m-1 up to 0,275 m-1 at 80 km/h

< = 85 dB(A)

New wagons with an average number of axles per unit length (apl) higher
than 0,275 m-1 at 80 km/h

< = 85 dB(A)

Renewed or upgraded wagons according Article 14(3) of Directive
2001/16/EC with an average number of axles per unit length (apl) higher
than 0,275 m-1 at 80 km/h

< = 87 dB(A)

Apl is the number of axles divided by the length over buffers.

The pass-by noise of a train shall be measured at 80 km/h and at maximum speed, but less than 190 km/h.
The values to be compared with the limits (see Table 1) is the maximum of the measured value at 80 km/h
and the measured value taken at maximum speed but referred to 80 km/h by the equation LpAeq,Tp
(80 km/h) = LpAeq,Tp(v)-30*log (v/80 km/h). Other speeds mentioned in the prEN ISO 3095:2001 shall not
be considered.

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4.2.1.2. L i m i t s f o r s t a t i o n a r y n o i s e

Stationary noise is to be described in terms of the A-weighted equivalent continuous sound pressure level
LpAeq, T, according to prEN ISO 3095:2001, Chapter 7.5 with the deviations defined in Annex A. The limiting
value for the stationary noise of freight wagons at a distance of 7,5 m from the track centreline of track and
1,2 m above the upper surface of the rails is given in Table 2. The indicator for the sound pressure level is
LpAeq,T.

Table 2

Limiting value LpAeq,T for the stationary noise of freight wagons

Wagons

All freight wagons

LpAeq,T

< = 65 dB(A)

The specified level for stationary noise is the energy-average of all measured values taken at the measuring
points defined in Annex A.1.1 of this TSI.

4.2.2. Noise emitted by locomotives, multiple units and coaches

4.2.2.1.

I n t r o d u c t i o n

Noise emitted by locomotives, multiple units and coaches subdivides into stationary noise, starting noise,
and pass-by noise. The noise within driver's cabs is also considered.

The stationary noise is highly influenced by auxiliaries, such as cooling systems, air conditioning and
compressors.

Starting noise is a combination of contributions from traction components such as diesel engines and
cooling fans, auxiliaries and, sometimes, wheel slip.

Pass-by noise is highly influenced by the rolling noise, linked to the wheel/rail interaction, which is a
function of speed.

The rolling noise itself is caused by the combined wheel and rail roughness and by the dynamic behaviour of
the track and wheelset.

At lower speeds the noise of auxiliaries and traction equipment is also significant.

The emitted level of noise is characterised by:

— Sound pressure level, according to a defined measuring method,

— Microphone position,

— Speed of the wagon,

— Rail roughness,

— Dynamic and radiation behaviour of the track.

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The parameters set for the characterisation of stationary noise comprise:

— sound pressure level, according to a defined measuring method and microphone position,

— operating conditions.

Multiple units are fixed trainsets either with distributed power or with one or more dedicated power cars and
coaches. Multiple units with electric traction are abbreviated as ‘EMUs’, while those with diesel traction are
abbreviated as ‘DMUs’. In this TSI the wording ‘diesel’ or ‘diesel engine’ includes all forms of thermal engine
that are used for traction. Fixed formation trains that consist of two locomotives and coaches cannot be
considered as multiple units if the locomotive can operate in different train configurations.

4.2.2.2. L i m i t s f o r s t a t i o n a r y n o i s e

The limits for stationary noise are defined at a distance of 7,5 m from the centreline of the track, 1,2 m
above the upper surface of the rails. The measuring conditions are defined by the standard prEN ISO
3095:2001 with the deviations defined in Annex A. The indicator for the sound pressure level is LpAeq,T. The
limiting values for the noise emission of the vehicles under the conditions mentioned are given in Table 3.

Limiting values LpAeq,T for the stationary noise of electric locomotives, diesel locomotives, EMUs, DMUs and
passenger coaches

Table 3

Vehicles

Electric locomotives

Diesel locomotives

EMUs

DMUs

Passenger coaches

LpAeq,T

75

75

68

73

65

The specified level for stationary noise is the energy-average of all measured values taken at the measuring
points defined in Annex A.1.1 of this TSI.

4.2.2.3. L i m i t s f o r s t a r t i n g n o i s e

The limits for starting noise are defined at a distance of 7,5 m from the centreline of the track, 1,2 m above
the upper surface of the rails. The measuring conditions are defined by the standard prEN ISO 3095:2001
with the deviations defined in Annex A1.2 The indicator for the sound level is LpAFmax. The limiting values for
the starting noise of the vehicles under the conditions stated are given in Table 4.

Limiting values LpAFmax for the starting noise of electric locomotives, diesel locomotives, EMUs and DMUs

Table 4

Vehicle

Electric locomotives

P < 4 500 kW at the rim

Electric locomotives

P >/= 4 500 kW at the rim

Diesel locomotives

P < 2 000 kW at the shaft

LpAFmax

82

85

86

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Vehicle

Diesel locomotives

P >/= 2 000 kW at the shaft

EMUs

DMUs

P < 500 kW/engine

DMUs

P >/= 500 kW/engine

4.2.2.4. L i m i t s f o r p a s s - b y n o i s e

LpAFmax

89

82

83

85

The limits for pass-by noise are defined at a distance of 7,5 m from the centreline of the reference track,
1,2 m above the upper surface of the rails for a vehicle speed of 80 km/h. The indicator for the A weighted
equivalent continuous sound level is LpAeq,Tp.

The measurements shall be carried out in accordance with prEN ISO 3095:2001 with deviations stated in
Annexes A1.3 and A1.4. The reference track shall be made available in a non-discriminatory way.

The pass-by noise of a train shall be measured at 80 km/h and at maximum speed, but less than 190 km/h.
Other speeds mentioned in the prEN ISO 3095:2001 shall not be considered. The value to be compared with
the limits (see Table 5) is the greater of the measured value at 80 km/h and the measured value taken at
maximum speed but normalised to 80 km/h by the equation.

LpAeq,Tp(80 km/h) = LpAeq,Tp(v)-30*log (v/80 km/h).

The limiting values for the noise emission of electric and diesel locomotives, EMUs, DMUs and passenger
coaches under the conditions stated above are given in Table 5.

Limiting values LpAeq,Tp for the pass-by noise of electric and diesel locomotives, EMUs, DMUs and passenger
coaches

Table 5

Vehicle

LpAeq,Tp @ 7,5 m

Electric locomotives

Diesel locomotives

EMUs

DMUs

Passenger coaches

85

85

81

82

80

4.2.3.

Interior noise of locomotives, multiple units and driving trailers

The interior noise level of passenger vehicles is not considered to be a basic parameter. However, the noise
level within the driver's cab is an important issue. Noise levels in the cab must be kept as low as possible, by
limiting the noise at the source and by appropriate additional measures (acoustic insulation, sound
absorption). The limiting values are defined in Table 6.

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Limiting values LpAeq,T for the noise within the driver's cab of electric and diesel locomotives, EMUs, DMUs
and driving trailers

Table 6

Noise within the driver's cab

LpAeq,T

Measurement time interval T

Standstill

(during external acoustical warning with
the maximum sound pressure of the
horn, but less than 125 dB(A) at 5 m
ahead of the vehicle in 1,6 m height
above head of rail)

Maximum speed, applicable for speeds
less than 190 km/h.

(open country without interior and
exterior warnings)

95

78

The measurements shall be done under the following conditions:

— the doors and windows must be closed,

3 s

1 min

— the hauled loads must be equal to at least two-thirds of the maximum permissible value.

For the measurements at maximum speed, the microphone shall be positioned at the level of the driver's ear
(in the seated position), at the centre of a horizontal plane extending from the front window panes to the
rear wall of the cab.

For the measurements of the horn's impact, eight evenly spaced microphone positions around the position
of the driver's head with a radius of 25 cm (in the seated position) shall be used, in a horizontal plane. The
arithmetic mean of the eight values shall be assessed against the limit.

This table applies to drivers’ cabs. In any event, Directive 2003/10/EC of the European Parliament and the
Council of 6 February 2003 on the minimum health and safety requirements regarding the exposure of
workers to the risks arising from physical agents (noise) on has to be applied by railway undertakings and
their staff, but the compliance with Directive 2003/10/EC does not concern the EC verification of rolling
stock with drivers’ cabs.

4.3.

Functional and technical specifications of the interfaces

4.3.1.

Conventional rail rolling stock subsystem

The noise limits of this TSI emitted by freight wagons shall be taken as design parameter in Chapter 4.2.4
(Braking) and as part of the subsystem approval in Chapter 6.2 (Subsystem conventional rail rolling stock
freight wagons) of the CR RST TSI into account.

4.3.2.

The locomotives, multiple units and coaches subsystems

These TSIs do not exist yet. With regard to the noise emitted by locomotives, multiple units and coaches,
their design has to be compliant with the specified limits in Chapter 4 (characterisation of the subsystem) of
these TSIs.

4.4.

Operating rules

In light of the essential requirements in Chapter 3, there are no operating rules specific to the subsystem
rolling stock regarding noise emitted by rolling stock.

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4.5.

Maintenance rules

— wheel/rail contact parameters (wheel profile),

— wheel defects (wheel flats, out of roundness).

See maintenance file, which is specified in Chapter 4.2.8 of the conventional rail rolling stock TSI.

4.6.

Professional qualifications

There are no additional requirements to existing European legislation and national ones compatible with
European legislation on professional qualifications.

4.7.

Health and safety conditions

The lower exposure action values set up in Article 3 of Directive 2003/10/EC (17th individual directive
within the meaning of Article 16(1) of Directive 89/391/EEC) are met with the present limits of interior
noise in drivers’ cabs:

— as regards peak values,

— and generally as regards average values, for standard operational conditions.

4.8.

Infrastructure and rolling stock registers

4.8.1.

Infrastructure register

Not applicable to this TSI.

4.8.2.

Rolling stock register

As far the subsystem rolling stock regarding noise emitted by rolling stock is concerned, the following
information shall be included in the rolling stock register:

— pass-by noise (basic parameters 4.2.1.1 and 4.2.2.4),

— stationary noise (basic parameters 4.2.1.2 and 4.2.2.2),

— starting noise (basic parameters 4.2.2.3),

— interior noise in the driver's cab.

5.

INTEROPERABILITY CONSTITUENTS

5.1.

Definition

interoperability constituents are ‘any elementary
According to Article 2(d) of Directive 2001/16/EC,
component, group of components, subassembly or complete assembly of equipment incorporated or
intended to be incorporated into a subsystem upon which the interoperability of the trans-European
conventional rail system depends directly or indirectly. The concept of a constituent covers both tangible
objects and intangible objects such as software.’

There are no interoperability constituents specified in this TSI.

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6.

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

6.1.

Interoperability constituents

Not applicable

6.2.

Subsystem rolling stock regarding noise emitted by rolling stock

6.2.1. Assessment procedures

At the request of the contracting entity or its authorised representative within the Community, the notified
body carries out the EC verification in accordance with Annex VI to Directive 2001/16/EC.

The contracting entity shall draw up the EC declaration of verification for the rolling stock subsystem
including the noise aspect in accordance with Article 18(1) and Annex V to Directive 2001/16/EC.

6.2.2. Modules

For the verification procedure of the noise requirements, as specified in Chapter 4, the contracting entity or
its authorised representative established within the Community may chose the following modules:

— either the type examination procedure (module SB) for the design and development phase,

in

combination with a module for the production phase:

— either the production quality management system procedure (module SD),

— or the product verification procedure (module SF);

— or the full quality management system with design examination procedure (module SH2).

These modules are described in Annex B of this TSI.

The conformity assessment of the noise requirements of freight wagons may be carried out in the same time
than the verification procedures of the other requirements of freight wagons, which are specified in the
conventional rail rolling stock TSI.

The module SD may only be chosen where the contracting entity, or the main contractors when involved,
operate a quality management system for manufacture, final product inspection and testing, approved and
surveyed by a notified body of their choice.

The module SH2 may only be chosen where the contracting entity, or the main contractors when involved,
operate a quality management system for design, manufacture, final production inspection and testing,
approved and surveyed by a notified body of their choice.

The following additional facts shall be taken into account for the use of the modules:

— design phase: module SB, with reference to chapter 4.3 of the module, a design review is requested,

— production phase: the application of the modules SD, SF and SH2 for the production phase shall
enable the conformity of the vehicles with the approved type as described in the type examination
certificate. In particular the application shall demonstrate the manufacture and the assembly are
realised with the same components and the same technical solutions than the approved type.

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6.2.3.

Subsystem rolling stock aspect noise

For the subsystem rolling stock, aspect noise emitted by freight wagons, locomotives, multiple units and
coaches, verification is based on this chapter.

Procedures for EC verification: Annex A of this TSI.

List of specifications, description of the testing procedures:

— A1. Measuring conditions, deviations from prEN ISO 3095:2001

— A1.1. Stationary noise

— A1.2. Starting noise

— A1.3. Pass-by noise

— A1.4. Reference track for pass-by noise.

7.

IMPLEMENTATION

7.1.

General

The implementation of the TSIs must take into consideration the overall migration of the conventional rail
network towards full interoperability.

In order to support this migration, the TSIs allow for staged, gradual application and coordinated
implementation with other TSIs.

7.2.

TSI Revision

In conformity with Article 6(3) of Directive 2001/16/EC as modified by Directive 2004/50/EC, the Agency
shall be responsible for preparing the review and updating of TSIs and making appropriate
recommendations to the Committee referred to in Article 21 of this Directive in order to take account of
developments in technology or social requirements. In addition, the progressive adoption and revision of
other TSIs may also impact this TSI. Proposed changes to this TSI shall be subject to rigorous review and
updated TSIs will be published on an indicative periodic basis of three years.

In any case the EC will deliver to ‘the Article 21 Committee’, at the latest seven years after the date of entry
into force of this TSI, a report and, if needed, a proposal for revising this TSI about following issues:

1.

an assessment of the implementation of the TSI, in particular costs and benefits;

2.

3.

the use of a continuous curve of limiting values LpAeq,Tp for the pass-by noise of freight wagons as a
function of APL (axles per length), provided that it does not prevent technical innovation, in particular
for rakes of wagons;

the second step pass-by noise limit values for wagons, locomotives, multiple units and coaches (see
point 7.2), according to the results of accurate noise measurement campaigns, taking into account in
particular technical progress and available technologies for both track and rolling stock and cost-
benefit analyses;

4.

a possible second-step starting noise limit values for diesel locomotives and multiple units;

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5.

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the inclusion of
Infrastructure;

infrastructure into the scope of

the Noise TSI

in coordination with the TSI

the inclusion into the TSI of a monitoring scheme for wheel defects. Wheel defects have an impact on
noise emission.

7.3.

A two step approach

It is recommended that in the case of new rolling stock to be ordered 10 years after the entry into force of
this TSI or to be put into service 12 years after the entry force of this TSI points 4.2.1.1 and 4.2.2.4 of this
TSI are applied with a reduction of 5 dB(A) except for DMUs and EMUs. For both later cases the reduction is
of 2 dB(A). This recommendation will serve only as a basis for revising points 4.2.1.1 and 4.2.2.4 in the
context of the TSI revision process mentioned in point 7.2.

7.4.

Retrofitting programme for noise reduction

Given the long life-cycle of railway vehicles it is also necessary to take measures on the existing fleet of
rolling stock, with priority for freight wagons, to foster a noticeable reduction of the perceived noise level
within a reasonable time period. The Commission will take initiatives to discuss options for retrofitting of
freight wagons with the relevant stakeholders to achieve a general agreement with the industry.

7.5.

Application of this TSI to new rolling stock

The specifications provided in this TSI apply for all new rolling stock within the scope of this TSI.

In the case of new wagons, the conventional rail rolling stock TSI must also be fully applied.

7.5.1.

Transitional period for external noise

It is allowable to apply limits 2 dB(A) higher than those stated in Chapters 4 and 7 of this TSI for external
locomotives, EMUs, DMUs and passenger coaches within a
noise from electric locomotives, diesel
transitional period of 24 months starting from the date of entry into force of this TSI. This allowance is
restricted to the case of:

— contracts already signed or under final phase of tendering procedure at the date of entry into force of

this TSI, and options to these contracts to purchase additional vehicles, or

— contracts for purchasing new rolling stock of an existing design type signed during this transitional

period.

7.5.2.

Starting noise

The starting noise limits may be raised by 2 dB(A) for all DMUs, with an engine power greater than 500 kW/
engine, put into service during a transitional period of five years from the date of entry into force of this TSI.
This is not additional to the 2 dB(A) of section 7.5.1.

7.5.3. Noise within the driver's cab

It is allowable for the cab noise for new and existing designs at standstill during the sounding of the external
warning horn to be raised by 2 dB(A) for the first three years starting from the date of entry into force of this
TSI. This concerns the following cases:

— contracts already signed or under final phase of tendering procedure at the date of entry into force of

this TSI, and options to these contracts to purchase additional vehicles, or

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— contracts for purchasing new rolling stock of a new and existing design type signed during this

transitional period.

7.5.4.

Exceptions for national, bilateral, multilateral or multinational agreements

7.5.4.1. E x i s t i n g a g r e e m e n t s

Where agreements contain requirements related to noise, then Member States shall notify the Commission,
within six months after the entry into force of this TSI, of the following agreements under which freight
wagons, locomotives, DMUs, EMUs and coaches, related to the scope of this TSI are operated:

(a)

national, bilateral or multilateral agreements between Member States and railway undertakings or
infrastructure managers, agreed on either a permanent or a temporary basis and necessitated by the
very specific or local nature of the intended transport service;

(b)

bilateral or multilateral agreements between railway undertakings, infrastructure managers or safety
authorities which deliver significant levels of local or regional interoperability;

(c)

international agreements between one or more Member States and at least one third country, or
between railway undertakings or infrastructure managers of Member States and at least one railway
undertaking or infrastructure manager of a third country, which deliver significant levels of local or
regional interoperability.

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

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

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

7.5.4.2. F u t u r e a g r e e m e n t s o r m o d i f i c a t i o n o f e x i s t i n g a g r e e m e n t s

Any future agreement or modification of existing agreements shall take into account EU legislation and, in
particular, this TSI. Member States shall notify the Commission with such agreements/modifications. The
same procedure as in point 7.5.4.1 then applies.

7.6.

Application of this TSI to existing rolling stock

7.6.1.

Renewal or upgrading of existing freight wagons

In the case of renewal or upgrading of freight wagons, the Member State, according to Article 14(3) of
Directive 2001/16/EC as amended by the Directive 2004/50/EC, has to decide if a new authorisation of
putting into service is needed. If the performance of the brake system of this wagon is changed by the
renewal or upgrading and if a new authorisation of putting into service is needed, the requirement is that the
pass-by level of this wagon shall comply with the relevant level indicated in Table 1 of point 4.2.1.1. If a
wagon during renewal or upgrading is equipped with composite blocks and without adding additional noise
sources to the wagon, it is to be assumed without testing that the values of point 4.2.1.1 are fulfilled.

An upgrading for noise emission reduction only is not mandatory, but if upgrading is done for another
reason it has to be demonstrated that renewal or upgrading does not increase pass-by noise with respect to
the performance of the vehicle before renewal or upgrading.

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For stationary noise, it has to be demonstrated that retrofitting does not increase noise with respect to the
performance of the vehicle before renewal or upgrading.

However, if a freight wagon will be during renewal or upgrading equipped with an additional noise source,
than it has to fulfil the limit of point 4.2.1.2 (stationary noise).

Upgraded or renewed freight wagons, requiring new authorisation for putting into service within the
meaning of Directive 2001/16/EC Article 14(3) shall comply with requirements of the conventional rail
rolling stock TSI according to the provisions of point 7.3 of this TSI.

7.6.2.

Renewal or upgrading of locomotives, multiple units and coaches

It has only to be demonstrated that a renewed or upgraded vehicle does not increase noise with respect to
the performance of the vehicle before renewal or upgrading.

7.7.

Specific cases

7.7.1.

Introduction

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

These specific cases belong to two categories: the provisions apply either permanently (case P), or
temporarily (case T). In temporary cases, it is recommended that the Member States concerned should
conform with the relevant subsystem either by 2010 (case T1), an objective set out in Decision 1692/96/EC
of the European Parliament and of the Council of 23 July 1996 on Community guidelines for the
development of the trans-European transport network, or by 2020 (case T2).

7.7.2.

List of specific cases

7.7.2.1. L i m i t f o r s t a t i o n a r y n o i s e ,

‘ s t r i c t l y f o r u s e o n t h e U K a n d I r e l a n d n e t w o r k s o n l y ’

Category P — permanent

Table 7

Limiting values LpAeq,T for the stationary noise of DMUs

Vehicles

LpAeq,T

77

DMUs

7.7.2.2. F i n l a n d

Category T — temporary

In the territory of Finland, the limits for stationary noise in point 4.2.1.2 shall not be applied to wagons
equipped with a diesel aggregate for electrical power supply higher than 100 kW when the aggregate is used.
In this case the stationary noise limit may be raised by 7 dB(A) due to the temperature range down to —
40 oC together with freezing and icy conditions.

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7.7.2.3. L i m i t s f o r s t a r t i n g n o i s e ,

‘ s t r i c t l y f o r u s e o n t h e U K a n d I r e l a n d n e t w o r k s o n l y ’

Category P — permanent

Table 8

Limiting values LpAFmax for the starting noise of electric locomotives, diesel locomotives and DMUs

Vehicle for

Electric locomotives less than

4 500 kW at the rim

Diesel locomotives

Less than 2 000 kW at the shaft

DMUs P < 500 kW/engine

LpAFmax

84

89

85

7.7.2.4. L i m i t s f o r p a s s - b y n o i s e f o r f r e i g h t w a g o n s ,

i n F i n l a n d , N o r w a y , E s t o n i a , L a t v i a

a n d L i t h u a n i a

Category T1 — temporary

The noise emission limits for freight wagons are not valid for Finland, Norway, Estonia, Latvia and Lithuania.
The reason for this is the safety aspects under Nordic winter conditions. This specific case is valid until the
functional specification and assessment method for composite brake blocks are incorporated in the revised
version of the conventional rail rolling stock TSI.

That does not preclude freight wagons from other member states from operating in Nordic and Baltic States.

7.7.2.5. S p e c i f i c c a s e f o r G r e e c e

Category T1 — temporary: rolling stock for track gauge 1 000 mm or less

For the existing isolated 1 000 mm gauge, which is not in the scope of this TSI, national rules shall apply.

7.7.2.6. S p e c i f i c c a s e f o r E s t o n i a , L a t v i a a n d L i t h u a n i a

Category ‘T1’ — temporary

The noise emission limits for all rolling stock (locomotives, coaches, EMUs and DMUs) are not valid for
Estonia, Latvia and Lithuania until the revision of this TSI. In the meantime, measurement campaigns will be
carried out in these States; the revision of this TSI shall take into account the results of these campaigns.

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ANNEX A

MEASURING CONDITIONS

A.1. DEVIATIONS FROM PREN ISO 3095:2001

A.1.1. Stationary noise

The measurement of stationary noise shall be made according to prEN ISO 3095: 2001 with the following
deviations (see Table A1).

Normal operation is defined by performance at an external temperature of 20 °C. Design parameters for
forcing the operation in order to simulate 20 °C conditions are to be provided by the manufacturer.

Table A1

Stationary noise, deviations from prEN ISO 3095:2001

Point

Subject

Deviation

(prEN ISO 3095:
2001)

6.2.3

(marked in bold, italic characters)

Microphone positions, mea-
surements on stationary
vehicles

Measurements shall be made according to prEN
ISO 3095:2001 Annex A, Figure A.1.

6.3.1

Vehicle conditions

Fouling on grilles, filters and fans shall be removed
before the measurements.

7.5.1

7.5.2

7.5.3.1

7.5.3.2

7.5.1

General

The measuring time is to be 60 s.

Coaches, wagons and electric
power units

All equipment that can operate with the vehicle
stationary, including the main traction equipment
where relevant, but excluding the brake air
compressor, shall be operating. The auxiliary equip-
ment shall be operated at normal load.

Power units with internal
combustion engines

Engine idling unloaded, fan at normal speed,
auxiliary equipment with normal load, brake air
compressor not operating.

Power units with internal
combustion engines

This clause is not relevant for Diesel locomotives and
DMUs

Measurements on stationary
vehicles, general

The sound level of the stationary noise is the energy
average of all measured values taken at the
measurement points according to prEN ISO
3095:2001 Annex A, Figure A.1.

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A.1.2. Starting noise

The measurement of starting noise shall be made according to prEN ISO 3095:2001 with the following
deviations (see Table A2).

Normal operation is defined by performance at an external temperature of 20 °C. Design parameters for
forcing the operation to simulate 20 °C conditions are provided by the manufacturer.

Table A2

Starting noise, deviations from prEN ISO 3095:2001

Subject

Deviation

(marked in bold, italic characters)

Meteorological Conditions

Measurements on accelerating vehicles shall be
made only if the rail is dry.

Vehicle conditions

Fouling on grilles, filters and fans shall be removed
before the measurements.

Point

(prEN ISO
3095:2001)

6.1.2

6.3.1

6.3.3

Doors, windows, auxiliary
equipment

7.3.1

General

7.3.2

Trains with an individual
power unit

Tests on accelerating trains shall be performed with
all auxiliary equipment operating at normal load.
The sound emission of brake air compressors shall
not be taken into account.

Tests have to be performed with maximum tractive
effort without wheel spin and without macro slip. If
the train under test does not comprise a fixed
formation, the load has to be defined. It shall be
typical of the normal service.

Tests on accelerating trains shall be performed with
all auxiliary equipment operating at normal load.
The sound emission of the brake air compressors
shall not be taken into account.

A.1.3. Pass-by noise

Point

(prEN ISO
3095:2001)

6.2

6.3.1

7.2.3

Subject

Deviation

(marked in bold, italic characters)

Microphone position

There will be no track in-between the running track
and the microphone

Vehicle conditions

Fouling on grilles, filters and fans shall be removed
before the measurements.

Test procedure

A tachometer shall be used such that the speed is
sufficiently accurately measured for pass-by, with
train speed not in the range ±3 % of the stated test
speed to be correctly identified as being outside that
range and rejected.

Minimum tractive effort to maintain a constant
speed shall be maintained for at least 60 s before,
and during, the pass-by measurement

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A.1.4. Reference track for pass-by noise

The specifications of the reference track were studied only to allow the assessment of rolling stock against
pass-by noise limits. This section specifies neither the design nor the maintenance nor the operating
conditions of ‘normal’ tracks, which are not ‘reference’ tracks.

Approval of the reference track shall be made according to prEN ISO 3095:2001 with the following
deviations:

— the rail roughness shall lie below the limit spectrum as defined in figure F1. This limiting curve replaces
the specification of prEN ISO 3095:2001, point 6.4.2 (figure 4), Annex C ‘Procedure for determining the
rail rough ness limit spectrum’. Annex D ‘Rail roughness measurement specifications’, is only applicable
in its paragraphs D.1.2 (direct acquisition method) and D.2.1 (Processing of roughness data — Direct
measurement), with the following devia tions and D4 (data presentation):

Point

(prEN ISO
3095:2001)

D.1.2.2

Subject

Deviation

(marked in bold, italic characters)

Direct roughness measure-
ment

The wavelength bandwidth should be at least
(0,003; 0,10) metre

The number of traces used to characterise the
roughness will be chosen with regard to the
actual rolling surface. The number of traces
should be consistent with:
— the actual contact position, and
— the actual width of the rolling surface

(running band), such that only the traces
which are inside the actual width of the
rolling surface are taken into account in the
roughness averaging of the overall rough-
ness.

Without a technical justification of these two
parameters, the Pr EN ISO 3095:2001 point
D.1.2.2 is applicable

The one-third-octave band wavelength roughness
spectra shall be processed from the quadratic
mean of each spectrum from the elementary
reference track sections.

D.2.1

Direct measurement

These methods, used in the NOEMIE project, have been shown to produce consistent results in the case
of tracks fulfilling the proposed rail roughness limits. However, any other available and proven direct
method, which can produce comparable results, can be used,

— the dynamic behaviour of the reference track (test track) shall be described by the vertical and lateral
‘track decay rates (TDRs)’, which quantify the attenuation of rail vibration with distance along the track.
The method of measurement used in the NOEMIE project is presented in point A.2. It showed its ability
to properly discriminate the track dynamic characteristics. The use of an equivalent track characterisation
measurement method is also permitted, if available and proven. In that case, the track vertical and lateral
decay rates of the test track must be shown to be equivalent to those of the track type mentioned in this
TSI, measured in accor dance with the specification sheet presented in point A.2. The decay rates of the
reference track shall lie above the lower limits given in Figure F2,

— the reference track shall have consistent superstructure over a minimum length of 100 m. The measured
track decay rates must pertain to 40 m on each side of the microphone position. The check of the
roughness shall be carried out according prEN ISO 3095:2001.

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Figure F1:

Rail roughness limit spectrum of the reference track

Figure F2:

Vertical and lateral decay rate lower limit spectrum of the reference track

A.2.

CHARACTERISATION OF THE DYNAMIC PERFORMANCES OF THE REFERENCE TRACKS

A.2.1. Measurement procedure

The following procedure is to be applied successively in the lateral and vertical directions, on each track site to
be characterised.

Two accelerometers are secured (glued or stud) on the rail, in the middle section between two sleepers (see
Figure F3):

— one in the vertical direction on the longitudinal axis of the rail, positioned on the rail head (preferred), or

under the rail foot,

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— the other in the transversal direction, positioned on the external face of the rail head.

Figure F3:

Captor location on the rail cross section

A measured force impulse is applied on the rail head, in each direction, with an instrumented hammer
equipped with a tip of appropriate hardness to enable a good measurement of force and response in the
frequency range (50; 6 000 Hz). (A hardened steel tip is required for the higher end of the frequency range and
is usually, though not always sufficient, to apply enough force for the lower end frequency range. An extra
measurement with a softer tip may be required.)

The (transfer) accelerance (acceleration/force frequency response function) or mobility (velocity/force) is
measured in the vertical and lateral-transverse directions for force applied in the corresponding same direction
at an array of locations at various distances along the rail (defined below). It is not necessary to measure the
cross-terms (vertical force to lateral response or vice versa). If analogue integration is available for the
accelerometer measurement,
it has been found that a better quality of measurement is achieved if the
frequency response function (FRF) of mobility is recorded rather than accelerance. This produces better quality
of data at low frequency, where the measured response is very small compared with the high frequency, since it
reduces the dynamic range of the data before recording or digitisation. An average FRF from at least four valid
impulses should be taken. The quality of each measured FRF (reproducibility,
linearity etc.) should be
monitored using the coherence function. This should also be recorded.

The transfer FRFs should be made to the accelerometer mounting location from each of the locations indicated
in Figure F4. The measurement locations can be divided into sets as the ‘point’ measurement location, the
‘near-field’ set and ‘far-field’ set as follows:

— the location index 0 is associated with the mid-point of the first sleeper bay. When the impulse is applied

at this point (practically, as close to this point as possible), the point FRF is measured.

— the near-field measurements are carried out by applying the impulse, starting with the point FRF, at
quarter sleeper spacing up to the end of sleeper bay 2, thence at half-sleeper spacing up to the middle of
sleeper bay 4 and then at each mid-sleeper position up to sleeper bay 8.

— the far-field measurement use impulse locations from a distance of sleeper bay 8 from the accelerometer
position outwards at the inter-sleeper positions, with the indices: 10, 12, 16, 20, 24, 30, 36, 42, 48, 54,
66, etc. as shown in Figure F4. The measurements need only be taken up to the point at which the
response at all frequencies in the range becomes insignificant (with respect to the measurement noise).
The coherence function provides a guide to this. Ideally, the response level in each one- third octave band
should be at least 10 dB below the level of the same band at location 0.

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Figure F4:

Track decay rates — location of the excitation points

Experience has shown that the variability of the results is such that the whole decay measurement should be
repeated for another accelerometer location on the track site. A distance between the two accelerometer
locations of about 10 metres is sufficient.

Since the decay rates are a function of the rail pad stiffness and rail-pad materials typically have significant
temperature dependence, the temperature of the pad should be recorded during the measurement.

A.2.2. Measurement system

Each sensor and acquisition system should have a calibration certificate, according to the EN ISO 17025
standard (1).

(1)

EN ISO CEI 17025: General requirements for the competence of testing and calibration laboratories, 2000.

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The whole measurement system should be calibrated before and after each series of measurement (and
particularly in the case of a modification in the measurement system, acquisition, or measurement location).

A.2.3. Data processing

The total sound power radiated from a rail excited into vibration is the product of the radiation ratio (radiation
efficiency) of the rail and the squared velocity amplitude summed over the radiating area. If both vertical and
lateral waves in the rail are assumed to decay exponentially from the excitation point (wheel contact) with
distance along the rail then, A(z) ≈ A(0)e-βz where β is the decay constant for the amplitude of the response, A,
with distance z along the rail from the excitation point. β can be converted to a decay rate expressed as dB per
metre, Δ, as Δ=20log10(eβ)=8,686 β dB/m.

If A refers to the velocity response then the sound power emitted from the track is proportional to
This quantity is simply related to the decay rate, either for vertical or lateral waves, by:

∞

∫

0

2

(
zA

)

dz

=

A

)0(

2

∞

∫

0

−

2

b

e

dz

=

A

)0(

2

1
b
2

∞

zA∫
(

0

2)

dz

.

(A2.1)

This demonstrates the way in which the decay rate is in relation to the noise-radiation performance of the
track structure. It should be expressed as a value in dB/m for each one-third octave frequency band.

The decay rate can, in principle, be evaluated as the slope of a graph of response amplitude in dB versus the
distance z. In practice however, it is better to evaluate a decay rate based on a direct estimate of the summed
response:

2

2

(
zA

)

A

)0(

∞

∫

0

dz

=

1
b
2

≈

z

max

∑

Z

=

0

2

2

(
zA

)

A

)0(

∆
z

(A2.2)

where zmax is the maximum measurement distance and the sum is carried out for the response measurement
locations with Δz representing the interval between the mid-distance points to the measurement locations
either side. The influence of the interval taken at for the measurement at zmax should be small but is prescribed
here to be symmetrical about zmax.

Thus for the response averaged in each one-third octave frequency band, the decay rate is evaluated as:

∆

(in

dB/m)

≈

343.4
2

max

zAz
(
∑

)

A

)0(

Z

=

0

∆
z

2

(A2.3)

It is clear from this that it is immaterial whether A represents the response in terms of accelerance or mobility
since these only differ by the factor 2πf, where f is the frequency. The averaging of the spectrum over one-third
octave frequency bands may be carried out either before the evaluation of the decay rate for the FRFs or
afterwards on the function Δ(f). Notice that accurate measurement of A(0) is important as it appears as a
constant factor in the summation. In fact this is the FRF most easily measured accurately. Experience has
shown that there is no significant error introduced by the fact that near-field waves are not taken into account
in this simple analysis.

This method of evaluation is robust for high rates of decay but may be subject to error if the practical value of
zmax truncates the response in any one-third octave frequency band before a sufficient attenuation has taken
place for the summation to zmax to represent a good approximation to the infinite integral. Thus a minimum
decay rate that can be evaluated for a particular value of zmax is:

∆

min

=

4.343

z

max

(A2.4)

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The evaluated decay rate should be compared with this value and if it is close to it the estimation of decay rate
deemed unsafe. A value of zmax of about 40 m should be capable of evaluating a track decay rate that complies
with the minimum specified in Figure F2. However, some incompliant tracks have significantly lower decay
rates in some bands and to avoid the escalation of effort in measurement it may be necessary to resort to line-
slope fitting for some bands. In the case of low decay rates, the response data tends to be free from some of
the problems indicated above. They should be checked by plotting them together with the measured FRF
versus distance, for each one-third-octave frequency band.

A.2.4. Test report

The spatial TDR (vertical and transversal directions) should be presented for the third-octave frequency
bandwidth, in a graph following the presentation specified in Pr EN ISO 3740 (1) and IEC 60263 (2) with a
scale ratio between horizontal and vertical axles of 3/4, respectively for one octave bandwidth and a decay rate
of 5 dB/m.

(1)

(2)

EN ISO 3740:2000: Acoustic — Determination of sound power levels of noise sources — Guidelines for the use of basic
standards.

IEC 60263: Scales and sizes for plotting frequency characteristics and polar diagrams.

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MODULES FOR THE EC VERIFICATION OF SUBSYSTEMS –ASPECT NOISE

ANNEX B

MODULES FOR THE EC VERIFICATION OF SUBSYSTEMS

Module SB:

Type examination,

Module SD:

Product quality management system,

Module SF:

Product verification,

Module SH2:

Full quality management system with design examination.

B.1.

Module SB: Type examination

1.

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

— complies with this TSI and any other applicable TSI, which demonstrate that the essential

requirements (1) of Directive 2001/16/EC (2) have been met,

— complies with the other regulations deriving from the Treaty.

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

2.

The contracting entity (3) must lodge an application for EC verification (through type examination) of
the subsystem with a notified body of his choice.

The application must include :

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

— the technical documentation, as described in point 3.

3.

The applicant must place at the disposal of the notified body a specimen of the subsystem (4),
representative of the production envisaged and hereinafter called ‘type’.

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

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

(1)

(2)
(3)

(4)

The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set
out in Chapter 4 of the TSI.

This module could be used in the future when the TSIs of HS Directive 96/48/EC are updated.
In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the directive. or his authorised
representative established within the Community’.
The relevant section of a TSI may define specific requirements in this regard.

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If so required for specific test or examination methods and specified in the TSI or in the European
specification (1) referenced to in the TSI, a specimen or specimens of a subassembly or assembly or a
specimen of the subsystem in a pre-assembled condition shall to be provided.

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

The technical documentation must include:

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

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

— conceptual design and manufacturing information,

for example drawings,

schemes of

components, subassemblies, assemblies, circuits, etc.,

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

information, the maintenance and the operation of the subsystem,

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

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

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

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

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

and all the necessary elements defined in Annex VI to the Directives,

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

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

— a list of manufacturers,

involved in the subsystem's design, manufacturing, assembly and

installation,

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

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

subsystem,

— any technical requirement that must be taken into account during production, maintenance or

operation of the subsystem,

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

— test reports.

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

(1)

The definition of an European specification is indicated in Directives 96/48/EC and 2001/16/EC. The guide for application of
HS TSIs explains the way to use the European Specifications.

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4.

The notified body must:

4.1. Examine the technical documentation,

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

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

4.4.

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

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

4.6. Perform or have performed the appropriate examinations and necessary tests in accordance with point
4.2. and 4.3. to establish whether the solutions adopted meet the requirements of the TSI when the
appropriate European specifications have not been applied;

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

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

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

If the contracting entity is denied a type-examination certificate, the notified body must provide
detailed reasons for such denial. Provision must be made for an appeals procedure.

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

information

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

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

The applicant must inform the notified body that holds the technical documentation concerning the
type-examination certificate of all modifications which may affect
the conformity with the
requirements of the TSI or the prescribed conditions for use of the subsystem. The subsystem must
receive additional approval in such cases. This additional approval may be given either in the form of
an addition to the original type-examination certificate, or by issue of a new certificate after withdrawal
of the old certificate.

6.

7.

8.

9.

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B.2.

Module SD: Production quality management system

1.

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

— complies with this TSI and any other applicable TSI, which demonstrate that the essential

requirements (1) of Directive 2001/16/EC (2) have been met,

— complies with the other regulations deriving from the Treaty, and may be placed in service.

2.

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

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

subject to the application,

— the contracting entity (3) and the main contractors involved are satisfying the obligations of

point 3.

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

the essential

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

for subsystem integration),

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

assembly or installation of the subsystem).

It does not refer
constituents.

to manufacturer subcontractors supplying components and interoperability

3.

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

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

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

(1)

(2)
(3)

The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set
out in Chapter 4 of the TSI.

This module could be used in the future when the TSIs of HS Directive 96/48/EC are updated.
In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the Directive. or his authorised
representative established within the Community’.

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4.

EC verification procedure

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

4.2. The application must enable the design, manufacture, assembly,

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

The application must include:

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

— the technical documentation regarding the approved type,

including the type examination

certificate, as issued after completion of the procedure defined in module SB,

and, if not included in this documentation,

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

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

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

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

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

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

for the production phase,

— a list of the interoperability constituents to be incorporated into the subsys- tem,

— copies of

the EC declarations of conformity or suitability for use with which the
constituents must be provided, and all the necessary elements defined in Annex VI to the
Directives,

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

installation,

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

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

quality management systems.

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

and the type examination certificate.

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

5.

Quality management system

5.1. The contracting entity,

involved, and the main contractors, when employed, must lodge an
application for assessment of their quality management systems with a notified body of their choice.

if

The application must include:

— all relevant information for the subsystem envisaged,

— the quality management system documentation,

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

issued after the completion of the type examination procedure of module SB.

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

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

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

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

— the quality objectives and the organisational structure,

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

and systematic actions that will be used,

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

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

— the quality records, such as inspection reports and test data, calibration data, qualification reports
of the personnel concerned, etc., and also for the contracting entity or the main contractor
responsible for the whole subsystem project,

— responsibilities and powers of

the management with regard to overall subsystem quality,

including in particular the subsystem integration management.

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

— structure of subsystem, including, in particular, civil-engineering activities, constituent assembly,

final adjustment,

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— final testing of the subsystem,

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

5.3. The notified body chosen by the contracting entity must examine, if all stages of the subsystem as
mentioned under point 5.2 are sufficiently and properly covered by the approval and surveillance of
the quality management system(s) of the applicant(s) (1).

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

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

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

entire subsystem for the main contractors are sufficiently and properly defined.

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

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

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

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

5.5. The contracting entity, if involved, and the main contractors shall undertake to fulfil the obligations
arising out of the quality management system as approved and to uphold it so that it remains adequate
and efficient.

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

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

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

(1)

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

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6.

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

6.1. The purpose of surveillance is to make sure that the contracting entity, if involved, and the main
contractors, duly fulfil the obligations arising out of the approved quality management system(s).

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

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

ensure that:

— for the contracting entity or main contractor, responsible for the whole subsystem project,
overall responsibilities and powers of the management for the compliance of the entire
subsystem are sufficiently and properly defined,

— for each applicant, the quality management system is correctly managed for achieving

integration at subsystem level,

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

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

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

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

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

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

systems relating to subsystem integration has been performed,

— to collect, in liaison with the contracting entity, the necessary elements for the assessment to
guarantee the consistency and the overall supervision of the different quality management
systems.

This coordination includes the rights of the notified body:

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

— to witness the surveillance audits in point 6.3,

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

notified bodies.

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

8.

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

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

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

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

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

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

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

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

— a list of interoperability constituents incorporated into the subsystem,

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

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

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

adjustment and maintenance,

— the type-examination certificate for the subsystem and the accompanying technical documenta-

tion as defined in the module SB,

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

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

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

11.

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

information

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

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

The contracting entity within the Community must keep a copy of the technical file throughout the
service life of the subsystem; it must be sent to any other Member State which so requests.

B.3

Module SF: Product verification

1.

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

— complies with this TSI and any other applicable TSI, which demonstrate that the essential

requirements (1) of Directive 2001/16/EC (2) have been met,

— complies with the other regulations deriving from the Treaty,

and may be placed into service.

2.

The contracting entity (3) must lodge an application for EC verification (through product verification)
of the subsystem with a notified body of his choice. The application shall include:

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

— the technical documentation.

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

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

(1)

(2)
(3)

The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set
out in Chapter 4 of the TSI.

This module could be used in the future when the TSIs of HS Directive 96/48/EC are updated.
In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the directive. or his authorised
representative established within the Community’.

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The contracting entity must take all measures necessary in order that the manufacturing process
(including assembly and integration of interoperability constituents by main contractors (1) when
employed) ensures conformity of the subsystem with the type as described in the type-examination
certificate and with the requirements of the TSI that apply to it.

5.

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

The application must include:

— the technical documentation regarding the approved type,

including the type examination

certificate, as issued after completion of the procedure defined in module SB,

and, if not included in this documentation,

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

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

— conceptual design and manufacturing information,

for example drawings,

schemes of

components, subassemblies, assemblies, circuits, etc.,

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

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

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

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

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

the production phase,

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

— copies of the EC declarations of conformity or suitability for use with which said constituents
must be provided and all the necessary elements defined in Annex VI to the Directives,

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

installation.

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

6.

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

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

(1)

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

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

7.

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

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

7.2. Each subsystem (as serial product) must be individually examined, tested and verified (1) in order to
verify its conformity with the type as described in the type-examination certificate and the
requirements of the TSI that apply to it. When a test is not set out in the TSI, (or in a European
standard quoted in the TSI), the relevant European specifications or equivalent tests are applicable.

8.

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

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

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

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

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

10. The notified body shall be responsible for compiling the technical file that has to accompany the EC
include at least the information indicated in

declaration of verification. The technical file shall
Article 18(3) of the Directive, and in particular as follows :

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

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

— the list of interoperability constituents incorporated into the subsystem,

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

(1)

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

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

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

adjustment and maintenance,

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

as defined in the module SB,

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

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

The contracting entity must keep a copy of the technical file throughout the service life of the
subsystem; it must be sent to any other Member State which so requests.

B.4

Module SH2: Full quality management system with design examination

1.

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

— complies with this TSI and any other applicable TSI, which demonstrate that the essential

requirements (1) of Directive 2001/16/EC (2) have been met,

— complies with the other regulations deriving from the Treaty;

and may be placed in service.

2.

The notified body shall carry out the procedure, including a design examination of the subsystem,
under the condition, that the contracting entity (3) and the main contractors involved are satisfying the
obligations of point 3.

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

the essential

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

integration),

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

design, assembly or installation of the subsystem).

It does not refer
constituents.

to manufacturer subcontractors supplying components and interoperability

(1)

(2)
(3)

The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which are set
out in Chapter 4 of the TSI.

This module could be used in the future when the TSIs of HS Directive 96/48/EC are updated.
In the module, ‘the contracting entity’ means ‘the subsystem contracting entity, as defined in the Directive, or his authorised
representative established within the Community’.

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

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

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

Applicants which are only involved in assembly and installation, may operate only an approved quality
management system for manufacture and final product inspection and testing

4.

EC verification procedure

4.1. The contracting entity must lodge an application for EC verification of the subsystem (through full
quality management system with design examination), including co ordination of surveillance of the
quality management systems as in points 5.4 and 6.6, with a notified body of its choice. The
contracting entity must inform the manufacturers involved of his choice and of the application.

4.2. The application must enable the design, manufacture, assembly,

installation, maintenance and
operation of the subsystem to be understood, and shall enable conformity with the requirements of the
TSI to be assessed.

The application must include:

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

— the technical documentation including:

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

— the technical design specifications,

including European specifications, that have been

applied,

— any necessary supporting evidence for the use of the above specifications in particular
where the European specifications and the relevant clauses have not been applied in full,

— the test programme,

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

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

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

— copies of

the EC declarations of conformity or suitability for use with which the
constituents must be provided and all the necessary elements defined in Annex VI to the
Directives,

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— evidence of conformity to other regulations deriving from the treaty (in- cluding

certificates),

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

installation,

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

etc),

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

subsystem,

— any technical requirement that must be taken into account during production, maintenance

or operation of the subsystem,

— the explanation, of how all stages, as mentioned in point 5.2, are covered by quality
if

the mains contractor(s) and/or of

the contracting entity,

management systems of
involved, and the evidence of their effectiveness,

— indication of the notified body(ies) responsible for the approval and surveillance of these

quality management systems.

4.3. The contracting entity shall present the results of examinations, checking and tests (1), including type

tests when required, carried out by its appropriate laboratory or on their behalf.

4.4. The notified body must examine the application concerning the design examination and assess the
results of the tests. Where the design meets the provisions of the Directive and of the TSI that apply to
it must issue a design examination report to the applicant. The report shall contain the conclusions of
the design examination, conditions for its validity, the necessary data for identification of the design
examined and, if relevant, a description of the subsystem's functioning.

If the contracting entity is denied a design examination report, the notified body must provide detailed
reasons for such denial. Provision must be made for an appeals procedure.

5.

Quality management system

5.1. The contracting entity,

involved, and the main contractors, when employed, must lodge an
application for assessment of their quality management systems with a notified body of their choice.

if

The application must include:

— all relevant information for the subsystem envisaged,

— the quality management system documentation.

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

5.2. For the contracting entity or the main contractor responsible for the whole subsystem project, the
quality management system shall ensure overall compliance of the subsystem with the requirements of
the TSI.

(1)

The presentation of the results of the tests can be at the same time as the application or later.

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The quality management system(s), for other main contractor(s), has (have) to ensure compliance of
their relevant contribution to the subsystem, with the requirements of the TSI.

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

The system must contain in particular an adequate description of the following items:

— for all applicants:

— the quality objectives and the organisational structure,

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

processes and systematic actions that will be used,

— the examinations, checking and tests that will be carried out before, during and after design,
manufacture, assembly and installation and the frequency with which they will be carried
out,

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

reports of the personnel concerned, etc.;

— for the main contractors, as far as relevant for their contribution to the design of the subsystem:

— the technical design specifications, including European specifications (1), that will be applied
and, where the European specifications will not be applied in full, the means that will be
used to ensure that the requirements of the TSI that apply to the subsystem will be met,

— the design control and design verification techniques, processes and systematic actions that

will be used when designing the subsystem,

— the means to monitor the achievement of the required design and subsystem quality and
the quality management systems in all phases including

the effective operation of
production;

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

project:

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

including in particular the subsystem integration management.

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

— overall design,

(1)

The definition of an European specification is indicated in Directives 96/48/EC and 2001/16/EC and in the guidelines for
application of HS TSIs.

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— structure of

the subsystem,

including,

in particular, civil-engineering activities, constituent

assembly, final adjustment,

— final testing of the subsystem,

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

5.3. The notified body chosen by the contracting entity must examine, if all stages of the subsystem as
mentioned in point 5.2 are sufficiently and properly covered by the approval and surveillance of the
quality management system(s) of the applicant(s) (1).

If the compliance of the subsystem with the requirements of the TSI is based on more than one quality
management system, the notified body shall examine in particular,

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

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

entire subsystem for the main contractor are sufficiently and properly defined.

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

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

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

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

5.5. The contracting entity, if involved, and the main contractors shall undertake to fulfil the obligations
arising out of the quality management system as approved and to uphold it so that it remains adequate
and efficient.

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

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

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

(1)

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

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6.

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

6.1. The purpose of surveillance is to make sure that the contracting entity, if involved, and the main
contractors duly fulfil the obligations arising out of the approved quality management system(s).

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

that purpose and in particular

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

ensure that:

— for the contracting entity or the main contractor, responsible for the whole subsystem
project, overall responsibilities and powers of the management for the compliance of the
whole entire subsystem are sufficiently and properly defined,

— for each applicant, the quality management system is correctly managed for achieving

integration at subsystem level,

— the quality records as foreseen by the design part of the quality management system, such as

results of analyses, calculations, tests, etc.,

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

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

The frequency of the audits shall be at least once a year, with at least one audit during the time period
of performing the relevant activities (design, manufacture, assembly or installation) for the subsystem
being the subject of the EC verification procedure mentioned in point 4.

6.4. Additionally the notified body may pay unexpected visits to the sites mentioned in point 5.2 of the
applicant(s). At the time of such visits, the notified body may conduct complete or partial audits and
may carry out or cause to be carried out tests in order to check the proper functioning of the quality
management system where necessary. It must provide the applicant(s) with an inspection report and,
audit and/or test reports as appropriate.

6.5. The notified body chosen by the contracting entity and responsible for the EC verification, if not
carrying out the surveillance of all the quality management system(s) concerned as in point 5, must co
ordinate the surveillance activities of any other notified bodies responsible for that task, in order:

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

systems relating to subsystem integration has been performed;

— to collect, in liaison with the contracting entity, the necessary elements for the assessment to
guarantee the consistency and the overall supervision of the different quality management
systems.

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This coordination includes the right of the notified body:

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

— to witness the surveillance audits as in point 5.4,

— to initiate additional audits as in point 5.5 under its responsibility and together with the other

notified body(ies).

7.

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

8.

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

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

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

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

6.4.

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

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

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

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

— the list of interoperability constituents incorporated into the subsystem,

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

— evidence of conformity to other regulations deriving from the Treaty (including certificates),

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

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

adjustment and maintenance,

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— certificate of conformity of the notified body as mentioned in point 9, accompanied by
corresponding calculation notes and countersigned by itself, stating that the project complies
with the Directive and the TSI, and mentioning, where appropriate, reservations recorded during
performance of the activities and not withdrawn. The certificate should also be accompanied, if
relevant, by the inspection and audit reports drawn up in connection with the verification, as
mentioned in points 6.4 and 6.5,

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

11.

information
Each notified body must communicate to the other notified bodies the relevant
concerning the quality management system approvals and the EC design examination reports, which it
has issued, withdrawn or refused.

The other notified bodies may receive on request copies of:

— the quality management system approvals and additional approvals issued and,

— the EC design examination reports and additions issued.

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

The contracting entity must keep a copy of the technical file throughout the service life of the
subsystem; it must be sent to any other Member State which so requests.