Commission Regulation (EU) No 1302/2014 of 18 November 2014 concerning a technical specification for interoperability relating to the ‘rolling stock — locomotives and passenger rolling stock’ subsystem of the rail system in the European Union Text with EEA relevance

| --- | --- | --- | --- | | Parameter | Point | Parameter | Point | | Gauging | 4.2.3.1 | Position of Control-Command and Signalling on-board antennas | 4.2.2 | | Rolling stock characteristics compatible with train detection system based on track circuits | 4.2.3.3.1.1 | Compatibility with trackside train detection systems: vehicle design | 4.2.10 | | Rolling stock characteristics compatible with train detection system based on track circuits | 4.2.3.3.1.1 | Electromagnetic compatibility between rolling stock and Control-Command and Signalling trackside equipment | 4.2.11 | | Rolling stock characteristics compatible with train detection system based on axle counters | 4.2.3.3.1.2 | Compatibility with trackside train detection systems: vehicle design | 4.2.10 | | Rolling stock characteristics compatible with train detection system based on axle counters | 4.2.3.3.1.2 | Electromagnetic compatibility between rolling stock and Control-Command and Signalling trackside equipment | 4.2.11 | | Rolling stock characteristics compatible with loop equipment | 4.2.3.3.1.3 | Compatibility with trackside train detection systems: vehicle design | 4.2.10 | | Running dynamic behaviour | 4.2.3.4.2 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Type of brake system | 4.2.4.3 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Emergency braking command | 4.2.4.4.1 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Service braking command | 4.2.4.4.2 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Dynamic braking command | 4.2.4.4.4 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Magnetic track brake | 4.2.4.8.2 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Eddy current track brake | 4.2.4.8.3 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Door opening | 4.2.5.5.6 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Requirements on performance | 4.2.8.1.2 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Maximum power and current from the overhead contact line | 4.2.8.2.4 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Separation sections | 4.2.8.2.9. 8 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Driver’s desk — Ergonomics | 4.2.9.1.6 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Radio Remote control function by staff for shunting operation | 4.2.9.3.6 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Requirements for management of ETCS modes | 4.2.9.3.8 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Traction status | 4.2.9.3.9 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Smoke control | 4.2.10.4.2 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 | | Emergency braking performance | 4.2.4.5.2 | Guaranteed train braking performance and characteristics | 4.2.2 | | Service braking performance | 4.2.4.5.3. | Guaranteed train braking performance and characteristics | 4.2.2 | | Head lights | 4.2.7.1.1 | Trackside Control-Command and Signalling objects | 4.2.15 | | External visibility | 4.2.9.1.3 | Visibility of track-side Control-command Signalling objects | 4.2.15 | | Optical characteristics | 4.2.9.2.2 | Visibility of track-side Control-command Signalling objects | 4.2.15 | | Recording device | 4.2.9.6 | Interface to data recording for regulatory purposes | 4.2.14 | | Dynamic braking command (Regenerative brake command) | 4.2.4.4.4 | ETCS DMI configuration | 4.2.12 | | Magnetic track brake (command) | 4.2.4.8.2 | ETCS DMI configuration | 4.2.12 | | Eddy current track brake (command) | 4.2.4.8.3 | ETCS DMI configuration | 4.2.12 | | Separation sections | 4.2.8.2.9.8 | ETCS DMI configuration | 4.2.12 | | Smoke control | 4.2.10.4.2 | ETCS DMI configuration | 4.2.12 | | Interface requirements with Automated Train Operation | 4.2.13 | On-Board ATO functionality | 4.2.18 | | Interface requirements with Automated Train Operation | 4.2.13 | System Requirements Specification | Specification referenced in Appendix A, Table A.2, index 84 of TSI CCS | | Interface requirements with Automated Train Operation | 4.2.13 | ATO-OB / ROLLING STOCK FFFIS | Specification referenced in Appendix A, Table A.2, index 88 of TSI CCS | | Interface requirements with Automated Train Operation | 4.2.13 | ETCS onboard: Forwarding information/orders and receiving state information from rolling stock | 4.2.2 |

4.3.5   Interface with the telematics applications subsystem

Table 10

Interface with the telematics applications subsystem

Reference TSI LOC & PAS	Reference TSI LOC & PAS	Reference TSI telematics applications for passengers	Reference TSI telematics applications for passengers
Parameter	Point	Parameter	Point
Customer information (PRM)	4.2.5	On board device display	4.2.13.1
Public address system	4.2.5.2	Automatic voice and announcement	4.2.13.2
Customer information (PRM)	4.2.5	Automatic voice and announcement	4.2.13.2

4.4.   Operating rules

• (1) In light of the essential requirements mentioned in Section 3, the provisions for operation of the rolling stock in the scope of this TSI are described in:
• — Point 4.3.3 ‘Interface with operation subsystem’, which refers to the relevant  points of the Section 4.2 of this TSI.
• — Point 4.2.12 ‘Documentation for Operation and Maintenance’

• (2) Operating rules are developed under the railway undertaking safety management system, with consideration of these provisions.

• (3) In particular, operating rules are necessary to ensure that a train stopped on a gradient as specified in  points 4.2.4.2.1 and 4.2.4.5.5 of this TSI (requirements related to braking) will be immobilised. The operating rules for use of the public address system, the passenger alarm, the emergency exits, and the operation of the access doors are elaborated with consideration of the relevant provisions of this TSI and of the documentation for operation.

• (3a) For the safety critical components, the specific operational and operational traceability requirements are developed by the designers/manufacturers at design phase and through a collaboration between designers/manufacturers and the concerned railway undertakings after vehicles have entered into operation.

- (4) The technical operating documentation described in  point 4.2.12.4 gives the rolling stock characteristics to be considered in order to define the operating rules in degraded mode.

• (5) Procedures for lifting and rescue are established (including the method and the means of recovering a derailed train or a train that is unable to move normally) with consideration of:
• — the provisions for lifting and jacking described in  points 4.2.2.6 and 4.2.12.5 of this TSI;
• — the provisions related to the braking system for rescue described in  points 4.2.4.10 and 4.2.12.6 of this TSI.

• (6) The safety rules for trackside workers or passengers on platforms are developed by the entity(ies) responsible for fixed installations with consideration of the relevant provisions of this TSI and of the technical documentation (e.g. impact of speed).

4.5.   Maintenance rules

• (1)In light of the essential requirements mentioned in  Chapter 3, the provisions for maintenance of the rolling stock in the scope of this TSI:

• — Point 4.2.11 ‘Servicing’

• — Point 4.2.12 ‘Documentation for Operation and Maintenance’.

• (2)Other provisions in the  point 4.2 ( points 4.2.3.4 and 4.2.3.5) specify for particular characteristics the limit values that have to be verified during maintenance activities.

• (2a)The safety critical components and their specific servicing, maintenance and maintenance traceability requirements are identified by the designers/manufacturers at design phase and through a collaboration between designers/manufacturers and the concerned entities in charge of maintenance after vehicles have entered into operation.

• (3)From the information mentioned above and provided in the  point 4.2, the appropriate tolerances and intervals to ensure compliance with the essential requirements throughout the lifetime of the rolling stock are defined at maintenance operational level by and under the sole responsibility of entities in charge of maintenance (not in the scope of the assessment against this TSI); this activity includes:

• — The definition of the in-service values where they are not specified in this TSI, or where operating conditions allow the use of different in-service limit values than those specified in this TSI.

- — The justification of the in-service values, by providing the equivalent information to those required in  point 4.2.12.3.1 ‘The maintenance design justification file’.

• (4)On the basis of the information mentioned above in this  point, a maintenance plan is defined at maintenance operational level by and under the sole responsibility of the entities in charge of maintenance (not in the scope of the assessment against this TSI), consisting in a structured set of maintenance tasks that include the activities, tests and procedures, means, maintenance criteria, periodicity, working time required to carry out the maintenance tasks.

• (5)For on-board software, the designer/manufacturer shall specify, for any on-board software modification, all maintenance requirements and procedures (including health monitoring, diagnosis of events, test methods and tools and also the required professional competence) necessary for achieving essential requirements and values quoted in the mandatory requirements of this TSI throughout the life-cycle (Installation, normal operation, failures, repair work, checking and maintenance, decommissioning, etc.).

4.6.   Professional competencies

• (1) The professional competencies of staff required for the operation of the rolling stock in the scope of this TSI are not set out in this TSI.

• (2) They are partly covered by the TSI OPE and Directive 2007/59/EC of the European Parliament and of the Council ([^E0019]).

4.7.   Health and safety conditions

• (1) The provisions for health and safety of staff required for the operation and maintenance of the rolling stock in the scope of this TSI are covered by the essential requirements Nos 1.1, 1.3, 2.5.1, 2.6.1 (as numbered in  Directive (EU) 2016/797); the table in Section 3.2 mentions the technical  points of this TSI in relation to these essential requirements.

• (2) In particular, the following provisions of Section 4.2 specify provisions for health and safety of staff:
• — Point 4.2.2.2.5: Staff access for coupling and uncoupling.
• — Point 4.2.2.5: Passive safety.
• — Point 4.2.2.8: Staff and freight access doors.
• — Point 4.2.6.2.1: Slipstream effects on workers at trackside.
• — Point 4.2.7.2.2: Warning horn sound pressure.
• — Point 4.2.8.4: Protection against electrical hazards.
• — Point 4.2.9: Driver's cab.
• — Point 4.2.10: Fire safety and evacuation.

4.8.   European register of authorised types of vehicles

- (1) The characteristics of the rolling stock that must be recorded in the ‘European register of authorised types of vehicles’ are listed in Commission Implementing Decision 2011/665/EU of 4 October 2011 on the European register of authorised types of railway vehicles ([^E0020]).

• (2) In accordance with Annex II of this decision on the European register and with  point (a) of Article 48(3) of Directive (EU) 2016/797, the values to be recorded for the parameters related to the technical characteristics of the rolling stock shall be those of the technical documentation accompanying the type examination certificate. Therefore, this TSI requires that the relevant characteristics are recorded in the technical documentation defined  in point 4.2.12.

- (3) In accordance with Article 5 of the Decision referred to in the above point (1) of this  point 4.8, its application guide includes for each parameter a reference to the  points of the technical specifications for interoperability that state the requirements for this parameter.

4.9.   Route compatibility checks before the use of authorised vehicles

The parameters of the subsystem ‘rolling stock — locomotives and passenger rolling stock’ to be used by the railway undertaking, for the purpose of route compatibility check, are described in Appendix D1 of the TSI OPE.

5.1.   Definition

• (1) According to  Article 2(7) of Directive (EU) 2016/797, the interoperability constituents are ‘any elementary 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 rail system depends directly or indirectly.’

- (2) The concept of a ‘constituent’ covers both tangible objects and intangible objects such as software.

• (3) Interoperability constituents (IC) described in Section 5.3 below are constituents:
• — Whose specification refers to a requirement defined in Section 4.2 of this TSI. The reference to the relevant  point of the Section 4.2 is given in Section 5.3; it defines how the interoperability of the rail system depends on the particular constituent. When a requirement is identified in Section 5.3 as being assessed at IC level, an assessment for the same requirement at sub-system level is not required.
• — Whose specification may need additional requirements, such as interface requirements; these additional requirements are also specified in Section 5.3.
• — And whose assessment procedure, independently of the related subsystem is described  in point 6.1.

- (4) The area of use of an interoperability constituent shall be stated and demonstrated as described for each of them in Section 5.3.

5.2.   Innovative solution

- (1) As stated in Article 10, innovative solutions may require new specification and/or new assessment methods. Such specifications and assessment methods shall be developed by the process described in  point 6.1.5 whenever an innovative solution is envisaged for an interoperability constituent.

5.3.   Interoperability constituent specification

The interoperability constituents are listed and specified below:

5.3.1.   Automatic centre buffer coupler

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

- (1) The type of end coupling (mechanical and pneumatic interface of the head);

The ‘type 10’ automatic coupler shall be compliant with the specification referenced in Appendix J-1,  index [36]. Note: types of automatic couplers other than type 10 are not considered as an IC (specification not publicly available).

• (2) The tensile and compressive forces it is capable of withstanding;

• (3) These characteristics shall be assessed at IC level.

5.3.2.   Manual end coupling

A manual end coupling shall be designed and assessed for an area of use defined by:

- (1) The type of end coupling (mechanical interface).

The ‘UIC type’ shall be composed of buffer, draw gear and screw coupling system complying with the requirements of parts related to passenger coaches of the specification referenced in Appendix J-1,  index [37] and the specification referenced in Appendix J-1,  index [38]; units other than coaches with manual coupling systems shall be fitted with a buffer, draw gear and screw coupling system complying with the relevant parts of the specification referenced in Appendix J-1,  index [37] and the specification referenced in Appendix J-1,  index [38] respectively. Note: other types of manual end coupling are not considered as an IC (specification not publicly available).

• (2) The tensile and compressive forces it is capable of withstanding.

• (3) These characteristics shall be assessed at IC level.

5.3.3.   Rescue couplers

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

• (1) The type of end coupling it is capable of being interfaced with; The rescue coupler to be interfaced with the ‘type 10’ automatic coupler shall be compliant with the specification referenced in Appendix J-1,  index [39]. Note: other types of rescue coupler are not considered as an IC (specification not publicly available)

- (2) The tensile and compressive forces it is capable of withstanding.

• (3) The way it is intended to be installed on the rescuing unit.

• (4) These characteristics and the requirements expressed in  point 4.2.2.2.4 of this TSI shall be assessed at IC level.

5.3.4.   Wheels

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

• (1) Geometrical characteristics: nominal tread diameter.

- (2) Mechanical characteristics: maximum vertical static force and maximum speed.

• (3) Thermo mechanical characteristics: maximum braking energy.

• (4) A wheel shall comply with the requirements on geometrical, mechanical and thermo mechanical characteristics defined in  point 4.2.3.5.2.2.; these requirements shall be assessed at IC level.

5.3.4a   Automatic variable gauge systems

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

• — The track gauges the system is designed for.

• — The range of maximum static axle loads (corresponding to design mass under normal payload as defined in  point 4.2.2.10 of this TSI).

• — The range of nominal wheel tread diameters.

- — The maximum design speed of the unit.

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

• (2) An automatic variable gauge system shall comply with the requirements set out in point 4.2.3.5.3; these requirements shall be assessed at IC level as set out in point 6.1.3.1a.

5.3.5.   WSP (wheel slide protection system)

A IC ‘WSP system’ shall be designed and assessed for an area of use defined by:

• (1) A brake system of pneumatic type. Note: the WSP is not considered as an IC for other types of brake system such as hydraulic, dynamic and mixed braking systems, and this  point does not apply in that case.

- (2) The maximum operating speed.

• (3) A WSP system shall comply with the requirements related to the wheel slide protection system performance expressed in  point 4.2.4.6.2 of this TSI.

The wheel rotation monitoring system may be included as an option.

5.3.6.   Head lamps

• (1)A head lamp shall be designed and assessed without any limitation concerning its area of use.

• (2)A head lamp shall comply with requirements concerning the colour and the luminous intensity defined in point 4.2.7.1.1. These requirements shall be assessed at IC level.

5.3.7.   Marker lamps

• (1)A marker lamp shall be designed and assessed without any limitation concerning its area of use.

• (2)A marker lamp shall comply with requirements concerning the colour and the luminous intensity defined in point 4.2.7.1.2. These requirements shall be assessed at IC level.

5.3.8.   Tail lamps

- (1)A tail lamp shall be designed and assessed for an area of use: fixed lamp or portable lamp.

• (2)A tail lamp shall comply with the requirements concerning the colour and the luminous intensity defined in point 4.2.7.1.3. These requirements shall be assessed at IC level.

• (3)For portable tail lamps, the interface for attachment on the vehicle shall be in accordance with the Appendix E of the TSI WAG.

5.3.9.   Horns

• (1)A horn shall be designed and assessed for an area of use defined by its sound pressure level on a reference vehicle (or reference integration); this characteristic may be affected by the integration of the horn in a particular vehicle.

• (2)A horn shall comply with the requirements concerning the soundings of signals defined in point 4.2.7.2.1. These requirements shall be assessed at IC level.

5.3.10.   Pantograph

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

• (1) The type of voltage system(s), as defined in point 4.2.8.2.1. In case it is designed for different voltage systems, the various sets of requirements shall be taken into account.

• (2) One of the 3 pantograph head geometries specified in point 4.2.8.2.9.2.

• (3) The current capacity, as defined in point 4.2.8.2.4.

• (4) The maximum current at standstill for AC and DC systems as defined in point 4.2.8.2.5. For DC 1,5 kV supply systems, the material of the contact wire shall be considered.

• (5) The maximum operating speed: assessment of the maximum operating speed shall be performed as defined in point 4.2.8.2.9.6.

- (6) Range of height for dynamic behaviour: standard, and/or for 1 520 mm or 1 524 mm track gauge systems.

• (7) The requirements listed above shall be assessed at IC level.

• (8) The working range in height of pantograph specified in point 4.2.8.2.9.1.2, the pantograph head geometry specified in point 4.2.8.2.9.2, the pantograph current capacity specified in point 4.2.8.2.9.3, the pantograph static contact force specified in point 4.2.8.2.9.5 and the dynamic behaviour of the pantograph itself specified in point 4.2.8.2.9.6 shall also be assessed at IC level.

5.3.11.   Contact strips

The contact strips are the replaceable parts of the pantograph head which are in contact with the contact wire. Contact strips shall be designed and assessed for an area of use defined by:

• (1) Their geometry, as defined in point 4.2.8.2.9.4.1.

• (2) The material of the contact strips, as defined in point 4.2.8.2.9.4.2.

• (3) The type of voltage system(s), as defined in point 4.2.8.2.1.

- (4) The current capacity, as defined in point 4.2.8.2.4.

• (5) The maximum current at standstill, as defined in point 4.2.8.2.5.

• (6) The requirements listed above shall be assessed at IC level.

5.3.12.   Main circuit breaker

A main circuit breaker shall be designed and assessed for an area of use defined by:

• (1) The type of voltage system(s), as defined in point 4.2.8.2.1.

- (2) The current capacity, as defined in point 4.2.8.2.4 (maximum current).

• (3) The requirements listed above shall be assessed at IC level.

• (4) The tripping shall be as specified in the specification referenced in Appendix J-1, index [22] (see point 4.2.8.2.10); it shall be assessed at the IC level.

5.3.13.   Driver's seat

• (1)A driver's seat shall be designed and assessed for an area of use defined by the range of possible adjustments in height and longitudinal position.

• (2)A driver's seat shall comply to the requirements specified at component level in the point 4.2.9.1.5. These requirements shall be assessed at IC level.

5.3.14.   Toilet discharge connection

• (1)A toilet discharge connection shall be designed and assessed without any limitation concerning its area of use.

• (2)A toilet discharge connection shall comply with requirements concerning the dimensions as defined in point 4.2.11.3. These requirements shall be assessed at IC level.

5.3.15.   Inlet connection for water tanks

• (1)An inlet connection for water tanks shall be designed and assessed without any limitation concerning its area of use.

- (2)A inlet connection for water tanks shall comply with requirements concerning the dimensions as defined in point 4.2.11.5. These requirements shall be assessed at IC level.

6. ASSESSMENT OF CONFORMITY OR SUITABILITY FOR USE AND ‘EC’ VERIFICATION

• (1) Modules for the procedures for assessment of conformity, suitability for use and EC verification are described in the Commission Decision 2010/713/EU ([^E0021]).

6.1.   Interoperability constituents

6.1.1.   Conformity assessment

- (1) An EC declaration of conformity or suitability for use, in accordance with  Article 10 of Directive (EU) 2016/797, shall be drawn up by the manufacturer or his authorised representative established in the Union before placing a interoperability constituent on the market.

• (2) The assessment of conformity or suitability for use of an interoperability constituent shall be performed according to the prescribed module(s) of that particular constituent specified in  point 6.1.2 of this TSI.

• (3) In case of a specific case applicable to a component defined as interoperability constituent in section 5.3, the corresponding requirement can be part of the verification at interoperability constituent level only in the case where the component remains compliant to the chapters 4 and 5, and where the specific case does not refer to a national rule. In other cases, the verification shall be made at subsystem level; when a national rule applies to a component, the concerned Member State may define relevant applicable conformity assessment procedures.

6.1.2.   Application of modules

Modules for EC certification of conformity of interoperability constituents:

Module CA	Internal production control
Module CA1	Internal production control plus product verification by individual examination
Module CA2	Internal production control plus product verification at random intervals
Module CB	EC-Type examination
Module CC	Conformity to type based on internal production control
Module CD	Conformity to type based on quality management system of the production process
Module CF	Conformity to type based on product verification
Module CH	Conformity based on full quality management system
Module CH1	Conformity based on full quality management system plus design examination
Module CV	Type validation by in service experience (Suitability for use)

• (1)The manufacturer or his authorised representative established within the European Union shall choose one of the modules or module combinations indicated in the following table for the constituent to be assessed:

| TSI point | Constituents to be assessed | Module | Module | Module | Module | Module | Module | Module |

| --- | --- | --- | --- | --- | --- | --- | --- | --- | | TSI point | Constituents to be assessed | CA | CA1 or CA2 | CB + CC | CB + CD | CB + CF | CH | CH1 | | 5.3.1 | Automatic centre buffer coupler | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.2 | Manual end coupling | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.3 | Towing coupler for rescue | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.4 | Wheel | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.4a | Automatic variable gauge systems | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.5 | Wheel slide protection system | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.6 | Head lamp | | X [^E0022] | X | X | | X [^E0022] | X | | 5.3.7 | Marker lamp | | X [^E0022] | X | X | | X [^E0022] | X | | 5.3.8 | Tail lamp | | X [^E0022] | X | X | | X [^E0022] | X | | 5.3.9 | Horns | | X [^E0022] | X | X | | X [^E0022] | X | | 5.3.10 | Pantograph | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.11 | Pantograph contact strips | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.12 | Main circuit breaker | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.13 | Driver's seat | | X [^E0022] | | X | X | X [^E0022] | X | | 5.3.14 | Toilet discharge connection | X | | X | | | X | | | 5.3.15 | Inlet connection for water tanks | X | | X | | | X | |

[^E0022]: (¹)

Modules CA1, CA2 or CH may be used only in the case of products manufactured according to a design developed and already used to place products on the market before the entry into force of relevant TSIs applicable to those products, provided that the manufacturer demonstrates to the notified body that design review and type examination were performed for previous applications under comparable conditions, and are in conformity with the requirements of this TSI; this demonstration shall be documented, and is considered as providing the same level of proof as module CB or design examination according to module CH1.

• (2)Where a particular procedure shall be used for the assessment, in addition to the requirements expressed in the point 4.2, this is specified in the point 6.1.3 below.

6.1.3.   Particular assessment procedures for interoperability constituents

6.1.3.1.   Wheels (point 5.3.4)

• (1)The mechanical characteristics of the wheel shall be proven by mechanical strength calculations, taking into account three load cases: straight track (centred wheelset), curve (flange pressed against the rail), and negotiating of points and crossings (inside surface of flange applied to the rail), as specified in the specification referenced in Appendix J-1, index [40].

• (2)For forged and rolled wheels, the decision criteria are defined in the specification referenced in Appendix J-1, index [40]; where the calculation show values beyond the decision criteria, a bench test according to the same specification is required to be performed to demonstrate compliance.

• (3)Other types of wheels are permitted for vehicles restricted to national use. In that case the decision criteria and the fatigue stress criteria shall be specified in national rules. Those national rules shall be notified by Member States.

• (4)The assumption of the load conditions for the maximum vertical static force shall be explicitly stated in the technical documentation as set out in point 4.2.12.

Thermo-mechanical behaviour:

• (5)If the wheel is used to brake a unit with wheel tread brakes, the wheel shall be thermo-mechanically proven by taking into account the maximum braking energy foreseen. The wheel shall be subject to a conformity assessment in accordance with the specification referenced in Appendix J-1, index [40], in order to check that the lateral displacement of the rim during braking and the residual stress are within tolerance limits specified utilising the decision criteria specified.

Verification of the wheels:

• (6)A verification procedure shall exist to ensure at the production phase that no defects may detrimentally affect safety due to any change in the mechanical characteristics of the wheels.

• The tensile strength of the material in the wheel, the hardness of the running surface, the fracture toughness, the resistance to impact, the material characteristics and the material cleanliness shall be verified.

- The verification procedure shall specify the batch sampling used for each characteristic to be verified.

• (7)Other conformity assessment method for wheels is allowed under the same conditions as for wheelsets; these conditions are described in point 6.2.3.7.

• (8)In case of innovative design for which the manufacturer has no sufficient return of experience, the wheel should be subject to an assessment of suitability for use (module CV; see also point 6.1.6).

6.1.3.1a.   Automatic variable gauge system (point 5.3.4a)

• (1)The assessment procedure shall be based on a validation plan covering all aspects mentioned in points 4.2.3.5.3 and 5.3.4a.

• (2)The validation plan shall be consistent with the safety analysis required in point 4.2.3.5.3 and shall define the assessment needed in all the following different phases:

• — Design review;

• — Static tests (bench tests and integration in the running gear/unit tests);

• — Test on track gauge changeover facilities, representative of in-service conditions;

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

- (3)Regarding the demonstration of compliance to point 4.2.3.5.3 (5), the assumptions considered for the safety analysis related to the vehicle the system is intended to be integrated in, and related to the mission profile of that vehicle, shall be clearly documented.

• (4)The automatic variable gauge system may be subject to an assessment of suitability for use (module CV; see also point 6.1.6).

• (5)The certificate delivered by the Notified Body in charge of the conformity assessment shall include both the conditions for use as per point 5.3.4a (1) and the type(s) and operating conditions of the track gauge changeover facility(ies) the automatic variable gauge system has been assessed for.

6.1.3.2.   Wheel slide protection system (point 5.3.5)

• (1)The wheel slide protection system shall be verified according to the methodology defined in the specification referenced in Appendix J-1, index [15].

- (2)In case of innovative design for which the manufacturer has no sufficient return of experience, the wheel slide protection system should be subject to an assessment of suitability for use (module CV; see also point 6.1.6).

6.1.3.3.   Headlamps (point 5.3.6)

- (1)The colour and luminous intensity of headlamps shall be tested in accordance with the specification referenced in Appendix J-1, index [20].

6.1.3.4.   Marker lamps (point 5.3.7)

- (1)The colour and luminous intensity of marker lamps and the spectral radiation distribution of light from marker lamps shall be tested in accordance with the specification referenced in Appendix J-1, index [20].

6.1.3.5.   Tail lamps (point 5.3.8)

- (1)The colour and luminous intensity of tail lamps shall be tested in accordance with the specification referenced in Appendix J-1, index [20]

6.1.3.6.   Horn (point 5.3.9)

• (1)Soundings and sound pressure levels of the warning horn shall be measured and verified in accordance with the specification referenced in Appendix J-1, index [21].

6.1.3.7.   Pantograph (point 5.3.10)

• (1)For pantographs for DC systems, the maximum current at standstill up to the limit values defined in 4.2.8.2.5 shall be verified in the following conditions:

• — the pantograph shall be in contact with 2 plain copper contact wires or 2 copper alloyed with silver contact wires with a cross section of 100 mm² each for a 1,5 kV supply system,

• — the pantograph shall be in contact with 1 copper contact wire with a cross section of 100 mm² for a 3 kV supply system.

• (1a)For pantographs for DC systems the temperature of the contact wire with current at standstill shall be assessed by measurements according to the specification referenced in Appendix J-1, index [24].

• (2)For all pantographs, the static contact force shall be verified in accordance with the specification referenced in Appendix J-1, index [23].

• (3)The dynamic behaviour of the pantograph regarding current collection shall be assessed by simulation according to the specification referenced in Appendix J–1, index [41].

• The simulations shall be made using at least two different types of overhead contact line; data for simulation shall correspond to sections of lines recorded as TSI compliant in the register of infrastructure (EC declaration of conformity, or declaration according to Commission Recommendation 2014/881/EU ([^E0023])) for the appropriate speed and supply system, up to the maximum design speed of the proposed Interoperability Constituent pantograph.

• It is permitted to perform the simulation using types of overhead contact line that are under the process of IC certification or declaration according to Recommendation 2011/622/EU ([^E0024]), provided that they fulfil the other requirements of TSI ENE. The simulated current collection quality shall be in accordance with point 4.2.8.2.9.6 for uplift, mean contact force and standard deviation for each of the overhead contact lines.

• If the simulation results are acceptable, a site dynamic test shall be made using a representative section of one of the two types of overhead contact line used in the simulation.

• The interaction characteristics shall be measured in accordance with the specification referenced in Appendix J-1, index [42]. Regarding the uplift measurement the uplift of at least two steady arms shall be measured.

• The tested pantograph shall be mounted on a rolling stock producing a mean contact force within the upper and lower limits as required by point 4.2.8.2.9.6 up to the design speed of the pantograph. The tests shall be conducted in both directions of travel.

• For pantographs intended to be operated on the 1 435 mm and 1 668 mm track gauge systems, the tests shall include track sections with low contact wire height (defined as between 5,0 to 5,3 m) and track sections with high contact wire height (defined as between 5,5 to 5,75 m).

• For pantographs intended to be operated on the 1 520 mm and 1 524 mm track gauge systems, the tests shall include track sections with contact wire height between 6,0 to 6,3 m.

• The tests shall be performed for a minimum of 3 speed increments up to and including the design speed of the tested pantograph.

• The interval between successive tests shall be no greater than 50 km/h.

- The measured current collection quality shall be in accordance with point 4.2.8.2.9.6 for uplift, and either mean contact force and standard deviation or percentage of arcing.

• If all the assessments above are passed successfully, the tested pantograph design shall be considered as compliant to the TSI regarding quality of current collection.

• For the use of a pantograph holding an EC declaration of verification on various designs of rolling stock, additional tests required at rolling stock level regarding quality of current collection are specified in point 6.2.3.20.

6.1.3.8.   Contact strips (point 5.3.11)

- (1)Contact strips shall be verified as specified in the specification referenced in Appendix J-1, index [43].

• (2)Contact strips, being replaceable parts of the pantograph head, shall be verified once at the same time as a pantograph (see point 6.1.3.7) regarding the quality of current collection.

• (3)In case of use of a material for which the manufacturer as no sufficient return of experience, the contact strip should be subject to an assessment of suitability for use (module CV; see also point 6.1.6).

6.1.4.   Project phases where assessment is required

• (1)It is detailed in Appendix H in which phases of the project an assessment shall be done for the requirements applicable to the interoperability constituents:

• (a) design and development phase:
• (i) design review and/or design examination.
• (ii) type test: test to verify the design, if and as defined in the Point 4.2;

- (b) production phase: routine test to verify the conformity of production.

• The entity in charge of the assessment of the routine tests is determined according to the assessment module chosen.

- (2)Appendix H is structured according to point 4.2; the requirements and their assessment applicable to the interoperability constituents are identified in point 5.3 by reference to certain points of section 4.2; where relevant, a reference to a sub-point of point 6.1.3 above is also given.

6.1.5.   Innovative solutions

• (1) If an innovative solution (as defined in article 10) is proposed for an interoperability constituent, the manufacturer or his authorised representative established within the European Union shall apply the procedure described in article 10.

6.1.6.   Assessment of suitability for use

• (1)Assessment of suitability for use according to the type validation of in service experience procedure (module CV) may be part of the assessment procedure for the following interoperability constituents:

• — wheels (see point 6.1.3.1);

• — automatic variable gauge system (see point 6.1.3.1a);

• — wheel slide protection system (see point 6.1.3.2);

- — contact strips (see point 6.1.3.8);

- (2)Prior to commencing in service tests, a suitable module (CB or CH1) shall be used to certify the design of the constituent;

• (3)The in service tests shall be organised on proposal from the manufacturer, who has to obtain an agreement with a railway undertaking for its contribution to such assessment.

6.2.   Rolling stock subsystem

6.2.1.   EC verification (general)

- (1) The EC verification procedures to be applied to the rolling stock subsystem are described in  Article 15 and Annex IV of Directive (EU) 2016/797.

• (2) The EC verification procedure of a rolling stock unit shall be performed according to the prescribed modules(s) specified in  point 6.2.2 of this TSI.

• (3) When a first step assessment covering the design stage or the design and production stages is applied for by the applicant, the notified body of his choice shall issue the Intermediate Statement Verification (ISV) and the EC declaration of Intermediate Sub-system conformity shall been drawn up.

6.2.2.   Application of modules

Modules for the EC verification of subsystems:

Module SB	EC-Type Examination
Module SD	EC verification based on quality management system of the production process
Module SF	EC verification based on product verification
Module SH1	EC verification based on full quality management system plus design examination

• (1) The applicant shall choose one of the following combinations of modules: (SB + SD) or (SB + SF) or (SH1) for each concerned subsystem (or part of subsystem). The assessment shall then be performed according to the combination of modules chosen.

- (2) Where several EC verifications (e.g. against several TSIs addressing the same sub-system) require verification based on the same production assessment (module SD or SF), it is allowed to combine several SB module assessments with one production module assessment (SD or SF). In this case, ISVs shall be issued for the design and development phases according to module SB.

- (3) The validity of the type or design examination certificate shall be indicated in accordance with the provisions for phase B of  point 7.1.3 ‘Rules related to EC verification’, of this TSI.

• (4) Where a particular procedure shall be used for the assessment, in addition to the requirements expressed in  point 4.2 of this TSI, this is specified in the  point 6.2.3 below.

6.2.3.   Particular assessment procedures for subsystems

6.2.3.1.   Load conditions and weighed mass (point 4.2.2.10)

• (1)Weighed mass shall be measured, for a load condition corresponding to ‘design mass in working order’ with the exception of consumables for which there is no imposition (for example ‘dead mass’ is acceptable).

• (2)It is permissible to derive the other load conditions by calculation.

- (3)Where a vehicle is declared as conformant to a type (in accordance with points 6.2.2 and 7.1.3):

• — the weighed total vehicle mass in the load condition ‘design mass in working order’ shall not exceed by more than 3 % the declared total vehicle mass for that type which is reported in the type or design examination certificate of ‘EC’ verification and in the technical documentation described in point 4.2.12.

- — additionally, for unit of maximum design speed higher than or equal to 250 km/h the mass per axle for the load conditions ‘design mass under normal payload’ and ‘operational mass under normal payload’ shall not exceed by more than 4 % the declared mass per axle for the same load condition.

6.2.3.2.   Wheel load ( point 4.2.3.2.2)

• (1) The wheel load shall be measured considering the load condition ‘design mass in working order’ (with same exception as in  point 6.2.3.1 above).

6.2.3.3.   Safety against derailment running on twisted track ( Point 4.2.3.4.1)

• (1) The demonstration of conformity shall be carried out in accordance with one of the methods specified in the specification referenced in Appendix J-1,  index [9].

• (2) For units intended to be operated on 1 520 mm system, alternative methods for conformity assessment are allowed.

6.2.3.4.   Running dynamic behaviour – technical requirements (Point 4.2.3.4.2a)

• (1)For units designed to be operated on 1 435 mm or 1 524 mm or 1 668 mm system, the demonstration of conformity shall be carried out in accordance with the specification referenced in Appendix J-1, index [9].

• The parameters described in points 4.2.3.4.2.1 and 4.2.3.4.2.2 shall be assessed using criteria defined in the specification referenced in Appendix J-1, index [9].

6.2.3.5.   Conformity assessment for safety requirements

The demonstration of compliance with the safety requirements expressed in the point 4.2 shall be performed as follows:

• (1) The scope of this assessment shall be strictly limited to the rolling stock design, considering that operation, test and maintenance are performed according to the rules defined by the applicant (as described in the technical file). Notes: –When defining the test and maintenance requirements, the safety level to be met has to be taken into account by the applicant (consistency); the demonstration of compliance covers also test and maintenance requirements. –Other sub-systems and human factors (errors) shall not be considered.

- (2) All assumptions considered for the mission profile shall be clearly documented in the demonstration

• (3) The compliance with the safety requirements that are specified in points 4.2.3.4.2, 4.2.3.5.3, 4.2.4.2.2, 4.2.5.3.5, 4.2.5.5.8 and 4.2.5.5.9 in terms of level of severity/consequences associated to hazardous failure scenarios shall be demonstrated by one of the two following methods:
• 1. Application of a harmonised risk acceptance criterion associated to the severity specified in point 4.2 (e.g. ‘fatalities’ for emergency braking.). The applicant may choose to use this method, provided that there is an available harmonized risk acceptance criterion defined in the CSM on Risk Assessment. The applicant shall demonstrate compliance with the harmonised criterion by applying Annex I-3 of the CSM on RA. The following principles (and their combinations) may be used for the demonstration: similarity with reference system(s); application of codes of practice; application of explicit risk estimation (e.g. probabilistic approach). The applicant shall designate the body for the assessment of the demonstration he will provide: the notified body selected for the rolling stock subsystem or an assessment body as defined in the CSM on RA. The demonstration shall be recognized in all Member States; or
• 1. Application of a risk evaluation and assessment in accordance with the CSM on RA, in order to define the risk acceptance criterion to be used, and demonstrate compliance to this criterion. The applicant may choose to use this method in any case. The applicant shall designate the assessment body for the assessment of the demonstration he will provide, as defined in the CSM on RA. A safety assessment report shall be provided in compliance with the requirements defined in the CSM on RA and its amendments. The safety assessment report shall be taken into account by the Authorising Entity, in accordance with point 2.5.6 of Annex I and Article 15(2) of the CSM on RA.

• (4) For each TSI point listed in point (3) above, the relevant documents accompanying the EC declaration of verification (e.g. EC certificate issued by the notified body or safety assessment report) shall explicitly mention the ‘used method’ (‘1’ or ‘2’); in case of method ‘2’, they shall also mention the ‘used risk acceptance criterion’.

6.2.3.6.   Design values for new wheel profiles ( Point 4.2.3.4.3.1)

- (1) For units designed to be operated on 1 435 mm track gauge system, the wheel profile and the distance between active faces of the wheels  (Dimension SR in Figure 1, point 4.2.3.5.2.1 ) shall be selected to ensure that the equivalent conicity limit set out in Table 11 below is not exceeded when the designed wheelset is combined with each of the sample of track parameters as specified in Table 12 below.

The evaluation of the equivalent conicity is set out in the specification referenced in Appendix J-1,  index [9]. Table 11 Equivalent conicity design limit values Maximum vehicle operating speed (km/h) Equivalent conicity limit values Test conditions (see Table 12) ≤ 60 N/A N/A

60 and < 190 0,30 All ≥ 190 and ≤ 230 0,25 1, 2, 3, 4, 5 and 6 230 and ≤ 280 0,20 1, 2, 3, 4, 5 and 6 280 and ≤ 300 0,10 1, 3, 5 and 6 300 0,10 1 and 3 Table 12. Track test conditions for equivalent conicity representative of the network. All rail sections defined in the specification referenced in Appendix J-1,  index [44]. Test condition no. Rail head profile Rail inclination Track gauge 1 rail section 60 E 1 1 in 20 1 435 mm 2 rail section 60 E 1 1 in 40 1 435 mm 3 rail section 60 E 1 1 in 20 1 437 mm 4 rail section 60 E 1 1 in 40 1 437 mm 5 rail section 60 E 2 1 in 40 1 435 mm 6 rail section 60 E 2 1 in 40 1 437 mm 7 rail section 54 E1 1 in 20 1 435 mm 8 rail section 54 E1 1 in 40 1 435 mm 9 rail section 54 E1 1 in 20 1 437 mm 10 rail section 54 E1 1 in 40 1 437 mm The requirements of this  point are deemed to have been met by wheelsets having unworn S1002 or GV 1/40 profiles, as defined in the specification referenced in Appendix J-1,  index [45] with spacing of active faces between 1 420 mm and 1 426 mm.

• (2) For units designed to be operated on 1 524 mm track gauge system, the wheel profile and the distance between active faces of the wheels shall be selected with the following inputs: Table 13 Equivalent conicity design limit values Maximum vehicle operating speed (km/h) Equivalent conicity limit values Test conditions (see Table 14) ≤ 60 N/A N/A

  60 and ≤ 190 0,30 1, 2, 3, 4, 5 and 6 190 and ≤ 230 0,25 1, 2, 3 and 4 230 and ≤ 280 0,20 1, 2, 3 and 4 280 and ≤ 300 0,10 3, 4, 7 and 8 300 0,10 7 and 8 Table 14 Track test conditions for equivalent conicity. All rail sections defined in the specification referenced in Appendix J-1,  index [44] Test condition no. Rail head profile Rail inclination Track gauge 1 rail section 60 E 1 1 in 40 1 524 mm 2 rail section 60 E 1 1 in 40 1 526 mm 3 rail section 60 E 2 1 in 40 1 524 mm 4 rail section 60 E 2 1 in 40 1 526 mm 5 rail section 54 E1 1 in 40 1 524 mm 6 rail section 54 E1 1 in 40 1 526 mm 7 rail section 60 E 1 1 in 20 1 524 mm 8 rail section 60 E 1 1 in 20 1 526 mm The requirements of this  point are deemed to have been met by wheelsets having unworn S1002 or GV 1/40 profiles, as defined in the specification referenced in Appendix J-1,  index [45], with spacing of active faces distance 1 510 .

• (3) For units designed to be operated on 1 668 mm track gauge system, equivalent conicity limits set in the Table 15 shall not be exceeded when the designed wheelset is modelled passing over the representative sample of track test conditions as specified in Table 16: Table 15 Equivalent conicity design limit values Maximum vehicle operating speed (km/h) Equivalent conicity limit values Test conditions (see Table 16) ≤ 60 N/A N/A

  60 and < 190 0,30 All ≥ 190 and ≤ 230 0,25 1 and 2 230 and ≤ 280 0,20 1 and 2 280 and ≤ 300 0,10 1 and 2 300 0,10 1 and 2 Table 16 Track test conditions for equivalent conicity. All rail sections defined in the specification referenced in Appendix J-1,  index [44] Test condition No. Rail head profile Rail inclination Track gauge 1 Rail section 60 E 1 1 in 20 1 668 mm 2 Rail section 60 E 1 1 in 20 1 670 mm 3 Rail section 54 E1 1 in 20 1 668 mm 4 Rail section 54 E1 1 in 20 1 670 mm The requirements of this  point are deemed to have been met by wheelsets having unworn S1002 or GV 1/40 profiles, as defined in the specification referenced in Appendix J-1,  index [45] with spacing of active faces between 1 653 mm and 1 659 mm.

6.2.3.7.   Mechanical and geometric characteristics of wheelsets ( point 4.2.3.5.2.1)

Wheelset:

• (1) The demonstration of compliance for the assembly shall be based on the specification referenced in Appendix J-1,  index [46], which defines limit values for the axial force, and the associated verification tests.

Axles:

• (2) The demonstration of compliance for mechanical resistance and fatigue characteristics of the axle shall be in accordance with the specification referenced in Appendix J-1, index [47]. The decision criteria for the permissible stress is specified in the specification referenced in Appendix J-1, index [47].

• (3) The assumption of the load conditions for the calculations shall be explicitly stated in the technical documentation as set out in  point 4.2.12 of this TSI.

Verification of the axles:

• (4) A verification procedure shall exist to ensure at the production phase that no defects may detrimentally affect safety due to any change in the mechanical characteristics of the axles.

• (5) The tensile strength of the material in the axle, the resistance to impact, the surface integrity, the material characteristics and the material cleanliness shall be verified. The verification procedure shall specify the batch sampling used for each characteristic to be verified.

Axle boxes/bearings:

- (6) The demonstration of compliance for mechanical resistance and fatigue characteristics of the rolling bearing shall be in accordance with the specification referenced in Appendix J-1,  index [48].

• (7) Other conformity assessment method applicable to wheelsets, axles and wheels where the EN standards do not cover the proposed technical solution: It is permitted to use other standards where the EN standards do not cover the proposed technical solution; in that case the notified body shall verify that the alternative standards form part of a technically consistent set of standards applicable to the design, construction and testing of the wheelsets, containing specific requirements for wheelset, wheels, axles and axle bearings covering:
• — wheelset assembly,
• — mechanical resistance,
• — fatigue characteristics,
• — permissible stress limits,
• — thermomechanical characteristics. Only standards that are publicly available can be referred to in the demonstration required above. The verification carried out by the notified body shall ensure the consistency between the methodology of the alternative standards, the assumptions taken by the applicant, the intended technical solution and the intended area of use.

• (8) Particular case of wheelsets, axles and axle boxes/bearings manufactured according to an existing design: In the case of products manufactured according to a design developed and already used to place products on the market before the entry into force of relevant TSIs applicable to those products, the applicant is allowed to deviate from the conformity assessment procedure above, and to demonstrate conformity with the requirements of this TSI by referring to design review and type examination performed for previous applications under comparable conditions; this demonstration shall be documented, and is considered as providing the same level of proof as module SB or design examination according to module SH1.

6.2.3.7a.   Automatic variable gauge system

• (1)The safety analysis required in  point 4.2.3.5.3 point (5), and performed at IC level, shall be consolidated at the level of the unit (vehicle); in particular, the assumptions made according to  point 6.1.3.1a point (3) may need to be reviewed to take into account the vehicle and its mission profile.

• (2)The assessment of the integration of the IC within the running gear/unit and the technical compatibility with the track gauge changeover facility shall consist of:

- — The compliance with the area of use defined in  point 5.3.4.a (1) shall be verified,

• — Verification of the correct integration of the IC within the running gear/unit, including the correct performance of its on-board control/monitoring system (when applicable), and

• — On-track tests including tests on the track gauge changeover facility(ies), representative of in-service conditions.

6.2.3.8.   Emergency braking ( point 4.2.4.5.2)

• (1) The braking performance which is subject to a test is the stopping distance as defined in the specification referenced in Appendix J-1,  index [66]. The deceleration is evaluated from the stopping distance.

- (2) Tests shall be carried out on dry rails at the following initial speeds (if lower than the maximum design speed): 30 km/h; 100 km/h;120 km/h; 140 km/h; 160 km/h; 200 km/h; in steps not greater than 40 km/h from 200 km/h to maximum design speed of the unit.

• (3) Tests shall be carried out for the load conditions of the unit ‘design mass in working order’, ‘design mass under normal payload’, and ‘maximum braking load’ (as defined in points 4.2.2.10 and 4.2.4.5.2). Where 2 of the load conditions above lead to similar brake test conditions according to relevant EN standards or normative documents, it is allowed to reduce the number of tests conditions from 3 to 2.

• (4) Test results shall be evaluated by a methodology that takes into account the following aspects:
• — correction of the raw data,
• — repeatability of the test: in order to validate a test result, the test is repeated several times; the absolute difference between results and the standard deviation are evaluated.

6.2.3.9.   Service braking (point 4.2.4.5.3)

• (1)The maximum service braking performance which is subject to a test is the stopping distance as defined in the specification referenced in Appendix J-1, index [66]. The deceleration is evaluated from the stopping distance.

• (2)Tests shall be carried out on dry rail at the initial speed equal to the maximum design speed of the unit, the load condition of the unit being one of those defined in the point 4.2.4.5.2.

- (3)Test results shall be evaluated by a methodology that takes into account the following aspects:

• — correction of the raw data,

- — repeatability of the test: in order to validate a test result, the test is repeated several times; the absolute difference between results and the standard deviation are evaluated.

6.2.3.10.   Wheel slide protection system ( point 4.2.4.6.2)

- (1) If a unit is equipped with a WSP, a test of the unit in low adhesion conditions shall be carried out according to the specification referenced in Appendix J-1,  index [15], in order to validate the performance of the WSP system (maximum extension of the stopping distance compared to stopping distance on dry rail) when integrated in the unit.

6.2.3.11.   Sanitary systems ( point 4.2.5.1)

- (1) In case the sanitary system allows the release of fluids to the environment (e.g. on the tracks), the assessment of conformity may be based on previous in-service testing when the following conditions are met:

• — The results of the in service tests were obtained on types of equipment which have an identical treatment method.
• — The conditions of test are similar as the ones that may be assumed for the unit under assessment, with regard to loading volumes, environmental conditions, and all other parameters which will influence the efficiency and effectiveness of the treatment process. If suitable in-service testing results are lacking, type tests shall be performed.

6.2.3.12.   Internal air quality ( point 4.2.5.8 and  point 4.2.9.1.7)

• (1) Conformity assessment of the CO2-levels is permitted to be established by calculation of fresh air ventilation volumes assuming an outside air quality containing 400 ppm CO2 and an emission of 32 grams of CO2 per passenger per hour. The number of passengers to be taken into account shall be derived from the occupation under the load condition ‘design mass under normal payload’, as stipulated in  point 4.2.2.10 of this TSI.

6.2.3.13.   Slipstream effects on passengers on platform and on workers trackside (point 4.2.6.2.1)

• (1)Demonstration of conformity with the limit value of trackside maximum permissible air speed set out in point 4.2.6.2.1 shall be demonstrated on the basis of full-scale tests on straight track performed in accordance with the specification referenced in Appendix J-1, index [49].

• (2)Instead of the full assessment described above, it is permitted to carry out a simplified assessment for rolling stock of a similar design to rolling stock for which the full assessment defined in this TSI has been carried out. In such cases, the simplified conformity assessment defined the specification referenced in Appendix J-1, index [49], can be applied as long as the differences in the design remain within the limits defined in the same specification.

6.2.3.14.   Head pressure pulse (point 4.2.6.2.2)

• (1)Conformity shall be assessed on the basis of full-scale tests under conditions specified in the specification referenced in Appendix J-1, index [49]. Alternatively conformity may be assessed by means of either validated Computational Fluid Dynamics (CFD) simulations or by moving model tests as specified in the same specification.

- (2)Instead of the full assessment described above, it is permitted to carry out a simplified assessment for rolling stock of a similar design to rolling stock for which the full assessment defined in this TSI has been carried out. In such cases, the simplified conformity assessment defined in the specification referenced in Appendix J-1, index [49], can be applied as long as the differences in the design remain within the limits defined in the same specification.

6.2.3.15.   Maximum pressure variations in tunnels (point 4.2.6.2.3)

The conformity assessment procedure is described in specification referenced to in Appendix J-1, Index [50].

6.2.3.16.   Crosswind (point 4.2.6.2.4)

- (1)Conformity assessment is fully specified in point 4.2.6.2.4

6.2.3.17.   Warning Horn sound pressure levels (point 4.2.7.2.2)

- (1)Sound pressure levels of the warning horn shall be measured and verified in accordance with the specification referenced in Appendix J-1, index [21].

6.2.3.18.   Maximum power and current from the overhead contact line (point 4.2.8.2.4)

- (1)Conformity assessment shall be carried out in accordance with the specification referenced in Appendix J-1, index [22].

6.2.3.19.   Power factor (point 4.2.8.2.6)

• (1)Conformity assessment shall be carried out according to the specification referenced in Appendix J-1, index [22].

6.2.3.19a.   On-board energy measurement system (point 4.2.8.2.8)

• (1)Energy Measurement Function (‘EMF’)

• The accuracy of each device containing one or more functions of EMF shall be assessed by testing each function, under reference conditions, using the relevant method as described in the specification referenced in Appendix J-1, index [56]. The input quantity and power factor range when testing shall correspond to the values set out in the same specification.

• The effects of temperature on accuracy of each device containing one or more functions of EMF shall be assessed by testing each function, under reference conditions (except for temperature), using the relevant method as described in the specification referenced in Appendix J-1, index [56].

• The mean temperature coefficient of each device containing one or more functions of EMF shall be assessed by testing each function, under reference conditions (except for temperature), using the relevant method as described in the specification referenced in Appendix J-1, index [56].

• In cases where point 4.2.8.2.8.2 (6) applies, the conformity of the existing components to that point may be assessed according to another standard than the specification referenced in Appendix J-1, index [56] or according to a previous version of that specification.

• (2)Data Handling System (‘DHS’)

- The compiling and handling of data within the DHS shall be assessed by testing using the method as described in the specification referenced in Appendix J-1, index [55].

• (3)On-board Energy Measurement System (‘EMS’)

• The EMS shall be assessed by testing as described in the specification referenced in the specification referenced in Appendix J-1, index [59].

6.2.3.20.   Current collection dynamic behaviour (point 4.2.8.2.9.6)

• (1)When pantographs, holding an EC declaration of conformity or suitability for use as IC, are integrated in a rolling stock unit which is assessed according to point 4.2.8.2.9.6, dynamic tests shall be carried out in order to measure the uplift, and either mean contact force and standard deviation or the percentage of arcing, in accordance with the specification referenced in Appendix J-1, index [42] up to the design speed for the unit.

• (2)For a unit designed to be operated on the 1 435 mm and 1 668 mm track gauge systems, the tests, for each installed pantograph, shall be conducted in both directions of travel and shall include track sections with low contact wire height (defined as between 5,0 to 5,3 m) and track sections with high contact wire height (defined as between 5,5 to 5,75 m).

• For units designed to be operated on the 1 520 mm and 1 524 mm track gauge systems, the tests shall include track sections with contact wire height between 6,0 to 6,3 m.

- (3)The tests shall be performed for a minimum of 3 speed increments up to and including the maximum design speed of the unit. The interval between successive tests shall be no greater than 50 km/h.

• (4)During the test, the static contact force shall be adjusted for each particular power supply system within the range as specified in point 4.2.8.2.9.5.

• (5)The measured results shall be in accordance with point 4.2.8.2.9.6 for uplift and either mean contact force and standard deviation or percentage of arcing. Regarding the uplift measurement, the uplift of at least two steady arms shall be measured.

6.2.3.21.   Arrangement of pantographs (point 4.2.8.2.9.7)

• (1)The characteristics related to the dynamic behaviour of the current collection shall be verified as specified in point 6.2.3.20 above.

- (2)Tests are required for the poorest performing pantographs regarding maximum uplift and regarding maximum standard deviation or arcing. The arrangements containing poorest performing pantographs shall be identified by simulation or measurement referenced in Appendix J-1, indexes [41] and [42].

6.2.3.22.   Windscreen ( point 4.2.9.2)

- (1) The characteristics of the windscreen shall be verified as specified in the specification referenced in Appendix J-1,  index [28].

6.2.3.23.   Fire detection systems ( point 4.2.10.3.2)

• (1) The  point 4.2.10.3.2(1) shall be deemed to be satisfied by the verification that the rolling stock is equipped with a fire detection system in the following areas:
• — technical compartment or cabinet, sealed or not sealed, containing electrical supply line and/or traction circuit equipment,
• — technical area with a combustion engine,
• — in sleeping cars and sleeping compartments, including their staff compartments and their adjacent gangways and their adjacent combustion heating equipment.

6.2.4.   Project phases where assessment is required

• (1) It is detailed in Appendix H of this TSI in which phase of the project an assessment shall be done:
• — Design and development phase: — Design review and/or design examination — Type test: test to verify the design, if and as defined in the Section 4.2.
• — Production phase: routine test to verify the conformity of production. The entity in charge of the assessment of the routine tests is determined according to the assessment module chosen.

- (2) The Appendix H is structured according to the  point 4.2, which defines the requirements and their assessment applicable to the rolling stock sub-system; where relevant, a reference to a sub- point of the  point 6.2.2.2 above is also given.

In particular, where a type test is identified in the Appendix H, the  point 4.2 shall be considered for the conditions and requirements related to this test.

• (3) Where several EC verifications (e.g. against several TSIs addressing the same sub-system) require verification based on the same production assessment (module SD or SF), it is allowed to combine several SB module assessments with one production module assessment (SD or SF). In this case, ISVs shall be issued for the design and development phases according to module SB.

- (4) If module SB is used, the validity of the EC declaration of intermediate subsystem conformity shall be indicated in accordance with the provisions for phase B of  point 7.1.3 ‘Rules related to the EC verification’, of this TSI.

6.2.5.   Innovative solutions

- (1)If an innovative solution (as defined in Article 10), is proposed for the rolling stock subsystem, the applicant shall apply the procedure described in article 10.

6.2.6.   Assessment of documentation requested for operation and maintenance

Pursuant to Article 15(4) of Directive (EU) 2016/797, the applicant is responsible for compiling the technical file, containing the documentation requested for operation and maintenance.

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

- (1)Where a new, upgraded or renewed unit to be used in general operation is subject to assessment against this TSI (in accordance with point 4.1.2), some of the TSI requirements require a reference train for their assessment. This is mentioned in the relevant provisions of point 4.2. Similarly, some of the TSI requirements at train level cannot be assessed at unit level; such cases are described for the relevant requirements in Point 4.2.