(1)

in Article 2(1), the reference to ‘point 2.7 of Annex II to Directive 2008/57/EC’ is replaced by a reference to ‘point 2.7 of Annex II to Directive (EU) 2016/797 of the European Parliament and of the Council (*)

(2)

in Article 3, the second subparagraph is amended as follows:

(3)

Article 4 is amended as follows:

(4)

Article 5 is amended as follows:

(5)

Article 8 is amended as follows:

(6)

Article 8a is amended as follows:

(7)

Article 8 c is amended as follows:

(8)

Article 9 is amended as follows:

‘The declaration of verification and/or conformity to type of a new vehicle established in accordance with Decision 2006/861/EC shall be considered valid until the end of a transition period ending on 1 January 2017.’;

(9)

Article 10a is amended as follows:

(10)

the Annex is amended in accordance with Annex I to this Regulation.

(1)

Article 2 is amended as follows:

(2)

Article 3 is amended as follows:

(3)

in Article 4, paragraph 1 is replaced by the following:

(4)

point (c) of paragraph 2 of Article 4 is replaced by the following:

(5)

Article 7(3) is amended as follows;

(6)

in Article 9, paragraph 2 is deleted;

(7)

Article 10 is amended as follows:

(8)

the Annex is amended in accordance with Annex II to this Regulation.

(1)

Article 2 is amended as follows:

(2)

Article 4 is amended as follows:

(3)

Article 7(3) is amended as follows:

(4)

in Article 9, paragraph 2 is deleted;

(5)

Article 10 is amended as follows:

(6)

the Annex is amended in accordance with Annex III to this Regulation.

(1)

in Article 2(1), the reference to ‘point 2.7 of Annex II to Directive 2008/57/EC’ is replaced by a reference to ‘point 2.7 of Annex II to Directive (EU) 2016/797 of the European Parliament and of the Council (*)

(2)

in Article 3, paragraph 2 is replaced by the following:

(3)

Article 4 is amended as follows:

(4)

in Article 5, paragraph 1 is replaced by the following:

(5)

point (c) of paragraph 2 of Article 5 is replaced by the following:

(6)

Article 8(3) is amended as follows:

(7)

in Article 9, the references to ‘Articles 16 to 18 of Directive 2008/57/EC’ and ‘Article 26 of Directive 2008/57/EC’ are replaced by references to ‘Articles 13 to 15 of Directive (EU) 2016/797’ and ‘Article 24 of Directive (EU) 2016/797’ respectively;

(8)

Article 10 is amended as follows:

(9)

the following paragraph 3 is added in Article 11:

(10)

the following paragraph 4 is added in Article 11:

(11)

the Annex is amended in accordance with Annex IV to this Regulation.

(1)

in Article 2, the reference to ‘Annex II to Directive 2008/57/EC’ is replaced by a reference to ‘Annex II to Directive (EU) 2016/797 (*)

(2)

Article 4 is amended as follows:

(3)

Article 8 is amended as follows:

(4)

the Annex is amended in accordance with Annex V to this Regulation.

(1)

Article 2 is amended as follows:

(2)

in Article 3(1), the reference to ‘Article 17(3) of Directive 2008/57/EC’ is replaced by a reference to ‘Article 14 of Directive (EU) 2016/797’;

(3)

Article 5 is deleted;

(4)

Article 6 is amended as follows:

(5)

Article 9 is amended as follows:

(6)

Articles 10 and 11 are replaced by the following:

(7)

the following Article 11a is inserted:

(8)

the following paragraphs 2 and 3 are added in Article 13:

(9)

the Annex is amended in accordance with Annex VII to this Regulation.’.

(1)

the following Article 2a is inserted:

(*2)  Commission Implementing Regulation (EU) 2018/545 of 4 April 2018 establishing practical arrangements for the railway vehicle authorisation and railway vehicle type authorisation process pursuant to Directive (EU) 2016/797 of the European Parliament and of the Council (OJ L 90, 6.4.2018, p. 66).’;"

(2)

in Article 3, paragraph 1 is replaced by the following:

(3)

Article 4 is replaced by the following:

(*3)  Commission Implementing Decision (EU) 2018/1614 of 25 October 2018 laying down specifications for the vehicle registers referred to in Article 47 of Directive (EU) 2016/797 of the European Parliament and of the Council and amending and repealing Commission Decision 2007/756/EC (OJ L 268, 26.10.2018, p. 53).’;"

(4)

Annex I is amended in accordance with Annex VIII to this Regulation;

(5)

Annex II is replaced by Annex IX to this Regulation.

(1)

in sections 1, 1.3, 3, 4.1, 4.2.1, 4.7, 5.1, 6.1.2.3, the references to ‘Directive 2008/57/EC’ are replaced by references to ‘Directive (EU) 2016/797’;

(2)

section 1.2 is replaced by the following:

‘1.2.   Geographical scope

The geographical scope of this TSI is the entire European Union's rail system as set out in the section 1 of Annex I to Directive (EU) 2016/797, taking into account the limitations concerning the track gauge set out in Article 2.’;

(3)

Section 2 is replaced as follows:

‘2.   SCOPE AND DEFINITION OF SUBSYSTEM

2.1.   Scope

This TSI is applicable to “freight wagons including vehicles designed to carry lorries” as referred to in Annex I Section 2 to Directive (EU) 2016/797 taking into account the limitations as set out in Article 2. In the following this part of the subsystem rolling stock is called “freight wagon” and belongs to the subsystem “rolling stock” as set out in Annex II to Directive 2016/797/EC.

The other vehicles listed in Section 2 of Annex I to Directive (EU) 2016/797 are excluded from the scope of this TSI; this is especially the case for:

Note: See also section 7.1 for particular cases.

2.2.   Definitions

In the present TSI the following definitions are used:

(4)

Section 3, row 4.2.3.6.6 of Table 1 is replaced as follows:

(5)

Section 4.2.2.2 is replaced as follows:

(6)

in the second and third paragraph of section 4.2.3.1, the text ‘EN 15273-2:2009’ is replaced by ‘EN 15273-2:2013+A1:2016’;

(7)

in section 4.2.3.1, the text ‘GIC1 and GIC2’ is replaced by ‘GI1 and GI2’;

(8)

in section 4.2.3.2, the text ‘EN 15528:2008’ is replaced by ‘EN 15528:2015’;

(9)

in section 4.2.3.3, the text ‘Commission Decision 2012/88/EU (1)’ is replaced by ‘ERA/ERTMS/033281 rev. 4.0’;

(10)

in point 4.2.3.3 the footnote ‘(1) OJ L 51, 23.2.2012, p. 1.’ is deleted;

(11)

in section 4.2.3.4, the text ‘The specifications of the design and the conformity assessment of on-board equipment is an open point in this TSI.’ is replaced as follows:

‘If the unit is intended to be capable of being monitored by on-board equipment, the following requirements shall apply:

(12)

in section 4.2.3.5.2 the text ‘Chapter 5 of EN 14363:2005’ is replaced by ‘chapters 4, 5 and 7 of EN 14363:2016’;

(13)

section 4.2.3.6.6 is replaced as follows:

‘4.2.3.6.6.   Automatic variable gauge systems

This requirement is applicable to units equipped with an automatic variable gauge system with changeover mechanism of the axial position of the wheels allowing the unit to be compatible with 1 435 mm track gauge and other track gauge(s) within the scope of this TSI by means of passage through a track gauge changeover facility.

The changeover mechanism shall ensure the locking in the correct intended axial position of the wheel.

After passage through the track gauge changeover facility, the verification of the state of the locking system (locked or unlocked) and of the position of the wheels shall be performed by one or more of the following means: visual control, on-board control system or infrastructure/facility control system. In case of on-board control system, a continuous monitoring shall be possible.

If a running gear is equipped with brake equipment subject to a change in position during the gauge change operation, the automatic variable gauge system shall ensure the position and safe locking in the correct position of this equipment simultaneously to those of the wheels.

The failure of the locking of the position of the wheels and braking equipment (if relevant) during operation has typical credible potential to lead directly to a catastrophic accident (resulting in multiple fatalities); considering this severity of the failure consequence, it shall be demonstrated that the risk is controlled to an acceptable level.

The automatic variable gauge system is defined as an interoperability constituent (point 5.3.4b) and is part of the interoperability constituent wheelset (point 5.3.2). The conformity assessment procedure is specified in point 6.1.2.6 (interoperability constituent level), point 6.1.2.2 (safety requirement) and in point 6.2.2.4a (subsystem level) of this TSI.

The track gauges the unit is compatible with shall be recorded in the technical documentation.

A description of the changeover operation in normal mode, including the type(s) of track gauge changeover facility(ies) the unit is compatible with, shall be part of the technical documentation (see also section 4.4 of this TSI).

The requirements and conformity assessments required in other sections of this TSI apply independently for each wheel position corresponding to one track gauge and have to be documented accordingly.’;

(14)

in section 4.2.4.2 the text ‘Commission Regulation (EC) No 352/2009 (1)’ is replaced by the text ‘Commission Implementing Regulation (EU) No 402/20131 (1)’;

(15)

in section 4.2.4.2 the footnote ‘(1) OJ L 108, 29.4.2009, p. 4.’ is replaced by the footnote ‘(1) OJ L 121, 3.5.2013, p. 8.’;

(16)

in section 4.2.4.3.2.1, the text ‘UIC leaflet 544-1:2013’ and ‘UIC 544-1:2013’ is replaced by the text ‘UIC 544-1:2014’;

(17)

in section 4.2.4.3.2.2, the text ‘the minimum parking brake performance’ is replaced by the text ‘the minimum parking brake force’

(18)

in section 4.2.4.3.2.2, the text ‘the minimum performance of the parking brake shall be marked on the unit. The marking shall comply with clause 4.5.25 of EN 15877- 1:2012.’ is deleted;

(19)

in section 4.2.5, the text ‘EN 50125-1:1999’ is replaced by ‘EN 50125-1:2014’;

(20)

in section 4.2.6.2.1, the text ‘EN 50153:2002’ is replaced by ‘EN 50153:2014’;

(21)

in section 6.2.2.8.4, the text ‘TS 45545-7:2009’ is replaced by ‘EN 45545-7:2013’;

(22)

in section 4.2.6.2.2, the text ‘EN 50153:2002’ is replaced by ‘EN 50153:2014’;

(23)

in section 4.2.6.3, the text ‘chapter 1 of ERA technical document ERA/TD/2012-04/INT version 1.2 of 18.1.2013 published on the ERA website (http://www.era.europa.eu)’ is replaced by ‘Figure 11 of EN 16116-2:2013’;

(24)

in Table 7 of section 4.3.3, the text ‘Reference Commission Decision 2012/88/EU Annex A, Table A2, index 77’ is replaced by ‘Reference ERA/ERTMS/033281 rev. 4.0’;

(25)

Section 4.4 is replaced as follows:

‘4.4   Operating rules

Operating rules are developed within the procedures described in the railway undertaking safety management system. These rules take into account the documentation related to operation which forms a part of the technical file as required in Article 15(4) of and as set out in Annex IV to Directive (EU) 2016/797.

For the safety critical components (see also 4.5), the specific operational and operational traceability requirements are developed by the designers/manufacturers at design phase and through a collaboration between designers/manufacturers and the concerned railway undertakings or the concerned wagon keeper after vehicles have entered into operation.

The documentation related to operation describes the characteristics of the unit in relation to the design operating state to be considered in order to define the operating rules in normal and in various reasonably foreseeable degraded modes.

The documentation related to operation is composed of:

The applicant shall provide the initial version of the documentation related to operating rules. This documentation might be modified later in accordance with the corresponding Union legislation, taking into account the existing operating and maintenance conditions of the unit. The Notified Body shall verify only that the documentation on operation is provided.’;

(26)

Section 4.5 is replaced as follows:

‘4.5   Maintenance rules

Maintenance is a set of activities intended to keep a functional unit in, or to restore it to a state in which it can perform its required function.

The following documents being part of the technical file as required in Article 15(4) of and as set out in Annex IV to Directive (EU) 2016/797 are necessary to undertake maintenance activities on the units:

The applicant shall provide the three documents described in 4.5.1, 4.5.2. and 4.5.3. This documentation might be modified later in accordance with the corresponding EU legislation, taking into account the existing operating and maintenance conditions of the unit. The Notified Body shall verify only that the documentation on maintenance is provided.

The applicant or any entity authorised by the applicant (e.g. a keeper) shall provide this documentation to the entity in charge of maintenance as soon as it is assigned for the maintenance of the unit.

On the basis of these three documents, the entity in charge of maintenance shall define a maintenance plan and appropriate maintenance requirements at maintenance operational level under its sole responsibility (not in the scope of the assessment against this TSI).

The documentation includes a list of safety critical components. Safety critical components are components for which a single failure has a credible potential to lead directly to a serious accident as defined in Article 3(12) of Directive (EU) 2016/798.

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

4.5.1   General documentation

The general documentation comprises of:

4.5.2   Maintenance design justification file

The maintenance design justification file explains how maintenance activities are defined and designed in order to ensure that the rolling stock characteristics will be kept within permissible limits of use during its lifetime. The file shall give input data in order to determine the criteria for inspection and the periodicity of maintenance activities. The maintenance design justification file consists of:

4.5.3   Maintenance description file

The maintenance description file describes how maintenance activities can be conducted. Maintenance activities include, among others, inspections, monitoring, tests, measurements, replacements, adjustments and repairs.

Maintenance activities are split into:

The maintenance description file includes the following:

(*1)  The maintenance plan shall take into accounts the findings of the ERA Task force on Freight Maintenance (see “Final report on the activities of the Task Force Freight Wagon Maintenance” published on the ERA website http://www.era.europa.eu).’;"

(27)

in section 4.8, the text ‘GIC1 and GIC2’ is replaced by ‘GI1 and GI2’;

(28)

a new section 4.9 is added as follows:

‘4.9   Route compatibility checks before the use of authorised vehicles

The parameters of the subsystem “rolling stock — freight wagons” to be used by the railway undertaking, for the purpose of route compatibility check, are described in Appendix D1 of Commission Implementing Regulation (EU) 2019/773 (*2)

(*2)  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 2012/757/EU (OJ L 139 I, 27.5.2019, p. 5).’;"

(29)

in section 5.3.1, the text ‘The running gear shall be designed for an application range, the area of use, as defined by the following parameters:’ is replaced as follows:

‘The running gear shall be designed for all application ranges, the areas of use, as defined by the following parameters:

(30)

in section 5.3.2, the text ‘The wheelset shall be assessed and designed for the area of use as defined by’ is replaced as follows:

‘For the purpose of this TSI, wheelsets include the main parts ensuring the mechanical interface with the track (wheels and connecting elements: e.g. transverse axle, independent wheel axle). Accessories parts (axle bearings, axle boxes and brake discs) are assessed at subsystem level.

The wheelset shall be assessed and designed for the area of use as defined by:

(31)

in section 5.3.3, the text: ‘— maximum speed and service life, and’ is replaced as follows:

(32)

a new section 5.3.4b is added below section 5.3.4a:

‘5.3.4b.   Automatic variable gauge system

An IC “automatic variable gauge system” shall be designed and assessed for an area of use defined by:

An automatic variable gauge system shall comply with the requirements set out in point 4.2.3.6.6; these requirements shall be assessed at IC level as set out in point 6.1.2.6.’

(33)

in section 6.1.2, Table 9, a new row 4.2.3.6.6 is added below the row ‘4.2.3.6.4 Axle’

(34)

in section 6.1.2, the following text is added after the last paragraph:

‘In case of a specific case applicable to a component defined as interoperability constituent in section 5.3 of this TSI, the corresponding requirement can be part of the verification at interoperability constituent level only in the case where the component remains compliant to the chapters 4 and 5 of this TSI and where the specific case does not refer to a national rule (i.e. additional requirement compatible with the core TSI and fully specified in the TSI).

In other cases, the verification shall be made at subsystem level; when a national rule applies to a component, the concerned Member State may define relevant applicable conformity assessment procedures.’;

(35)

the section 6.1.2.1 is replaced as follows:

‘6.1.2.1.   Running gear

The demonstration of conformity for running dynamic behaviour is set out in EN 16235:2013.

Units equipped with an established running gear as described in chapter 6 of EN 16235:2013 are presumed to be in conformity with the relevant requirement provided that the running gears are operated within their established area of use.

The assessment of the bogie frame strength shall be based on clause 6.2 of EN 13749:2011.’;

(36)

in section 6.1.2.2, the last paragraph is replaced as follows:

‘A verification procedure shall exist to ensure at the assembly phase that no defects may detrimentally affect safety due to any change in the mechanical characteristics of the fitted parts of the axle. This procedure shall contain the determination of the interference values and, in case of press-fitted wheelsets, the corresponding press-fitting diagram.’;

(37)

in section 6.1.2.5, four instances of text ‘ERA/TD/2013-02/INT version 2.0 of XX.XX.2014’ are replaced by the text ‘ERA/TD/2013-02/INT version 3.0 of 27.11.2015’;

(38)

a new section 6.1.2.6 is added below the section 6.1.2.5:

‘6.1.2.6.   Automatic variable gauge system

The assessment procedure shall be based on a validation plan covering all aspects mentioned in points 4.2.3.6.6 and 5.3.4b.

The validation plan shall be consistent with the safety analysis required in clause 4.2.3.6.6 and shall define the assessment needed in all the following different phases:

Regarding the demonstration of compliance to the safety level required in point 4.2.3.6.6, the assumptions considered for the safety analysis related to the unit the system is intended to be integrated in, and related to the mission profile of that unit, shall be clearly documented.

The automatic variable gauge system may be subject to an assessment of suitability for use (module CV). Before commencing in-service tests, a suitable module (CB or CH1) shall be used to certify the design of the interoperability constituent. The in-service tests shall be organised on request from the manufacturer, who must obtain an agreement from a railway undertaking for its contribution to such assessment.

The certificate delivered by the notified body in charge of the conformity assessment shall include both the conditions for use as per clause 5.3.4b and the type(s) and operating conditions of the track gauge changeover facility(ies) the automatic variable gauge system has been assessed for.’;

(39)

In section 6.2.2.1, the text ‘The demonstration of conformity shall be in accordance with Chapters 6 and 7 of EN 12663-2:2010.’ is replaced by ‘The demonstration of conformity shall be in accordance with chapters 6 and 7 of EN 12663-2:2010, or alternatively with chapter 9.2 of EN 12663-1:2010+A1:2014.’;

(40)

section 6.2.2.2 is replaced as follows:

‘6.2.2.2.   Safety against derailment running on twisted track

The demonstration of conformity shall be carried out in accordance with chapters 4, 5 and 6.1 of EN 14363:2016.’;

(41)

section 6.2.2.3 is replaced as follows:

‘6.2.2.3.   Running dynamic behaviour

On-track tests

The demonstration of conformity shall be carried out in accordance with chapters 4, 5 and 7 of EN 14363:2016.

For units operated on the 1 668 mm track gauge network, the evaluation of the estimated value for the guiding force normalized to the radius Rm = 350 m according to EN 14363:2016, clause 7.6.3.2.6 (2), shall be calculated according to the following formula:

Ya,nf,qst = Ya,f,qst – (11 550 m/Rm – 33) kN.

The limit value of the quasi-static guiding force Yj,a,qst shall be 66 kN.

Values of cant deficiency can be adapted to 1 668 mm track gauge by multiplying the corresponding 1 435 mm parameter values by the following conversion factor: 1 733/1 500.

The combination of the highest equivalent conicity and speed for which the unit meets the stability criterion in chapters 4, 5 and 7 of EN 14363:2016 shall be recorded in the report.’;

(42)

in section 6.2.2.4, following text is added below the text:

‘It is permitted to use other standards for the above demonstration of conformity where the EN standards do not cover the proposed technical solution; in that case the notified body shall verify that the alternative standards form part of a technically consistent set of standards applicable to the design, construction and testing of the bearings.

Only standards that are publicly available can be referred to in the demonstration required above.

In the case of bearings manufactured according to a design developed and already used to place products on the market before the entry into force of relevant TSIs applicable to those products, the applicant is allowed to deviate from the demonstration of conformity above and refer to design review and type examination performed for previous applications under comparable conditions instead; this demonstration shall be documented and is considered as providing the same level of proof as type examination according to module SB or design examination according to module SH1.’;

(43)

a new section 6.2.2.4a is added below section 6.2.2.4:

‘6.2.2.4a.   Automatic variable gauge systems

The safety analysis required in point 4.2.3.6.6, and performed at IC level, shall be consolidated at the level of the unit; in particular, the assumptions made in accordance with point 6.1.2.6 may need to be reviewed to take into account the unit and its mission profile.’;

(44)

in section 6.2.2.5, the text ‘for bogie units: Figure 18 of Annex H of Annex I of UIC leaflet 430-1:2012.’ is replaced by ‘for bogie units: Figure 18 of Annex H and Figures 19 and 20 of Annex I of UIC leaflet 430-1:2012.’;

(45)

in section 6.2.2.8.1, the text ‘EN 1363-1:1999’ is replaced by ‘EN 1363-1:2012’;

(46)

in section 6.2.2.8.2, the text: ‘Testing of the materials ignitability and flame spread properties shall be performed in accordance with ISO 5658-2:2006/Am1:2011 for which the limit value shall be CFE ≥ 18 kW/m2. For the following materials and components the fire safety requirements are deemed to comply with the required ignitability and flame spread properties:’ is replaced by ‘Testing of the materials ignitability and flame spread properties shall be performed in accordance with ISO 5658-2:2006/Am1:2011 for which the limit value shall be CFE ≥ 18 kW/m2.

For rubber parts of bogies, the testing shall be performed in accordance with ISO 5660-1:2015 for which the limit value shall be MARHE ≤ 90 kW/m2 under the test conditions specified in reference T03.02 of Table 6 of EN 45545-2:2013+A1:2015.

For the following materials and components the fire safety requirements are deemed to comply with the required ignitability and flame spread properties:

(47)

in section 6.2.2.8.3, the text ‘EN 50355:2003’ is replaced by ‘EN 50355:2013’;

(48)

in section 6.2.2.8.3, the text ‘EN 50343:2003’ is replaced by ‘EN 50343:2014’;

(49)

the section 7.1 is replaced as follows:

‘7.1.   Authorisation for placing on the market

This TSI is applicable to the subsystem “rolling stock — freight wagons” within the scope set out in its Sections 1.1, 1.2 and 2.1, which are placed on the market after the date of application of this TSI.

This TSI is also applicable on a voluntary basis to:

In case the applicant chooses to apply this TSI, the corresponding EC declaration of verification shall be recognised as such by Member States.’

(50)

the section 7.1.2 is replaced as follows:

‘7.1.2   Mutual recognition of the first authorisation of placing on the market

In accordance with Article 21(3)(b) of Directive (EU) 2016/797 the authorisation for placing of the market of a vehicle (as defined in this TSI) is granted on the basis of:

Points (b) and (c) of Article 21(3) of Directive (EU) 2016/797 do not represent any additional requirement. The technical compatibility of the vehicle with the network being covered by rules (TSIs or national rules), this aspect is also considered at the level of the “EC” verification.

Therefore, the conditions for having an area of use not limited to particular national networks are specified below 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 in Section 4.2 and must be fulfilled in their entirety:

(51)

section 7.2 is replaced as follows:

‘7.2   General rules for implementation

7.2.1   Substitution of constituents

This section deals with substitutions of constituents as referred to in Article 2 of Directive (EU) 2016/797.

The following categories have to be considered:

Table 11 shows the possible permutations.

Table 11

Substitution permutation table

The word “check” in Table 11 means that the entity in charge of maintenance (ECM) may under its responsibility substitute a component by another one utilising the same function and at least the same performance in accordance with the relevant TSI requirements considering that these components are:

7.2.2   Changes to an existing unit or to an existing unit type

7.2.2.1   Introduction

This point 7.2.2 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) and Annex IV of Directive (EU) 2016/797. This procedure is further developed in Article 13, 15 and 16 of Commission Implementing Regulation (EU) 2018/545 (*3) and in Commission Decision 2010/713/EC (*4).

This point 7.2.2 applies in case of any change(s) to an existing unit or unit type, including renewal or upgrade. It does not apply in case of changes:

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.

7.2.2.2   Rules to manage changes in both a unit or a unit type

Parts and basic parameters of the unit that are not affected by the change(s) are exempt from conformity assessment against the provisions in this TSI.

Without prejudice to clause 7.2.2.3, compliance with the requirements of this TSI or the TSI Noise (Commission Regulation (EU) No 1304/2014 (*5), see clause 7.2 of that TSI) shall only be needed for the basic parameters in this TSI which may be affected by the change(s).

In accordance with Articles 15 and 16 of Commission 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.

Without prejudice of the general safety judgement mandated in article 21(12)(b) of Directive (EU) 2016/797, in case of changes requiring reassessment of the safety requirements set out in clauses 4.2.4.2 for the brake system, a new authorization for placing on the market will be required unless one of the following conditions are met:

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.

The basic design characteristics of the rolling stock are defined in Table 11a. Based on these tables and on the safety judgement mandated in Article 21(12)(b) of Directive (EU) 2016/797, the changes shall be categorised as follows:

The determination whether the changes are beyond or above the thresholds mentioned above 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.

Changes not referred to in the paragraph above are deemed not to have any impact on the basic design characteristics and will be categorised as 15(1)(a) or 15(1)(b) of Commission Implementing Regulation (EU) 2018/545, unless the safety judgement mandated in Article 21(12)(b) of Directive (EU) 2016/797 requires to categorise them as 15(1)(d).

The safety judgement mandated in Article 21(12)(b) of Directive (EU) 2016/797 shall cover all changes concerning basic parameters of table 1, related to all the essential requirements, in particular the requirements “Safety” and “Technical compatibility”.

Without prejudice to clause 7.2.2.3, all changes shall remain compliant with the applicable TSIs regardless their classification.

The replacement of a whole element within a rake of permanently connected elements after a severe damage does not require a conformity assessment against this TSI, as long as the element is identical to the one it replaces. Such element 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 11a

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

In order to establish the EC type or design examination certificate, the notified body selected by the entity managing the change is permitted to refer to:

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.

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.

7.2.2.3   Particular rules for existing units not covered by an EC declaration of verification with a first authorisation for placing in service before 1 January 2015

The following rules apply, in addition to clause 7.1.2.2, to existing units 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

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 migration strategies of other TSIs as stated in section 7.2.2.2. This justification shall be in the technical file, if any, or in the original technical documentation of the unit.

The particular rule set out in the above paragraph is not applicable in changes impacting the basic design characteristics and classified as 21(12)a set out in table 11b. For those changes, compliance with the TSI requirements is mandatory.

Table 11b

Changes to basic parameters for which compliance with TSI requirements is mandatory for rolling stock not holding an EC type or design examination certificate

7.2.3   Rules related to the EC type or design examination certificates

7.2.3.1   Rolling stock subsystem

This point concerns a rolling stock type (unit type in the context of this TSI), as defined in Article 2(26) of Directive (EU) 2016/797, which is subject to an EC type or design verification procedure in accordance with section 6.2 of this TSI. It also applies to the EC type or design verification procedure in accordance with the TSI Noise, which refers to this TSI for its scope of application to freight units.

The TSI assessment basis for an EC type or design examination is defined in columns “Design review” and “Type test” of Appendix F of this TSI and of Appendix C of the TSI Noise.

7.2.3.1.1    Phase A

Phase A starts once a notified body, which is responsible for EC verification, is appointed by the applicant and ends when the EC type or design examination certificate is issued.

The TSI assessment basis for a type is defined for a phase A period, with a duration of maximum four years. During the phase A period the assessment basis for EC verification to be used by the notified body will not change.

When a revision of this TSI or of the TSI Noise comes into force during the phase A period, it is permissible (but not mandatory) to use the revised version(s), either totally or for particular sections, unless explicitly otherwise specified in the revision of these TSIs. In case of application limited to particular sections, the applicant has to justify and document that applicable requirements remain consistent, and this has to be approved by the notified body.

7.2.3.1.2    Phase B

The phase B period defines the period of validity of the EC type or design examination certificate once it is issued by the notified body. During this time, units may be EC certified on the basis of conformity to type.

The EC type or design examination certificate of EC verification for the subsystem is valid for a ten-year phase B period after its issue date, even if a revision of this TSI or of the TSI Noise come into force, unless explicitly otherwise specified in the revision of these TSIs. During this period of validity, new rolling stock of the same type is permitted to be placed on the market on the basis of an EC declaration of verification referring to the type certificate of verification.

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 applicant for rolling stock declared as conformant to the modified type.

7.2.3.2   Interoperability constituents

This point concerns interoperability constituents which are subject to EC type examination (module CB), design examination (module CH1) or to suitability for use (module CV) in accordance with section 6.1 of this TSI.

The EC type or design examination or suitability for use certificate is valid for a ten-year period. During this time, new constituents of the same type are permitted to be placed on the market without a new type assessment, unless explicitly otherwise specified in the revision of this TSI. Before the end of the ten-year period, the constituent shall be assessed according to the latest revision of this TSI in force at that time, for those requirements that have changed or are new in comparison to the certification basis.

(*3)  Commission Implementing Regulation (EU) 2018/545 of 4 April 2018 establishing practical arrangements for the railway vehicle authorisation and railway vehicle type authorisation process pursuant to Directive (EU) 2016/797 of the European Parliament and of the Council (OJ L 90, 6.4.2018, p. 66)."

(*4)  Commission Decision 2010/713/EU of 9 November 2010 on modules for the procedures for assessment of conformity, suitability for use and EC verification to be used in the technical specifications for interoperability adopted under Directive 2008/57/EC of the European Parliament and of the Council (OJ L 319, 4.12.2010, p. 1)."

(*5)  Commission Regulation (EU) No 1304/2014 of 26 November 2014 on the technical specification for interoperability relating to the subsystem ‘rolling stock — noise’ amending Decision 2008/232/EC and repealing Decision 2011/229/EU (OJ L 356, 12.12.2014, p. 421).’;"

(52)

in section 7.2.2.2, a new footnote ‘(1) OJ L 356, 12.12.2014, p. 421.’ is added in the same page as text ‘Commission Regulation (EU) No 1304/2014 (1)’;

(53)

section 7.3.1 is replaced as follows:

‘The specific cases, as listed in point 7.3.2, are classified as:

All specific cases and their relevant dates shall be re-examined in the course of future revisions of the TSI with a view to limiting their technical and geographical scope based on an assessment of their impact on safety, interoperability, cross border services, TEN-T corridors, and the practical and economic impacts of retaining or eliminating them. Special account shall be given to availability of EU funding.

Specific cases shall be limited to the route or network where they are strictly necessary and taken account of through route compatibility procedures.

In case of a specific case applicable to a component defined as interoperability constituent in section 5.3 of this TSI, the conformity assessment has to be performed according to point 6.1.2.’;

(54)

section 7.3.2.1a. is added:

‘7.3.2.1a   Gauging (point 4.2.3.1)

Specific case Ireland and UK for Northern Ireland

(“P”) It is permissible for the reference profile of the upper and the lower part of the unit to be established in accordance with the national technical rules notified for this purpose.

This specific case does not prevent access of any TSI compliant rolling stock as long as it is also compatible with an IRL gauge (track gauge system 1 600 mm).’;

(55)

in section 7.3.2.2, the following text is deleted:

‘(b)    Specific case Portugal

(“P”) Units intended to operate on the Portuguese railway network shall be compliant with the target and prohibitive zones as set out in table 13.

Table 13

Target and prohibitive zone for units intended to be operated in Portugal

(56)

in section 7.3.2.3, the text ‘EN 14363:2005 point 4.1.3.4.1’ is replaced by ‘EN 14363:2016 clause 6.1.5.3.1’;

(57)

in section 7.3.2.3, the following text is added below the text:

‘This specific case does not prevent the access of TSI compliant rolling stock to the national network.’;

(58)

section 7.3.2.4, ‘Running dynamic behaviour (point 4.2.3.5.2)’ is replaced by:

‘ Specific case UK for Great Britain

(“P”) Base condition for use of simplified measuring method specified in EN 14363:2016 clause 7.2.2 should be extended to nominal static vertical wheelset forces (PF0) up to 250 kN. For technical compatibility with the existing network it is permissible to use national technical rules amending EN 14363:2016 and notified for the purpose of running dynamic behaviour.

This specific case does not prevent the access of TSI compliant rolling stock to the national network.

Specific case Ireland and UK for Northern Ireland

(“P”) For technical compatibility with the existing 1 600 mm track gauge network it is permissible to use notified national technical rules for the purpose of assessing running dynamic behaviour.

This specific case does not prevent the access of TSI compliant rolling stock to the national network.’;

(59)

section 7.3.2.5, ‘Characteristics of wheelsets (points 4.2.3.6.2)’ is replaced by:

‘7.3.2.5   Characteristics of wheelsets, wheels and axles (points 4.2.3.6.2 and 4.3.2.6.3)

Specific case UK for Great Britain

(“P”) For units intended to operate solely on the railway network of Great Britain the characteristics of the wheelsets, wheels and axles may be in accordance with the national technical rules notified for this purpose.

This specific case does not prevent the access of TSI compliant rolling stock to the national network.’;

(60)

section 7.3.2.6, ‘Characteristics of wheels (point 4.2.3.6.3)’ is deleted;

(61)

section 7.3.2.7 is re-numbered 7.3.2.6. The text of the section is replaced by:

‘Attachment devices for rear end signals (point 4.2.6.3)

Specific case Ireland and UK for Northern Ireland

(“P”) The attachment devices for rear-end signals on units intended to be operated only in traffic on networks with 1 600 mm track gauge shall conform with the national rules notified for the purpose.

This specific case does not prevent the access of TSI compliant rolling stock to the national network.’

(62)

section 7.3.2.7 is added:

‘7.3.2.7.   Rules to manage changes in both rolling stock and rolling stock type (7.2.2.2)

Specific case the United Kingdom (Great Britain)

(“P”) Any change to a vehicle swept envelope as defined in the national technical rules notified for the gauging process (for example as described in RIS-2773-RST) will be categorised as 15(1)(c) of Implementing Regulation (EU) 2018/545, and will not be classified as 21(12)(a) of Directive (EU) 2016/797.’

(63)

A new section 7.6 is added as follows:

‘7.6.   Aspects that have to be considered in the revision process or in other activities of the Agency

Further to the analysis performed during the drafting process of this TSI, particular aspects have been identified as of interest for the future development of the EU railway system.

These aspects are identified below.

7.6.1.   Rules for extension of area of use for existing rolling stock not covered by an EC declaration of verification

Pursuant to Article 54(2) and (3) of Directive (EU) 2016/797, vehicles authorised for placing in service prior to 15 June 2016 shall receive an authorization for placing on the market according to Article 21 of Directive (EU) 2016/797 in order to operate on one or more networks which are not yet covered by their authorisation. Such vehicles shall thus be conform to this TSI or benefit from a non-application of this TSI pursuant to Article 7(1) of Directive 2016/797/EC.

In order to facilitate the free movement of vehicles, provisions shall be developed to set out which level of flexibility could be granted to such vehicles as well as to vehicles which were not subject to authorization, as regards compliance with the TSI requirements while fulfilling the essential requirements, maintaining the appropriate safety level, and where reasonably practicable, improving it.’;

(64)

In Appendix A, the complete text is replaced by ‘Not used’;

(65)

In Appendix C, condition C.1 ‘Manual coupling system’, the text ‘The clearance for the draw hook shall be in accordance with chapter 2 of ERA technical document ERA/TD/2012-04/INT version 1.2 of 18.1.2013 published on the Agency website (http://www.era.europa.eu).’ is replaced by ‘The clearance for the draw hook shall be in accordance with clause 6.3.2 of EN 16116-2:2013.’;

(66)

In Appendix C, condition C.1 ‘Manual coupling system’, the text ‘The space for shunting staff operation shall be in accordance with chapter 3 of ERA technical document ERA/TD/2012-04/INT version 1.2 of 18.1.2013 published on the Agency website (http://www.era.europa.eu).’ is replaced by ‘The space for shunting staff operation shall be in accordance with clause 6.2.1 of EN 16116- 2:2013. For manual coupling systems equipped with 550 mm wide buffers the calculation of the free space may be done considering that the coupling gear components are lateral centrally positioned (D = 0 mm as defined in Annex A of EN 16116-2:2013).’;

(67)

In Appendix C, condition C.2 ‘UIC footsteps and handrails’ is replaced as follows:

‘2.   UIC footsteps and handrails

The unit shall be equipped with footsteps and handrails in accordance with chapters 4 and 5 of EN 16116-2:2013 and with clearances in accordance with clause 6.2.2 of EN 16116-2:2013.’;

(68)

In Appendix C, condition C.5 ‘Marking of units’, the following text is deleted:

‘Markings of EN 15877-1:2012 are required where applicable. The following are always applicable:

(69)

In Appendix C, condition C.6 ‘G1 gauge’, the text ‘GIC1’ is replaced by ‘GI1’;

(70)

In Appendix C, condition C.8 ‘Tests concerning longitudinal compressive forces’, the text ‘EN 15839:2012’ is replaced by ‘EN 15839:2012+A1:2015’;

(71)

In Appendix C, condition C.9 ‘UIC brake’, the text ‘UIC 540:2006’ is replaced by the text ‘UIC 540:2014’ in points (c) and (e);

(72)

In Appendix C, condition C.9 ‘UIC brake’, the text ‘(i) The pneumatic half coupling’ is replaced by ‘(i) The pneumatic half coupling and its hose’;

(73)

In Appendix C, condition C.9 ‘UIC brake’, the text ‘(k) Brake block holders shall be in accordance with UIC leaflet 542:2010’ is replaced by ‘(k) Brake block holders shall be in accordance with UIC 542:2015’;

(74)

In Appendix C, condition C.9 ‘UIC brake’, the point (m) is replaced as follows:

(75)

In Appendix C, condition C.9 ‘UIC brake’, the text ‘UIC 544-1:2013’ in row ‘Braking mode ‘G’’ of Table C.3 is replaced by the text ‘UIC 544-1:2014’;

(76)

In Appendix C, condition C.9 ‘UIC brake’, the text ‘EN 14531-1:2005 section 5.11’ of the footnote (1) of Table C.3 is replaced by the text ‘EN 14531-1:2015 section 4’;

(77)

In Appendix C, condition C.11 ‘Temperature ranges for air reservoirs, hoses and grease’ is replaced as follows condition:

‘11.   Temperature ranges for air reservoirs, hoses and grease

The following requirements are deemed to comply with any temperature range indicated in point 4.2.5:

The following requirement is deemed to comply with the range T1 indicated in point 4.2.5:

(78)

In Appendix C, condition C.12 ‘Welding’ is replaced as follows condition:

‘Welding shall be carried out in accordance with EN 15085-1:2007+A1:2013, EN 15085-2:2007, EN 15085- 3:2007, EN 15085-4:2007 and EN 15085-5:2007.’;

(79)

In Appendix C, the following text is added below the text in condition C.16 ‘Tow hooks’:

‘Alternative technical solutions are allowed as far as conditions 1.4.2 to 1.4.9 of UIC 535-2:2006 are respected. If the alternative solution is a cable eye bracket, it shall in addition have a minimum diameter of 85 mm.’;

(80)

In Appendix C, the following condition C.19 is added:

‘19.   Axle bearing condition monitoring

It shall be possible to monitor the axle bearing condition of the unit by means of line side detection equipment.’;

(81)

Appendix D is replaced as follows:

(82)

In Appendix E, the text ‘The lamp shall display a luminous area of at least 170 mm diameter. The lamp shall display a luminous area of at least 170 mm diameter. The reflector system shall be designed to display a lighting strength of at least 15 candela of red light along the axis of the lighting surface for an angle of opening of 15° horizontally and 5° vertically. The intensity must be at least 7.5 candela of red light.’ is replaced by ‘The tail lamp shall be designed to display a lighting intensity in accordance with table 8 of EN 15153-1:2013+A1:2016’;

(83)

In Appendix E, the text ‘EN 15153-1:2013’ is replaced by ‘EN 15153-1:2013+A1:2016’;

(84)

In Appendix F, the row ‘Variable gauge wheelsets’ of Table F.1 is replaced by:

—

Rolling stock assessed according to EN 14363:2016

—

Rolling stock assessed according to EN 14363:2005 (amended or not amended by ERA/TD/2012-17/INT) or UIC 518:2009 with the result, that there is no restriction to one rail inclination

—

vehicles assessed according to EN 14363:2005 (amended or not amended by ERA/TD/2012-17/INT) or UIC 518:2009 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 EN 14363:2016

(1)

section 1.1 is replaced by the following:

‘1.1.   Technical Scope

This TSI concerns the infrastructure subsystem and part of the maintenance subsystem of the Union rail system in accordance with Article 1 of Directive (EU) 2016/797.

The infrastructure and the maintenance subsystems are defined respectively in points 2.1 and 2.8 of Annex II to Directive (EU) 2016/797.

The technical scope of this TSI is further defined in Article 2(1), 2(5) and 2(6) of this Regulation.’;

(2)

point (1) of section 1.3 is replaced by the following:

(3)

section 2.1 is replaced by the following:

‘2.1.   Definition of the infrastructure subsystem

This TSI covers:

The elements of the infrastructure subsystem are described in point 2.1 of Annex II to Directive (EU) 2016/797.

The elements of the maintenance subsystem are described in point 2.8 of Annex II to Directive (EU) 2016/797.

The scope of this TSI therefore includes the following aspects of the infrastructure subsystem:

Further details are set out in point 4.2.2 of this TSI.’;

(4)

in section 2.5, the reference to ‘Directive 2004/49/EC’ is replaced by the reference to ‘Directive (EU) 2016/798’;

(5)

in section 3, the reference to ‘Directive 2008/57/EC’ is replaced by the reference to ‘Directive (EU) 2016/797’;

(6)

Table 1 in section 3 is replaced by the following:

‘Table 1

Basic Parameters of the infrastructure subsystem corresponding to the essential requirements

(7)

in point (1) of section 4.1, the reference to ‘Directive 2008/57/EC’ is replaced by the reference to ‘Directive (EU) 2016/797’;

(8)

point (3) of section 4.1 is replaced by the following:

(9)

the title of section 4.2 is replaced by the following

‘4.2.    Functional and technical specifications of the infrastructure subsystem’;

(10)

points (1) to (3) of section 4.2.1 are replaced by the following:

(11)

in point (7) of section 4.2.1, note (*) of Table 3 is replaced by the following:

(12)

point (10) of section 4.2.1 is replaced by the following:

(13)

point (c) of point H in section 4.2.2.1 is replaced by the following:

(14)

in point K of section 4.2.2.1 the following point is added:

(15)

point (5) in section 4.2.4.2 is replaced by the following:

(16)

point (4) in section 4.2.4.4 is replaced by the following:

(17)

point (3) in section 4.2.4.5 is replaced by the following:

(18)

figure 1 in section 4.2.4.6 is replaced by the following:

‘Figure 1

Railhead profile

1:∞ to 1:16

1 crown of rail

2 tangent point

3 lateral slope

4 vertical axis of rail head

5 gauge corner

(19)

point (2) in section 4.2.4.7.1 is replaced by the following:

(20)

point (2) in section 4.2.6.2.2 is replaced by the following:

(*1)  Commission Implementing Regulation (EU) 2019/777 of 16 May 2019 on the common specifications for the register of railway infrastructure and repealing Implementing Decision 2014/880/EU (OJ L 139 I, 27.5.2019, p. 312).’;"

(21)

Table 11 in section 4.2.7.1.1 is replaced by the following:

‘Table 11

Factor alpha (α) for the design of new structures

(22)

section 4.2.10.3 is replaced by the following:

‘4.2.10.3   Aerodynamic effect on ballasted track

(23)

section 4.2.12.2 is replaced by the following:

‘4.2.12.2   Toilet discharge

Fixed installations for toilet discharge shall be compatible with the characteristics of the retention toilet system specified in the LOC & PAS TSI.’;

(24)

point (1) in section 4.2.12.4 is replaced by the following:

(25)

section 4.2.12.5 is replaced by the following:

‘4.2.12.5   Refuelling

Refuelling equipment shall be compatible with the characteristics of the fuel system specified in the LOC & PAS TSI.’;

(26)

section 4.2.12.6 is replaced by the following:

‘4.2.12.6   Electrical shore supply

Where provided, electrical shore supply shall be by means of one or more of the power supply systems specified in the LOC & PAS TSI.’;

(27)

Table 15 in section 4.3.1 is replaced by the following:

‘Table 15

Interfaces with the rolling stock subsystem, “Locomotives and Passenger Rolling Stock TSI”