Commission Implementing Regulation (EU) 2023/1695 of 10 August 2023 on the technical specification for interoperability relating to the control-command and signalling subsystems of the rail system in the European Union and repealing Regulation (EU) 2016/919 (Text with EEA relevance)

• (3) the positioning of interoperable marker boards to meet their intended operational purpose.

For (1) and (2) see Appendix A, Table A 1, 4.2.15 a.

For (3) see Appendix A, Table A 1, 4.2.15 b.

In addition, the installation of trackside Control-Command and Signalling objects shall be compatible with the driver’s field of view and the infrastructure requirements.

4.2.16.   Construction of equipment used in CCS subsystems

The environmental conditions specified in the documents listed in Appendix A, Table A 2 of this TSI shall be respected.

Requirements for materials referred to in Commission Regulation (EU) No 1302/2014 ([^E0009]) (LOC&PAS TSI) (e.g. related to fire protection) shall be respected by Control-command and signalling On-board Interoperability Constituents and Subsystems.

4.2.17.   ETCS and Radio System Compatibility

Due to the different possible implementations and the status of the migration to fully compliant CCS Subsystems, checks shall be performed in order to demonstrate the technical compatibility between the on-board and trackside CCS Subsystems. The necessity of these checks shall be considered as a measure to increase the confidence on the technical compatibility between the CCS subsystems. It is expected that these checks will be reduced until the principle stated in 6.1.2.1 is achieved.

4.2.17.1.   ETCS System Compatibility

ETCS System Compatibility (ESC) is the recording of technical compatibility between ETCS on-board and the trackside parts ETCS of the CCS subsystems within an area of use.

Each ESC Type identifies the set of ESC checks (e.g. document check, lab or track test, …) applicable for a section or group of sections within an area of use. It is possible to use the same ESC type for cross border infrastructure and for different national infrastructures.

The results of the ESC checks for an on-board unit on the Interoperability Constituent level or subsystem level, including findings and conditions arising, are recorded in the ESC Check Report.

‘Representative configuration’ means a configuration on the basis of which test results can be achieved, which are valid for various configurations of the same certified ETCS on-board interoperability constituent or of a certified on-board subsystem. These results shall also be equivalent for various configurations of a certified ETCS trackside subsystem.

For ESC checks at ETCS on-board Interoperability Constituent level the following is to be observed:

• (1) The ESC Interoperability Constituent Statement records the ESC results of the ETCS On-board Interoperability Constituent to the ESC Type(s) that is valid regardless of the specific configuration of the ETCS on-board Interoperability Constituent. This document shall be produced by the on-board supplier. The template provided in Appendix C.2 or C.6 shall be used.

• (2) The ESC Interoperability Constituent Statement shall include the summary of the findings and conditions of the ESC Check Report(s) on the results of the ESC checks passed (defined in one or more ESC Type), which are valid independently from the specific configuration parameters of the on-board Interoperability Constituent and can therefore be used in every applicable specific on-board CCS subsystem level.

• (3) The ESC Interoperability Constituent Statement shall include the list of ESC checks performed for the ESC Type(s).

• (4) The ESC Interoperability Constituent Statement shall include the reference to the NoBo assessment Report according to 6.2.4.3 (ETCS and radio system compatibility checks for Interoperability Constituent).

The ESC of the specific on-board CCS subsystem with respect to one or more ESC Type(s) is laid down in the ESC Statement. The template provided in Appendix C.1 or C.5 shall be used.

At subsystem level, the ESC Statement shall also include the summary of the ESC Check Report and shall demonstrate the fulfilment of the required ESC checks (for each ESC Type included in the Statement) published in the Agency ESC/RSC technical document in addition to already provided ESC interoperability constituent statements.

The ESC Statement shall also include the full list of ESC Interoperability Constituent statements taken into account in the assessment (if any), the conditions (if any) with respect to the different ESC Types and the NoBo Assessment Report according to 6.3.3.1 (ETCS and radio system compatibility checks).

4.2.17.2.   Requirements for ETCS System Compatibility

The Infrastructure Manager is responsible for defining the ESC type(s). All sections of the Union network which require the same set of checks for the demonstration of ESC shall have the same ESC type.

The list of ESC Types is published and maintained by the European Union Agency for Railways in the technical document ‘ESC/RSC technical document, TD/011REC1028’. See Appendix A, Table A 1, 4.2.17 a. The Agency shall analyse the changes to existing types consisting of the complete or partial removal of types and/or checks, or that are editorial. The analysis by the Agency shall be done within 2 months of receipt thereof, unless a longer period is agreed between the Agency and the Infrastructure Manager but not exceeding 4 months in total. The technical document will be updated within 10 working days after positive analysis.

The ESC Types shall only be used when published with status ‘Valid’ in the Agency Technical document ‘ESC/RSC technical document, TD/011REC1028’.

Infrastructure Managers, with the support of the ETCS suppliers for their network, shall submit to the Agency the definition of the necessary checks for each ESC type on their network. The minimum information that shall be included:

• (1) Definition of each check to be performed.

• (2) Criteria to pass each check.

• (3) If a check is only required for trains compatible with a specific M_VERSION functionality and a given TSI release.

• (4) If checks are to be performed in laboratories or on the track. In case of track, it shall be indicated if a specific location is required.

• (5) Contact details in order to request the performance of each check.

• (6) Description of the representative configuration of a check whenever defined by the relevant IM to be performed in a laboratory.

• (7) Proposal of the transition period between the new version of ESC Types definition and prior version, or the national procedure. It shall also be indicated the validity of the previous ESC Types. The final transition period shall be agreed with the Agency. In the absence of agreement, it will be 6 months.

Infrastructure Managers shall classify the ETCS lines according to ESC Types and register the ESC Types in RINF. If no ESC definition is published in the ESC/RSC Technical Document or received by the Agency for existing lines equipped with ETCS, it shall be considered that no ESC checks are required for the concerned lines.

Infrastructure Manager shall provide the necessary means, laboratory or access to the infrastructure, to perform the checks, as required by Article 6 of Implementing Regulation (EU) 2018/545.

Infrastructure Managers shall submit to the Agency any changes on the referred checks for their network.

The ESC types are valid indefinitely unless modified or withdrawn by the Infrastructure Manager. In case of changes, the provisions on 7.2.3.4 (Impact on the technical compatibility between on-board and trackside parts of the CCS subsystems) shall be respected. If an on-board needs to be rechecked, only the new/updated ESC checks need to be done, applying the principle that already passed checks remain valid, if the vehicle is not modified.

When ESC checks are published or updated by the Agency in the technical document ‘ESC/RSC technical document, TD/011REC1028’, the corresponding existing National Rules for ETCS compatibility testing shall be withdrawn and only ESC checks shall be performed to demonstrate technical compatibility between subsystems. The IM shall indicate the equivalence (none, partial or complete) of the ESC with the previous national procedure, if existing. In such a case, Interoperability Constituent or subsystems which have demonstrated technical compatibility with the previous national procedure, may reuse that as evidence for the demonstration of compliance with the equivalent part of the new ESC without the need to execute the checks again. If not fully equivalent, the IM shall indicate a transition period as mentioned in point (7) of fourth subparagraph of this point.

The Entity in charge of ESC demonstration shall define a representative configuration of the ETCS on-board subsystem.

The ESC Statement shall be produced by the Entity applying for ESC Demonstration.

The Entity applying for ESC Demonstration shall have the ESC check report for the Interoperability Constituent or Subsystem assessed by a Notified Body according with points 6.2.4.3 (ETCS and radio system compatibility checks for Interoperability Constituent) or 6.3.3.1 (ETCS and radio system compatibility checks).

If a Check Report or an ESC Interoperability Constituent Statement referred to in the ESC Statement contains Conditions, all Conditions shall be recorded, reflecting the status and if agreed how they are managed by the affected party (e.g. RU willing to demonstrate the compatibility with a route), and this responsibility shall be recorded in the ESC Statement.

4.2.17.3.   Radio System Compatibility

Radio System Compatibility (RSC) is the recording of technical compatibility between voice or data radio on-board and the trackside parts of RMR of the CCS subsystems within an area of use.

Each RSC Type identifies the set of RSC checks (e.g. document check, lab or track test) applicable for a section or group of sections within an area of use. It is possible to use the same RSC type for cross border infrastructure and for different national infrastructures.

The results of the RSC checks for an on-board voice or data radio part on the Interoperability Constituent level or subsystem level, including findings and conditions arising, are recorded in the RSC Check Report.

Representative Configuration means a configuration on the basis of which test results can be achieved, which are valid for various configurations of the same certified Interoperability Constituent or of a certified on-board subsystem. These results shall also be equivalent for various configurations of a certified RMR trackside subsystem.

For RSC checks at Interoperability Constituent level the following is to be observed:

• (1) The RSC Interoperability Constituent Statement records the RSC results of the Interoperability Constituent (e.g. Cab Radio or EDOR) to the RSC Type(s) that is valid regardless of the specific configuration of the Interoperability Constituents. This document shall be produced by the supplier. The template provided in Appendix C.4 or C.6 shall be used.

• (2) The RSC Interoperability Constituent Statement shall include the summary of the findings and conditions of RSC Check Report(s) on the results of the RSC checks passed (defined in one or more RSC Type), which are valid independently from the specific configuration parameters of the on-board Interoperability Constituent and can therefore be used in every applicable on-board CCS subsystem level.

• (3) The RSC Interoperability Constituent Statement shall include the list of RSC checks performed for the RSC Type(s).

• (4) The RSC Interoperability Constituent Statement shall include the reference to the NoBo assessment Report according to 6.2.4.3 (ETCS and radio system compatibility checks for Interoperability Constituent).

The RSC of the specific on-board CCS subsystem with respect to one or more RSC Type(s) is laid down in the RSC Statement. The template provided in Appendix C.3 or C.5 shall be used.

At subsystem level, the RSC Statement shall also include the summary of the Check Report and shall demonstrate the fulfilment of the required RSC checks (for each RSC Type included in the Statement) published in the Agency ESC/RSC technical document in addition to already provided RSC interoperability constituent statements.

The RSC Statement shall also include the full list of RSC Interoperability Constituent statements taken into account in the assessment (if any), the conditions (if any) with respect to the different RSC Types and the NoBo Assessment Report according to 6.3.3.1 (ETCS and radio system compatibility checks).

4.2.17.4.   Requirements for Radio System Compatibility

The Infrastructure Manager is responsible for defining the RSC type(s). All sections of the Union network which require the same set of checks for the demonstration of RSC shall have the same RSC type.

The list of RSC Types is published and maintained by the European Union Agency for Railways in the technical document ‘ESC/RSC technical document, TD/011REC1028’. See Appendix A, Table A 1, 4.2.17 a. The Agency shall analyse the changes to existing types consisting of the complete or partial removal of types and/or checks, or that are editorial. The analysis by the Agency shall be done within 2 months of receipt thereof, unless a longer period is agreed between the Agency and the Infrastructure Manager but not exceeding 4 months in total. The technical document will be updated within 10 working days after positive analysis.

The RSC Types shall only be used when published with status ‘Valid’ in the Agency Technical document ‘ESC/RSC technical document, TD/011REC1028’.

Infrastructure Managers, with the support of the RMR suppliers for their network, shall submit to the Agency the definition of the necessary checks for each RSC type on their network. The minimum information that shall be included:

• (1) Definition of each check to be performed

• (2) Criteria to pass each check

• (3) If a check is only required for trains equipped with a specific RMR GSM-R/FRMCS baseline and a given TSI release.

• (4) If checks are to be performed in laboratories or on the track. In case of track, it shall be indicated if a specific location is required.

• (5) Contact details in order to request the performance of each check.

• (6) Description of the representative configuration of a check whenever defined by the relevant IM to be performed in a laboratory.

• (7) Proposal of the transition period between the new version of RSC Types definition and prior version, or the national procedure. It shall also be indicated the validity of the previous RSC Types. The final transition period shall be agreed with the Agency. In the absence of agreement it will be 6 months.

Infrastructure Managers shall classify their lines according to RSC Types for voice and, if applicable, ETCS data. This RSC type classification shall be registered in RINF. If no RSC definition is published in the ESC/RSC Technical Document or received by the Agency for existing lines equipped with RMR GSM-R, it shall be considered that no RSC checks are required for the concerned lines.

Infrastructure Manager shall provide the necessary means, laboratory or access to the infrastructure, to perform the checks, as required by Article 6 of the Implementing Regulation (EU) 2018/545.

Infrastructure Managers shall submit to the Agency any changes on the referred checks for their network.

The RSC types are valid indefinitely unless modified or withdrawn by the Infrastructure Manager. In case of changes, the provisions on 7.2.3.4 (Impact on the technical compatibility between on-board and trackside parts of the CCS subsystems)shall be respected. If an on-board needs to be rechecked, only the new/updated RSC checks need to be done, applying the principle that already passed checks remain valid, if the vehicle is not modified.

When RSC checks are published or updated by the Agency in the technical document ‘ESC/RSC technical document, TD/011REC1028’, the corresponding existing National Rules for Radio compatibility testing shall be withdrawn and only RSC checks shall be performed to demonstrate technical compatibility between subsystems. The IM shall indicate the equivalence (none, partial or complete) of the RSC with the previous national procedure, if existing. In such a case, Interoperability Constituent or subsystems which have demonstrated technical compatibility with the previous national procedure, may reuse that as evidence for the RSC without the need to execute the checks again.

Entity in charge of RSC demonstration shall define a representative configuration of the Radio on-board subsystem.

The RSC Statement shall be produced by the Entity applying for RSC Demonstration.

The Entity applying for RSC Demonstration shall have the check report for the Interoperability Constituent or Subsystem assessed by a Notified Body according with points 6.2.4.3 (ETCS and radio system compatibility checks for Interoperability Constituent) or 6.3.3.1 (ETCS and radio system compatibility checks).

If a Check Report or an RSC Interoperability Constituent Statement referred to in the RSC Statement contains Conditions, all Conditions shall be recorded, reflecting the status and if agreed how they are managed by the affected party (e.g. RU willing to demonstrate the compatibility with a route), and this responsibility shall be recorded in the RSC Statement.

4.2.18.   On-Board ATO functionality

This basic parameter describes the ATO on-board functionality needed to operate a train up to Grade of Automation 2 with ETCS providing the automatic train protection functionality to enable it. The functions shall be implemented according to Appendix A, Table A 1, 4.2.18 a in addition to those required in point 4.2.2 (On-Board ETCS functionality).

The ATO functionality is supported by the additional specifications indicated below:

• (1) Communication with the Control-Command and Signalling Trackside Subsystem for radio data transmission. See point 4.2.5.1 (RMR air gap interface), point 4.2.6.2 (Interface between RMR Data Communication and ETCS/ATO-applications).

• (2) Communicating with the driver. See Appendix A, Table A 1, 4.2.2 e and 4.2.12 a (ETCS DMI).

• (3) Forwarding information/orders and receiving state information from rolling stock. See Appendix A, Table A 1, 4.2.18 c.

• (4) Forwarding information/orders and receiving state information from on-board ETCS. See Appendix A, Table A 1, 4.2.18 d.

The requirements for tests are specified in Appendix A, Table A 1, 4.2.18 b.

4.2.19.   Trackside ATO functionality

This basic parameter describes the ATO trackside functionality needed to operate a train up to Grade of Automation 2 with ETCS providing the automatic train protection functionality to enable it.

In addition to those required in point 4.2.3 (Trackside ETCS functionality), the functions shall be implemented according to Appendix A, Table A 1, 4.2.19 a.

The ATO functionality is supported with the additional specifications for communicating with the Control-Command and Signalling On-board Subsystem based on radio data transmission. See point 4.2.5.1 (RMR air gap interface) and point 4.2.7.3 (RMR/trackside ETCS and RMR/trackside ATO).

The requirements for tests are specified in Appendix A, Table A 1, 4.2.19 b.

4.2.20.   Technical documentation for Maintenance

This basic parameter describes the necessary requirements in relation to the technical documentation for maintenance to be fulfilled by the manufacturers of equipment and the applicant for subsystem verification.

4.2.20.1.   Responsibility of the manufacturer of equipment

The manufacturer of equipment incorporated in the subsystem shall specify:

• (1) 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 equipment life-cycle (transport and storage before installation, normal operation, failures and effects of failures, repair work, checking and maintenance, decommissioning, etc.). For further details on error corrections see points 6.5 (Management of errors) and 7.2.10 (Specifications maintenance (error corrections));

• (2) all requirements and procedures (test methods and tools, the required professional competence and the evaluation of the impact of the updated Interoperability Constituent on the subsystem) necessary to implement updated Interoperability Constituents due to specification error corrections throughout the equipment life-cycle (specifications maintenance). This includes the definition of the necessary procedures for updates of approved system modules and processes, during all life cycle phases, when there are error corrections according to Article 9 of this Regulation applicable to the subsystems;

• (3) the health and safety risks that may affect the public and the maintenance staff;

• (4) the conditions for first line maintenance, i.e. the definition of Line Replaceable Units (LRUs), the definition of approved compatible versions of hardware and software, the procedures for replacing failed LRUs, the conditions for storing LRUs and for repairing failed LRUs;

• (5) the checks to be carried out if equipment is subject to exceptional stress (e.g. adverse environmental conditions or abnormal shocks);

• (6) the checks to be carried out when maintaining equipment other than Control-Command and Signalling equipment and which influences the Control-Command and Signalling Subsystems (e.g. changing the wheel diameter).

4.2.20.2.   Responsibility of the applicant for subsystem verification

The applicant shall:

• (1) ensure that the maintenance requirements as described in point 4.2.20.1 (Responsibility of the manufacturer of equipment) are defined for all components within the scope of this TSI regardless of whether or not they are interoperability constituents;

• (2) complete the above requirements in point 4.2.20.1 taking into account the risks arising from interactions between different components of the subsystem and interfaces to other subsystems.

• (3) define procedures for the roll-out of updated interoperability constituents due to specification error corrections (specifications maintenance) according to the relevant documentation of the interoperability constituent, where applicable. The applicant shall provide a configuration management system to identify the impact on the subsystem. The applicant shall ensure the availability of the documentation regarding the version of the interoperability constituents included in its subsystems.

4.2.20.3.   System identifier

The ERTMS (ETCS, RMR, ATO) functionality of Interoperability Constituents and CCS subsystems shall be described with a ‘system identifier’, which is a numbering scheme to identify the system version and distinguish between a functional and a realisation identifier. The ‘functional identifier’ is part of the system identifier and means a figure or a number of figures defined by the individual configuration management, which represents a reference of the functionality for CCS implemented in a CCS subsystem or Interoperability Constituent. The ‘Realisation identifier’ is part of the system identifier and means a figure or a number of figures defined by the individual configuration management of a supplier, which represents a specific configuration (e.g. HW and SW) of a CCS subsystem or Interoperability Constituent. The ‘system identifier’, ‘functional identifier’ and ‘realisation identifier’ shall be defined by each supplier.

4.3.   Functional and technical specifications of the interfaces to other Subsystems

4.3.1.   Interface to the Operation and Traffic Management Subsystem

Interface with Operation and Traffic Management TSI	Interface with Operation and Traffic Management TSI	Interface with Operation and Traffic Management TSI	Interface with Operation and Traffic Management TSI
Reference CCS TSI		Reference Operation and Traffic Management TSI [^E0010]
Parameter	Point	Parameter	Point
Operating rules List of harmonised text indications and messages displayed on the ETCS Driver Machine Interface	4.4 Appendix E	Rule book Operating rules ERTMS trackside engineering information relevant to operation	4.2.1.2.1 4.4 Appendix D3
Trackside Control-Command and Signalling objects	4.2.15	Requirements for signal and line-side marker sighting	4.2.2.8
Train braking performance and characteristics	4.2.2	Train braking	4.2.2.6
Use of sanding equipment On-board flange lubrication Use of composite brake blocks	4.2.10	Rule book	4.2.1.2.1
Interface to Data Recording for Regulatory Purposes	4.2.14	Data recording	4.2.3.5
ETCS DMI (Driver-Machine Interface)	4.2.12	Format of train running number	4.2.3.2.1
RMR DMI (Driver-Machine Interface)	4.2.13	Format of train running number	4.2.3.2.1
Key Management	4.2.8	Ensuring that the train is in running order	4.2.2.7
Route compatibility checks before the use of authorised vehicles	4.9	Parameters for the vehicle and train compatibility over the route intended for operation	Appendix D1

In accordance with Commission Implementing Regulation (EU) 2019/773 of 16 May 2019 on the technical specification for interoperability relating to the operation and traffic management subsystem of the rail system within the European Union and repealing Decision (OJ L 139 I, 27.5.2019, p. 5).

4.3.2.   Interface to the Rolling Stock Subsystem

Interface with Rolling Stock TSIs	Interface with Rolling Stock TSIs	Interface with Rolling Stock TSIs	Interface with Rolling Stock TSIs	Interface with Rolling Stock TSIs
Reference CCS TSI	Reference CCS TSI	Reference Rolling Stock TSIs	Reference Rolling Stock TSIs	Reference Rolling Stock TSIs
Parameter	Point	Parameter		Point
Compatibility with trackside train detection systems: vehicle design	4.2.10	Rolling stock characteristics to be compatible with train detection systems based on track circuits	LOC & PAS TSI Wagon TSI [^E0011]	4.2.3.3.1.1 4.2.3.2
Compatibility with trackside train detection systems: vehicle design	4.2.10	Rolling stock characteristics to be compatible with train detection systems based on axle counters	LOC & PAS TSI Wagon TSI	4.2.3.3.1.2 4.2.3.3
Compatibility with trackside train detection systems: vehicle design	4.2.10	Rolling stock characteristics to be compatible with loop equipment	LOC & PAS TSI Wagon TSI	4.2.3.3.1.3 4.2.3.3
Electromagnetic Compatibility between Rolling Stock and Control-Command and Signalling trackside equipment	4.2.11	Rolling stock characteristics to be compatible with train detection systems based on track circuits	LOC & PAS TSI Wagon TSI	4.2.3.3.1.1 4.2.3.3
Electromagnetic Compatibility between Rolling Stock and Control-Command and Signalling trackside equipment	4.2.11	Rolling stock characteristics to be compatible with train detection systems based on axle counters	LOC & PAS TSI Wagon TSI	4.2.3.3.1.2 4.2.3.3
Train braking performance and characteristics	4.2.2 4.2.18	Braking performance	LOC & PAS TSI Emergency braking LOC & PAS TSI Service braking Wagon TSI	4.2.4.5.2 4.2.4.5.3 4.2.4.3.2
Position of Control-Command and Signalling on-board antennas	4.2.2	Kinematic gauge	LOC & PAS TSI Wagon TSI	4.2.3.1 None
Isolation of on-board ETCS functionality	4.2.2	Operating rules	LOC & PAS TSI Wagon TSI	4.2.12.3 None
Trackside Control-Command and Signalling objects	4.2.15	External visibility Head lights	LOC & PAS TSI Wagon TSI	4.2.7.1.1 None
Trackside Control-Command and Signalling objects	4.2.15	Driver’s external field of view	LOC & PAS TSI line of sight windscreen Wagon TSI	4.2.9.1.3.1 4.2.9.2 None
Interface to Data Recording for Regulatory Purposes	4.2.14	Recording device	LOC & PAS TSI Wagon TSI	4.2.9.6 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Separation sections	LOC & PAS TSI Wagon TSI	4.2.8.2.9.8 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Dynamic braking command	LOC&PAS TSI Wagon TSI	4.2.4.4.4 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Magnetic track brake	LOC&PAS TSI Wagon TSI	4.2.4.8.2 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Eddy current track brake	LOC&PAS TSI Wagon TSI	4.2.4.8.3 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Maximum power and current from the overhead contact line	LOC&PAS TSI Wagon TSI	4.2.8.2.4 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Door opening	LOC&PAS TSI Wagon TSI	4.2.5.5.6 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Requirements on performance	LOC&PAS TSI Wagon TSI	4.2.8.1.2 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Smoke control	LOC&PAS TSI Wagon TSI	4.2.10.4.2 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Radio Remote control function by staff for shunting operation	LOC&PAS TSI Wagon TSI	4.2.9.3.6 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Driver's desk – Ergonomics	LOC&PAS TSI Wagon TSI	4.2.9.1.6 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Requirements for management of ETCS modes: sleeping mode	LOC&PAS TSI Wagon TSI	4.2.9.3.7.1 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Requirements for management of ETCS modes: passive shunting	LOC&PAS TSI Wagon TSI	4.2.9.3.7.2 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Requirements for management of ETCS modes: non-leading	LOC&PAS TSI Wagon TSI	4.2.9.3.7.3 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Type of brake system	LOC&PAS TSI Wagon TSI	4.2.4.3 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Traction Status	LOC&PAS TSI Wagon TSI	4.2.9.3.8 None
ETCS on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.2	Running dynamic behaviour	LOC&PAS TSI Wagon TSI	4.2.3.4.2 None
ATO on-board: Forwarding information/orders and receiving state information from rolling stock	4.2.18	Interface requirements with Automatic Train Operation onboard	LOC & PAS TSI Wagon TSI	4.2.13 None
Emergency braking command	4.2.2	Emergency braking command	LOC & PAS TSI Wagon TSI	4.2.4.4.1 None
Construction of equipment used in CCS subsystems	4.2.16	Material requirements	LOC&PAS TSI Wagon TSI	4.2.10.2.1 None
Service braking command	4.2.2	Service braking command	LOC & PAS TSI Wagon TSI	4.2.4.4.2 None

In accordance with Commission Regulation (EU) No 321/2013 of 13 March 2013 concerning the technical specification for interoperability relating to the subsystem rolling stock — freight wagons of the rail system in the European Union and repealing Decision 2006/861/EC (OJ L 104, 12.4.2013, p. 1).

4.3.3.   Interfaces to Infrastructure Subsystem

Interface with Infrastructure TSI	Interface with Infrastructure TSI	Interface with Infrastructure TSI	Interface with Infrastructure TSI	Interface with Infrastructure TSI
Reference CCS TSI		Reference Infrastructure TSI	Reference Infrastructure TSI
Parameter	Point	Parameter		Point
Eurobalise communication (space for installation)	4.2.5.2	Structure gauge	INF TSI [^E0012]	4.2.3.1
Euroloop communication (space for installation)	4.2.5.3	Structure gauge	INF TSI	4.2.3.1
Trackside Control-Command and Signalling objects	4.2.15	Structure gauge	INF TSI	4.2.3.1

INF TSI is Commission Regulation (EU) No 1299/2014 of 18 November 2014 on the technical specifications for interoperability relating to the ‘infrastructure’ subsystem of the rail system in the European Union (OJ L 356, 12.12.2014, p. 1).

4.3.4.   Interfaces to Energy Subsystem

Interface with Energy TSI	Interface with Energy TSI	Interface with Energy TSI	Interface with Energy TSI	Interface with Energy TSI
Reference CCS TSI		Reference Energy TSI	Reference Energy TSI
Parameter	Point	Parameter		Point
Commands to rolling stock equipment	4.2.2 4.2.3	Phase separation sections System separation sections	ENE TSI [^E0013]	4.2.15 4.2.16

ENE TSI is Commission Regulation (EU) No 1301/2014 of 18 November 2014 on the technical specifications for interoperability relating to the ‘energy’ subsystem of the rail system in the Union (OJ L 356, 12.12.2014, p. 179).

4.3.5.   Interfaces to Safety in Railway Tunnels

Interface with Safety in Railway Tunnels TSI	Interface with Safety in Railway Tunnels TSI	Interface with Safety in Railway Tunnels TSI	Interface with Safety in Railway Tunnels TSI	Interface with Safety in Railway Tunnels TSI
Reference CCS TSI		Reference SRT TSI	Reference SRT TSI
Parameter	Point	Parameter		Point
Mobile communication functions for railways RMR	4.2.4	Radio Communication	SRT TSI [^E0014]	4.2.1.8 (a)
Essential requirements	Point 3	Material characteristics	SRT TSI [^E0014]	4.2.1.3 4.2.3.1.1

SRT TSI is Commission Regulation (EU) No 1303/2014 of 18 November 2014 concerning the technical specification for interoperability relating to safety in railway tunnels of the rail system of the European Union (OJ L 356, 12.12.2014, p. 394) amended by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019.

4.4.   Operating rules

The rules for operating a railway service with ETCS, ATO and RMR are specified in the Operation and Traffic Management TSI.

The harmonised text indications and messages displayed on the ETCS Driver Machine Interface are listed under Appendix E.

4.5.   Maintenance rules

The maintenance rules of the subsystems covered by this TSI shall ensure that the values quoted in the basic parameters indicated in Chapter 4 are maintained within the required limits throughout the lifetime of the subsystems. However, during preventative or corrective maintenance, the subsystem may not be able to respect the values quoted in the basic parameters; the maintenance rules shall ensure that safety is not prejudiced during these activities.

The entity in charge of the Control-Command and Signalling Subsystems shall set up maintenance rules to achieve the above objectives. The preparation of these rules shall be done with the assistance of the requirements in point 4.2.20 (Technical documentation for Maintenance).

4.6.   Professional competences

The manufacturers of the equipment and of the subsystem shall provide information sufficient to define the professional competences required for the installation, final inspection and maintenance of the Control-Command and Signalling Subsystems. See point 4.5 (Maintenance rules).

4.7.   Health and safety conditions

Care shall be taken to ensure health and safety for maintenance and operations staff, in accordance with Union legislation and the national legislation that is compatible with the Union legislation.

Manufacturers shall indicate the risks for health and safety that arise from using and maintaining their equipment and subsystems. See point 4.4 (Operating rules) and point 4.5 (Maintenance rules).

4.8.   Registers

The data to be provided for the registers provided for in Articles 48 and 49 of Directive (EU) 2016/797 are those indicated in Commission Implementing Decision 2011/665/EU ([^E0015]) and Commission Implementing Regulation (EU) 2019/777 ([^E0016]).

4.9.   Route compatibility checks before the use of authorised vehicles

The parameters of the on-board CCS subsystem to be used by the railway undertaking, for the purpose of route compatibility check, are described in Appendix D1 of Implementing Regulation (EU) 2019/773.

5. INTEROPERABILITY CONSTITUENTS

5.1.   Definition

In accordance with Article 2(7) of Directive (EU) 2016/797, interoperability constituents means 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, including both tangible objects and intangible objects.

5.2.   List of interoperability constituents

5.2.1.   Basic interoperability constituents

The basic interoperability constituents in the Control-Command and Signalling Subsystems are defined in:

• (1) Table 5.1. for the Control-Command and Signalling On-board Subsystem;

• (2) Table 5.2. for the Control-Command and Signalling Trackside Subsystem.

5.2.2.   Grouping of interoperability constituents

• 5.2.2.1.The functions of basic interoperability constituents may be combined to form a group. This group is then defined by those functions and by its remaining external interfaces. If a group is formed in this way, it shall be considered as an interoperability constituent.

• Compliance of interfaces internal to the group of Interoperability Constituents to basic parameters of Chapter 4 does not have to be verified. Compliance of interfaces external to the group of Interoperability Constituents has to be verified to demonstrate conformity with the basic parameters related to the requirements of these external interfaces.

• 5.2.2.2.When interoperability constituents are grouped, the grouped functions and their addressing must be configurable in such a way that the grouped functions of the ATO, ETCS and the radio ICs can be replaced during the life cycle of the CCS subsystem by an external ATO, ETCS or Radio ICs. Therefore, the following interfaces in a grouped Interoperability Constituent shall be made externally accessible on the CCS Consist network communication layers as specified in Appendix A, Table A 1, 4.2.6 i:

• (1) Interface between ATO On-Board and ETCS On-Board as specified in Appendix A, Table A 1, 4.2.6 h;

• (2) Interface between ATO On-Board and GSM-R data radio On-Board as specified in Appendix A, Table A 1, 4.2.6 j;

• (3) Interface between On-board FRMCS and the CCS applications (ETCS in Appendix A, Table A 1, 4.2.6 g and ATO in Appendix A, Table A 1, 4.2.6 k).

5.3.   Constituents’ performance and specifications

For each basic interoperability constituent or group of interoperability constituents, the tables in Chapter 5 describe:

• (1) in column 3, the functions and interfaces. Note that some interoperability constituents have functions and/or interfaces that are optional;

• (2) in column 4, the mandatory specifications for the conformity assessment of each function or interface (where applicable) by reference to the relevant section of Chapter 4. Table 5.1 Basic interoperability constituents in the Control-Command and Signalling On-board Subsystem No Interoperability constituent (IC) Characteristics Specific requirements to be assessed by reference to Chapter 4 1 ETCS on-board Reliability, Availability, Maintainability, Safety (RAMS): Safety Availability/Reliability Maintainability 4.2.1.1 4.2.1.2 4.2.20.1 On-board ETCS functionality (excluding odometry) System identifier 4.2.2 4.2.20.3 ETCS air gap interfaces RBC (Radio data transmission optional) Radio infill unit (functionality optional) Eurobalise air gap Euroloop air gap (functionality optional) 4.2.5 4.2.5.1.2 4.2.5.1.2.1 4.2.5.2 4.2.5.3 Interfaces STM (implementation of interface K optional) GSM-R data radio On-Board FRMCS Key management ETCS-ID Management ETCS Driver-Machine Interface Train interface (see note below) On-board recording device ATO interface CCS Consist network communication layers. Note for train interface:  The implementation of all functions described in Appendix A Table A 2 Index 7 document is mandatory at Interoperability Constituent level. 4.2.6.1 4.2.6.2.1.1 4.2.6.2.1.2 4.2.8 4.2.9 4.2.12 4.2.2 4.2.14 4.2.6.4 4.2.6.5.1 Construction of equipment 4.2.16 ETCS System Compatibility (ESC) (optional) 4.2.17.1 4.2.17.2 2 Odometry equipment Reliability, Availability, Maintainability, Safety (RAMS): Safety Availability/Reliability Maintainability 4.2.1.1 4.2.1.2 4.2.20.1 On-board ETCS functionality: only Odometry 4.2.2 Construction of equipment 4.2.16 3 Standardised interface STM Interfaces On-board ETCS 4.2.6.1 4 GSM-R voice cab radio Note: SIM card, antenna, connecting cables and filters are not part of this interoperability constituent Reliability, Availability, Maintainability (RAM): Availability/Reliability Maintainability 4.2.1.2 4.2.20.1 Basic communication functions 4.2.4.1.1 Voice and operational communication applications System identifier 4.2.4.2.1 4.2.20.3 Interfaces GSM-R air gap GSM-R Driver-Machine Interface 4.2.5.1.1.1 4.2.13.1 Construction of equipment 4.2.16 Radio System Compatibility (RSC) (optional) 4.2.17.3 4.2.17.4 5 GSM-R data radio Note: SIM card, antenna, connecting cables and filters are not part of this interoperability constituent Reliability, Availability, Maintainability (RAM): Availability/Reliability Maintainability 4.2.1.2 4.2.20.1 Basic communication functions 4.2.4.1.1 ETCS data communication applications System identifier 4.2.4.3.1.1 4.2.20.3 Interfaces On-board ETCS On-board ATO GSM-R air gap GSM-R air gap for ETCS GSM-R air gap for ATO 4.2.6.2.1.1 4.2.6.2.2.1 4.2.5.1.1.1 4.2.5.1.2.1 4.2.5.1.3.1 Construction of equipment 4.2.16 Radio System Compatibility (RSC) (optional) 4.2.17.3 4.2.17.4 6 GSM-R SIM card Note: It is the responsibility of the GSM-R network operator to deliver to railway undertakings the SIM cards to be inserted in GSM-R terminal equipment. Basic communication functions System identifier 4.2.4.1.1 4.2.20.3 Construction of equipment 4.2.16 Radio System Compatibility (RSC) (optional) 4.2.17.3 4.2.17.4 7 ATO On-Board Reliability, Availability, Maintainability (RAM): Availability/Reliability Maintainability 4.2.1.2 4.2.20.1 On-board ATO functionality (excluding communication) System identifier 4.2.18 4.2.20.3 ATO air gap interfaces 4.2.5.1.3 Interfaces GSM-R data radio On-Board FRMCS Train interface ETCS interface CCS Consist network communication layers 4.2.6.2.2.1 4.2.6.2.2.2 4.2.18 4.2.6.4 4.2.6.5.1 Construction of equipment 4.2.16 8 FRMCS On-Board voice application Reliability, Availability, Maintainability (RAM): Availability/Reliability Maintainability 4.2.1.2 4.2.20.1 Basic communication functions 4.2.4.1.2 Voice and operational communication applications System identifier 4.2.4.2.2 4.2.20.3 Interfaces On-board FRMCS FRMCS Driver-Machine Interface 4.2.6.2.3 4.2.13.2 Construction of equipment 4.2.16 Radio System Compatibility (RSC) (optional) 4.2.17.3 4.2.17.4 9 On-board FRMCS Reliability, Availability, Maintainability (RAM): Availability/Reliability Maintainability 4.2.1.2 4.2.20.1 Basic communication functions System identifier 4.2.4.1.2 4.2.20.3 Interfaces FRMCS on-board voice application FRMCS air gap FRMCS air gap for ETCS application FRMCS air gap for ATO application On-board ETCS On-board ATO CCS Consist network communication layers 4.2.6.2.3 4.2.5.1.1.2 4.2.5.1.2.2 4.2.5.1.3.2 4.2.6.2.1.2 4.2.6.2.2.2 4.2.6.5.1 Construction of equipment 4.2.16 Radio System Compatibility (RSC) (optional) 4.2.17.3 4.2.17.4 10 FRMCS Profile Note: It is the responsibility of the FRMCS network operator to ensure that the FRMCS profile is made available to the subscribers. Basic communication functions System identifier 4.2.4.1.2 4.2.20.3 Construction of equipment 4.2.16 Radio System Compatibility (RSC) (optional) 4.2.17.3 4.2.17.4 Table 5.2 Basic interoperability constituents in the Control-Command and Signalling Trackside Subsystem 1 2 3 4 No Interoperability Constituent (IC) Characteristics Specific requirements to be assessed by reference to Chapter 4 1 RBC Reliability, Availability, Maintainability, Safety (RAMS): Safety Availability/Reliability Maintainability 4.2.1.1 4.2.1.2 4.2.20.1 Trackside ETCS functionality (excluding communication via Eurobalises, radio infill and Euroloop) System identifier 4.2.3 4.2.20.3 RMR, ETCS and ATO air gap interfaces: only radio communication with train GSM-R air gap interface for ETCS FRMCS air gap interface for ETCS 4.2.5.1.2.1 4.2.5.1.2.2 Interfaces Neighbouring RBC GSM-R data radio communication FRMCS Trackside Key management ETCS-ID Management 4.2.7.1, 4.2.7.2 4.2.7.3.1.1 4.2.7.3.1.2 4.2.8 4.2.9 Construction of equipment 4.2.16 2 Radio infill unit Reliability, Availability, Maintainability, Safety (RAMS): Safety Availability/Reliability Maintainability 4.2.1.1 4.2.1.2 4.2.20.1 Trackside ETCS functionality (excluding communication via Eurobalises, Euroloop and level 2 functionality) System identifier 4.2.3 4.2.20.3 RMR, ETCS and ATO air gap interfaces: only radio communication with train GSM-R air gap interface for ETCS 4.2.5.1.2.1 Interfaces GSM-R data radio communication Key management ETCS-ID Management Interlocking and LEU 4.2.7.3 4.2.8 4.2.9 4.2.3 Construction of equipment 4.2.16 3 Eurobalise Reliability, Availability, Maintainability, Safety (RAMS): Safety Availability/Reliability Maintainability 4.2.1.1 4.2.1.2 4.2.20.1 ETCS and RMR air gap interfaces: only Eurobalise communication with train System identifier 4.2.5.2 4.2.20.3 Interfaces LEU – Eurobalise 4.2.7.4 Construction of equipment 4.2.16 4 Euroloop Reliability, Availability, Maintainability, Safety (RAMS): Safety Availability/Reliability Maintainability 4.2.1.1 4.2.1.2 4.2.20.1 ETCS and RMR air gap interfaces: only Euroloop communication with train System identifier 4.2.5.3 4.2.20.3 Interfaces LEU – Euroloop 4.2.7.5 Construction of equipment 4.2.16 5 LEU Eurobalise Reliability, Availability, Maintainability, Safety (RAMS): Safety Availability/Reliability Maintainability 4.2.1.1 4.2.1.2 4.2.20.1 Trackside ETCS functionality (excluding communication via radio infill, Euroloop and level 2 functionality) System identifier 4.2.3 4.2.20.3 Interfaces LEU – Eurobalise 4.2.7.4 Construction of equipment 4.2.16 6 LEU Euroloop Reliability, Availability, Maintainability, Safety (RAMS): Safety Availability/Reliability Maintainability 4.2.1.1 4.2.1.2 4.2.20.1 Trackside ETCS functionality (excluding communication via radio infill, Eurobalise and level 2 functionality) System identifier 4.2.3 4.2.20.3 Interfaces LEU – Euroloop 4.2.7.5 Construction of equipment 4.2.16 7 Axle Counter Trackside train detection systems (only parameters relevant for axle counters) 4.2.10 Electromagnetic compatibility (only parameters relevant for axle counters) 4.2.11 8 Marker Board Trackside Control-Command and Signalling objects (only points 1 and 2) 4.2.15 Construction of equipment 4.2.16 9 ATO Trackside Reliability, Availability, Maintainability (RAM): Availability/Reliability Maintainability 4.2.1.2 4.2.20.1 Trackside ATO functionality System identifier 4.2.19 4.2.20.3 RMR, ETCS and ATO air gap interfaces: only radio communication with train GSM-R air gap interface for ATO FRMCS air gap interface for ATO 4.2.5.1.3.1 4.2.5.1.3.2 Interfaces: GSM-R data radio communication FRMCS Trackside 4.2.7.3.2.1 4.2.7.3.2.2 Construction of equipment 4.2.16

6. ASSESSING THE CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITUENTS AND VERIFYING THE SUBSYSTEMS

6.1.   Introduction

6.1.1.   General principles

6.1.1.1.   Compliance with basic parameters

Fulfilment of the essential requirements set out in Chapter 3 of this TSI shall be ensured through compliance with the basic parameters specified in Chapter 4.

This compliance shall be demonstrated by:

• (1) assessing the conformity of the interoperability constituents specified in Chapter 5 (see points 6.2.1, 6.2.2, 6.2.3, 6.2.4);

• (2) verifying the subsystems (see point 6.3 and point 6.4).

In case of changes to existing subsystems, the requirements in 7.2.2 for on-board subsystems and 7.2.3 for trackside subsystems shall be considered in the assessment.

6.1.1.2.   Partial fulfilment of TSI requirements

An on-board subsystem may, if fulfilling both conditions below, not implement all mandatory functionalities specified in this TSI:

• (1) the functionalities are listed in Appendix G;

• (2) the Infrastructure Manager (with the support of the Member State) has indicated in RINF that the partial fulfilment of the listed requirement does not prevent an optimal and safe operation on its network.

Where a control-command and signalling interoperability constituent or subsystem does not implement all functionalities specified in this TSI, the relevant conditions for use shall reflect it in accordance with provisions of points 6.5.1 and 6.5.2.

6.1.2.   Principles for testing ETCS, ATO and RMR

6.1.2.1.   Principle

The principle is that a Control-Command and Signalling On-board Subsystem covered by an ‘EC’ declaration of verification is able to run on every Control-Command and Signalling Trackside Subsystem covered by an ‘EC’ Declaration of verification, under the conditions specified in this TSI, with no additional verifications.

Achievement of this principle is facilitated by:

• (1) rules for the design and installation of the Control-Command and Signalling On-board and the Trackside subsystems;

• (2) test specifications to prove that the Control-Command and Signalling On-board and Trackside Subsystems comply with the requirements of this TSI and are mutually compatible.

6.1.2.2.   Operational test scenarios

For the purpose of this TSI, an ‘operational test scenario’ means a sequence of trackside and on-board events related to or influencing the Control-command and Signalling subsystems (e.g. sending/receiving messages, exceeding a speed limit, actions of operators) and the specified timing between them in order to test the intended railway system operation in situations relevant for ETCS, ATO and RMR (e.g. entry of a train into an equipped area, awakening of a train, overriding a signal at stop).

The operational tests scenarios are based on the engineering rules adopted for the project.

Check of compliance of a real implementation with an operational test scenario shall be possible gathering information through easily accessible interfaces (preferably the standard interfaces specified in this TSI).

6.1.2.3.   Requirements for Operational test scenarios

The set of engineering rules for the trackside parts of ETCS, ATO and RMR and related operational test scenarios for the Trackside Control-command and Signalling Subsystem shall be sufficient to describe all intended system operations relevant for the Trackside Control-command and Signalling Subsystem in normal and identified degraded situations, and:

• (1) shall be consistent with the specifications referenced in this TSI;

• (2) shall assume that functions, interfaces and performance of the Control-command and Signalling On-board Subsystems interacting with the Trackside Subsystem are compliant with the requirements of this TSI;

• (3) shall be the ones used in the EC Verification of the Trackside Control-command and Signalling Subsystem, to check that the implemented functions, interfaces and performance are able to ensure that the intended system operation in combination with the relevant modes and transitions between levels and modes of the Control-command and Signalling On-board Subsystems are respected.

6.2.   Interoperability constituents

6.2.1.   Assessment procedures for Control-Command and Signalling Interoperability Constituents

Before placing on the market an interoperability constituent and/or groups of interoperability constituents the manufacturer or his authorised representative established within the European Union shall draw up an ‘EC’ declaration of conformity in accordance with Article 9(2) and Article 10(1) of Directive (EU) 2016/797.

The assessment procedure shall be carried out using one of the modules specified in point 6.2.2 (Modules for Control-Command and Signalling Interoperability Constituents).

An ‘EC’ declaration of suitability for use is not required for Control-Command and Signalling interoperability constituents. Compliance with relevant basic parameters, as demonstrated by the ‘EC’ Declaration of conformity, is sufficient for placing the interoperability constituents on the market ([^E0017]).

6.2.2.   Modules for Control-Command and Signalling Interoperability Constituents

For assessing interoperability constituents within the Control-Command and Signalling Subsystems, the manufacturer or his authorised representative established within the European Union, may choose:

• (1) either the type-examination procedure (Module CB) for the design and development phase in combination with the production quality management system procedure (Module CD) for the production phase; or

• (2) the type-examination procedure (Module CB) for the design and development phase in combination with the product verification procedure (Module CF); or

• (3) the full quality management system with design examination procedure (Module CH1).

In addition, for checking the SIM card and Marker Board Interoperability Constituent, the manufacturer or his representative may choose Module CA.

The modules are described in detail in the Commission Decision 2010/713/EU ([^E0018]).

The following clarifications apply to the use of some of the modules:

• (1) with reference to Chapter 2 of the ‘Module CB’, ‘EC’-type examination shall be carried out through a combination of production type and design type;

• (2) with reference to Chapter 3 of the ‘Module CF’ (product verification) statistical verification is not allowed, i.e. all interoperability constituents shall be individually examined.

6.2.3.   Assessment requirements

Independently of the selected module:

• (1) the requirements stated in point 6.2.4.1 of this TSI shall be respected for the ‘On-board ETCS’ interoperability constituent,

• (2) the activities shown in Table 6.1.1 shall be carried out when assessing the conformity of an interoperability constituent or a group of interoperability constituents as defined in Chapter 5 of this TSI. All verifications shall be carried out by reference to the applicable table in Chapter 5 and the basic parameters indicated there.

• (3) The manufacturer of the equipment shall inform a Notified Body about all changes affecting the conformity of the Interoperability Constituent due to the requirements of the applicable TSI release. The manufacturer shall also demonstrate if these specifications of error corrections require new checks, in accordance with Table 6.1.1 and by application of modules for the EC Conformity according to 6.2.2. This information shall be provided by the manufacturer with corresponding references to the technical documentation relating to the existing EC certificate. The manufacturer shall justify and document that applicable requirements are met at interoperability constituent level, which shall be assessed by a Notified Body. The manufacturer shall inform the impacted entities about changes, e.g. regarding operation and maintenance, if they affect existing and already implemented products/components. Table 6.1.1 Conformity assessment requirements of an interoperability constituent or a group of interoperability constituents No Aspect What to assess Supporting evidence 1a Functions, interfaces and performances Check that all mandatory functions, interfaces and performances as described in the basic parameters referenced in the relevant table of Chapter 5 are implemented and that they comply with the requirements of this TSI. Design documentation and running of test cases and test sequences, as described in the basic parameters referenced in the relevant table of Chapter 5. 1b Check which optional functions and interfaces as described in the basic parameters referenced in the relevant table of Chapter 5 are implemented and that they comply with the requirements of this TSI. Design documentation and running of test cases and test sequences, as described in the basic parameters referenced in the relevant table of Chapter 5. 1c Check which additional functions and interfaces (not specified in this TSI) are implemented and that they do not lead to conflicts with implemented functions specified in this TSI. Impact analysis. 2a Construction of equipment Check compliance with mandatory conditions, where specified in the basic parameters referenced in the relevant table of Chapter 5. Documentation on material used and, where necessary, tests to ensure that the requirements of the basic parameters referenced in the relevant table of Chapter 5 are satisfied. 2b In addition, check that the interoperability constituent functions correctly in the environmental conditions for which it is designed. Tests according to the applicant’s specifications. 3 Reliability, Availability, Maintainability, Safety (RAMS) Check compliance with the safety requirements where specified in the basic parameters referenced in the relevant table of Chapter 5, i.e.

2.1.  The manufacturer’s quality and safety management throughout design, manufacturing and testing conforms to a recognised standard (see Note). 2.2.  The software development life-cycle, the hardware development life-cycle and the integration of hardware and software have each been undertaken in accordance with a recognised standard (see Note). 2.3.  The safety verification and validation process has been undertaken in accordance with a recognised standard (see Note) and respects the safety requirements described in the basic parameters referenced in the relevant table of Chapter 5. 2.4.  The functional and technical safety requirements (correct operation under fault-free conditions, effects of faults and of external influences) are verified in accordance with a recognised standard (see Note). Note:  The standard shall satisfy at least the following requirements: (1) be compliant with the requirements for code of practice, as stated in Annex I, point 2.3.2, of Regulation (EU) No 402/2013; (2) be widely acknowledged in the railway domain. If this is not the case, the standard will have to be justified and be acceptable to the Notified Body; (3) be relevant for the control of the considered hazards in the system under assessment; (4) be publicly available for all actors who want to use it. 4 Check that the quantitative reliability target (related to random failures) indicated by the applicant is met. Calculations 5 Elimination of systematic failures. Tests of equipment (full Interoperability Constituent or separately for subassemblies) in operational conditions, with repair when defects are detected. Documentation accompanying the certificate which indicates which kind of verifications have been performed, which standards have been applied and criteria adopted to consider these tests completed (according to decisions of the applicant). 6 Technical documentation for maintenance Check compliance with maintenance requirements – point 4.2.20.1. Document check

6.2.4.   Special issues

6.2.4.1.   Mandatory tests for the on-board ETCS

Particular attention shall be given to assessing the conformity of the on-board ETCS interoperability constituent, since it is complex and plays a key role in achieving interoperability.

Regardless of whether module CB or CH1 is chosen, the Notified Body shall check that:

• (1) a representative specimen of the interoperability constituent has been submitted to a full set of test sequences including all test cases necessary to check the functions referenced in point 4.2.2 (On-Board ETCS functionality). The applicant is responsible to define the test cases and their organisation in sequences, if this is not included in specifications referenced in this TSI;

• (2) these tests were carried out in a laboratory accredited in accordance with Regulation (EC) No 765/2008 of the European Parliament and of the Council ([^E0019]) and the standards referred to in Appendix A, Table A 4 to carry out tests with the use of the test architecture and the procedures specified in Appendix A, Table A 1, 4.2.2 c.

The laboratory shall provide a full report clearly indicating the results of the tests cases and sequences used. The Notified Body is responsible to assess the suitability of test cases and sequences to check compliance with all relevant requirements and to evaluate the results of tests in view of the certification of the Interoperability Constituent.

6.2.4.2.   Class B interfaces

Each Member State shall be responsible for verifying that Class B systems and their interfaces to the ETCS on-board Interoperability Constituent conform to its national requirements.

The verification of the standardised STM interface to the on-board ETCS requires a conformity assessment carried out by a Notified Body.

6.2.4.3.   ETCS and radio system compatibility checks for Interoperability Constituent

Since the ESC/RSC checks are not required in Table 6.1.1, they are not required for issuing an interoperability constituent certificate.

If ESC/RSC checks are executed at Interoperability Constituent level, the task of the NoBo with regards to the ESC/RSC Interoperability Constituent statement(s) and associated report is to verify the correctness and completeness of the ESC/RSC check report for the Interoperability Constituent, according to the requirements in this point.

In line with the Directive (EU) 2016/797 the Notified Body performing this assessment may be a different one from the Notified Body performing the EC conformity or suitability procedure for the interoperability constituent.

Table 6.1.2

NoBo assessment of the ETCS or Radio System Compatibility Check for Interoperability Constituents

No	Aspect	What to assess	Supporting evidence
1	Availability of the results	Assess that the check report gives reference to the checks according to the definition of the ESC/RSC types in the technical document published by ERA [^E0020]. Assess that the Interoperability Constituent check report clearly indicates which checks have been verified for the ESC/RSC Type.	Evaluation of the ESC/RSC Check Report.
2	Availability of the results	Assess that ESC/RSC results indicate for every ESC/RSC Check whether the ESC/RSC Check was passed as specified or not.	Evaluation of the ESC/RSC Check Report.
3	Incompatibilities and errors reported	Assess that for every ESC/RSC Check which was not passed as specified, the incompatibilities and errors reported during ESC/RSC Checks are stated.	Evaluation of the ESC/RSC Check Report.
4	Impact analysis	Assess that for every ESC/RSC Check which was not passed as specified, an impact analysis of the effects on ESC/RSC has been performed and recorded using the template provided in the Appendix D.	Evaluation of the ESC/RSC Check Report.

This includes the documents referred to in the Agency ESC/RSC Technical Document.

6.3.   Control-Command and Signalling Subsystems

6.3.1.   Assessment procedures for Control-Command and Signalling Subsystems

This Chapter deals with the ‘EC’ declaration of verification for the Control-Command and Signalling On-board Subsystem and the ‘EC’ declaration of verification for the Control-Command and Signalling Trackside Subsystem.

At the request of the applicant the Notified Body shall carry out an ‘EC’ verification of a Control-Command and Signalling On-board or Trackside Subsystem in accordance with Annex IV to Directive (EU) 2016/797.

The applicant shall draw up the ‘EC’ declaration of verification for the Control-Command and Signalling On-board or Trackside Subsystem in accordance with Article 15(1) and (9) of Directive (EU) 2016/797.

The content of the ‘EC’ declaration of verification shall conform to Article 15(9) of Directive (EU) 2016/797.

The assessment procedure shall be carried out using the modules specified in point 6.3.2 (Modules for Control-Command and Signalling Subsystems).

The ‘EC’ declarations of verification for a Control-Command and Signalling On-board Subsystem and of a Control-Command and Signalling Trackside Subsystem, together with the certificates of conformity, shall be deemed sufficient to ensure that the subsystems are compatible under the conditions specified in this TSI.

6.3.2.   Modules for Control-Command and Signalling Subsystems

All modules indicated below are specified in the Decision 2010/713/EU.

6.3.2.1.   On-board Subsystem

For verifying the Control-Command and Signalling On-board Subsystem, the applicant may choose either:

• (1) the type-examination procedure (Module SB) for the design and development phase in combination with the production quality management system procedure (Module SD) for the production phase; or

• (2) the type-examination procedure (Module SB) for the design and development phase in combination with the product verification procedure (Module SF); or

• (3) the full quality management system with design examination procedure (Module SH1).

6.3.2.2.   Trackside Subsystem

For verifying the Control-Command and Signalling Trackside Subsystem, the applicant may choose either:

• (1) the unit verification procedure (Module SG); or

• (2) the type-examination procedure (Module SB) for the design and development phase in combination with the production quality management system procedure (Module SD) for the production phase; or

• (3) the type-examination procedure (Module SB) for the design and development phase in combination with the product verification procedure (Module SF); or

• (4) the full quality management system with design examination procedure (Module SH1).

6.3.2.3.   Conditions for using modules for On-board and Trackside Subsystems

With reference to point 4.2 of Module SB (type-examination), design review is requested.

With reference to point 4.2 of Module SH1 (full quality management system with design examination), an additional type test is required.

6.3.3.   Assessment requirements for an On-board Subsystem

Table 6.2.1 shows the checks that must be carried out when verifying a Control-Command and Signalling On-board Subsystem and the basic parameters that must be respected.

Independently of the module chosen:

• (1) verification shall demonstrate that the Control-Command and Signalling On-board Subsystem complies with basic parameters when it is integrated into the vehicle;

• (2) the functionality and performances of interoperability constituents already covered by their EC Declaration of conformity do not require additional verifications;