rfu-rst-028 application of modules a1 and h1 according to ... - CIRCA

RECOMMENDATION FOR USE
CO-ORDINATION BETWEEN NOTIFIED BODIES
DIRECTIVE 2008/57/EC AND SUBSEQUENT AMENDMENTS
ON THE INTEROPERABILITY OF THE RAILWAY SYSTEMS
WITHIN THE UNION
TITLE
APPLICATION OF MODULES A1 AND H1 ACCORDING TO TSI FREIGHT WAGON
ORIGINATOR SUBJECT RELATED TO
EISENBAHNCERT, CETREN,
LUXCONTROL, VUZ
REVISIONS
TSI FREIGHT WAGON
Issue 01
-original RFU
Issue 02
-New Sections: B.6, C
-general update on references (e.g. adding of 2009/107/EC)
DESCRIPTION AND BACKGROUND EXPLANATION
RECOMMENDATION FOR USE
RFU-RST-028
Issue 04
Date 08/02/2012
Page 1 of 5
Certification of Interoperability Constituents according to TSI Freight Wagon
(2006/861/EC, 2009/107/EC) – “Existing solutions” for Interoperability Constituents
Current state:
A certification of Interoperability Constituents according to TSI Freight Wagon
(2006/861/EC, 2009/107/EC) is conducted by choosing module A, A1 or H1, provided that
an “existing solution” is concerned (6.1.2.2, page L344/76).
Extract of TSI Freight Wagon (6.1.2.2):
If an existing solution for an interoperability constituent is already on the European market
before this TSI enters into force, then the following process applies.
The manufacturer shall demonstrate that tests and verification of IC’s have been
considered successful for previous applications under comparable conditions. In this case
these assessments shall remain valid in the new application. In this case, the type can be
considered as already approved and an assessment of the type is not necessary.
In case of the manufacturer for example opts for procedure “full quality management
system (module H1)” then the conditions set out in TSI Freight Wagon Annex Q (pages
L344/321 to 324) apply.
Extract of TSI Freight Wagon (Module H1):
1. This module describes the procedure whereby the manufacturer or his authorised
representative established within the Community who satisfies the obligations of point 2,
ensures and declares that the interoperability constituent concerned satisfies the
requirements of the TSI that apply to it.
3.2 The quality management system must ensure compliance of the interoperability

RECOMMENDATION FOR USE
CO-ORDINATION BETWEEN NOTIFIED BODIES
DIRECTIVE 2008/57/EC AND SUBSEQUENT AMENDMENTS
ON THE INTEROPERABILITY OF THE RAILWAY SYSTEMS
WITHIN THE UNION
constituent with the requirements of the TSI that apply to it.
RECOMMENDATION FOR USE
RFU-RST-028
Issue 04
Date 08/02/2012
Page 2 of 5
Questions:
The description for “existing solutions” for interoperability constituents in TSI Freight
Wagon (6.1.2.2, page L344/76) in context with provisions stated in module H1 prompts
the following questions:
The fundamental question is - what TSI requirements apply to an “existing solution” of
interoperability constituent?
1) When does the existing solution comply with current TSI requirements?
2) When does the existing solution not comply with current TSI requirements but
prior to entering into force of TSI Freight Wagon (01/2007) was homologated
on basis of fulfilment of requirements of norms and standards (i.e. DIN, EN,
UIC-leaflets) at that time?
3) When was the “existing solutions” of interoperability constituent defined as TSIcompliant
(i.e. bogie, annex Y, page L344/405 to 407, wheelsets)?
RFU PROPOSAL
Until such time as a definitive interpretation of the TSI becomes available, NB-Rail
suggests the following interpretation of the TSI.
When applying module H1 or A1“existing solution” of interoperability constituent the
apportionment of tasks are as follows:
A) Tasks of NoBo’s when applying module H1 or A1 “existing solution”
The issue of a certificate according module H1 or A1 “existing solution” is possible under
the following conditions:
A.1) NoBos check whether appropriate evidence of the tasks apportioned to the
client exists and that it is demonstrated that the constituent was successful
under comparable conditions as under point 2) above. If the existing solution is
compliant with norms and standards which were valid at the time when TSI
entered into force, then the Notified Body can consider the existing solution to
be type-approved. The application of norms and standards older than the
above-mentioned has to be justified by the client (manufacturer) by
comparison with the ones which were valid at the time when TSI entered into
force.

RECOMMENDATION FOR USE
CO-ORDINATION BETWEEN NOTIFIED BODIES
DIRECTIVE 2008/57/EC AND SUBSEQUENT AMENDMENTS
ON THE INTEROPERABILITY OF THE RAILWAY SYSTEMS
WITHIN THE UNION
RECOMMENDATION FOR USE
RFU-RST-028
Issue 04
Date 08/02/2012
Page 3 of 5
A.2) NoBos evaluate the quality management system to make sure the
manufacturing process meets the pertaining requirements. In particular, the
assessment should take into account whether the manufacturer built the
existing solution himself (H1 only).
A.3) NoBos verify the products by examination and testing of every constituent or
by statistical verification (A1).
B)Conditions to be met by the applicant (manufacturer) when applying module H1 or A1
to “existing solutions”
B.1) He establishes evidence that the interoperability constituent was on the
European market before this TSI Freight Wagon entered into force. This
means that the constituent has been accepted for unlimited operation in any
member state.
B.2) He provides evidence that tests and verification of IC’s have been considered
successful for previous applications under comparable conditions in order to
establish the approved type and the standards which apply to it. The standards
which apply will be those used when the existing solution was originally
approved and authorised for use. The conditions for the newly manufactured
constituent should be comparable in respect of both technical (such as similar
axle load or speed) and operational conditions. The client should identify
whether the existing solution is compliant with norms and standards which
were valid at the time when TSI entered into force, then the Notified Body can
consider the existing solution to be type-approved. If the existing solution is
compliant with norms and standards older than the above-mentioned, the client
should justify the application by comparison with those which were valid at the
time when TSI entered into force.
B.3) Where the “existing solution” of an interoperability constituent is defined in the
TSI (for example in Annex Y or FF) there is no need for evidence according to
point 1) and 2).
B.4) He sets up and integrates within his quality management system a procedure
to establish and demonstrate TSI conformity according to the approved type
established in point 2) (H1).
B.5) He submits his products to the NoBo for individual or statistical verification
(A1).
B.6) When compiling the necessary evidence according to TSI WAG 2006/861/EC
Annex Q Module H1 (3.2) – especially those evidence defined by 3 rd and 6 th
indent - the applicant (manufacturer) shall consider the listing contained in
TSI WAG 2006/861/EC Annex Q Module A1 (3) until this aspect becomes
more clearly defined in a TSI.

RECOMMENDATION FOR USE
CO-ORDINATION BETWEEN NOTIFIED BODIES
DIRECTIVE 2008/57/EC AND SUBSEQUENT AMENDMENTS
ON THE INTEROPERABILITY OF THE RAILWAY SYSTEMS
WITHIN THE UNION
RECOMMENDATION FOR USE
RFU-RST-028
Issue 04
Date 08/02/2012
Page 4 of 5
C)Specific aspects to be considered at the assessment of the ICs Wheelset, Wheel and
Axle when applying module H1 or A1 to “existing solutions”
C.1) The assessment of the ICs Wheelset, Wheel and Axle against TSI WAG
2006/861/EC in connection with 2009/107/EC and the related ERA List of
applicable standards requires to take into account the standards EN13260,
EN13261 and EN13262.
C.2) Theses standards were already in force when TSI WAG 2006/861/EC
entered into force. Insofar the assessment process of an existing solution is
subject to the requirements of A.1 above.
C.3) That means that the requirements for Design Testing as well as for
Production Quality Testing as contained in these standards must be
respected.
C.4) Therefore for application of modules A1 or H1 the applicant has to be in
possession of the necessary evidence resulting from testing and verification
of the IC in accordance to B.2 above.
C.5) Additionally when applying module H1 the NoBo must assess the suitability
of the presented evidence relating to the aspects of Production Quality
Testing.
C.6) According to EN13260(E.1), EN13261(I.1) and EN13262(E.1) which cover
the aspects of Production Quality, any Production Quality Testing result can
only be related to that particular Production Process which has been applied
at the production of the test specimen for such a test. This is obviously a
direct consequence of the need to apply a suitable and reproducible
Production Process at these product categories.
C.7) As long as no other requirements are given by a TSI, this Production Process
shall be deemed to include Manufacturing of Raw Materials, Intermediate
Manufacturing Stages and Final Manufacturing Stage for Wheels and Axles
and Intermediate Manufacturing Stages and Final Manufacturing Stage for
Wheelsets.
C.8) A change of suppliers involved in the Production Process, a change of the
Production Process itself and an appreciable change of the Product
Geometry shall be deemed as a change of design according to the standards
EN13260, EN13261 and EN13262. In such a case the Production Quality
Tests (provisional and definitive) as defined in these standards – in particular
the fatigue tests – must be performed also for those products which are
derived from the changed Production Process.
C.9) The applicant must notify any change to the Notified Body and must
demonstrate to the satisfaction of the Notified Body for any change whether it
is appreciable or not.

RECOMMENDATION FOR USE
CO-ORDINATION BETWEEN NOTIFIED BODIES
DIRECTIVE 2008/57/EC AND SUBSEQUENT AMENDMENTS
ON THE INTEROPERABILITY OF THE RAILWAY SYSTEMS
WITHIN THE UNION
DATE OF AGREEMENT AT NB RAIL PLENARY MEETING
08/02/2012
RECOMMENDATION FOR USE
RFU-RST-028
Issue 04
Date 08/02/2012
Page 5 of 5