Commission Regulation (EU) No 321/2013 of 13 March 2013 concerning the technical specification for interoperability relating to the subsystem ‘rolling stock — freight wagons’ of the rail system in the European Union and repealing Decision 2006/861/EC Text with EEA relevance

Commission Regulation (EU) No 321/2013of 13 March 2013concerning the technical specification for interoperability relating to the subsystem rolling stock — freight wagons of the rail system in the European Union and repealing Decision 2006/861/EC(Text with EEA relevance)

Article 1The technical specification for interoperability (TSI) relating to the "rolling stock — freight wagons" subsystem of the entire European Union’s rail system, as set out in the Annex, is hereby adopted.

Article 21.The TSI shall apply to the "rolling stock — freight wagons" subsystem as described in point 2.7 of Annex II to Directive (EU) 2016/797 of the European Parliament and of the CouncilDirective (EU) 2016/797 of the European Parliament and of the Council of 11 May 2016 on the interoperability of the rail system within the European Union (OJ L 138, 26.5.2016, p. 44). .2.The TSI shall apply to freight wagons with a maximum operating speed lower than or equal to 160 km/h and a maximum axle load lower than or equal to 25 t.3.The TSI shall apply to freight wagons which are intended to be operated on one or more of the following nominal track gauges: 1435 mm, 1524 mm, 1600 mm, and 1668 mm. The TSI shall not apply to freight wagons operating mainly on the 1520 mm track gauge, which may occasionally be operated on 1524 mm track gauge.

Article 3The TSI shall apply to all new freight wagon rolling stock of the European Union’s rail system, taking into account Section 7 of the Annex.The TSI set out in the Annex shall also apply to existing freight wagon rolling stock:(a)when it is renewed and upgraded in accordance with section 7.2.2 of the Annex to this Regulation;(b)with regard to specific provisions, such as the traceability of axles in point 4.2.3.6.4 and the maintenance plan in point 4.5.3;(c)with regards to the marking "GE" as depicted in point 5 of Appendix C of the Annex, wagons of the existing fleet which have been authorised in accordance with Commission Decision 2006/861/EC as amended by Decision 2009/107/EC or with Decision 2006/861/EC as amended by Decisions 2009/107/EC and 2012/464/EU and meeting the conditions set out in point 7.6.4 of Decision 2009/107/EC may receive this marking "GE" without any additional third party assessment or new authorisation for placing on the market. The use of this marking in wagons in operation remains under the responsibility of the railway undertakings;(d)when the area of use is extended in accordance with art. 54(3) of Directive (EU) 2016/797, provisions in Section 7.2.2.4 of the Annex to this Regulation shall apply.The detailed technical scope of this Regulation is set out in Chapter 2 of the Annex.

Article 4Not used.

Article 51.With regard to specific cases set out in Section 7.3 of the Annex, the conditions to be met for the verification of the essential requirements of Directive (EU) 2016/797 shall be those laid down in Section 7.3 of the Annex or by national rules in force in the Member State which is part of the area of use of the vehicles covered by this Regulation.2.Within six months of the entry into force of this Regulation, each Member State shall notify to the other Member States and to the Commission:(a)the applicable technical rules referred to in paragraph 1;(b)the conformity assessment and verification procedures to be carried out to apply the technical rules referred to in paragraph 1;(c)the bodies designated to carry out the conformity assessment and verification procedures for the national rules relating to the specific cases set out in point 7.3 of the Annex.

Article 61.Without prejudice to the agreements which have already been notified under Decision 2006/861/EC and shall not be notified again, Member States shall notify the Commission, within six months of the entry into force of this Regulation, any national, bilateral, multilateral or international agreements under which freight wagons, falling under the scope of this Regulation, are operated.2.Member States shall forthwith notify the Commission any future agreements or modifications of existing agreements.

Article 7In accordance with Article 9(3) of Directive 2008/57/EC, within one year of the entry into force of this Regulation, each Member State shall communicate to the Commission a list of projects being implemented within its territory and that are at an advanced stage of development.

Article 81.An EC certificate of verification for a subsystem that contains interoperability constituents which do not have an EC declaration of conformity or suitability for use may be issued during a transition period ending on 1 January 2024, provided the provisions set out in Section 6.3 of the Annex are met.2.The production or upgrade/renewal of the subsystem using non-certified interoperability constituents shall be completed within the transition period set out in paragraph 1, including placing on the market.3.During the transition period set out in paragraph 1:(a)the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure referred to in paragraph 1;(b)the national safety authorities shall report on the use of non-certified interoperability constituents in the context of authorisation procedures in their annual report referred to in Article 19 of Directive (EU) 2016/798 of the European Parliament and of the CouncilDirective (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety (OJ L 138, 26.5.2016, p. 102)..4.After a transition period ending on 1 January 2015, newly produced interoperability constituents of "rear-end signals", shall be covered by the required EC declaration of conformity.

Article 8a1.Notwithstanding the provisions in Section 6.3 of the Annex, an EC certificate of verification may be issued for a subsystem containing components corresponding to the "friction element for wheel tread brakes" interoperability constituent that does not have an EC declaration of conformity during a transition period ending on 1 January 2024, if the following conditions are met:(a)the component was manufactured before the date of application of this Regulation; and(b)the interoperability constituent has been used in a subsystem that had been approved and placed on the market in at least one Member State before the date of application of this Regulation.2.The production, upgrade or renewal of any subsystem using non-certified interoperability constituents shall be completed, including granting authorisation for placing on the market, before the transition period set out in paragraph 1 expires.3.During the transition period set out in paragraph 1:(a)the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure for the subsystem referred to in paragraph 1; and(b)national safety authorities shall report in their annual report, as referred to in Article 19 of Directive (EU) 2016/798, on the use of non-certified "friction element for wheel tread brakes" interoperability constituents in the context of authorisation procedures.

Article 8b1.Until the expiry of their current approval period, "friction element for wheel tread brakes" interoperability constituents listed in Appendix G of the Annex do not need to be covered by an EC declaration of conformity. During this period, "friction elements for wheel tread brakes" listed in Appendix G of the Annex shall be deemed to be compliant with this Regulation.2.After their current approval period expires, "friction element for wheel tread brakes" interoperability constituents listed in Appendix G of the Annex shall be covered by EC declaration of conformity.

Article 8c1.Notwithstanding the provisions in Section 6.3 of the Annex, an EC certificate of verification may be issued for a subsystem containing components corresponding to the "friction element for wheel tread brakes" interoperability constituent that does not have an EC declaration of conformity during a transition period of 10 years after the expiry of the approval period of the interoperability constituent, if the following conditions are met:(a)the component was manufactured before the expiry of the approval period of the interoperability constituent; and(b)the interoperability constituent has been used in a subsystem that had been approved and placed on the market in at least one Member State before the expiry of its approval period.2.The production, upgrade or renewal of any subsystem using non-certified interoperability constituents shall be completed, including granting authorisation for placing on the market, before the transition period set out in paragraph 1 expires.3.During the transition period set out in paragraph 1:(a)the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure for the subsystem referred to in paragraph 1; and(b)the national safety authorities shall report in their annual report, as referred to in Article 19 of Directive (EU) 2016/798, on the use of non-certified "friction element for wheel tread brakes" interoperability constituents in the context of authorisation procedures.

Article 9The 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.

Article 9aThe EC-type or EC design examination certificate for the "friction element for wheel tread brakes" interoperability constituent shall be valid for 10 years. During that period, new constituents of the same type may be placed on the market on the basis of an EC declaration of conformity that refers to this EC-type or EC design examination certificate.

Article 101.The Agency shall publish on its website the list of fully approved composite brake blocks for international transport referred to in Appendix G of the Annex, for the period in which these brake blocks are not covered by EC declarations.2.The Agency shall keep the list referred to in paragraph 1 up to date and inform the Commission of any changes to it. The Commission shall inform the Member States of any changes to the list through the Committee established in accordance with Article 29 of Directive 2008/57/EC.

Article 10a1.In order to keep pace with technological progress, innovative solutions may be required that do not comply with the specifications set out in the Annex and/or for which the assessment methods set out in the Annex cannot be applied. In that case, new specifications and/or new assessment methods associated with those innovative solutions shall be developed.2.Innovative solutions may be related to the "rolling stock — freight wagons" subsystem, its parts and its interoperability constituents.3.If an innovative solution is proposed, the manufacturer or his authorised representative established within the Union shall declare how it deviates from or complements the relevant provisions of this TSI and shall submit the deviations to the Commission for analysis.4.The Commission shall deliver an opinion on the innovative solution proposed. If this opinion is positive, the appropriate functional and interface specifications and the assessment method, which must be included in the TSI in order to allow the use of this innovative solution, shall be developed and subsequently integrated in the TSI during the revision process carried out pursuant to Article 5 of Directive (EU) 2016/797. If the opinion is negative, the innovative solution proposed shall not be applied.5.Pending the review of the TSI, the positive opinion delivered by the Commission shall be considered an acceptable means of compliance with the essential requirements of Directive (EU) 2016/797 and may therefore be used for the assessment of the subsystem.

Article 11Decision 2006/861/EC is repealed with effect from 1 January 2014.It shall continue to apply, however, to the maintenance of projects authorised in accordance with that Decision and, unless the applicant requests to apply this Regulation, to projects for new, renewed or upgraded subsystems which are at an advanced stage of development or are the subject of a contract which is being carried out on the date this Regulation is published.

Article 12This Regulation shall enter into force on the day following that of its publication in the Official Journal of the European Union.It shall apply from 1 January 2014. However, an authorisation for placing into service may be granted in application of the TSI as set out in the Annex to this Regulation, except its Section 7.1.2, before 1 January 2014.

This Regulation shall be binding in its entirety and directly applicable in all Member States.ANNEXTechnical specification for interoperability for the "rolling stock — wagons" subsystemTABLE OF CONTENTS1.Introduction1.1.Technical scope1.2.Geographical scope1.3.Content of this TSI2.Scope and definition of subsystem3.Essential requirements4.Characterisation of the subsystem4.1.Introduction4.2.Functional and technical specifications of the subsystem4.2.1.General4.2.2.Structures and mechanical part4.2.2.1.Mechanical interface4.2.2.1.1.End coupling4.2.2.1.2.Inner coupling4.2.2.2.Strength of unit4.2.2.3.Integrity of the unit4.2.3.Gauging and track interaction4.2.3.1.Gauging4.2.3.2.Compatibility with load carrying capacity of lines4.2.3.3.Compatibility with train detection systems4.2.3.4.Axle bearing condition monitoring4.2.3.5.Running safety4.2.3.5.1.Safety against derailment running on twisted track4.2.3.5.2.Running dynamic behaviour4.2.3.6.Running gear4.2.3.6.1.Structural design of bogie frame4.2.3.6.2.Characteristics of wheelsets4.2.3.6.3.Characteristics of wheels4.2.3.6.4.Characteristics of axles4.2.3.6.5.Axle boxes/bearings4.2.3.6.6.Automatic variable gauge systems4.2.3.6.7.Running gear for manual change of wheelsets4.2.4.Brake4.2.4.1.General4.2.4.2.Safety requirements4.2.4.3.Functional and technical requirements4.2.4.3.1.General functional requirements4.2.4.3.2.Brake performance4.2.4.3.2.1.Service brake4.2.4.3.2.2.Parking brake4.2.4.3.3.Thermal capacity4.2.4.3.4.Wheel slide protection (WSP)4.2.4.3.5.Friction elements for wheel tread brakes4.2.5.Environmental conditions4.2.6.System protection4.2.6.1.Fire safety4.2.6.1.1.General4.2.6.1.2.Functional and technical specification4.2.6.1.2.1.Barriers4.2.6.1.2.2.Materials4.2.6.1.2.3.Cables4.2.6.1.2.4.Flammable liquids4.2.6.2.Protection against electrical hazards4.2.6.2.1.Protective measures against indirect contact (protective bonding)4.2.6.2.2Protective measures against direct contact4.2.6.3.Attachment devices for rear-end signal4.3.Functional and technical specification of the interfaces4.3.1.Interface with the subsystem "infrastructure"4.3.2.Interface with the subsystem "operation and traffic management"4.3.3.Interface with the subsystem "control, command and signalling"4.4.Operating rules4.5.Maintenance rules4.5.1.General documentation4.5.2.Maintenance design justification file4.5.3.Maintenance description file4.6.Professional competencies4.7.Health and safety conditions4.8.Parameters to be recorded in the technical file and European register of authorised types of vehicles4.9.Route compatibility checks before the use of authorised vehicles5.Interoperability constituents5.1.General5.2.Innovative solutions5.3.Interoperability constituent specifications5.3.1.Running gear5.3.2.Wheelset5.3.3.Wheel5.3.4.Axle5.3.4a.Friction element for wheel tread brakes5.3.4b.Automatic variable gauge system5.3.5.Rear-end signal6.Conformity assessment and EC verification6.1.Interoperability constituent6.1.1.Modules6.1.2.Conformity assessment procedures6.1.2.1.Running gear6.1.2.2.Wheelset6.1.2.3.Wheel6.1.2.4.Axle6.1.2.4a.6.1.2.5.Friction elements for wheel tread brakes6.1.2.6.Automatic variable gauge system6.1.3.Innovative solutions6.2.Subsystem6.2.1.Modules6.2.2.EC verification procedures6.2.2.1.Strength of unit6.2.2.2.Safety against derailment running on twisted track6.2.2.3.Running dynamic behaviour6.2.2.4.Axle box/bearings6.2.2.4a.Automatic variable gauge systems6.2.2.5.Running gear for manual change of wheelsets6.2.2.6.Thermal capacity6.2.2.7.Environmental conditions6.2.2.8.Fire safety6.2.2.8.1.Barriers6.2.2.8.2.Materials6.2.2.8.3Cables6.2.2.8.4Flammable liquids6.2.3.Innovative solutions6.3.Subsystem containing components corresponding to interoperability constituents not holding an EC declaration6.4.Project phases where assessment is required6.5.Constituents holding an EC declaration of conformity7.Implementation7.1.Authorisation for placing on the market7.1.1.Application to ongoing projects7.1.2.Mutual recognition of the first authorisation of placing on the market7.2.General rules for implementation7.2.1.Substitution of constituents7.2.2.Changes to a unit in operation or to an existing unit type7.2.2.1.Introduction7.2.2.2.Rules to manage changes in both a unit or a unit type7.2.2.3.Particular rules for units in operation not covered by an EC declaration of verification with a first authorisation for placing in service before 1 January 20157.2.2.4.Rules for the extension of the area of use for units in operation having an authorisation in accordance with Directive 2008/57/EC or in operation before 19 July 20107.2.3.Rules related to the EC type or design examination certificates7.2.3.1.Rolling stock subsystem7.2.3.1.1.Definitions7.2.3.1.2.Rules related to the EC type or design examination certificate7.2.3.1.3.Validity of the EC type or design examination certificate7.2.3.2.Interoperability constituents7.3.Specific cases7.3.1.Introduction7.3.2.List of specific cases7.3.2.1.General specific cases7.3.2.1a.Gauging (point 4.2.3.1)7.3.2.2.Axle bearing condition monitoring (point 4.2.3.4)7.3.2.3.Safety against derailment running on twisted track (point 4.2.3.5.1)7.3.2.4.Running dynamic behaviour (point 4.2.3.5.2)7.3.2.5.Brake safety requirements (point 4.2.4.2)7.3.2.6.Characteristics of wheels (point 4.2.3.6.3)7.3.2.6.Attachment devices for rear-end signals (point 4.2.6.3)7.3.2.7.Rules to manage changes in both rolling stock and rolling stock type (7.2.2.2)7.4.Specific environmental conditions7.5.Freight wagons operating under national, bilateral, multilateral or international agreements7.6.Aspects that have to be considered in the revision process or in other activities of the Agency7.6.1.Rules for implementationAppendices1.INTRODUCTIONA Technical Specification for Interoperability (TSI) is a specification that covers a subsystem (or part of it) as defined in Article 2(11) of Directive (EU) 2016/797 in order:to ensure the interoperability of the rail system, andto meet the essential requirements.1.1.Technical scopeSee Article 2 of this Regulation.1.2.Geographical scopeThis Regulation applies to the Union rail system.1.3.Content of this TSIIn accordance with Article 4(3) of Directive (EU) 2016/797, this TSI:(a)covers the "rolling stock-freight wagons" subsystem;(b)lays down essential requirements for the part of the rolling stock subsystem concerned and for its interfaces vis-à-vis other subsystems (Chapter 3);(c)establishes the functional and technical specifications to be met by the subsystem and its interfaces vis-à-vis other subsystems (Chapter 4).(d)determines the interoperability constituents and interfaces which must be covered by European specifications, including European standards, which are necessary to achieve interoperability within the rail system (Chapter 5);(e)states, in each case under consideration, which procedures are to be used in order to assess the conformity or the suitability for use of the interoperability constituents and the "EC" verification of the subsystems (Chapter 6);(f)indicates the strategy for implementing the TSIs (Chapter 7);(g)indicates, for the staff concerned, the professional qualifications and health and safety conditions at work that are required for the operation and maintenance of the above subsystem, as well as for the implementation of this TSI (Chapter 4).2.SCOPE AND DEFINITION OF SUBSYSTEM2.1.ScopeThis 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:(a)special vehicles;(b)vehicles designed to carry:motor vehicles with their passengers on board, ormotor vehicles without passengers on board but intended to be integrated in passenger trains (car carriers);(c)vehicles whichincrease their length in loaded configuration, andtheir payload itself is part of the vehicle structure.Note: See also section 7.1 for particular cases.2.2.DefinitionsIn the present TSI the following definitions are used:(a)A "unit" is the generic term used to name the rolling stock. It is subject to the application of this TSI, and therefore subject to the EC verification procedure.A unit can consist of:a "wagon" that can be operated separately, featuring an individual frame mounted on its own set of wheels, ora rake of permanently connected "elements", those elements cannot be operated separately, or"separate rail bogies connected to compatible road vehicle(s)" the combination of which forms a rake of a rail compatible system.(b)A "train" is an operational formation consisting of several units.(c)The "design operating state" covers all conditions under which the unit is intended to operate and its technical boundaries. This design operating state may go beyond the specifications of this TSI in order that units may be used together in a train on the network under the safety management system of a railway undertaking.3.ESSENTIAL REQUIREMENTSArticle 3(1) of Directive (EU) 2016/797 provides that the rail system, its subsystems and their interoperability constituents are to meet the relevant essential requirements. The essential requirements are set out in general terms in Annex III to that Directive. Table 1 of this Annex indicates the basic parameters specified in this TSI and their correspondence to the essential requirements as explained in Annex III to Directive (EU) 2016/797.

Table 1Basic parameters and their correspondence to the essential requirements

Point	Basic parameter	Essential requirements
		Safety	Reliability and availability	Health	Environment protection	Technical compatibility
4.2.2.1.1	End coupling	1.1.1,1.1.3,1.1.5,2.4.1
4.2.2.1.2	Inner coupling	1.1.1,1.1.3,2.4.1
4.2.2.2	Strength of unit	1.1.1,1.1.3,2.4.1
4.2.2.3	Integrity of the unit	1.1.1
4.2.3.1	Gauging	1.1.1				2.4.3
4.2.3.2	Compatibility with load carrying capacity of lines	1.1.1				2.4.3
4.2.3.3	Compatibility with train detection systems	1.1.1				2.4.3
4.2.3.4	Axle bearing condition monitoring	1.1.1	1.2			2.4.3
4.2.3.5.1	Safety against derailment running on twisted track	1.1.1,1.1.2,2.4.1				2.4.3
4.2.3.5.2	Running dynamic behaviour	1.1.11.1.2				2.4.3
4.2.3.5.3	Derailment detection and prevention function	1.1.11.1.2				2.4.3
4.2.3.6.1	Structural design of bogie frame	1.1.1,1.1.2,1.1.3
4.2.3.6.2	Characteristics of wheelsets	1.1.1,1.1.2,1.1.3				2.4.3
4.2.3.6.3	Characteristics of wheels	1.1.1,1.1.2,1.1.3				2.4.3
4.2.3.6.4	Characteristics of axles	1.1.1,1.1.2,1.1.3
4.2.3.6.5	Axle box/bearings	1.1.1,1.1.2,1.1.3
4.2.3.6.6	Automatic variable gauge systems	1.1.1,1.1.2,1.1.3	1.2			1.5
4.2.3.6.7	Running gear for manual change of wheelsets	1.1.1,1.1.2,1.1.3
4.2.4.2	Brake — Safety requirements	1.1.1, 1.1.3	1.22.4.2
4.2.4.3.1	Brake — General functional requirements	1.1.12.4.1	2.4.2
4.2.4.3.2.1	Brake performance — In-service brake	1.1.1,1.1.22.4.1	2.4.2			1.5
4.2.4.3.2.2	Brake performance — Parking brake	2.4.1				2.4.3
4.2.4.3.3	Brake — Thermal capacity	1.1.1,1.1.32.4.1				2.4.3
4.2.4.3.4	Brake — Wheel slide protection (WSP)	2.4.1	2.4.2
4.2.4.3.5	Friction elements for wheel tread brakes	1.1.1, 1.1.2, 1.1.3, 2.4.1				2.4.3
4.2.5	Environmental conditions	1.1.11.1.2				2.4.3
4.2.6.1	Fire safety	1.1.11.1.4
4.2.6.1.2.1	Fire safety Barriers	1.1.4		1.3.2	1.4.2
4.2.6.1.2.2	Fire safety Materials	1.1.4		1.3.2	1.4.2
4.2.6.1.2.3	Fire safety Cables	1.1.41.1.5		1.3.2	1.4.2
4.2.6.1.2.4	Fire safety — Flammable liquids	1.1.4		1.3.2	1.4.2
4.2.6.2	Protection against electric hazard	1.1.52.4.1
4.2.6.3	Attachment device for rear-end signal	1.1.1

The essential requirements 1.3.1, 1.4.1, 1.4.3, 1.4.4 and 1.4.5 of Annex III to Directive (EU) 2016/797 fall under the scope of other Union legislation.4.CHARACTERISATION OF THE SUBSYSTEM4.1.IntroductionThe rail system, to which Directive (EU) 2016/797 applies and of which freight wagons form a part, is an integrated system whose consistency shall be verified. This consistency shall be checked in particular with regard to the specifications of the rolling stock subsystem and the compatibility with the network (Section 4.2), its interfaces in relation to the other subsystems of the rail system in which it is integrated (Sections 4.2 and 4.3), as well as the initial operating and maintenance rules (Sections 4.4 and 4.5) as requested by Article 15(4) of Directive (EU) 2016/797.The technical file, as set out in Article 15(4) of Directive (EU) 2016/797 and in point 2.4 of Annex IV to that Directive, shall contain in particular design related values concerning the compatibility with the network.4.2.Functional and technical specifications of the subsystem4.2.1.GeneralIn light of the essential requirements in Chapter 3, the functional and technical specifications of the subsystem "rolling stock — freight wagons" are grouped and sorted out in the following points of this Chapter:Structures and mechanical partsGauging and vehicle track interactionBrakeEnvironmental conditionsSystem protection.Except where this is strictly necessary for the interoperability of the rail system and to meet the relevant essential requirements, the functional and technical specifications of the freight wagon and its interfaces do not impose the use of any particular technical solutions.Innovative solutions, which do not fulfil the requirements specified in this TSI and/or which are not assessable as stated in this TSI, require new specifications and/or new assessment methods. In order to allow technological innovation, these specifications and assessment methods shall be developed by the process "innovative solution" described in Chapter 6.When the functional and technical specifications that are necessary in order to achieve interoperability and to meet the essential requirements, have not been developed concerning a particular technical aspect, this aspect is identified as an open point in the relevant point. As required in Article 5(6) of Directive (EU) 2016/797 all open points are listed in Appendix A.In Appendix C a set of conditions is specified. The conformity with this set of conditions is optional. If this option is selected, the conformity shall be assessed by a notified body within the EC verification procedure.In accordance with Article 5(5) of Directive (EU) 2016/797, provision may be made for specific cases for each TSI. Such provisions are indicated in Chapter 7.As far as possible the assessment procedure for the requirements in Section 4.2 is defined in Chapter 6. In these cases the text of Section 4.2 makes a reference to the corresponding points and sub points clauses of Chapter 6. If for a particular basic parameter the separation of requirements and assessment procedures is not feasible, no reference is given.4.2.2.Structures and mechanical parts4.2.2.1.Mechanical interface4.2.2.1.1.End couplingThe end coupling is the mechanical interface between units forming a train.The coupling system shall be designed in a way that no human presence between the units to be coupled/uncoupled shall be required whilst either one unit is moving.End couplings shall be resilient and capable of withstanding the forces in accordance with the defined design operating state of the unit.4.2.2.1.2.Inner couplingThe inner coupling is the mechanical interface between elements forming a unit.The inner coupling shall be resilient and capable of withstanding the forces in accordance with the defined design operating state of the unit. The joint between two elements sharing the same running gear, is covered by point 4.2.2.2.The longitudinal strength of the inner coupling(s) shall be equal to or higher than the one of the end coupling(s) of the unit.4.2.2.2.Strength of unitThe structure of a unit body, any equipment attachments and lifting and jacking points shall be designed such that no cracks, no significant permanent deformation or ruptures occur under the load cases defined in the specification referenced in Appendix D Index [1].In case of a rake of a rail compatible system composed of separate rail bogies connected to compatible road vehicles, the load cases may differ from those mentioned above, due to their bi- modal specification; in such a case, the load cases considered shall be described by the applicant based on a consistent set of specifications with consideration of the specific conditions of use related to train composition, shunting and operation.The demonstration of conformity is described in point 6.2.2.1.The lifting and jacking positions shall be marked on the unit. The marking shall comply with the specification referenced in Appendix D Index [2].Note: Joining techniques are deemed to be covered as well by the demonstration of conformity in accordance to point 6.2.2.1.4.2.2.3.Integrity of the unitThe unit shall be designed so that all movable parts intended to close an aperture (access doors, tarpaulin, lids, hatches, etc.) are prevented against an unintentional movement of these parts.Locking devices shall indicate their status (open/closed) and shall be visible outside the unit.Units intended to be used for combined transport and requiring a wagon compatibility code shall be equipped with devices for securing the Intermodal Loading Unit.4.2.3.Gauging and track interaction4.2.3.1.GaugingThis point concerns the rules for calculation intended for sizing the rolling stock to run on one or several networks without interference risk.The compliance of a unit with the intended reference profile including the reference profile for the lower part shall be established by one of the methods set out in the specification referenced in Appendix D Index [4].The kinematic method, as described in the specification referenced in Appendix D Index [4] shall be used to establish conformity, if any, between the reference profile established for the unit and the respective target reference profiles G1, GA, GB and GC including those used for the lower part GI1 and GI2.Units intended to be used for combined transport shall be codified in accordance with the requirements of Appendix H and the specification referenced in Appendix D.2, index [B].4.2.3.2.Compatibility with load carrying capacity of linesThe vertical loading characteristics of the unit shall be determined in order to check compatibility with the load carrying capacity of lines.The permissible payload a unit may carry, for axle loads up to and including 25 t, shall be determined by application of the specification referenced in Appendix D Index [5].4.2.3.3.Compatibility with train detection systemsIf the unit is intended to be compatible with one or more of the following train detection systems, this compatibility shall be established in accordance with the provisions of the technical document referenced in Appendix D.2 Index [A]:(a)train detection systems based on track circuits (the electrical resistance of the wheelset can be assessed at IC level or at vehicle level);(b)train detection systems based on axle counters;(c)train detection systems based on loop equipment.The related specific cases are defined in section 7.7 of the CCS TSI.4.2.3.4.Axle bearing condition monitoringIt shall be possible to monitor the axle bearing condition either by:line side detection equipment, oron-board equipment.If the unit is intended to be capable of being monitored by line side equipment on the 1435 mm track gauge network the unit shall be compliant with the specification referenced in Appendix D Index [6] in order to ensure sufficient visibility.For units intended to be operated on the networks with track gauges of 1524 mm, 1600 mm, 1668 mm, the corresponding values in Table 2 referring to the parameters of the specification referenced in Appendix D Index [6] shall be applied.

Table 2Target and prohibitive zone for units intended to be operated on particular networks

	YTA[mm]	WTA[mm]	LTA[mm]	YPZ[mm]	WPZ[mm]	LPZ[mm]
1524 mm(both areas are relevant)	1080 ± 35	≥ 50	≥ 200	1080 ± 5	≥ 140	≥ 500
	894 ± 2	≥ 14	≥ 200	894 ± 2	≥ 28	≥ 500
1600 mm	1110 ± 2	≥ 70	≥ 180	1110 ± 2	≥ 125	≥ 500
1668 mm	1176 ± 10	≥ 55	≥ 100	1176 ± 10	≥ 110	≥ 500

If the unit is intended to be capable of being monitored by on-board equipment, the following requirements shall apply:This equipment shall be able to detect a deterioration of any of the axle box bearings of the unit.The bearing condition shall be evaluated either by monitoring its temperature, or its dynamic frequencies or some other suitable bearing condition characteristic.The detection system shall be located entirely on board the unit, and diagnosis messages shall be available on board the unit.The diagnosis messages delivered and how they are made available shall be described in the operating documentation set out in section 4.4 of this TSI, and in the maintenance rules described in section 4.5 of this TSI.4.2.3.5.Running safetyThe dynamic behaviour of a vehicle has a strong influence on safety against derailment, running safety and track loading.4.2.3.5.1.Safety against derailment running on twisted trackThe unit shall be designed to ensure safe running on twisted track, taking into account specifically the transition phase between canted and level track and cross level deviations.The demonstration of conformity is described in point 6.2.2.2.4.2.3.5.2.Running dynamic behaviourThe unit shall be designed to provide safe movement up to the maximum design speed.The running dynamic behaviour of a unit shall be proven either by:following the procedures set out in the specification referenced in Appendix D Index [7], orperforming simulations using a validated model.The demonstration of conformity is described in point 6.2.2.3.Running dynamic behaviour is permitted to be assessed at interoperability constituent level in accordance with point 6.1.2.1. In this case a specific test or simulation at subsystem level is not required.4.2.3.5.3.Derailment detection and prevention functionThe derailment detection and prevention function is intended to prevent derailments or to mitigate the consequences of a derailment of the unit.If a unit is fitted with the derailment detection and prevention function, the requirements below shall be met.4.2.3.5.3.1.General requirementsThe function shall be able to detect either a derailment or conditions which are a precursor to derailment of the unit in accordance with one of the three sets of requirements set out in points 4.2.3.5.3.2, 4.2.3.5.3.3 and 4.2.3.5.3.4 below.It is allowed to combine those requirements as follows:4.2.3.5.3.2 and 4.2.3.5.3.34.2.3.5.3.2 and 4.2.3.5.3.44.2.3.5.3.2Derailment prevention function (DPF)The DPF shall send a signal to the driver’s cab of the locomotive hauling the train once a precursor to derailment is detected in the unit.The signal enabling the DPF to be available at train level and its transmission between the unit, the locomotive and the other coupled unit(s) in a train shall be documented in the technical file.4.2.3.5.3.3.Derailment detection function (DDF)The DDF shall send a signal to the driver’s cab of the locomotive hauling the train once the derailment is detected in the unit.The signal enabling the DDF to be available at train level and its transmission between the unit, the locomotive and the other coupled unit(s) in a train shall be documented in the technical file.4.2.3.5.3.4.Derailment detection and actuation function (DDAF)The DDAF shall automatically activate a brake application when the derailment is detected without possibility of overriding by the driver.The risk of false derailment detections shall be limited to an acceptable level.Therefore, the DDAF shall be subject to a risk assessment in accordance with Implementing Regulation (EU) No 402/2013.It shall be possible to deactivate the DDAF directly on the unit when the unit is stopped. That deactivation will release and isolate the DDAF from the brake system.The DDAF shall indicate its status (activated/deactivated) and that status shall be visible from both sides of the unit. If this is not physically feasible, the DDAF shall indicate its status from at least one side and the other side of the wagon shall be marked in accordance with the specification referenced in Appendix D Index [2].4.2.3.6.Running gearThe running gear guarantees to carry and guide the unit safely as well as to transmit braking forces where so required.4.2.3.6.1.Structural design of bogie frameThe integrity of the structure of a bogie frame, all attached equipment and body to bogie connection shall be demonstrated based on methods as set out in the specification referenced in Appendix D Index [9].The integrity of the structure of a bogie frame is permitted to be assessed at interoperability constituent level in accordance with point 6.1.2.1. In this case a specific test or simulation at subsystem level is not required.4.2.3.6.2.Characteristics of wheelsetsThe wheelset assembly shall be able to transmit forces and torque between the fitted parts in accordance with the area of use.The geometric dimensions of the wheelsets, as defined in Figure 1, shall be compliant with limit values specified in Table 3. These limit values shall be taken as design values and shall be stated as in-service limit values in the maintenance file described in Section 4.5.The demonstration of conformity is described in point 6.1.2.2.Figure 1Symbols for wheelsets used in Table 3

Table 3Limits of use of the geometric dimensions of wheelsetsTwo-axle wagons with axle load up to 22,5 t the value shall be taken as 1651 mm.

Designation		Wheel diam.D [mm]	Minimum value[mm]	Maximum value[mm]
1435 mm	Front-to-front dimension (SR)SR = AR + Sd,left + Sd,right	330 ≤ D ≤ 760	1415	1426
		760 < D ≤ 840	1412	1426
		D > 840	1410	1426
	Back-to-back distance (AR)	330 ≤ D ≤ 760	1359	1363
		760 < D ≤ 840	1358	1363
		D > 840	1357	1363
1524 mm	Front-to-front dimension (SR)SR = AR + Sd,left + Sd,right	400 ≤ D < 840	1492	1514
		D ≥ 840	1487	1514
	Back-to-back distance (AR)	400 ≤ D < 840	1444	1448
		D ≥ 840	1442	1448
1600 mm	Front-to-front dimension (SR)SR = AR + Sd,left + Sd,right	690 ≤ D ≤ 1016	1573	1592
	Back-to-back distance (AR)	690 ≤ D ≤ 1016	1521	1526
1668 mm	Front-to-front dimension (SR)SR = AR + Sd,left + Sd,right	330 ≤ D < 840	1648	1659
		840 ≤ D ≤ 1250	1648	1659
	Back-to-back distance (AR)	330 ≤ D < 840	1592	1596
		840 ≤ D ≤ 1250	1590	1596

4.2.3.6.3.Characteristics of wheelsThe geometrical dimensions of the wheels as defined in Figure 2 shall be compliant with limit values specified in Table 4.

Table 4Limits of use of the geometric dimensions of wheels

Designation		Wheel diam.D [mm]	Minimum value[mm]	Maximum value[mm]
1435 mm	Width of the rim (BR) (with maximum BURR of 5 mm)	D ≥ 330	133	140
	Thickness of the flange (Sd)	330 ≤ D ≤ 760	27,5	33
		760 < D ≤ 840	25	33
		D > 840	22	33
	Height of the flange (Sh)	330 ≤ D ≤ 630	31,5	36
		630 < D ≤ 760	29,5	36
		D > 760	27,5	36
	Face of the flange (qR)	D ≥ 330	6,5	—
1524 mm	Width of the rim (BR) (with maximum BURR of 5 mm)	D ≥ 400	134	140
	Thickness of the flange (Sd)	400 ≤ D < 760	27,5	33
		760 ≤ D < 840	25	33
		D ≥ 840	22	33
	Height of the flange (Sh)	400 ≤ D < 630	31,5	36
		630 ≤ D < 760	29,5	36
		D ≥ 760	27,5	36
	Face of the flange (qR)	D ≥ 400	6,5	—
1600 mm	Width of the rim (BR) (with maximum BURR of 5 mm)	690 ≤ D ≤ 1016	137	139
	Thickness of the flange (Sd)	690 ≤ D ≤ 1016	26	33
	Height of the flange (Sh)	690 ≤ D ≤ 1016	28	38
	Face of the flange (qR)	690 ≤ D ≤ 1016	6,5	—
1668 mm	Width of the rim (BR) (with maximum BURR of 5 mm)	D ≥ 330	133	140
	Thickness of the flange (Sd)	330 ≤ D ≤ 840	27,5	33
		D > 840	22 (PT); 25 (ES)	33
	Height of the flange (Sh)	330 ≤ D ≤ 630	31,5	36
		630 ≤ D ≤ 760	29,5	36
		D > 760	27,5	36
	Face of the flange (qR)	D ≥ 330	6,5	—

These limit values shall be taken as design values and shall be stated as in-service limit values in the maintenance file described in Section 4.5.Figure 2Symbols for wheels used in Table 4The mechanical characteristics of the wheels shall ensure the transmission of forces and torque as well as the resistance against thermal load where so required in accordance with the area of use.The demonstration of conformity is described in point 6.1.2.3.4.2.3.6.4.Characteristics of axlesThe characteristics of the axle shall ensure the transmission of forces and torque in accordance with the area of use.The demonstration of conformity is described in point 6.1.2.4.The traceability of axles 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).4.2.3.6.5.Axle boxes/bearingsThe axle box and the rolling bearing shall be designed with consideration of mechanical resistance and fatigue characteristics. Temperature limits reached in service relevant for the hot box detection shall be defined.The demonstration of conformity is described in point 6.2.2.4.4.2.3.6.6.Automatic variable gauge systemsThis 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 1435 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.4.2.3.6.7.Running gear for manual change of wheelsetsThe requirement is applicable to units prepared to run on different track gauges, by means of a physical change of wheelset.The unit shall be equipped with a locking mechanism in order to ensure the correct position of its brake equipment in the different configurations considering the dynamic effects in accordance with the design operating state of the unit.The demonstration of conformity is described in point 6.2.2.5.4.2.4.Brake4.2.4.1.GeneralThe purpose of the train brake system is to ensure that:the train’s speed can be reduced,the train’s speed can be maintained on a slope,the train can be stopped within the maximum allowable braking distance, and thatthe train can be immobilised.Primary factors that influence the braking performance and the braking process are:the braking power,the train mass,the speed,the allowable braking distance,the available adhesion, andthe track gradient.The brake performance of a train is derived from the individual brake performance of each unit in the train.4.2.4.2.Safety requirementsThe braking system contributes to the safety level of the railway system. Therefore the design of the braking system of a unit has to undergo a risk assessment in accordance with Commission Implementing Regulation (EU) No 402/2013OJ L 121, 3.5.2013, p. 8. considering the hazard of complete loss of the brake capability of the unit. The severity level shall be deemed as catastrophic when:it affects the unit alone (combination of failures), orit affects the brake capability of more than the unit (single fault).The fulfilment of the conditions of C.9 and C.14 of Appendix C is presumed to be in conformity with this requirement.4.2.4.3.Functional and technical requirements4.2.4.3.1.General functional requirementsThe brake equipment of the unit shall provide the functions of braking such as the application and the release of the brake, upon a transmitted signal. The brake shall be:continuous (the brake application or release signal is transmitted from a central command to the whole train by a control line),automatic (an inadvertent disruption of the control line shall lead to brake activation on all units of the train bringing each part to stand still),disengageable, which enables its release and isolation.4.2.4.3.2.Brake performance4.2.4.3.2.1.Service brakeThe brake performance of a train or a unit is its ability to decelerate. It is the result of the braking power available to decelerate the train or unit within defined limits and all factors involved in the conversion and dissipation of energy including train resistance.The brake performance of a unit shall be calculated in accordance with one of the specifications referenced in Appendix D, either Index [16], Index [37], Index [58] or Index [17].The calculation shall be validated by tests. Brake performance calculation in accordance with the specification referenced in Appendix D Index [17] shall be validated as set out in the same specification or in the specification referenced in Appendix D, Index [58].4.2.4.3.2.2.Parking brakeA Parking Brake is a brake used to prevent parked rolling stock moving under the specified conditions taking into account the place, wind, gradient and rolling stock loading state, until intentionally released.If the unit is equipped with a parking brake, the following requirements shall be met:the immobilisation shall remain until intentionally released,where it is not possible to identify the state of the parking brake directly, an indicator showing the state shall be provided on both sides on the outside of the vehicle,the minimum parking brake force, considering no wind, shall be determined by calculations as defined in the specification referenced in Appendix D Index [16].Where relevant, the calculations shall determine:the minimum parking brake force for an unloaded wagon,the maximum parking brake force for a fully loaded wagon,the breakover loading mass, i.e. the minimum loading condition for the maximum parking brake force,the parking brake of a unit shall be designed considering a wheel/rail (steel/steel) adhesion factor not higher than 0,12.4.2.4.3.3.Thermal capacityThe brake equipment shall be able to withstand one emergency brake application without any loss of brake performance due to thermal or mechanical effects.The thermal load that the unit is capable of withstanding without any adverse loss of brake performance due to thermal or mechanical effects, shall be defined and expressed in terms of speed, axle load, gradient and brake distance.The demonstration of conformity is described in point 6.2.2.6.A slope of 21 ‰ at 70 km/h during 40 km may be considered as the reference case for the thermal capacity which results in a braking power of 45 kW per wheel during 34 minutes for a nominal wheel diameter of 920 mm and an axle load of 22,5 t.4.2.4.3.4.Wheel slide protection (WSP)Wheel slide protection (WSP) is a system designed to use the maximum available adhesion by decreasing, holding or increasing the brake force to prevent wheel sets from locking and uncontrolled sliding. Thereby the stopping distance shall be optimised.If an electronic WSP-control is used negative effects caused by malfunctions of WSP shall be reduced by suitable system design processes and technical configuration.The WSP shall not alter the functional characteristics of the brakes. The vehicle’s air equipment shall be dimensioned such that the air consumption of the WSP does not impair the performance of the pneumatic brake. The design process of the WSP shall take into account that the WSP has no detrimental effect on the constituent parts of the vehicle (brake gear, wheel tread, axle boxes, etc.).The following types of units shall be fitted with WSP:types of units equipped with all types of brake blocks except composite brake blocks, for which the maximum mean utilisation of adhesion is greater than 0,12,types of units equipped with disc brakes only and/or with composite brake blocks, for which the maximum mean utilisation of adhesion is greater than 0,11.4.2.4.3.5.Friction elements for wheel tread brakesThe friction element for wheel tread brakes (i.e. brake block) generates brake forces by friction when engaged with the wheel tread.If wheel tread brakes are used the characteristics of the friction element shall contribute reliably to achieving the intended brake performance.The demonstration of conformity is described in point 6.1.2.5 of this TSI.4.2.5.Environmental conditionsThe design of the unit, as well as its constituents shall take into account the environmental conditions to which this rolling stock will be subjected to.The environmental parameters are described in the clauses below. For each environmental parameter, a nominal range is defined, which is the most commonly encountered in Europe, and is the basis for the interoperable unit.For certain environmental parameters ranges other than the nominal one are defined. In that case, a range shall be selected for the design of the unit.For the functions identified in the clauses below, design and/or testing provisions taken to ensure that the rolling stock is meeting the TSI requirements in this range shall be described in the technical file.Depending on the ranges selected and on provisions taken (described in the technical file), appropriate operating rules could be necessary when the unit designed for the nominal range is operated on a particular line where the nominal range is exceeded at certain periods of the year.The ranges, if different from the nominal one, to be selected to avoid any restrictive operating rule(s) linked to environmental conditions, are specified by the Member States and are listed in Section 7.4.The unit and its constituents shall be designed under consideration of one or several of the following external air temperature ranges:T1: – 25 °C to + 40 °C (nominal),T2: – 40 °C to + 35 °C, andT3: – 25 °C to + 45 °C.The unit shall meet the requirements of this TSI without degradation for snow, ice and hail conditions as defined in the specification referenced in Appendix D Index [18], which correspond to the nominal range.Where more severe "snow, ice and hail" conditions than considered in the standard are selected, the unit and its constituents shall then be designed to meet TSI requirements considering the combined effect with low temperature according to the temperature range chosen.In relation with the temperature range T2 and with the severe conditions for snow, ice and hail, the provisions taken to meet TSI requirements in these severe conditions shall be identified and verified, in particular design and/or testing provisions considering the following functions:Coupling function restricted to the resiliency of couplings.Brake function, including brake equipment.The demonstration of conformity is described in point 6.2.2.7.4.2.6.System protection4.2.6.1.Fire safety4.2.6.1.1.GeneralAll significant potential fire sources (high risk components) on the unit shall be identified. The fire safety aspects of the unit design shall be aimed at:preventing a fire from occurring,limiting the effects if a fire occurs.The goods carried on the unit are not part of the unit and do not have to be taken into account in the conformity assessment.4.2.6.1.2.Functional and technical specification4.2.6.1.2.1.BarriersIn order to limit the effects of fire, fire barriers with integrity of at least 15 minutes shall be installed between the identified potential fire sources (high risk components) and the carried load.The demonstration of conformity is described in point 6.2.2.8.1.4.2.6.1.2.2.MaterialsAll permanent materials used on the unit shall have limited ignitability and flame spread properties, unless:the material is separated from all potential fire risks on the unit by a fire barrier and the safe application is supported by a risk assessment, orthe component has a mass < 400 g, and is located within a horizontal distance of ≥ 40 mm and a vertical distance of ≥ 400 mm to other non-tested components.The demonstration of conformity is described in point 6.2.2.8.2.4.2.6.1.2.3.CablesThe selection and installation of electrical cables shall take into account their fire behaviour properties.The demonstration of conformity is described in point 6.2.2.8.3.4.2.6.1.2.4.Flammable liquidsThe unit shall be provided with measures preventing a fire from occurring and spreading due to leakage of flammable liquids or gases.The demonstration of conformity is described in point 6.2.2.8.4.4.2.6.2.Protection against electrical hazards4.2.6.2.1.Protective measures against indirect contact (protective bonding)The impedance between vehicle body and the running rail shall be low enough to prevent hazardous voltages between them.Units shall be bonded in accordance with the provisions as described in the specification referenced in Appendix D Index [27].4.2.6.2.2.Protective measures against direct contactThe electrical installations and equipment of a unit shall be designed so as to protect persons from electric shock.The unit shall be designed so that direct contact is prevented following the provisions set out in the specification referenced in Appendix D Index [27].4.2.6.3.Attachment devices for rear-end signalOn all units designed to receive a rear-end signal, two devices at the end of the unit shall provide for the installation of two lamps or two reflective plates as set out in Appendix E at the same height above rail and not higher than 2000 mm. The dimensions and clearance of these attachment devices shall be as described in the specification referenced in Appendix D Index [28].4.3.Functional and technical specification of the interfaces4.3.1.Interface with the subsystem "infrastructure"

Table 5Interface with infrastructure subsystemOJ L 126, 14.5.2011, p. 53.

Reference in TSI WAG	Reference in TSI INF
4.2.3.1Gauging	4.2.4.1Minimum structure gauge4.2.4.2Distance between track centres4.2.4.5Minimum radius of vertical curve
4.2.3.2Compatibility with load carrying capacity of lines	4.2.7.1Track resistance to vertical loads4.2.7.3Lateral track resistance4.2.8.1Resistance of bridges to traffic loads4.2.8.2Equivalent vertical loading for earthworks and earth pressure effects4.2.8.4Resistance of existing bridges and earthworks to traffic loads
4.2.3.5.2Running dynamic behaviour	4.2.9Track geometrical quality
4.2.3.6.2Characteristics of wheelsets4.2.3.6.3Characteristics of wheels	4.2.5.1Nominal track gauge4.2.5.6Rail head profile for plain line4.2.6.2In service geometry of switches and crossings

4.3.2.Interface with the subsystem "operation and traffic management"

Table 6Interface with operation and traffic management subsystemOJ L 144, 31.5.2011, p. 1.

Reference in TSI WAG	Reference in TSI OPE
4.2.2.2Strength of unit — Lifting and jacking	4.2.3.6.3Contingency arrangements
4.2.3.1Gauging	4.2.2.5Train composition
4.2.3.2Compatibility with load carrying capacity of lines	4.2.2.5Train composition
4.2.4Brake	4.2.2.6Train braking
4.2.6.3Attachment devices for rear-end signal.Appendix E Rear-end signal	4.2.2.1.3.2Rear-end

4.3.3.Interface with the subsystem "control, command and signalling"

Table 7Interface with control, command and signalling subsystem

Reference in TSI WAG	Reference in TSI CCS
4.2.3.3 a)Rolling stock characteristics compatible with train detection system based on track circuits	4.2.10: Compatibility with trackside train detection systems: vehicle design4.2.11: Electromagnetic compatibility between rolling stock and Control-Command and Signalling trackside equipment
4.2.3.3 b)Rolling stock characteristics compatible with train detection system based on axle counters	4.2.10: Compatibility with trackside train detection systems: vehicle design4.2.11: Electromagnetic compatibility between rolling stock and Control-Command and Signalling trackside equipment
4.2.3.3 c)Rolling stock characteristics compatible with train detection system based on loop equipment	4.2.10: Compatibility with trackside train detection systems: vehicle design

4.4.Operating rulesOperating 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:a description of operation in normal mode, including the operational characteristics and limitations of the unit (e.g. vehicle gauge, maximum design speed, axle loads, brake performance, compatibility with train detection systems, permitted environmental conditions, type(s) and operation of track gauge changeover facility(ies) the unit is compatible with),a description of operation in degraded mode (when equipment or functions described in this TSI suffer safety failures) as far as can reasonably predicted, together with the related acceptable limits and operating conditions of the unit that could be experienced,a safety critical components list: The safety critical components list shall contain the specific operational and operational traceability requirements.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.4.5.Maintenance rulesMaintenance 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:general documentation (point 4.5.1),the maintenance design justification file (point 4.5.2), andthe maintenance description file (point 4.5.3).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 documentationThe general documentation comprises:Drawings and description of the unit and its components.Any legal requirement concerning the maintenance of the unit.Drawing of systems (electrical, pneumatic, hydraulic and control-circuit diagrams).Additional on-board systems (description of the systems including description of functionality, specification of interfaces and data processing and protocols).Configuration files for each vehicle (parts list and bill of material) to enable (in particular but not only) traceability during maintenance activities.4.5.2.Maintenance design justification fileThe 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 comprises:Precedents, principles and methods used to design the maintenance of the unit.Precedents, principles and methods used to identify the safety critical components and their specific operational, servicing, maintenance and traceability requirements.Limits of the normal use of the unit (e.g. km/month, climatic limits, foreseen types of loads, etc.).Relevant data used to design the maintenance and origin of these data (return of experience).Tests, investigations and calculations carried out to design the maintenance.4.5.3.Maintenance description fileThe 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:preventive maintenance (scheduled and controlled), andcorrective maintenance.The maintenance description file includes the following:Component hierarchy and functional description which sets up the boundaries of the rolling stock by listing all the items belonging to the product structure of that rolling stock and using an appropriate number of discrete levels. The lowest item of the hierarchy shall be a replaceable component.Parts list which shall contain the technical and functional descriptions of the spare parts (replaceable units). The list shall include all parts specified for changing based on condition, which may require a replacement following electrical or mechanical malfunction or which will foreseeable require a replacement after an accidental damage. Interoperability constituents shall be indicated and referenced to their corresponding declaration of conformity.Safety critical components list: The safety critical components list shall contain the specific servicing, maintenance and servicing/maintenance traceability requirements.Limit values for components which are not to be exceeded in service. It is permitted to specify operational restrictions in degraded mode (limit value reached).List of reference to the European legal obligations to which components or subsystems are subject.Maintenance planThe 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). i.e. the structured set of tasks to perform the maintenance including the activities, procedures and means. The description of this set of tasks includes:(a)Disassembly/assembly instructions drawings necessary for correct assembly/disassembly of replaceable parts.(b)Maintenance criteria.(c)Checks and tests in particular of safety relevant parts; these include visual inspection and non-destructive tests (where appropriate e.g. to detect deficiencies that may impair safety).(d)Tools and materials required to undertake the task.(e)Consumables required to undertake the task.(f)Personal protective safety provision and equipment.Necessary tests and procedures to be undertaken after each maintenance operation before re-entry into service of rolling stock.4.6.Professional competenciesThe professional competencies of staff required for the operation and maintenance of units are not covered by this TSI.4.7.Health and safety conditionsThe provisions for health and safety of staff required for the operation and maintenance of units are covered by essential requirements 1.1.5, 1.3.1, 1.3.2, 2.5.1 and 2.6.1 set out in Annex III to Directive (EU) 2016/797.In particular, the following points of Section 4.2 specify provisions for health and safety of staff:point 4.2.2.1.1: End coupling,point 4.2.6.1: Fire safety,point 4.2.6.2: Protection against electrical hazards.If the unit is fitted with a manual coupling system, a free space for shunters during coupling and uncoupling shall be provided.All protruding parts deemed a hazard to operational staff shall be clearly indicated and/or fitted with protective devices.The unit shall be equipped with footsteps and handrails except in those cases it is not intended to be operated with staff on-board, e.g. for shunting.4.8.Parameters to be recorded in the technical file and European register of authorised types of vehiclesThe technical file shall contain at least the following parameters:Type, position and resiliency of the end couplingLoad due to dynamic traction forces and compressive forcesGauge reference profiles to which the unit compliesConformity, if any, to target gauge reference profile(s) G1, GA, GB and GCCompliance, if any, to gauge lower reference profile(s) GI1 and GI2Mass per axle (tare and fully laden)Position of the axles along the unit and number of axlesLength of the unitMaximum design speedTrack gauges(s) the unit can be operated onCompatibility with train detection systems (track circuits/axle counters/loop equipment)Compatibility with hot axle box detection systemsIn-service temperature range of the axle bearingsNature of the signal which controls the brake (example: pneumatic main brake pipe, electric brake type XXX, etc.)Characteristics of the control line and of its coupling with other units (main brake pipe diameter, section of the electric cable etc.)Individual nominal performance of the brake unit, depending on the brake mode, if any (response time, brake force, level of adhesion required, etc.)Braking distance or brake weight depending on the brake mode, if any.Thermal load of the brake components expressed in terms of speed, axle load, gradient and brake distanceTemperature range and severity level of snow/ice/hail conditionsBrake weight and maximum gradient of the parking brake (if applicable)Ability/inability to be hump shuntedPresence of footsteps and/or handrailsMinimum brake force and, where relevant, maximum brake force and breakover loading mass for the parking brake (if applicable)Number of axles where the parking brake is appliedPresence of one or more of the following functions: DDF, DPF, DDAFDescription of the signal informing of a derailment or a precursor to a derailment and its transmission for units fitted with DDF or DPF.The rolling stock data that must be recorded in the "European register of authorised types of vehicles (ERATV)" are set out in the Commission Implementing Decision 2011/665/EU of 4 October 2011 on the European register of authorised types of railway vehiclesOJ L 264, 8.10.2011, p. 32..4.9.Route compatibility checks before the use of authorised vehiclesThe 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) 2019/773Commission 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).5.INTEROPERABILITY CONSTITUENTS5.1.GeneralInteroperability constituents (ICs), as defined in Article 2(f) of Directive (EU) 2016/797, are listed in Section 5.3 together with:their area of use covering parameters of the subsystem, andthe reference to corresponding requirements defined in Section 4.2.When a requirement is identified in Section 5.3 as being assessed at IC level, an assessment for the same requirement at subsystem level is not required.5.2.Innovative solutionsAs stated in Article 10a, innovative solutions may require new specifications and/or new assessment methods. Such specifications and assessment methods shall be developed using the process described in point 6.1.3 whenever an innovative solution is envisaged for an interoperability constituent.5.3.Interoperability constituent specifications5.3.1.Running gearThe running gear shall be designed for all application ranges, the areas of use, as defined by the following parameters:Track gaugeMaximum speedMaximum cant deficiencyMinimum tare of the unitMaximum axle loadRange of distances between bogie pivots or range of wheelbase of "two-axle units"Maximum height of centre of gravity of empty unitCoefficient of height of centre of gravity of loaded unitMinimum torsional stiffness coefficient of car bodyMaximum mass distribution coefficient for empty units with:Where:Izzmoment of inertia of the car body relative to the vertical axis through the centre of gravity of the car bodymmass of the car body2a*wheelbaseMinimum nominal wheel diameterRail inclination.The parameters speed and axle load may be considered in combination in order to define the appropriate area of use (e.g. maximum speed and tare weight).The running gear shall comply with the requirements expressed in points 4.2.3.5.2 and 4.2.3.6.1. These requirements shall be assessed at IC level.5.3.2.WheelsetFor 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:track gauge,nominal wheel tread diameter, andmaximum vertical static force.A wheelset shall comply with the requirements on geometrical and mechanical parameters defined in point 4.2.3.6.2. These requirements shall be assessed at IC level.5.3.3.WheelA wheel shall be designed and assessed for an area of use defined by:nominal tread diameter,maximum vertical static force,maximum speed,in-service limits, andmaximum braking energy.A wheel shall comply with the requirements on geometrical, mechanical and thermo mechanical parameters defined in point 4.2.3.6.3. These requirements shall be assessed at IC level.5.3.4.AxleAn axle shall be designed and assessed for an area of use defined by:maximum vertical static force.An axle shall comply with the requirements on mechanical parameters defined in point 4.2.3.6.4. These requirements shall be assessed at IC level.5.3.4a.Friction element for wheel tread brakesThe friction element for wheel tread brakes shall be designed and assessed for an area of use defined by:dynamic friction coefficients and their tolerance bands,minimum static friction coefficient,maximum permitted brake forces applied on the element,suitability for train detection by systems based on track circuits,suitability for severe environmental conditions.A friction element for wheel tread brakes shall comply with the requirements defined in point 4.2.4.3.5. These requirements shall be assessed at IC level.5.3.4b.Automatic variable gauge systemAn IC "automatic variable gauge system" shall be designed and assessed for an area of use defined by:the track gauges the system is designed for,the range of maximum static axle loads,the range of nominal wheel tread diameters,the maximum design speed of the unit, andthe types of track gauge changeover facility(ies) the system is designed for, including the nominal speed through the track changeover facility(ies) and the maximum axial forces during the automatic gauge changeover process.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 6.1.2.6.5.3.5.Rear-end signalThe rear-end signal, as described in Appendix E, is an independent IC. There are no requirements in Section 4.2 dealing with the rear-end signal. Its assessment by the notified body is not part of the EC verification of the subsystem.6.CONFORMITY ASSESSMENT AND EC VERIFICATION6.1.Interoperability constituent6.1.1.ModulesThe conformity assessment of an interoperability constituent shall be performed in accordance with the module(s) described in Table 8.

Table 8Modules for conformity assessment of interoperability constituents

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

These modules are specified in detail in Decision 2010/713/EU.6.1.2.Conformity assessment proceduresThe manufacturer or his authorised representative established within the Union shall choose one of the modules or module combinations indicated in Table 9 in accordance with the required constituent.

Table 9Modules to be applied for interoperability constituentsModules CA1, CA2 or CH may be used only in the case of products placed on the market, and therefore developed, before the entry into force of this TSI, provided that the manufacturer demonstrates to the NoBo that design review and type examination were performed for previous applications under comparable conditions, and are in conformity with the requirements of this TSI; this demonstration shall be documented, and is considered as providing the same level of proof as module CB or design examination according to module CH1.Module CV shall be used in case the manufacturer of friction element for wheel tread brakes has no sufficient return of experience (according to its own judgment) for the proposed design.

Point	Constituent	Modules
		CA1 or CA2	CB + CD	CB + CF	CH	CH1	CV
4.2.3.6.1	Running gear		X	X		X
	Running gear — established	X			X
4.2.3.6.2	Wheelset	X	X	X	X	X
4.2.3.6.3	Wheel	X	X	X	X	X
4.2.3.6.4	Axle	X	X	X	X	X
4.2.3.6.6	Automatic variable gauge system	X	X	X	X	X	X
4.2.4.3.5	Friction element for wheel tread brakes	X	X	X	X	X	X
5.3.5	Rear-end signal	X			X

Within the application of the chosen module or module combination the interoperability constituent shall be assessed against the requirements mentioned in Section 4.2. If necessary, additional requirements concerning the assessment of particular interoperability constituents are given in the following clauses.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.6.1.2.1Running gearThe demonstration of conformity for running dynamic behaviour is set out in the specification referenced in Appendix D Index [8].Units equipped with an established running gear as described in that specification are presumed to be in conformity with the relevant requirement provided that the running gears are operated within their established area of use.The minimum axle load and maximum axle load during operation of a wagon equipped with an established running gear shall be compliant with the loading conditions between tare and loaded specified for the established running gear, as in the specification referenced in Appendix D Index [8].In case the minimum axle load is not achieved by the mass of the vehicle in tare condition, conditions for use can be applied to the wagon requiring to operate it always with a minimum payload or a ballast (for example with an empty loading device), to be compliant with the parameters of the specification referenced in Appendix D Index [8].In such case, the parameter "Mass of wagon in tare conditions" used for dispensation of on track tests can be substituted by "Minimum axle load". This shall be reported in the Technical File as a condition for use.The assessment of the bogie frame strength shall be based on the specification referenced in Appendix D Index [9].6.1.2.2.WheelsetThe demonstration of conformity for the mechanical behaviour of the wheelset assembly shall be carried out in accordance with the specification referenced in Appendix D Index [10], which defines limit values for the axial assembly force and the associated verification test.6.1.2.3.Wheel(a)Forged and rolled wheels: The mechanical characteristics shall be proven following the procedure described in the specification referenced in Appendix D Index [11].If the wheel is intended to be used with brake blocks acting on the wheel running surface, the wheel shall be thermo mechanically proven by taking into account the maximum braking energy foreseen. A type test, as described in the specification referenced in Appendix D Index [11], shall be performed in order to check that the lateral displacement of the rim during braking and the residual stress are within the specified tolerance limits.The decision criteria of residual stresses for forged and rolled wheels are set out in the same specification.Alternative demonstration of conformity is allowed in accordance with point 6.1.2.4a.(b)Other types of wheels: Other types of wheels are permitted for units in national use. In that case the decision criteria and the fatigue stress criteria shall be specified in national rules. Those national rules shall be notified by Member States in accordance with Article 17(3) of Directive (EU) 2016/797.A verification procedure shall exist to ensure at the production phase that no defects may adversely affect safety due to any change in the mechanical characteristics of the wheels. The tensile strength of the material in the wheel, the hardness of the rim, the fracture toughness (only for tread-braked wheels), the resistance to impact, the material characteristics and the material cleanliness shall be verified. The verification procedure shall specify the batch sampling used for each characteristic to be verified.6.1.2.4.AxleIn addition to the requirement for the assembly above, the demonstration of conformity of the mechanical resistance and fatigue characteristics of the axle shall be based on the specification referenced in Appendix D, Index [12].That specification includes the decision criteria for the permissible stress. A verification procedure shall exist to ensure at the production phase that no defects may adversely affect safety due to any change in the mechanical characteristics of the axles. The tensile strength of the material in the axle, the resistance to impact, the surface integrity, the material characteristics and the material cleanliness shall be verified. The verification procedure shall specify the batch sampling used for each characteristic to be verified.Alternative demonstration of conformity is allowed in accordance with point 6.1.2.4a.6.1.2.4aWhere the EN standards referred to in points 6.1.2.2, 6.1.2.3 and 6.1.2.4 do not cover the proposed technical solution, it is permitted to use other standards to demonstrate conformity of the mechanical behaviour of the wheelset assembly, the mechanical characteristics of the wheels and the mechanical resistance and fatigue characteristics of the axle respectively; in that case the notified body shall verify that the alternative standards form part of a technically consistent set of standards applicable to the design, construction and testing of the wheelsets, containing specific requirements for wheelset, wheels and axles covering:wheelset assembly,mechanical resistance,fatigue characteristics,permissible stress limits,thermomechanical characteristics.Only standards that are publicly available can be referred to in the demonstration required above. The verification carried out by the notified body shall ensure the consistency between the methodology of the alternative standards, the assumptions taken by the applicant, the intended technical solution and the intended area of use.6.1.2.5.Friction elements for wheel tread brakesThe demonstration of conformity of friction elements for wheel tread brakes shall be carried out by determining the following friction element properties in accordance with the European Railway Agency (ERA) technical document ERA/TD/2013-02/INT version 3.0 of 27.11.2015 published on the ERA website (http://www.era.europa.eu):dynamic friction performance (chapter 4);static friction coefficient (chapter 5);mechanical characteristics including properties in respect to shear strength test and flexural strength test (chapter 6).Demonstration of the following suitabilities shall be carried out in accordance with chapters 7 and/or 8 of the ERA technical document ERA/TD/2013-02/INT version 3.0 of 27.11.2015 published on the ERA website (http://www.era.europa.eu), if the friction element is intended to be suitable for:train detection by systems based on track circuits; and/orsevere environmental conditions.If a manufacturer does not have sufficient return of experience (according with its own judgement) for the proposed design, the type validation by in-service experience procedure (module CV) shall be part of the assessment procedure for suitability for use. 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 agreement from a railway undertaking that will contribute to such an assessment.The suitability for train detection by systems based on track circuits for friction elements intended to be used in subsystems beyond the scope set out in chapter 7 of the ERA technical document ERA/TD/2013-02/INT version 3.0 of 27.11.2015 published on the ERA website (http://www.era.europa.eu) may be demonstrated using the procedure for innovative solutions described in point 6.1.3.The suitability for severe environmental conditions by a dynamometer test for friction elements intended to be used in subsystems beyond the scope set out in clause 8.2.1 of the ERA technical document ERA/TD/2013-02/INT version 3.0 of 27.11.2015 published on the ERA website (http://www.era.europa.eu) may be demonstrated using the procedure for innovative solutions described in point 6.1.3.6.1.2.6.Automatic variable gauge systemThe 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:Design reviewStatic tests (bench tests and integration-in-the-wheelset/unit tests)Test on track gauge changeover facility(ies), representative of in-service conditionsOn-track tests, representative of in-service conditions.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.6.1.3.Innovative solutionsIf an innovative solution referred to in Article 10a is proposed for an interoperability constituent, the manufacturer or his authorised representative established within the Union shall apply the procedure set out in Article 10a.6.2.Subsystem6.2.1.ModulesThe EC verification of the subsystem "Rolling stock — freight wagons" shall be performed in accordance with the module(s) described in Table 10.

Table 10Modules for EC verification of subsystems

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

These modules are specified in detail in Decision 2010/713/EU.6.2.2.EC verification proceduresThe applicant shall choose one of the following combinations of modules or module for the EC verification of the subsystem:(SB+SD), or(SB+SF), or(SH1).Within the application of the chosen module or module combination the subsystem shall be assessed against the requirements mentioned in Section 4.2. If necessary, additional requirements concerning the assessment of particular constituents are given in the following clauses.6.2.2.1.Strength of unitThe demonstration of conformity shall be in accordance with one of the specifications referenced in Appendix D, either Index [3] or Index [1].Regarding joints, a recognised verification procedure shall exist to ensure at the production phase that no defect may decrease the intended mechanical characteristics of the structure.6.2.2.2.Safety against derailment running on twisted trackThe demonstration of conformity shall be carried out in accordance with the specification referenced in Appendix D Index [7].6.2.2.3.Running dynamic behaviourOn-track testsThe demonstration of conformity shall be carried out in accordance with the specification referenced in Appendix D Index [7].For units operated on the 1668 mm track gauge network, the evaluation of the estimated value for the guiding force normalized to the radius Rm = 350 m in accordance with that specification, shall be calculated in accordance with the following formula:Ya,nf,qst = Ya,f,qst – (11550 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 1668 mm track gauge by multiplying the corresponding 1435 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 the specification referenced in Appendix D Index [7] shall be recorded in the report.6.2.2.4.Axle box/bearingsThe demonstration of conformity for mechanical resistance and fatigue characteristics of the rolling bearing shall be in accordance with the specification referenced in Appendix D Index [13].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 SH1.6.2.2.4a.Automatic variable gauge systemsThe 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.6.2.2.5.Running gear for manual change of wheelsetsChangeover between 1435 mm and 1668 mm track gaugesThe technical solutions described in the specification referenced in Appendix D Index [14] for axle units and for bogie units are deemed to be compliant with the requirements in point 4.2.3.6.7.Changeover between 1435 mm and 1524 mm track gaugesThe technical solution described in the specification referenced in Appendix D Index [15] is deemed to be compliant with the requirements in point 4.2.3.6.7.6.2.2.6.Thermal capacityCalculations, simulations or tests shall demonstrate that the temperature of the brake block, brake pad or brake disc does not exceed their thermal capacity. The following shall be taken into account:(a)concerning the emergency brake application: the critical combination of speed and payload considering straight and level track, minimum wind and dry rails;(b)concerning the continuous brake application:the range up to the maximum braking power,the range up to the maximum speed, andthe corresponding brake application time.6.2.2.7.Environmental conditionsSteel materials are deemed to comply with all the ranges indicated in point 4.2.5 if the material properties are determined down to – 20 °C.6.2.2.8.Fire safety6.2.2.8.1.BarriersBarriers shall be tested in accordance with the specification referenced in Appendix D Index [19]. Steel sheets of at least 2 mm thickness and aluminium sheets of at least 5 mm thickness are deemed to comply with the integrity requirements without testing.6.2.2.8.2.MaterialsTesting of the materials ignitability and flame spread properties shall be performed in accordance with the specification referenced in Appendix D Index [20] for which the limit value shall be CFE ≥ 18 kW/m2.For rubber parts of bogies, the testing shall be performed in accordance with the specification referenced in Appendix D Index [23] for which the limit value shall be MARHE ≤ 90 kW/m2 under the test conditions set out in the specification referenced in Appendix D Index [22].For the following materials and components the fire safety requirements are deemed to comply with the required ignitability and flame spread properties:Wheelsets, coated or uncoated,metals and alloys with inorganic coatings (such as, but not limited to: galvanised coating, anodic coating, chromate film, phosphate conversion coating),metals and alloys with an organic coating with a nominal thickness less than 0,3 mm (such as, but not limited to paints, plastic coating, asphaltic coating),metals and alloys with a combined inorganic and organic coating of which the nominal thickness of the organic layer is less than 0,3 mm,glass, stoneware, ceramic and natural stone products,materials that meet the requirements of category C-s3, d2 or higher in accordance with the specification referenced in Appendix D Index [21].6.2.2.8.3CablesThe electrical cables shall be selected and installed in accordance with the specification referenced in Appendix D Indexes [24] and [25].6.2.2.8.4Flammable liquidsThe measures taken shall be in accordance with the specification referenced in Appendix D Index [26].6.2.3.Innovative solutionsIf an innovative solution referred to in Article 10a is proposed for the "rolling stock — freight wagons" subsystem, the applicant shall apply the procedure set out in Article 10a.6.3.Subsystem containing components corresponding to interoperability constituents not holding an EC declarationA Notified Body is permitted to issue an EC certificate of verification of a subsystem, even if one or more of the components corresponding to interoperability constituents incorporated within the subsystem are not covered by a relevant EC declaration of conformity in accordance with this TSI (non-certified ICs), if the constituent was manufactured before the entry into force of this TSI and the type of constituent has been:used in a subsystem already approved, andplaced in service in at least one Member State before the entry in force of this TSI.The EC verification of the subsystem shall be carried out by the notified body against the requirements of Chapter 4 by using the corresponding requirements concerning assessment in Chapter 6 together with Chapter 7 except for specific cases. For this EC verification the modules of the subsystem, set out in point 6.2.2, apply.EC declarations of conformity or suitability for use shall not be drawn up for the components assessed in this manner.6.4.Project phases where assessment is requiredThe assessment shall cover the following two phases as identified by "X" in the Table F.1 of Appendix F in this TSI. In particular, where a type test is identified the conditions and requirements of Section 4.2 shall be considered.(a)Design and development phase:Design review and/or design examinationType test: test to verify the design, if and as defined in the Section 4.2.(b)Production phase:Routine test to verify the conformity of production. The entity in charge of the assessment of the routine tests is determined according to the assessment module chosen.Appendix F is structured according to Section 4.2. Where relevant, a reference to the points of Sections 6.1 and 6.2 is given.6.5.Constituents holding an EC declaration of conformityWhere a constituent has been identified as an IC and held an EC declaration of conformity before the entry into force of this TSI, its treatment under this TSI is set out as follows:(a)In the case this constituent is not recognised as an IC in this TSI, neither the certificate nor the declaration are valid for the EC verification procedure related to this TSI.(b)The EC certificates of conformity, EC-type examination certificates and EC-design examination certificates of the following ICs shall remain valid under this TSI until their expiry:Wheelset;Wheel;Axle.7.IMPLEMENTATION7.1.Authorisation for placing on the market(1)This TSI is applicable to the subsystem "rolling stock — freight wagons" within the scope set out in its points 1.1, 1.2 and 2.1, which are placed on the market after the date of application of this TSI, except where point 7.1.1 "Application to ongoing projects" applies.(2)This TSI is also applicable on a voluntary basis to:units referred to in point 2.1(a) in running mode, in case they correspond to a "unit" as defined in this TSI, andunits as defined in point 2.1(c), in case they are in empty configuration.In case the applicant chooses to apply this TSI, the corresponding EC declaration of verification shall be recognised as such by Member States.(3)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 A.7.1.1.Application to ongoing projects(1)The application 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 points 7.2.3.1.1 and 7.2.3.1.2 of the "previous TSI" (i.e. this Regulation, as amended by Commission Implementing Regulation (EU) 2020/387Commission Implementing Regulation (EU) 2020/387 of 9 March 2020 amending Regulations (EU) No 321/2013, (EU) No 1302/2014 and (EU) 2016/919 as regards the extension of the area of use and transition phases (OJ L 73, 10.3.2020, p. 6-18).).(2)Without prejudice to Appendix A, Table A.2, the application of the requirements of Chapters 4, 5, 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.7.1.2.Mutual recognition of the first authorisation of placing on the marketIn 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:in accordance with point (a) of Article 21(3): the "EC" declaration of verification as provided for in Article 15 of the same directive, andin accordance with (d) of Article 21(3): evidence of the technical compatibility of the unit with the network in the area of use covering the EU network.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:(a)The unit must be equipped with forged and rolled wheels assessed according to point 6.1.2.3(a).(b)The compliance/non-compliance with the requirements regarding the axle bearing condition monitoring by line side equipment as set out in point 7.3.2.2.(a) must be recorded in the technical file.(c)The reference profile established for the unit as per point 4.2.3.1 must be allocated to one of the target reference profile(s) G1, GA, GB and GC including those used for the lower part GI1 and GI2.(d)The unit must be compatible with the train detection systems based on track circuits, on axle counters and on loop equipment as specified in clauses 4.2.3.3(a), 4.2.3.3(b) and 4.2.3.3(c).(d1)If the unit has electronic equipment on board emitting interference current via the rail, the "influencing unit" (as defined in the technical document referenced in Appendix D.2 Index [A]) of which the unit is planned to be part shall be compliant with specific cases for track circuits notified under Article 13 of CCS TSI by applying the harmonised vehicle test methods and vehicle impedance referred in the technical document referenced in Appendix D.2 Index [A]. Compliance of the unit can be demonstrated based on the technical document referred in Article 13 of CCS TSI and is checked by the Notified Body as part of EC verification.(d2)If the unit has electrical or electronic equipment on board emitting interference electromagnetic fields:close to the wheel sensor of an axle counter, orinduced by the return current via the rail if applicable.The "influencing unit" (as defined in the technical document referenced in Appendix D.2 Index [A]) of which the unit is planned to be part shall be compliant with specific cases for axle counters notified under Article 13 of CCS TSI. Compliance of the unit shall be demonstrated by applying the harmonised vehicle test methods referred in the technical document referenced in appendix D.2 index [A] or alternatively based on the technical document referred in Article 13 of CCS TSI. It is checked by the Notified Body as part of EC verification.(e)The unit must be equipped with the manual coupling system in accordance with the prescriptions set out in Appendix C, Section 1, including the fulfilment of Section 8 or with any semi-automatic or automatic coupling system.(f)The brake system must be in accordance with the conditions of Appendix C, Sections 9, 14 and 15 when applying the reference case set out in point 4.2.4.2.(g)The unit must be marked with all applicable markings in accordance with the specification referenced in Appendix D Index [2].(h)The minimum and, where relevant maximum parking brake force, the number of wheelsets (N) and the number of wheelsets on which the parking brake is applied (n) shall be marked as set out in Figure 1:Figure 1Marking of the parking brake force

7.2.General rules for implementation7.2.1.Substitution of constituentsThis section deals with substitutions of constituents as referred to in Article 2 of Directive (EU) 2016/797.The following categories have to be considered:Certified ICs: Components which correspond to an IC in Chapter 5 and which are holding a certificate of conformity.Other components: Any component, which is not corresponding to an IC in Chapter 5.Non-certified ICs: Components which correspond to an IC in Chapter 5 but are not holding a certificate of conformity and which are produced before the expiry of the transitional period referred to in Article 8.Table 11 shows the possible permutations.

Table 11Substitution permutation table

	... substituted by ...
	... certified ICs	... other components	... non-certified ICs
Certified ICs …	Check	not possible	check
Other components …	not possible	check	not possible
Non-certified ICs …	Check	not possible	check

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:suitable, i.e. conform to the relevant TSI(s),used within its area of use,enabling interoperability,meeting the essential requirements, andin line with restrictions stated in the technical file.7.2.2.Changes to a unit in operation or to an existing unit type7.2.2.1.IntroductionThis 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) 2018/545Commission 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). and in Commission Decision 2010/713/ECCommission 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)..This point 7.2.2 applies in case of any change(s) to a unit in operation or to an existing unit 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, andthat 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.7.2.2.2.Rules to manage changes in both a unit or a unit typeParts 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 point 7.2.2.3, compliance with the requirements of this TSI or Commission Regulation (EU) No 1304/2014Commission 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). ("TSI NOI") (see point 7.2 of TSI NOI) 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:The brake system fulfils the conditions of C.9 and C.14 of Appendix C after change or,Both the original and changed brake systems fulfil the safety requirements set out in clause 4.2.4.2.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:15(1)(c) of Commission 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)(b) of Directive (EU) 2016/797 requires to categorise them as 15(1)(d), or15(1)(d) of Commission 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)(b) of Directive (EU) 2016/797 requires to categorise them as 15(1)(d).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 11aBasic design characteristics related to basic parameters set out in the WAG TSIChange of the loading characteristics is not to be re-assessed in operation (loading/unloading of the wagon)The rolling stock fulfilling one of the following conditions are deemed to be compatible with all rail inclinations:Rolling stock assessed according to EN 14363:2016Rolling 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 inclinationvehicles 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.TSI clause	2.Related basic design characteristic(s)	3.Changes impacting the basic design characteristic and not classified as 21(12)(a) of Directive (EU) 2016/797	4.Changes impacting the basic design characteristic and classified as 21(12)(a) of Directive (EU) 2016/797
4.2.2.1.1End coupling	Type of end coupling	Change of end coupler type	N/A
4.2.3.1Gauging	Reference profile	N/A	Change of reference profile the vehicle is conform to
	Minimum vertical convex curve radius capability	Change in minimum vertical convex curve radius capability the unit is compatible with of more than 10 %	N/A
	Minimum vertical concave curve radius capability	Change in minimum vertical concave curve radius capability the unit is compatible with of more than 10 %	N/A
4.2.3.2.Compatibility with load carrying capacity of lines	Permissible payload for different line categories	Change of any of the vertical loading characteristics resulting in a change of the line category(ies) the wagon is compatible with	N/A
4.2.3.3Compatibility with train detection systems	Compatibility with train detection systems	N/A	Change of declared compatibility with one or more of the three train detection systems:Track circuitsAxle countersLoop equipment
4.2.3.4Axle bearing condition monitoring	On-board detection system	N/A	Fitting/Removal of on-board detection system
4.2.3.5Running safety	Combination of maximum speed and maximum cant deficiency for which the unit 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
4.2.3.5.3Derailment detection and prevention function	Presence and type of derailment detection and prevention function(s)	Fitting/removing of prevention/detection function	N/A
	Rail inclination	N/A	Change of rail inclination the vehicle is conform to
4.2.3.6.2Characteristics of wheelsets	Wheelset gauge	N/A	Change of track gauge the wheelset is compatible with
4.2.3.6.3Characteristics of wheels	Minimum required in-service wheel diameter	Change of minimum required in-service diameter of more than 10 mm	N/A
4.2.3.6.6Automatic variable gauge systems	Wheelset gauge changeover facility	Change in the unit leading to a change in the changeover facility(ies) the wheelset is compatible with	Change of track gauge(s) the wheelset is compatible with
4.2.4.3.2.1Service brake	Stopping distance	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
	Maximum deceleration for the load condition "design mass under normal payload" at the maximum design speed	Change of more than ± 10 % on the maximum average brake deceleration	N/A
4.2.4.3.2.2Parking brake	Parking brake	Parking brake function installed/removed	N/A
4.2.4.3.3Thermal capacity	Thermal capacity expressed in terms ofSpeedGradientBrake distance	N/A	New reference case declared
4.2.4.3.4Wheel slide protection (WSP)	Wheel slide protection	N/A	Fitting/removal of WSP function
4.2.5Environmental conditions	Temperature range	Change of temperature range (T1, T2, T3)	N/A
	Snow, ice and hail conditions	Change of the selected range "snow, ice and hail" (nominal or severe)	N/A

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 7.2.3.1.1.In case the validity period of the EC type or design examination certificate for the original type is limited to 10 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).7.2.2.3.Particular rules for units in operation not covered by an EC declaration of verification with a first authorisation for placing in service before 1 January 2015The following rules apply, in addition to point 7.2.2.2, to units 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.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 parameters and classified as 21(12)a set out in table 11b. For those changes, compliance with the TSI requirements is mandatory.

Table 11bChanges to basic parameters for which compliance with TSI requirements is mandatory for rolling stock not holding an EC type or design examination certificate

TSI clause	Related basic design characteristic(s)	Changes impacting the basic design characteristic and classified as 21(12)(a) of Directive (EU) 2016/797
4.2.3.1Gauging	Reference profile	Change of reference profile the unit is conform to
4.2.3.3Compatibility with train detection systems	Compatibility with train detection systems	Change of declared compatibility with one or more of the three train detection systems:Track circuitsAxle countersLoop equipment
4.2.3.4Axle bearing condition monitoring	On-board detection system	Fitting/Removal of on-board detection system
4.2.3.6.2Characteristics of wheelsets	Wheelset gauge	Change of track gauge the wheelset is compatible with
4.2.3.6.6Automatic variable gauge systems	Wheelset gauge changeover facility	Change of track gauge(s) the wheelset is compatible with

7.2.2.4.Rules for the extension of the area of use for units in operation 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 units that fulfil the following conditions when requesting an extension of their area of use in accordance with Article 21(13) of Directive (EU) 2016/797:1.they have been authorised in accordance with Directive 2008/57/EC or put in operation before 19 July 2010;2.they are registered with "Valid" registration code "00", in the National Vehicle Register in accordance with Commission Decision 2007/756/ECCommission Decision 2007/756/EC of 9 November 2007 adopting a common specification of the national vehicle register provided for under Articles 14(4) and (5) of Directives 96/48/EC and 2001/16/EC (OJ L 305, 23.11.2007, p. 30). or in the European Vehicle Register in accordance with Commission Implementing Decision (EU) 2018/1614Commission 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). and maintained in a safe state of running in accordance with Commission Implementing Regulation (EU) 2019/779Commission Implementing Regulation (EU) 2019/779 of 16 May 2019 laying down detailed provisions on a system of certification of entities in charge of maintenance of vehicles pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council and repealing Commission Regulation (EU) No 445/2011 (OJ L 139I , 27.5.2019, p. 360)..The following provisions for extension of area of use apply also in combination with a new authorisation as defined in point (a) of Article 14(3) of Regulation (EU) 2018/545.(2)Authorisation for an extended area of use of the units referred to in point 1 shall be based on the existing authorisation, if any, the technical compatibility between the unit 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 Table 11a of this TSI, 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 Table 11a of this TSI, through one or a combination of the following:(a)compliance with requirements of this TSI as referred above;(b)compliance with corresponding requirements set out in a previous TSI as referred above;(c)compliance with alternative specifications deemed to have equivalent effect to the relevant requirements set out in this TSI as referred above;(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 unit is already authorised or in operation. Such evidence shall be provided by the applicant and may be based on the information in 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 applicant shall provide a positive assessment by an assessment body (CSM RA).(4)In addition to the requirements referred to in point 2 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, TSI NOI and CCS TSI;(b)the national rules referred to in points (a), (c) and (d) of Article 13(2) 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.(6)Where an authorised vehicle benefited from non-application of TSIs or part of them pursuant to Article 9 of Directive 2008/57/EC, the applicant shall seek derogation(s) in the Member States of the extended area of use in accordance to Article 7 of Directive (EU) 2016/797.(7)In accordance with Article 54(2) of Directive (EU) 2016/797, wagons used under Regolamento Internazionale Veicoli (RIV) shall be deemed authorised in accordance with the conditions under which they were used, including the area of use where they are operated. Following a change which requires a new authorisation for placing on the market in accordance with Article 21(12) of Directive (EU) 2016/797, wagons accepted under the latest RIV agreement shall conserve the area of use in which they were operating without further checks on the unchanged parts.7.2.3.Rules related to the EC type or design examination certificates7.2.3.1.Rolling stock subsystemThis 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 NOI, 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 NOI.7.2.3.1.1.Definitions(1)Initial assessment frameworkThe initial assessment framework is the set of TSIs (this TSI and the TSI NOI) applicable at the beginning of the design phase when the notified body is contracted by the applicant.(2)Certification frameworkThe certification framework is the set of TSIs (this TSI and the TSI NOI) 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 phaseThe 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 phaseThe production phase is the period during which units 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)Unit in operationA unit 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 Implementing Regulation (EU) 2019/779.7.2.3.1.2.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 comes into force during the design phase, the notified body shall issue the EC type or design examination certificate in accordance with the following rules:For changes in the TSIs that are not referenced in Appendix A, 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 A, their application is mandatory in accordance with the transition regime laid down in that Appendix. During the 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 in accordance with the initial assessment framework.(3)When several revisions of this TSI or of the TSI NOI 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 sections, unless explicitly otherwise specified in the revision of those TSIs; in case of application limited to particular sections, the applicant has to justify and document that applicable requirements remain consistent, and that has to be approved by the notified body.7.2.3.1.3.Validity of the EC type or design examination certificate(1)When a revision of this TSI or of the TSI NOI comes into force, the EC type or design examination certificate for the subsystem remains valid unless it is required to be revised in accordance with the specific transition regime of a TSI change.(2)Only the changes to the TSIs with a specific transition regime can apply to units in production phase or to units in operation.7.2.3.2.Interoperability constituents(1)This point concerns interoperability constituents which are subject to type examination or design examination or to suitability for use.(2)The type or design examination or suitability for use remains valid even if a revision of this TSI or of the TSI NOI comes into force, unless explicitly otherwise specified in the revision of those TSIs.During this time, new constituents of the same type are permitted to be placed on the market without a new type assessment.7.3.Specific cases7.3.1.IntroductionThe specific cases, as listed in point 7.3.2, are classified as:"P" cases: "permanent" cases."T0": "temporary" cases of indefinite duration, where the target system shall be reached by a date still to be determined."T2" cases: "temporary" cases, where the target system shall be reached by 31 December 2035.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 6.1.2.7.3.2.List of specific cases7.3.2.1.General specific casesUnits running between a Member State and a third country with a network with 1520 mm track gauge: Specific case Finland, Poland, Slovak Republic and Sweden.("P") The application of national technical rules instead of the requirements in this TSI is allowed for third countries rolling stock.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 1600 mm).7.3.2.2.Axle bearing condition monitoring (point 4.2.3.4)(a)Specific case Sweden("T2") Units intended to operate on the Swedish railway network shall be compliant with the target and prohibitive zones as set out in Table 12.The two zones underneath the axle box/journal set out in Table 12 referring to the parameters of the standard EN 15437-1:2009+A1:2022 shall be free to facilitate vertical monitoring by trackside axle box detection system:

Table 12Target and prohibitive zone for units intended to be operated in Sweden

	YTA[mm]	WTA[mm]	LTA[mm]	YPZ[mm]	WPZ[mm]	LPZ[mm]
System 1	862	≥ 40	whole	862	≥ 60	≥ 500
System 2	905 ± 20	≥ 40	whole	905	≥ 100	≥ 500

Units mutually recognised in accordance with point 7.1.2 and units equipped with on-board axle bearing condition monitoring equipment are exempted from this specific case. The exemption of units in accordance with point 7.1.2 is not applicable when using other conformity assessment methods in accordance with point 6.1.2.4a.(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 13Target and prohibitive zone for units intended to be operated in Portugal

	YTA[mm]	WTA[mm]	LTA[mm]	YPZ[mm]	WPZ[mm]	LPZ[mm]
Portugal	1000	≥ 65	≥ 100	1000	≥ 115	≥ 500

(b)Specific case France ("T0")This specific case is applicable to all units intended to operate on the French railway network.Points 5.1 and 5.2 of standard EN 15437-1:2009+A1:2022 apply with the following specificities. The notations are the ones used in picture 3 of the standard.WTA70 mmYTA1092,5 mmLTAVmax x 0,56 (Vmax being the maximal line speed at the level of the Hot Axle Box Detector (HABD), expressed in km/h).Units mutually recognised in accordance with point 7.1.2 and units equipped with on-board axle bearing condition monitoring equipment are exempted from this specific case. The exemption of units in accordance with point 7.1.2 is not applicable when using other conformity assessment methods in accordance with point 6.1.2.4a.7.3.2.3.Safety against derailment running on twisted track (point 4.2.3.5.1)Specific case UK for Great Britain("P") The limitations to the use of Method 3 set out in EN 14363:2016 clause 6.1.5.3.1 are not applicable for units that are intended for national use on the UK mainline network only.This specific case does not prevent the access of TSI compliant rolling stock to the national network.7.3.2.4.Running dynamic behaviour (point 4.2.3.5.2)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 1600 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.7.3.2.5Brake safety requirements (point 4.2.4.2)Specific case FinlandFor freight wagon intended to operate only on 1524 mm network, the safety requirement defined in point 4.2.4.2 is deemed fulfilled if the unit complies with conditions defined in point 9 of Appendix C with the following modifications:(1)(point 9(d) of Appendix C) the braking performance shall be determined on the basis of the minimum distance of 1200 m between signals on the Finnish network. The minimum percentage of braked weight is 55 % for 100 km/h and 85 % for 120 km/h;(2)(point 9(l) of Appendix C) if the brake system requires an interoperability constituent "friction element for wheel tread brakes", the interoperability constituent shall comply with the requirements of point 6.1.2.5 or be made of cast iron.7.3.2.6.Characteristics of wheels (point 4.2.3.6.3)Specific case UK for Great Britain("P") For units intended to operate solely on the railway network of Great Britain the characteristics of the wheels may be in accordance with the national technical rules notified for this purpose.7.3.2.6.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 1600 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.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) 2016/797.7.4.Specific environmental conditionsSpecific conditions Finland and SwedenFor unrestricted access of rolling stock to the Finnish and Swedish network under winter conditions, it shall be demonstrated that the rolling stock meets the following requirements:Temperature zone T2 as specified in point 4.2.5 shall be selected.Snow, ice and hail severe conditions as specified in point 4.2.5 shall be selected.Specific conditions Portugal and SpainFor unrestricted access of rolling stock to the Portuguese and Spanish network under summer conditions, temperature zone T3 as specified in point 4.2.5 shall be selected.7.5.Freight wagons operating under national, bilateral, multilateral or international agreementsSee Article 6.7.6.Aspects that have to be considered in the revision process or in other activities of the AgencyFurther 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 implementationOn 24 January 2020 the Commission sent a request to the European Union Agency for Railways for the preparation of the Digital rail and Green freight TSI revision package (2022 revision).Pursuant to Commission Delegated Decision (EU) 2017/1474, the Digital rail and Green freight TSI revision package shall include provisions reviewing and if possible simplifying the strategy for the application of the TSIs in a way ensuring a gradual, but timely reduction of the divergences from the target system while providing the predictability and legal certainty necessary to the sector. These provision shall cover future transition periods as well as the issue of the validity period of the certificates for interoperability constituents and subsystems.Furthermore, with the same objective of ensuring a gradual, but timely reduction of the divergences from the target system while providing the predictability and legal certainty necessary to the sector, provisions providing flexibility in the application of updated versions of standards shall be considered, including for those introduced in Annex I (WAG 2019 TSI) to Commission Implementing Regulation (EU) 2019/776Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (OJ L 139 I, 27.5.2019, p. 108).

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