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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

Type Regulation
Publication 2014-12-12
Last updated 2025-04-27
State In force
Department European Commission
Source EUR-Lex
articles 12
Reform history JSON API
  • (2)The area of use in terms of rolling stock type which, coupled with the unit to be assessed, ensures that the train is compliant with the TSI is not verified by the Notified Body.
  • (3)After such a unit has received the authorisation to be placed in service, its use in a train formation (whether TSI compliant or not) shall be dealt with under the responsibility of the Railway Undertaking, according to the rules defined in point 4.2.2.5 of the TSI OPE (train composition).

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

- (1)Where a new, upgraded or renewed unit to be included in predefined formation(s) is subject to assessment (in accordance with point 4.1.2 ), the EC certificate of verification shall identify the formation(s) for which the assessment is valid: the rolling stock type coupled with the unit to be assessed, number of vehicles in the formation(s), arrangement of the vehicles in the formation(s) that will ensure that the train formation will be compliant with this TSI.
- (2)TSI requirements at train level shall be assessed with use of a reference train formation when and as specified in this TSI.
  • (3)After such a unit has received the authorisation to be placed in service, it may be coupled with other units to constitute the formations mentioned in the EC certificate of verification.
6.2.9.   Particular case: Assessment of units intended to be included in an existing fixed formation

6.2.9.1.   Context

- (1) This particular case of assessment applies in case of replacement of a part of a fixed formation, which has already been placed in service.

Two cases are described below, depending on the TSI status of the fixed formation. The part of the fixed formation subject to the assessment is called ‘unit’ in the text below.

6.2.9.2.   Case of a TSI compliant fixed formation

- (1) Where a new, upgraded or renewed unit to be included in an existing fixed formation is subject to assessment against this TSI, and a valid EC certificate of verification for the existing fixed formation is available, a TSI assessment only for the new part of the fixed formation is required in order to update the certificate of the existing fixed formation, which is considered as renewed  (see also point 7.1.2.2).

6.2.9.3.   Case of a non-TSI compliant fixed formation

  • (1) Where a new, upgraded or renewed unit to be included in an existing fixed formation is subject to assessment against this TSI, and a valid EC certificate of verification for the existing fixed formation is not available, the EC certificate of verification shall state that the assessment does not cover the TSI requirements applicable to the fixed formation, but only the assessed unit.

6.2.10.   EC verification when ETCS is installed on-board a rolling stock/rolling stock type

  • (1)This case applies when ETCS on-board is installed into:
  • — newly developed vehicle designs requiring a first authorisation as defined in Article 14 of Commission Implementing Regulation 2018/545 ([^E0025]),
  • — all other vehicle types and rolling stock in operation.
- Compliance of the rolling stock with train interface functions requirements of each basic parameter that refers to Appendix A, Table A.2, index 7 of TSI CCS (see column 1 and 2 of Table 9) can be assessed only when ETCS is installed.
  • (2)The assessment of the interface functions for installation of ETCS in the vehicle is part of the EC verification for the CCS on-board subsystem in accordance with point 6.3.3 of TSI CCS.
  • Note: Other requirements defined in this TSI applicable to Rolling stock are part of EC verification for the rolling stock subsystem.

6.2.11.   EC verification for rolling stock/rolling stock type when ATO on-board is installed

- (1)This point applies to units equipped with ETCS on-board and intended to be fitted with Automated Train Operation on-board up to Grade of Automation 2.

  • (2)The compliance of the rolling stock with interface requirements specified in Appendix A, Table A.2, indexes 84 and 88 of TSI CCS can be assessed only when ATO is installed.
  • (3)The assessment of the interface requirements for integration of the ATO on-board in the vehicle is part of the EC verification for the CCS on-board subsystem in accordance with point 6.3.3 of TSI CCS.

6.3.   Maintenance of subsystems containing Interoperability constituents not holding an EC declaration

- (3)Points (1) and (2) above are applicable until the components in question are part of an upgrade or renewal of the subsystem according to point 7.1.2.
7. IMPLEMENTATION

7.1.   General rules for implementation

7.1.1.   General

7.1.1.1.   Application to newly built rolling stock
  • (1)This TSI is applicable to all units of rolling stock in its scope which are placed on the market after the date of application set out in Article 12, except where point 7.1.1.2 ‘Application to ongoing projects’ or point 7.1.1.3 ‘Application to special vehicles, such as on-track machines’ below apply.
  • (2)Compliance with this Annex in its version applicable before 28 September 2023 is deemed equivalent to compliance with this TSI, except for changes listed in Appendix L.

7.1.1.2.   Application to ongoing projects

- (1)The application of the version of this TSI applicable from 28 September 2023 is not mandatory for projects that, on that date, are in phase A or phase B as defined in point 7.1.3.1 of the ‘previous TSI’ (i.e. this Regulation, as amended by Commission Implementing Regulation (EU) 2020/387 ([^E0026])).
  • (2)Without prejudice to Appendix L, Table L.2, the application of the requirements of Chapters 4, 5, and 6 to projects referred in point (1) is possible on a voluntary basis.
  • (3)If the applicant chooses not to apply this TSI version to an ongoing project, the version of this TSI applicable at the beginning of phase A as referred to in point (1) remains applicable.

7.1.1.3.   Application to special vehicles

  • (1)The application of this TSI and TSI NOI to special vehicles in running mode (as defined in points 2.2 and 2.3) is mandatory if the area of use covers more than one Member State.
  • (2)The application of this TSI and TSI NOI to special vehicles in running mode other than the ones referred in to point (1) is not mandatory.
- (a) If national rules different to this TSI or TSI NOI do not exist, the applicant shall use the conformity assessment process as described in the point 6.2.1 to establish an EC declaration of verification against this TSI; this EC declaration of verification shall be recognised as such by Member States.
  • (b) In case national rules different to this TSI or TSI NOI exist and the applicant chooses not to apply the respective TSIs as regards the relevant basic parameters of these TSIs, the special vehicle may be authorised in accordance with Article 21 of Directive (EU) 2016/797 against national rules as regards the selected basic parameters.
- (3)When applying point 2 (b), the assessment of the driver's cab interior noise level (see point 4.2.4 of the TSI NOI) is mandatory for all special vehicles.

7.1.1.4.   Transitional measure for fire safety requirement

During a transitional period ending on 1st January 2026, it is permitted, as an alternative to material requirements specified in point 4.2.10.2.1, to apply the verification of conformity to the material fire safety requirements using the appropriate operation category from EN 45545-2:2013+A1:2015.

7.1.1.5.   Conditions for having a vehicle type authorisation and/or an authorisation for placing on the market of passenger coaches not limited to a particular area of use

  • (1)This point applies to passenger coaches and other related cars as defined in point 2.2.2(A)(3), excluding those equipped with a driving cab.
  • (2)The conditions for having a vehicle type authorisation and/or an authorisation for placing on the market not limited to a particular area of use are specified in points 7.1.1.5.1 and 7.1.1.5.2 as additional requirements to be covered in the EC verification of the subsystem rolling stock. These conditions shall be seen as complementary to the requirements of this TSI, the TSI PRM and the TSI NOI and shall be fulfilled in their entirety.
  • (3)The compliance with the set of conditions specified in point 7.1.1.5.1 is mandatory. It lists the conditions applicable to coaches intended to be used in predefined formation.
  • (4)The compliance with the set of conditions specified in point 7.1.1.5.2 is optional. That point lists additional conditions that are applicable to coaches intended to be used in general operation.

7.1.1.5.1.   Conditions applicable to coaches intended to be used in predefined formations

  • (1)The vehicle shall correspond to a unit (as defined in this TSI) composed of a rolling stock subsystem only without CCS on-board installed.
  • (2)The unit is without traction.
  • (3)The unit shall be designed for operation on at least one of the following track gauges:
  • (a) 1 435 mm,
  • (b) 1 668 mm.
  • (4)The unit shall be equipped with forged and rolled wheels assessed in accordance with point 6.1.3.1.
  • (5)The unit shall be equipped with wheels having minimum wheel diameter above 760 mm.
  • (6)The unit shall be compatible with following rail inclination: 1/20, 1/30 and 1/40. Non compatibility with one or several rail inclinations shall exclude the concerned network(s) of the area of use.
  • (7)The unit shall be declared as compliant with one of the following reference profiles: G1, GA, GB, GC or DE3 including those used for the lower part GI1, GI2 or GI3.
  • (8)The maximum speed of the unit shall be lower than 250 km/h.
  • (9)Units of category B referred to in point 4.1.4 shall be equipped with full cross section partitions in accordance with point 4.2.10.3.4 (3), except sleeping coaches which shall be equipped with other Fire Containment and Control Systems (FCCS) in accordance with point 4.2.10.3.4 (4).
  • (10)If the unit is equipped with flange lubricators, it shall be possible to activate/deactivate them in accordance with the specification referenced in Appendix J-2 index [A].
  • (11)If the unit is equipped with eddy current track brake, it shall be possible to activate/deactivate them in accordance with the specification referenced in Appendix J-2 index [A].
  • (12)If the unit is equipped with magnetic track brake, it shall be possible to activate/deactivate them in accordance with the specification referenced in Appendix J-2 index [A].
  • (13)Units fitted with an EN-UIC brake system shall be tested in accordance with the specification referenced in Appendix J-1 index [71].
  • (14)If the unit is intended to operate in mixed traffic in tunnels, higher aerodynamic loads shall be considered in accordance with the specification referenced in Appendix J-1 index [50].
  • (15)The unit shall be compliant with the specification referenced in Appendix J-2 index [A].
  • (16)The following unit characteristics shall be recorded in the technical documentation described in point 4.2.12.2 (26):
  • (a) Applicable ‘single pole’ power supply line voltages in accordance with point 4.2.11.6 (2),
  • (b) Maximum ‘single pole’ power supply line current consumption of the unit at standstill (A) for each applicable ‘single pole’ power supply line voltages,
  • (c) For each band of the frequency management defined in the specification referenced in Appendix J-2 index [A] and in the specific cases or technical documents referred to in Article 13 of TSI CCS when they are available. Pending the notification of specific cases referred to in Article 13 of CCS TSI, the notified national rules remain applicable:
  • (i) Maximum interference current (A), and applicable summation rule,
  • (ii) Maximum magnetic field (dBμA/m) both radiated field and field due to the return current, and applicable summation rule,
  • (iii) Minimum vehicle impedance (Ohm).
  • (d) Comparable parameters specified in the specific cases or in the technical documents referred to in Article 13 of CCS TSI when they are available. In order to determine the characteristics listed in sub points (c) and (d), the unit shall be tested. The parameters of sub points (a) and (b) can be determined by simulation, calculation or testing.
  • (17)Electric interfaces between units and communication protocols shall be described in the general documentation described in point 4.2.12.2(3a) of this TSI, with the reference to the standards or other normative documents that have been applied.
  • (18)Communication networks shall comply with the specification referenced in Appendix J-1, index [53].
  • (19)The compliance/non-compliance with the specific case on the step position for vehicle access and egress defined in point 7.3.2.6 of the TSI PRM shall be recorded in the technical file. For units intended to operate in Germany, the compliance/non-compliance with the specific cases shall be documented by the application of the specification referenced in Appendix J-1 index [74] to Table 20 and Table 21 of the PRM TSI.
  • (20)For units designed for operation on 1 435 mm track gauge, the following specific cases shall also be considered:
  • (a) The compliance/non-compliance with the requirements regarding aerodynamic effects as set out in point 7.3.2.8 shall be recorded in the technical file. Non-compliance with the requirements shall exclude Italy from the area of use.
  • (b) The compliance/non-compliance with the requirements regarding fire safety and evacuation as set out in point 7.3.2.20 shall be recorded in the technical file. Non-compliance with the requirements shall exclude Italy from the area of use.
  • (c) The compliance/non-compliance with requirements regarding running capability and fire containment and control system as set out in point 7.3.2.21 shall be recorded in the technical file. Non-compliance with the requirements shall exclude the Channel tunnel from the area of use.
  • (d) The compliance/non-compliance with the requirements regarding the axle bearing condition monitoring by line side equipment as set out in point 7.3.2.3 shall be recorded in the technical file. Non-compliance with the requirements shall exclude France and/or Sweden from the area of use.
  • (e) For units intended to operate in Germany, the compliance/non-compliance of the unit characteristic wind curve (CWC) with the limits defined in the document referenced in Appendix J-2 index [C] shall be recorded in the technical file. Non-compliance with the requirements shall exclude Germany from the area of use.
  • (f) For units intended to operate in Germany on lines with a gradient above 40 ‰, the compliance/non-compliance with requirements defined in the document referenced in Appendix J-2 index [D] shall be recorded in the technical file. Non-compliance does not prevent the access of the unit to the national network.
  • (g) For units intended to operate in Germany, the compliance/non-compliance of the emergency exits with the document referenced in Appendix J-2 index [E] shall be recorded in the technical file. Non-compliance with the requirements shall exclude Germany from the area of use.
  • (h) For units intended to operate in Austria, the verification of the requirement for wheel-rail contact geometry, shall consider in addition to point 4.2.3.4.3, the following network characteristics:
  • — V ≤ 160 km/h: 0.7 ≤ tan γe < 0.8
  • — 160 km/h < V ≤ 200 km/h: 0.5 ≤ tan γe < 0.6
  • — V > 200 km/h: 0.3 ≤ tan γe < 0.4 The compliance/non-compliance with requirements shall be recorded in the technical file. Non-compliance with the requirements shall result in a limitation of the vehicle speed.
  • (i) For units intended to operate in Germany, the verification of the requirement for wheel-rail contact geometry, shall consider in addition to point 4.2.3.4.3, the following network characteristics:
  • — V ≤ 160 km/h: tan γe ≤ 0.8;
  • — 160 < V ≤ 230 km/h: tan γe ≤ 0.5;
  • — V > 230 km/h: tan γe ≤ 0.3. The compliance/non-compliance with requirements shall be recorded in the technical file. Non-compliance with the requirements shall result in a limitation of the vehicle speed.
  • (21)For units designed for operation on 1 668 mm track gauge, the compliance with points 7.3.2.5 and 7.3.2.6 is mandatory and the following specific cases shall be considered:
  • (a) The compliance/ non-compliance with the specific case on bogies designed to run on 1 668 mm track gauge defined in point 7.3.2.5a shall be recorded in the technical file. Non-compliance shall exclude Spanish 1 668 mm track gauge network from the area of use.
  • (b) The compliance/ non-compliance with the specific case on the step position for vehicle access and egress defined in point 7.3.2.6 of the TSI PRM shall be recorded in the technical file. For units designed for operation on 1 435 mm track gauge and not compliant with the specific case, point 7.3.2.7 of the TSI PRM shall apply.
  • (22)Non-compliance with any specific environmental condition as set out in point 7.4 shall result in restrictions of use on the network for which the specific condition has been defined, but not in the exclusion of that network from the area of use.
  • (23)The unit shall be marked in accordance with the specification referenced in Appendix J-1, index [5]

7.1.1.5.2.   Additional optional conditions applicable to coaches intended to be used in general operation

  • (1)The compliance with the following set of conditions set out in points (2) to (12) is optional and aims to facilitate exchange of units intended to be used within train formations that aren’t defined at design phase, i.e. units for general operations. Compliance with these provisions does not assure full interchangeability of units and does not exempt the railway undertaking of its responsibilities regarding the use of these units in a train formation as defined in point 6.2.7. If the applicant selects this option, a notified body shall assess the compliance within the EC verification procedure. This shall be reported in the certificate and in the technical documentation.
  • (2)The unit shall be fitted with a manual coupling system as defined in points 4.2.2.2.3(b) and 5.3.2.
  • (3)The unit shall be fitted with an EN-UIC braking system as defined in the specification referenced in Appendix J-1, index [12] and index [70]. The braking system shall be tested in accordance with the specification referenced in Appendix J-1 index [71].
  • (4)The unit shall meet the requirements of this TSI at least within the temperature range T1 (– 25 °C to + 40 °C; nominal) as defined in point 4.2.6.1 and in the specification referenced in Appendix J-1, index [18].
  • (5)The tail lights requested in point 4.2.7.1 shall be provided by fixed tail lamps.
  • (6)If the unit is fitted with a gangway, the gangway shall fulfil the specification referenced in Appendix J-1, index [54].
  • (7)‘Single pole’ power supply shall be compliant to point 4.2.11.6 (2).
  • (8)The physical interface between units for the signal transmission shall ensure that the cable and plug of at least one line is compatible with the 18-conductor cable defined in the plate 2 of the specification referenced in Appendix J-1, index [61].
  • (9)The door control device specified in point 4.2.5.5.3 shall be in accordance with the specifications described in Appendix J-1 index [17].

7.1.1.6.   Conditions for having a vehicle type authorisation and/or an authorisation for placing on the market of personnel carriages not limited to a particular area of use

  • (1) Point 7.1.1.6 applies to personnel carriages as defined in point 2.2.2(A)(3) under the conditions defined in point 2.3.1(A)(3).
  • (2) The conditions for having a vehicle type authorisation and/or an authorisation for placing on the market not limited to a particular area of use are specified in points 7.1.1.6.1, 7.1.1.6.2 and 7.1.1.6.3 as additional requirements to be covered in the EC verification of the subsystem rolling stock. These conditions shall be seen as complementary to the requirements defined in this TSI and shall be fulfilled in their entirety.
  • (3) Point 7.1.1.5 does not apply.
  • (4) The application of Regulation (EU) No 1304/2014, shall be limited to the stationary noise and the pass-by noise requirements, which shall be assessed on the basis of the limit values applicable to the Diesel Multiple Units (DMUs) as set out in point 4.2.1, Table 2 in the Annex to Commission Regulation (EU) No 1304/2014.
  • (5) Compliance with the conditions under point 7.1.1.6.1 is mandatory.
  • (6) Compliance with the conditions under point 7.1.1.6.2 is optional and becomes mandatory only in case the personnel carriage is intended to be used in general operation.
  • (7) Compliance with the conditions under point 7.1.1.6.3 is optional and becomes mandatory only in case the personnel carriage in general operation is intended to be included in passenger trains.

7.1.1.6.1.   Conditions applicable to personnel carriages intended to be used in predefined formations.

  • (1) The vehicle shall correspond to a unit (as defined in this TSI) composed of a rolling stock subsystem only without CCS on-board installed.
  • (2) The unit is without traction.
  • (3) The unit shall be designed for operation on at least one of the following track gauges:
  • (a) 1 435  mm;
  • (b) 1 668  mm;
  • (c) 1 520  mm, 1 524  mm and 1 600  mm. Where specific cases in accordance with Chapter 7 or national rules in accordance with the open points listed in Appendix I, not listed in 7.1.1.6.1 apply, the units are excluded from the use of the authorisation not limited to a particular area of use.
  • (4) The unit shall be compliant, in addition to the rolling stock category P-I, to the category F-I for all longitudinal load cases according to the specification referenced in Appendix J-1 index [1]. In addition, the verification of safe running under longitudinal compressive forces shall be done in accordance with the specification referenced in Appendix J-1 Index [75].
  • (5) The unit shall be equipped with forged and rolled wheels assessed in accordance with point 6.1.3.1.
  • (6) The unit shall be equipped with wheels having minimum wheel diameter above 760 mm.
  • (7) The unit shall be compatible with following rail inclination: 1/20, 1/30 and 1/40. Non-compatibility with one or several rail inclinations shall exclude the concerned network(s) of the area of use.
  • (8) The unit shall be declared as compliant with one of the following reference profiles: G1, GA, GB, GC or DE3 including those used for the lower part GI1, GI2 or GI3.
  • (9) The unit shall have a maximum axle load of 22,5 tons.
  • (10) The unit shall have a maximum speed lower than or equal to 140 km/h.
  • (11) The unit shall be of at least category A as referred to in point 4.1.4.
  • (12) The unit shall be equipped with self-rescue devices for all persons on board, satisfying the specifications of point 4.7.1 of Regulation (EU) No 1303/2014.
  • (13) It is not mandatory that the unit is equipped with an audible communication system as specified in point 4.2.5.2. In that case, operational means shall be put in place to ensure communication. Compliance/non-compliance with point 4.2.5.2 shall be recorded in the technical documentation described in point 4.2.12.2.
  • (14) The unit shall be compliant with point 4.2.5.3 except for the following points:
  • — points 4.2.5.3.2(3) to 4.2.5.3.2(5) are not applicable,
  • — point 4.2.5.3.3(1) is not applicable,
  • — point 4.2.5.3.3(2) is applicable if the unit is connected to a locomotive compatible with the passenger alarm activation signal. For the case that the unit is not directly connected to the locomotive, the emergency brake is automatically activated when the alarm is activated,
  • — point 4.2.5.3.4 is not applicable,
  • — point 4.2.5.3.5 is not applicable,
  • — point 4.2.5.3.6 is not applicable. Instead, if the passenger alarm system is not functioning, either after intentional isolation by staff or due to a technical failure, this shall be permanently indicated to the personnel transported in the unit.
  • (15) It is not mandatory that the unit is equipped with communication devices for passengers as specified in point 4.2.5.4. In that case, operational means shall be put in place to ensure communication. Compliance/non-compliance with point 4.2.5.4 shall be recorded in the technical documentation described in point 4.2.12.2.
  • (16) The unit shall be compliant with point 4.2.5.5 except for the following points:
  • — point 4.2.5.5.2(6) should read: ‘For the purpose of this point, “train crew” means one member of the on-board staff or the transported personnel in charge of the checks related to the door system’,
  • — point 4.2.5.5.7 is not applicable,
  • — point 4.2.5.5.9(1) applies without speed restriction for the device. It is always active.
  • (17) If the unit is equipped with flange lubricators, it shall be possible to activate/deactivate them in accordance with the specification referenced in Appendix J-2 index [A].
  • (18) If the unit is equipped with eddy current track brake, it shall be possible to activate/deactivate them in accordance with the specification referenced in Appendix J-2 index [A].
  • (19) If the unit is equipped with magnetic track brake, it shall be possible to activate/deactivate them in accordance with the specification referenced in Appendix J-2 index [A].
  • (20) Units fitted with an EN-UIC brake system shall be tested in accordance with the specification referenced in Appendix J-1 index [71].
  • (21) The unit shall be compliant with the specification referenced in Appendix J-2 index [A].
  • (22) The unit characteristics shall comply with the specification referenced in Appendix J-2 index [F].
  • (23) Electric interfaces between units and communication protocols shall be described in the general documentation described in point 4.2.12.2(3a), with the reference to the standards or other normative documents that have been applied.
  • (24) The risk of electric on-board equipment interfering with the trackside train detection systems shall be mitigated by train composition. If there is electrical connection between the carriage and the locomotive, a maximum of two of these units used in a train, powered by maximum one locomotive is considered an assumption of compliance, if the rest of the train composition is without electrical power.
  • (25) Communication networks shall comply with the specification referenced in Appendix J-1, index [53].
  • (26) For units designed for operation on 1 435 mm track gauge, the following specific cases shall also be considered:
  • (a) The compliance/non-compliance with the requirements regarding the axle bearing condition monitoring by line side equipment as set out in point 7.3.2.3 shall be recorded in the technical documentation described in point 4.2.12.2. Non-compliance with the requirements shall exclude France and/or Sweden from the area of use.
  • (b) For units intended to operate in Germany on lines with a gradient above 40 ‰, the compliance/non-compliance with requirements defined in the document referenced in Appendix J-2 index [D] shall be recorded in the technical documentation described in point 4.2.12.2. Non-compliance does not prevent the access of the unit to the national network.
  • (c) For units intended to operate in Austria on specific lines identified in the document referenced in Appendix J-2 index [G] to operate safely on such lines, the brake thermal capacity shall be verified with following reference case: Tauern South criteria: slope of 28 ‰ constant gradient over a distance of 25 km and maximum speed 100/110 km/h. Non-compliance does not prevent the access of the unit to the national network but results in limits the access to these specific sections.
  • (d) For units intended to operate in Austria, the verification of the requirement for wheel-rail contact geometry, shall consider in addition to point 4.2.3.4.3, the following network characteristics: [V ≤ 160 km/h: 0,7 ≤ tan γe < 0,8]. The compliance/non-compliance with requirements shall be recorded in the technical documentation described in point 4.2.12.2. Non-compliance with the requirements shall result in a limitation of the vehicle speed.
  • (e) For units intended to operate in Germany, the verification of the requirement for wheel-rail contact geometry, shall consider in addition to point 4.2.3.4.3, the following network characteristics: [V ≤ 160 km/h: tan γe ≤ 0,8] The compliance/non-compliance with requirements shall be recorded in the technical documentation described in point 4.2.12.2. Non-compliance with the requirements shall result in a limitation of the vehicle speed.
  • (f) For units intended to operate in Austria, the running safety on track with curves with a curve radius lower than 250 m shall be verified in accordance with the specification referenced in Appendix J-1, index [9]. The compliance/non-compliance with requirements shall be recorded in the technical documentation described in point 4.2.12.2. Non-compliance with the requirements shall result in limitation to access the routes identified in the document referenced in Appendix J-2 index [G].
  • (27) For units designed for operation on 1 668  mm track gauge, the compliance with points 7.3.2.5 and 7.3.2.6 is mandatory and the following specific cases shall be considered:
  • (a) The compliance/non-compliance with the specific case on bogies designed to run on 1 668  mm track gauge defined in point 7.3.2.5a shall be recorded in the technical documentation described in point 4.2.12.2. Non-compliance shall exclude Spanish 1 668  mm track gauge network from the area of use.
  • (28) Non-compliance with any specific environmental condition as set out in point 7.4 shall result in restrictions of use on the network for which the specific condition has been defined, but not in the exclusion of that network from the area of use.
  • (29) The unit shall be marked in accordance with the specification referenced in Appendix J-1, index [5].
  • (30) For personnel carriages, the detection of a fire shall activate an acoustic and optical alarm in the entire carriage. The acoustic signal shall be sufficient to wake up the transported personnel. The signal shall be clearly visible and audible in the area it has been designed to alert.

7.1.1.6.2   Additional optional conditions applicable to personnel carriages intended to be used in general operation.

  • (1) These conditions apply in addition to points 7.1.1.6.1.
  • (2) The compliance with the following set of conditions set out in points (2) to (10) is optional and aims to facilitate exchange of units intended to be used within train formations that are not defined at design phase, i.e. units for general operations. Compliance with these provisions does not assure full interchangeability of units and does not exempt the railway undertaking of their responsibilities regarding the use of these units in a train formation as defined in point 6.2.7. If the applicant selects this option, a notified body shall assess the compliance within the EC verification procedure. This shall be reported in the certificate and in the technical documentation.
  • (3) The unit shall be fitted with a manual coupling system as defined in points 4.2.2.2.3(b) and 5.3.2.
  • (4) The unit shall be fitted with an EN-UIC braking system as defined in the specification referenced in Appendix J-1, index [12] and index [70]. The braking system shall be tested in accordance with the specification referenced in Appendix J-1 index [71].
  • (5) The unit shall meet the requirements of this TSI at least within the temperature range T1 (– 25 °C to + 40 °C; nominal) as defined in point 4.2.6.1 and in the specification referenced in Appendix J-1, index [18].
  • (6) The taillights requested in point 4.2.7.1 shall be provided by fixed tail lamps.
  • (7) If the unit is fitted with a gangway, the gangway shall fulfil the specification referenced in Appendix J-1, index [54].
  • (8) ‘Single pole’ power supply shall be compliant to point 4.2.11.6(2).
  • (9) The physical interface between units for the signal transmission shall ensure that the cable and plug of at least one line is compatible with the 18-conductor cable defined in the plate 2 of the specification referenced in Appendix J-1, index [61].
  • (10) The door control device specified in point 4.2.5.5.3 shall be in accordance with the specifications described in Appendix J-1 index [17].

7.1.1.6.3.   Conditions applicable to personnel carriages intended to be included in passenger trains.

- (1) These conditions apply in addition to points 7.1.1.6.1 and 7.1.1.6.2 for units that can be included, when unoccupied, in a passenger train.
- (2) A train composition with the personnel carriage at the end of the train and without electric power is considered an assumption of compliance.
  • (3) The unit shall be of category A or category B. Units of category B shall be equipped with full cross-section partitions in accordance with point 4.2.10.3.4(3).

7.1.2.   Changes to rolling stock in operation or to an existing rolling stock type

7.1.2.1.   Introduction

  • (1)This point 7.1.2 defines the principles to be applied by the entities managing the change and authorising entities in line with the EC verification procedure described in Article 15(9), Article 21(12) of Directive (EU) 2016/797 and Annex IV thereto. This procedure is further developed in Article 13, 15 and 16 of Implementing Regulation (EU) 2018/545 and in Decision 2010/713/EU.
  • (2)This point 7.1.2 applies in case of any change(s) to rolling stock in operation or to an existing rolling stock type, including renewal or upgrade. It does not apply in case of changes:
- — that do not introduce a deviation from the technical files accompanying the EC declarations for verification for the subsystems, if any, and
  • — that do not have an impact on basic parameters not covered by the EC declaration, if any.
  • The holder of the vehicle type authorisation shall provide, under reasonable conditions, the information necessary for assessing the changes to the entity managing the change.

7.1.2.2.   Rules to manage changes in both rolling stock and rolling stock type

  • (1)Parts and basic parameters of the rolling stock that are not affected by the change(s) are exempt from conformity assessment against the provisions in this TSI.
- (2)Without prejudice to points 7.1.2.2a and 7.1.3, compliance with the requirements of this TSI, the TSI NOI (see point 7.2 of that TSI) and the TSI PRM (see point 7.2.3 of that TSI) shall only be needed for the basic parameters in this TSI which may be affected by the change(s).
- (3)In accordance with Articles 15 and 16 of Implementing Regulation (EU) 2018/545 and Decision 2010/713/EU and by application of modules SB, SD/SF or SH1 for the EC verification, and if relevant in accordance with Article 15(5) of Directive (EU) 2016/797, the entity managing the change shall inform a notified body of all changes affecting the conformity of the subsystem with requirements of the relevant TSI(s) requiring new checks by a notified body. This information shall be provided by the entity managing the change with corresponding references to the technical documentation relating to the existing EC type or design examination certificate.
  • (4)Without prejudice of the general safety judgement mandated in Article 21(12), point (b), of Directive (EU) 2016/797, in case of changes requiring reassessment of the safety requirements set out 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, the procedure set out in point 6.2.3.5 shall be applied. Table 17 below sets out when a new authorisation is required.

Table 17

Vehicle originally assessed against

First method of point 6.2.3.5(3) Second method of point 6.2.3.5(3) No CSM on RA applied
Change assessed against… First method of point 6.2.3.5(3) No new authorisation required Check [^E0027] No new authorisation required
Change assessed against… Second method of point 6.2.3.5(3) Check [^E0027] Check [^E0027] Check [^E0027]
Change assessed against… No CSM on RA applied Not possible Not possible Not possible

The word ‘Check’ means that the applicant will apply Annex I of the CSM on RA in order to demonstrate that the changed vehicle ensures an equal or higher level of safety. This demonstration shall be independently assessed by an assessment body as defined in CSM on RA. If the body concludes that the new safety assessment demonstrates a lower level of safety or the result is unclear, the applicant shall request an authorization for placing on the market.

  • (4a)Without prejudice of the general safety judgement mandated in Article 21(12), point (b), of Directive (EU) 2016/797, in case of changes impacting requirements set out in 4.2.4.9, 4.2.9.3.1 and 4.2.10.3.4 which require a new reliability study, a new authorisation for placing in the market shall be required unless the NoBo concludes that the safety-related requirements covered by the reliability study are improved or maintained. The NoBo will consider in its judgement the revised maintenance and operation documentation, where required.
  • (5)National migration strategies related to the implementation of other TSIs (e.g. TSIs covering fixed installations) shall be taken into account when defining to what extent the TSIs covering rolling stock needs to be applied.
  • (6)The basic design characteristics of the rolling stock are defined in Table 17a and Table 17b below. Based on these tables and on the safety judgement mandated in Article 21(12), point (b), of Directive (EU) 2016/797, the changes shall be categorised as follows:
  • (a) as defined by Article 15(1), point (c), of Implementing Regulation (EU) 2018/545 if they are above the thresholds set out in column 3 and below thresholds set out in column 4 unless the safety judgement mandated in Article 21(12), point (b), of Directive (EU) 2016/797 requires to categorise them as defined by Article 15(1), point (d), of Implementing Regulation (EU) 2018/545, or
  • (b) as defined by Article 15(1), point (d), of Implementing Regulation (EU) 2018/545 if they are above the thresholds set out in column 4 or if the safety judgement mandated in Article 21(12), point (b), of Directive (EU) 2016/797 requires to categorise them as as defined by Article 15(1), point (d), of Implementing Regulation (EU) 2018/545.
  • The determination whether the changes are beyond or above the thresholds mentioned in the first paragraph shall be done in reference to the values of the parameters at the time of the last authorisation of the rolling stock or rolling stock type.
  • (7)Changes not covered by point 7.1.2.2(6) are deemed not to have any impact on the basic design characteristics and may be categorised as defined by Article 15(1), point (a) or Article 15(1), point (b), of Implementing Regulation (EU) 2018/545, unless the safety judgement mandated in Article 21(12), point (b), of Directive (EU) 2016/797 requires to categorise them as defined by Article 15(1), point (d), of Implementing Regulation (EU) 2018/545.
- (8)The safety judgement mandated in Article 21(12), point (b), of Directive (EU) 2016/797 shall cover changes concerning basic parameters of the table of point 3.1, related to all the essential requirements, in particular the requirements ‘Safety’ and ‘Technical compatibility’.
- (9)Without prejudice to point 7.1.2.2a, all changes shall remain compliant with the applicable TSIs regardless their classification.
  • (10)The replacement of one or more vehicle(s) within a fixed formation after a severe damage does not require a conformity assessment against this TSI, as long as the unit or the vehicle(s) are unchanged in technical parameters and function to the ones they replace. Such units must be traceable and certified in accordance with any national or international rule, or any code of practice widely acknowledged in the railway domain.

Table 17a

| TSI point | Related basic design characteristic(s) | Changes impacting the basic design characteristic and not classified as defined by Article 21(12), point (a), of Directive (EU) 2016/797 | Changes impacting the basic design characteristic and classified as defined by Article 21(12), point (a), of Directive (EU) 2016/797 |

| --- | --- | --- | --- | | 4.2.2.2.3  End coupling | Type of end coupling | Change of end coupler type | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Design mass in working order | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Design mass under normal payload | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Design mass under exceptional payload | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Operational mass in working order | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Operational mass under normal payload | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Maximum design speed (km/h) | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Static axle load in working order | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Static axle load under exceptional payload | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Vehicle length | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Static axle load under normal payload | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Position of the axles along the unit (axle spacing) | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | N/A | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | EN line category(ies) | | | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Total vehicle mass (for each vehicle of the unit) | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with | Change of more than ± 10 % | | 4.2.2.10  Load conditions and weighed mass 4.2.3.2.1  Axle load parameter | Mass per wheel | Change in any of the corresponding basic design characteristics resulting in a change of the EN line category(ies) the vehicle is compatible with or Change of more than ± 10 % | N/A | | 4.2.3.1  Gauging | Reference profile | N/A | Change of reference profile the vehicle is conform to | | 4.2.3.1  Gauging | Minimum vertical convex curve radius capability | Change in minimum vertical convex curve radius capability the vehicle is compatible with of more than 10 % | N/A | | 4.2.3.1  Gauging | Minimum vertical concave curve radius capability | Change in minimum vertical concave curve radius capability the vehicle is compatible with of more than 10 % | N/A | | 4.2.3.3.1  Rolling stock characteristics for the compatibility with train detection systems | Compatibility with train detection systems | N/A | Change of declared compatibility with one or more of the three following train detection systems: — Track circuits — Axle counters — Loop equipment | | 4.2.3.3.1  Rolling stock characteristics for the compatibility with train detection systems | Flange lubrication | Fitting/removal of the flange lubrication function | NA | | 4.2.3.3.1  Rolling stock characteristics for the compatibility with train detection systems | Possibility of preventing the use of flange lubrication | NA | Fitting/removal of the control preventing the use of flange lubrication | | 4.2.3.3.2  Axle bearing condition monitoring | On-board detection system | Fitting of on-board detection system | Removal of declared on-board detection system | | 4.2.3.4.  Rolling stock dynamic behaviour | Combination of maximum speed and maximum cant deficiency for which the vehicle was assessed | N/A | Increase in maximum speed of more than 15 km/h or change of more than ± 10 % in maximum admissible cant deficiency | | 4.2.3.4.  Rolling stock dynamic behaviour | Rail inclination | N/A | Change of rail inclination(s) the vehicle is conform to (1) | | 4.2.3.5.2.1.  Mechanical and geometric characteristics of wheelsets | Wheelset gauge | N/A | Change of track gauge the wheelset is compatible with | | 4.2.3.5.2.2  Characteristics of wheels | Minimum required in-service wheel diameter | Change of minimum required in-service diameter of more than ± 10 mm | N/A | | 4.2.3.5.2.3  Automatic variable gauge systems | Wheelset gauge changeover facility | Change in the vehicle leading to a change in the changeover facility(ies) the wheelset is compatible with | Change of track gauge(s) the wheelset is compatible with | | 4.2.3.6.  Minimum curve radius | Minimum horizontal curve radius capability | Increase of minimum horizontal curve radius of more than 5 m | N/A | | 4.2.4.5.1  Braking performance — General requirements | Maximum average deceleration | Change of more than ± 10 % on the maximum average brake deceleration | N/A | | 4.2.4.5.2  Braking performance – Emergency braking | Stopping distance and deceleration profile for each load condition per design maximum speed. | Change of stopping distance of more than ± 10 % Note: Brake weight percentage (also called ‘lambda’ or ‘braked mass percentage’) or braked mass may also be used, and can be derived (directly or via stopping distance) from deceleration profiles by a calculation. The allowed change is the same (± 10 %) | N/A | | 4.2.4.5.3  Braking performance – Service braking | Stopping distance and maximum deceleration for the load condition ‘design mass under normal payload’ at the design maximum speed | Change of stopping distance of more than ± 10 % | N/A | | 4.2.4.5.4  Braking performance – Thermal capacity | Maximum brake thermal energy capacity | N/A | Change of maximum brake thermal energy >= 10 % | | 4.2.4.5.4  Braking performance – Thermal capacity | or | | Change of maximum brake thermal energy >= 10 % | | 4.2.4.5.4  Braking performance – Thermal capacity | Thermal capacity in terms of maximum line gradient, associated length and operating speed | Change of maximum gradient, associated length or operating speed for which the brake system is designed in relation with brake thermal energy capacity | Change of maximum brake thermal energy >= 10 % | | 4.2.4.5.5  Braking performance – Parking brake | Maximum gradient on which the unit is kept immobilized by the parking brake alone (if the vehicle is fitted with it) | Change of declared maximum gradient of more than ± 10 % | N/A | | 4.2.4.6.2.  Wheel slide protection system | Wheel slide protection system | N/A | Fitting/removal of WSP function | | 4.2.4.8.2  Magnetic track brake | Magnetic track brake | N/A | Fitting/removal of magnetic track brake function | | 4.2.4.8.2  Magnetic track brake | Possibility of preventing the use of the magnetic track brake | N/A | Fitting/removal of the brake control allowing the activation/deactivation of magnetic track brake | | 4.2.4.8.3  Eddy current track brake | Eddy current track brake | N/A | Fitting/removal of the eddy current track brake function | | 4.2.4.8.3  Eddy current track brake | Possibility of preventing the use of the eddy current track brake | N/A | Fitting/removal of the brake control allowing the activation/deactivation of eddy current track brake | | 4.2.6.1.1  Temperature | Temperature range | Change of temperature range (T1, T2, T3) | N/A | | 4.2.6.1.2  Snow, ice and hail | Snow, ice and hail conditions | Change of the selected range ‘snow, ice and hail’ (nominal or severe) | N/A | | 4.2.8.2.2  Operation within range of voltages and frequencies | Energy supply system (voltage and frequency) | N/A | Change of voltage(s)/frequency(ies) of the energy supply system (AC 25 kV-50 Hz, AC 15 kV-16,7 Hz, DC 3 kV, DC 1,5 kV, DC 750 V, third rail, others) | | 4.2.8.2.3  Regenerative brake with energy to the overhead contact line | Regenerative brake | N/A | Fitting/removal of regenerative brake function | | 4.2.8.2.3  Regenerative brake with energy to the overhead contact line | Possibility of preventing the use of the regenerative brake when fitted | Fitting/removing the possibility of preventing the use of regenerative brake | N/A | | 4.2.8.2.4  Maximum power and current from the overhead contact line | Applicable to Electric units with power higher than 2 MW only: Power or current limitation function | Power or current limitation function fitted/removed | N/A | | 4.2.8.2.5  Maximum current at standstill | Maximum current at standstill per pantograph for each DC system the vehicle is equipped for | Change of the maximum current value by 50 A without exceeding the limit set in this TSI | N/A | | 4.2.8.2.5  Maximum current at standstill | Vehicle equipped with electric energy storage for traction purposes and equipped with the function of charging with OCL at standstill | Adding or removing the function | N/A | | 4.2.8.2.9.1.1  Height of interaction with contact wires (RST level) | Height of interaction of pantograph with contact wires (over top of rail) | Change of height of interaction allowing/no longer allowing mechanical contact with one of the contact wires at heights above rail level between: 4 800 mm and 6 500 mm 4 500 mm and 6 500 mm 5 550 mm and 6 800 mm 5 600 mm and 6 600 mm | N/A | | 4.2.8.2.9.2  Pantograph head geometry (IC level) | Pantograph head geometry | N/A | Change of pantograph head geometry to or from one of the types defined in points 4.2.8.2.9.2.1, 4.2.8.2.9.2.2 or 4.2.8.2.9.2.3 | | 4.2.8.2.9.4.2  Contact strip material | Contact strip material | New contact strip as per 4.2.8.2.9.4.2(3) | N/A | | 4.2.8.2.9.6  Pantograph contact force and dynamic behaviour | Mean contact force curve | Change requiring a new assessment of pantograph dynamic behaviour. | N/A | | 4.2.8.2.9.7  Arrangement of pantographs (RST level) | Number of pantograph and shortest distance between two pantographs | N/A | Where the spacing of 2 consecutive pantographs in fixed or predefined formations of the assessed unit is reduced by means of removing a vehicle | | 4.2.8.2.9.10  Pantograph lowering (RST level) | Automatic dropping device (ADD) | Automatic dropping device (ADD) function fitted/removed | N/A | | 4.2.9.3.7  Derailment detection and prevention signal processing | Presence of derailment prevention and detection signal processing | Fitting/removing of prevention/detection function | N/A | | 4.2.9.3.7a  On-board derailment detection and prevention function | Presence of derailment prevention and detection function | Fitting/removing of prevention/detection function | N/A | | 4.2.10.1.  General and categorisation | Fire safety category | N/A | Change of fire safety category | | 4.2.12.2.  General documentation — number of units in multiple operation | Maximum number of trainsets or locomotives coupled together in multiple operation. | N/A | Change of maximum allowed number of trainsets or locomotives coupled together in multiple operation | | 4.2.12.2.  General documentation – number of vehicles in a unit | For fixed formations only: Vehicles composing the fixed formation | N/A | Change in the number of vehicles composing the fixed formation |

The rolling stock fulfilling one of the following conditions are deemed to be compatible with all rail inclinations: — Rolling stock assessed according to the specification referenced in Appendix J-1 index [9] or [73] — Rolling stock assessed according to the specification referenced in Appendix J-1 index [63] (amended or not amended by ERA/TD/2012-17/INT) or to the specification referenced in Appendix J-1 index [64] with the result, that there is no restriction to one rail inclination — Rolling stock assessed according to the specification referenced in Appendix J-1 index [63] (amended or not amended by ERA/TD/2012-17/INT) or to the specification referenced in Appendix J-1 index [64] with the result, that there is a restriction to one rail inclination and a new assessment of the wheel-rail-contact test conditions based on real wheel- and rail profiles and measured track gauge show compliance with the requirements on wheel-rail-contact conditions of the specification referenced in Appendix J-1 index [9].

Table 17b

Basic design characteristics related to basic parameters set out in the TSI PRM

TSI point Related basic design characteristic(s) Changes impacting the basic design characteristic and not classified as defined by Article 21(12), point (a), of Directive (EU) 2016/797 Changes impacting the basic design characteristic and classified as defined by Article 21(12), point (a), of Directive (EU) 2016/797
2.2.11.  Step position for vehicle access and egress Platform heights for which the vehicle is designed N/A Change of platform height the vehicle is compatible with
  • (11)In order to establish the EC type or design examination certificate, the notified body selected by the entity managing the change may refer to:
  • — the original EC type or design examination certificate for parts of the design that are unchanged or those that are changed but do not affect the conformity of the subsystem, as far as it is still valid;
  • — additional EC type or design examination certificate (amending the original certificate) for modified parts of the design that affect the conformity of the subsystem with the TSIs referred to in the certification framework defined in point 7.1.3.1.1.
- In case the validity period of the EC type or design examination certificate for the original type is limited to 7 years (due to the application of the former Phase A/B concept), the validity period of the EC type or design examination certificate for the modified type, type variant or type version shall be limited to 14 years after the date of appointment of a notified body by the applicant for the initial rolling stock type (beginning of phase A of the original EC type or design examination certificate).
  • (12)In any case, the entity managing the change shall ensure that the technical documentation which is relating to the EC type or design examination certificate is updated accordingly.
  • (13)The updated technical documentation, related to the EC type or design examination certificate is referred to in the technical file accompanying the EC declaration of verification issued by the entity managing the change for rolling stock declared as conformant to the modified type.

7.1.2.2a.   Particular rules for rolling stock in operation not covered by an EC declaration of verification with a first authorisation for placing in service before 1 January 2015

In addition to point 7.1.2.2 the following rules apply to rolling stock in operation with a first authorisation for placing in service before 1 January 2015, where the scope of the change has an impact on basic parameters not covered by the EC declaration (if any):
  • (1) The compliance with technical requirements of this TSI is deemed established when a basic parameter is improved in the direction of the TSI defined performance and the entity managing the change demonstrates that the corresponding essential requirements are met and the safety level is maintained and, where reasonably practicable, improved. The entity managing the change shall in this case justify, the reasons for which the TSI defined performance was not met, taking into account point 7.1.2.2 (5). This justification shall be included in the technical file, if any, or in the original technical documentation of the vehicle.
  • (2) The rule set out in point (1) is not applicable to changes to basic parameters classified as defined by Article 21(12), point (a), of Directive (EU) 2016/797, as specified in Tables 17c and 17d. For those changes, compliance with this TSI requirements is mandatory. Table 17c Changes to basic parameters for which compliance with TSI requirements is mandatory for rolling stock not holding an EC type or design examination certificate TSI point Related basic design characteristic(s) Changes impacting the basic design characteristic and classified as defined by Article 21(12), point (a), of Directive (EU) 2016/797 4.2.3.1  Gauging Reference profile Change of reference profile the vehicle is conform to 4.2.3.3.1  Rolling stock characteristics for the compatibility with train detection systems Compatibility with train detection systems Change of declared compatibility with one or more of the three following train detection systems: — Track circuits — Axle counters — Loop equipment 4.2.3.3.2  Axle bearing condition monitoring On-board detection system Fitting/Removal of declared on-board detection system 4.2.3.5.2.1.  Mechanical and geometric characteristics of wheelsets Wheelset gauge Change of track gauge the wheelset is compatible with 4.2.3.5.2.3  Automatic variable gauge systems Wheelset gauge changeover facility Change of track gauge(s) the wheelset is compatible with 4.2.8.2.3  Regenerative brake with energy to the overhead contact line Regenerative brake Fitting/removal of regenerative brake function Table 17d Changes to basic parameters of the TSI PRM for which compliance with TSI requirements is mandatory for rolling stock not holding an EC type or design examination certificate TSI point Related basic design characteristic(s) Changes impacting the basic design characteristic and classified as defined by Article 21(12), point (a), of Directive (EU) 2016/797 4.2.2.11.  Step position for vehicle access and egress Platform heights for which the vehicle is designed Change of platform height the vehicle is compatible with
7.1.2.2b.   Particular rules for vehicles modified to test performance or reliability of technological innovations for a limited period of time
- (1)The following rules apply, in addition to point 7.1.2.2, in case of modifications to single authorised vehicles for the purpose of testing the performance and reliability of technological innovations for a fixed period of time not longer than 1 year. They don't apply if the same modifications are made to several vehicles.
  • (2)The compliance with technical requirements of this TSI is deemed established when a basic parameter is kept unchanged or improved in the direction of the TSI defined performance and the entity managing the change demonstrates that the corresponding essential requirements are met and the safety level is maintained and, where reasonably practicable, improved.

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

7.1.3.1.   Rolling stock subsystem

7.1.3.1.1.   Definitions

  • (1)Initial assessment framework
  • The initial assessment framework is the set of TSIs (i.e. this TSI, TSI NOI and TSI PRM) applicable at the beginning of the design phase when the notified body is contracted by the applicant.
  • (2)Certification framework
  • The certification framework is the set of TSIs (i.e. this TSI, the TSI NOI and the TSI PRM) applicable at the time of issuing the EC type or design examination certificate. It is the initial assessment framework amended with the revisions of TSIs that came into force during the design phase.
  • (3)Design phase
  • The design phase is the period starting once a notified body, which is responsible for EC verification, is contracted by the applicant and ending when the EC type or design examination certificate is issued.
  • A design phase can cover a type and one or several type variant(s) and type version(s). For all type variant(s) and type version(s), the design phase is considered as starting at the same time as for the main type.
  • (4)Production phase
  • The production phase is the period during which rolling stock subsystems may be placed on the market on the basis of an EC declaration of verification referring to a valid EC type or design examination certificate.
  • (5)Rolling stock in operation:
  • Rolling stock is in operation when it is registered with ‘Valid’ registration code ‘00’, in the National Vehicle Register in accordance with Decision 2007/756/EC or in the European Vehicle Register in accordance with Implementing Decision (EU) 2018/1614 and maintained in a safe state of running in accordance with Commission Implementing Regulation (EU) 2019/779 ([^E0029]).

7.1.3.1.2.   Rules related to the EC type or design examination certificate

  • (1)The notified body shall issue the EC type or design examination certificate referring to the certification framework
  • (2)When a revision of this TSI or of the TSI NOI or the TSI PRM comes into force during the design phase, the notified body shall issue the EC type or design examination certificate according to the following rules:
  • — For changes in the TSIs that are not referenced in appendix L, conformity with the initial assessment framework leads to conformity to the certification framework. The Notified Body shall issue the EC type or design examination certificate referring to the certification framework without additional assessment.
  • — For changes in the TSIs that are referenced in appendix L, their application is mandatory according to the transition regime defined in the appendix. During the defined transition period, the Notified Body may issue the EC type or design examination certificate referring to the certification framework without additional assessment. The Notified Body shall list in the EC type or design examination certificate all the points assessed according to the initial assessment framework.
  • (3)When several revisions of this TSI or of the TSI NOI or the TSI PRM come into force during the design phase, point (2) shall apply to all revisions successively
  • (4)It is always permissible (but not mandatory) to use a most recent version of any TSI, either totally or for particular points, unless explicitly otherwise specified in the revision of these TSIs; in case of application limited to particular points, the applicant has to justify and document that applicable requirements remain consistent, and this has to be approved by the notified body.
7.1.3.1.3.   Validity of the EC type or design examination certificate
  • (1)When a revision of this TSI or of the TSI NOI or the TSI PRM comes into force, the EC type or design examination certificate for the subsystem remains valid unless it is required to be revised according to the specific transition regime of a TSI change.
  • (2)Only the changes to the TSIs with a specific transition regime can apply to Rolling Stock in production phase or to Rolling Stock in operation.

7.1.3.2.   Interoperability constituents

- (1)This point concerns an interoperability constituent which is subject to type or design examination or to suitability for use.
  • (2)Unless otherwise explicitly specified in the revision of this TSI or of the TSI NOI or the TSI PRM, the type or design examination or suitability for use remains valid even if a revision of these TSIs enters into force.
  • During this time, new constituents of the same type are permitted to be placed on the market without a new type assessment.

7.1.4.   Rules for the extension of the area of use for rolling stock having an authorisation in accordance with Directive 2008/57/EC or in operation before 19 July 2010

  • (1)In the absence of full conformity with this TSI, point 2 applies to rolling stock that fulfils the following conditions when requesting the extension of its area of use in accordance with Article 21(13) of Directive (EU) 2016/797:
  • (a) it has been authorised in accordance with Directive 2008/57/EC or put in operation before 19 July 2010;
  • (b) it is registered with ‘Valid’ registration code ‘00’, in the National Vehicle Register in accordance with Decision 2007/756/EC or in the European Vehicle Register in accordance with Implementing Decision (EU) 2018/1614 and maintained in a safe state of running in accordance with Implementing Regulation (EU) 2019/779.
  • The following provisions for extension of area of use apply also in combination with a new authorisation as defined in Article 14(3), point (a), of Implementing Regulation (EU) 2018/545.
  • (2)Authorisation for an extended area of use of the rolling stock referred to in point 1 shall be based on the existing authorisation, if any, and on the technical compatibility between the rolling stock and the network in accordance with point (d) of Article 21(3) of Directive (EU) 2016/797 and compliance with the Basic Design Characteristics of Tables 17a and 17b, taking into account any restrictions or limitations.
  • The applicant shall provide an ‘EC declaration of verification’ accompanied by technical files giving evidence of compliance with the requirements set out in this TSI, or with provisions having equivalent effect, for each basic parameter referred to in column 1 of Tables 17a and 17b and with the following points of this TSI:
  • — 4.2.4.2.2, 4.2.5.5.8, 4.2.5.5.9, 4.2.6.2.3, 4.2.6.2.4, 4.2.6.2.5, 4.2.8.2.7, 4.2.8.2.9.8 (when running through phase or system separation sections is managed automatically), 4.2.9.3.1, 4.2.9.6, 4.2.12 and 4.2.12.6
  • — 4.2.5.3 in Italy
  • — 4.2.5.3.5 and 4.2.9.2.1 in Germany through one or a combination of the following: (a) compliance with requirements set out in this TSI; (b) compliance with corresponding requirements set out in a previous TSI; (c) compliance with alternative specifications deemed to have equivalent effect; (d) evidence that the requirements for technical compatibility with the network of the extended area of use are equivalent to the requirements for technical compatibility with the network for which the rolling stock is already authorised or in operation. Such evidence shall be provided by the applicant and may be based on the information of the register of railway infrastructure (RINF).
  • (3)The equivalent effect of alternative specifications to the requirements of this TSI (point 2(c)) and the equivalence of requirements for technical compatibility with the network (point 2(d)) shall be justified and documented by the applicant by applying the risk management process set out in Annex I of Regulation (EU) No 402/2013. The justification has to be assessed and confirmed by an assessment body (CSM RA).
  • (4)In addition to the requirements mentioned referred to in point (2) above and where applicable, the applicant shall provide an ‘EC declaration of verification’ accompanied by technical files giving evidence of compliance with the following:
  • (a) specific cases relating to any part of the extended area of use, listed in this TSI, the TSI NOI, the TSI PRM and the TSI CCS;
  • (b) the national rules referred to in Article 13(2), points (a), (c) and (d), of Directive (EU) 2016/797 as notified in accordance with Article 14 of that Directive.
- (5)The authorising entity shall make publicly available through the Agency website details of the alternative specifications referred to in point 2(c) and of the requirements for technical compatibility with the network referred to in point 2(d) on the basis of which it granted authorisations for the extended area of use.

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