EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2019) XXX  draft  
ANNEXES 1 to 3  
 
ANNEXES  
to the  
COMMISSION IMPLEMENTING REGULATION  
amending Commission Regulations (EU) No 321/2013, (EU) No 1299/2014, 
(EU)  No 1300/2014, (EU) No  1301/2014, (EU) No  1302/2014, (EU) No  1303/2014, 
(EU)  No 1304/2014 and (EU) 2016/919 as regards the extension of the area of use,  
the transition phase and appl icable standards    
EN 1  EN ANNEX I 
The Annex to Regulation (EU)  No 321/2013 is amended as follows:  
(1) in clause 7.2.2.2, the three paragraphs directly following Table 11a are  replaced by 
the following : 
‘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 (during 10 years phase B period) ,  
– additional EC type or design examination certificate (amending the original 
certificate) for modifie d parts of the design that affect the conformity of the 
subsystem with the latest revision of this TSI in force at that time.  
The validity period of the new EC type or design examination certificate shall be 
limited to the remaining validity period of the original EC type or design 
examination certificate. ’; 
(2) the following clause  7.2.2.4 is added : 
‘7.2.2.4. Rules for the extension of the area of use for existing units  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 authori sed in accordance with Directive 2008/57/EC or put in 
operation before 19 July 2010 ; 
2. they are still in operation  and registered in the National Vehicle Register in 
accordance with Commission Decision 2007/756/EC * or in the European Vehicle 
Register in accordance with Commission Implementing Decision (EU) 2018/1614 ** 
and subject to maintenance in accordance with Commission Implementing 
Regulation  (EU)  2019/779 ***.  
(2) Authorisation for an extended area of use of the units referred to  in point 1 
shall be bas ed on the existing authorisation, if any, and on the technical 
compatibility between the unit and the network in accordance with point (d) of 
Article 21(3)  of Directive (EU) 2016/797 . To this purpose, the applicant shall 
provide an ‘EC’ declaration of verification accompanied by technical files 
giving evidence of compliance  with, or equivalent effect  to, the requirements 
set out in this TSI for all basic parameters 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 ; 
(b) compliance with corresponding requirements set out in a previous TSI ;  
(c) compliance with alternative specifications deemed to have equivalent 
effect  to the relevant requirements set out in this TSI ; 
(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  
EN 2  EN authorised  or in operation . Such evidence  may be based on the 
information in the register of railway infrastructure (RINF) . 
(3) In addition to the requirements referred to in point 2 and where applicable , the 
applicant shall provide an ‘EC’ declaration of verification accompan ied by  
technical files giving evidence of compliance with the following : 
(a) specific cases listed in this TSI and the TSI Noise  (Regulation (EU) No 
1304/2014) ;  
(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 or alternative specifications, relevant and deemed to have 
equivalent effect to those national rules . 
(4) The relevance and the equivalent effect of alternativ e specification s to the 
requirements of th is TSI shall be assessed by the authorising entity. The 
relevance and the equivalent effect of alternative specifications to national 
rules shall be assessed by the NSA of the area of use. The equivalence of 
requir ements for technical compatibility  with the network shall be assessed by 
the authorising entity.   
(5) The authorising entity shall make  publicly  available  through the Agency 
website  details of the alternative specifications referred to in point 2(c) and 
3(b) 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.  
___________  
*  Commission Decision 2007/756/EC of 9 November 2007 adopting a commo n 
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).  
**  Commission Implementing Decision (EU) 2018/1614 of 25 October 2018 
laying down specification s 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).  
***  Commission 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 Regulatio n (EU) 
No 445/2011 ( OJ L 139 I, 27.5.2018, p. 360). ’. 
  
EN 3  EN ANNEX II 
The Annex to Regulation (EU) No 1302/2014 is amended as follows:  
(1) in clause  7.1.2.2 , point (11)  is replaced by the following:  
‘(11)  In order to establish the EC type or design examination certificate, the notified 
body selected by the entity managing the change may refer to:  
– the original EC type or design examination certificate for parts of the design 
that are unchanged or those that  are changed but do not affect the conformity of 
the subsystem, as far as it is still valid (during 7 years phase B period) ; 
– additional EC type or design examination certificate (amending the original 
certificate) for modified parts of the design that affe ct the conformity of the 
subsystem with the latest revision of this TSI in force at that time.  
The validity period of the new EC type or design examination certificate shall be 
limited to the remaining validity period of the original EC type or design 
exam ination certificate. ’; 
(2) in clause  7.1.3.1 , point (4)  is replaced by the following : 
‘(4) The TSI assessment basis for a type is defined for a phase A period, with a 
duration of maximum seven years. Without prejudice to clauses 7.1.1.4 to 7.1.1.8, 
during the phase A period the assessment basis for EC verification to be used by the 
notified body shall not change.’ ; 
(3) the following clause  7.1.4 is added : 
‘7.1.4. Rules for the extension of the area of use for existing rolling stock having 
an authorisation in accord ance with Directive 2008/57/EC or in operation  
before 19 July 2010  
(1) In the absence of full conformity with this TSI, point 2 applies to rolling stock  
that fulfils the following conditions  when  request ing the  extension of its area of 
use in accordance with  Article 21( 13) of Directive (EU) 2016/797 : 
(a) it has been authorised in accordance with Directive 2008/57/EC or put in 
operation before 19 July 2010 ; 
(b) it is still in operation and registered in the in the National Vehicle 
Register in accordance with Commission  Decision 2007/756/EC * or in 
the European Vehicle Register in accordance with Commission 
Implementing Decision (EU) 2018/1614 ** and subject to maintenance in 
accordance with Commission Implementing Regulation  (EU)  
2019/779 ***. 
(2) Authorisation for an extended  area of use of the rolling stock referred to in 
point 1 shall be based on the existing authorisation, if any, and on the technical 
compatibility between the rolling stock and the network in accordance with 
point (d) of Article 21(3)  of Directive (EU) 2016/797 . To this purpose, the 
applicant shall provide an ‘EC’ declaration of verification accompanied by  
technical files giving evidence of  compliance  with, or equivalent effect  to, the 
requirements set out in this TSI for all basic par ameters referred to in column 1 
of Table s 17a and 17b and with  clauses 4.2.4.2.2, 4.2.5.5.8 and 4.2.5.5.9 of this 
TSI, through one or a combination of the following : 
(a) compliance with requirements set out in this TSI ;  
EN 4  EN (b) compliance with corresponding  requirements set out in a previous TSI ;  
(c) compliance with alternative specifications  deemed to have equivalent 
effect to the relevant requirements set out in this TSI ; 
(d) evidence that the requirements for technical compatibility with  the 
network of the extended area of use are equivalent to the requirements 
for technical compatibility with  the network for which the rolling stock is 
already authori sed or in operation . Such evidence may be based on the 
information of  the register of railway infrastruc ture (RINF ).  
(3) In addition to the requirements mentioned referred to in point 2 and where 
applicable , the applicant shall provide an ‘EC’ declaration of verification 
accompan ied by  technical files giving evidence of compliance with the 
following : 
(a) specific c ases listed in this TSI, the TSI Noise  (Regulation (EU) No 
1304/2014)  and the TSI PRM  (Regulation (EU) No 1300/2014) ;  
(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 Arti cle 14 of that 
Directive or alternative specifications, relevant and deemed to have 
equivalent effect to those national rules.  
(4) The relevance and the equivalent effect of alternative specification s to the 
requirements of th is TSI shall be assessed by the authorising entity. The 
relevance and the equivalent effect of alternative specifications to national 
rules shall be assessed by the NSA of the area of use. The equivalence of 
requirements for technical compatibility with the networks shall be assessed by 
the authorising entity.  
(5) The authorising entity shall make  publicly  available through the Agency 
website details of the alternative specifications referred to in point 2(c) and 
3(b) and of the requirements for technical compati bility with the network 
referred to in point  2(d) on the basis of which it granted authorisation s for the 
extended area of use.  
___________  
*  Commission Decision 2007/756/EC of 9 November 2007 adopting a common 
specification of the national vehicle regist er 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).  
**  Commission Implementing Decision (EU) 2018/1614 of 25 October 2018 
laying down specifications for the vehicle registers referred to in Article 47 of 
Directive (EU) 2016/797 of the European Parliament and of the Council and 
amending and repealing Commission Decision 2007/756/EC ( OJ L 268, 
26.10.2018, p. 53).  
***  Commission Implementing Regulation (EU) 2019/779 of 16 May 2019 laying 
down d etailed 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 139 I, 27.5.2018, p. 360). ’. 
  
EN 5  EN ANNEX III 
The Annex to Regulation (EU) 2016/919  is amended as follows:  
(1) the following clause 7.4.2.4 is added : 
‘7.4.2.4 Rules for the extension of the area of use for existing vehicle  
The following rules apply to existing  vehicles in operation and registered in the 
National Vehicle Register in accordance with Commission Decision 2007/756/EC *, 
or in the European Vehicle Register in accordance with Commission Implementing 
Decision (EU) 2018/1614 **, when requesting an extension of the area of use : 
(1) Vehicles shall comply with relevant special provisions applicable in the 
specific cases referred to in clause  7.6 of this Annex  and with relevant national 
rules referred to in points (a), (c) and (d) of Article 13(2) of Direct ive (EU) 
2016/797 notified in accordance with Article 14 of that Directive.  
(2) Vehicles already equipped with ETCS or GSM -R need not be upgrade d, except 
where required for technical compatibility . 
(3) Vehicles that are not already equipped with ETCS shall install  ETCS and 
comply with set s of specifications #2 or #3 referred to in Table s A 2.1 and A 
2.2 of Annex A. Except where required for technical compatibility, t he 
requirement to be equipped with ETCS shall  not apply to:  
(a) vehicles not intended for operating  on high -speed lines , if authorised for 
placing on the market  before 1 January 2015 ; 
(b) vehicles not intended for operating on high -speed lines , authorised for 
placing on the market as of  1 January 2015 , in either of the following 
situations :  
(i) if they  are intended exclusively for operations outside the corridors 
specified in Annex  I to Implementing Regulation (EU) 2017/6 and 
outside the lines ensuring the connections to the main European ports, 
marshalling yards, freight terminals and freight transport  areas  as referred 
to in Annex II to Regulation (EU)  No 1315/ 2013 ;  
(ii) if they are intended for off -TEN cross -border service, namely  service 
until the first station in the neighbouring country or to the first station 
where there are connections further i n the neighbouring country  utilising 
only lines outside of the TEN ;  
(c) mobile railway infrastructure construction and maintenance equipment;  
(d) shunting locomotives.  
(4) Vehicles that are not yet equipped with GSM -R for voice shall install GSM -R 
cab radio and comply with the specifications referred to in Table s A 2.1, A 2.2 
and A 2.3  of Annex A when the vehicle is intended for use on a network 
including at least one point equipped with GSM -R, excep t if superimposed to a 
legacy radio communication system compatible with the class B already 
installed in the vehicle.  
(5) Vehicles that are not yet equipped with GSM -R for ETCS data shall install 
GSM -R EDOR and comply with the specifications referred to in Ta bles A 2.1, 
A 2.2 and A 2.3  of Annex A when the vehicle is required  to install ETCS in  
EN 6  EN accordance with point  3 and it is intended to operate in a network in the 
extended area of use that is equipped with only ETCS Level 2 or 3.  
___________  
*  Commission De cision 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).  
**  Commission Implementing Decision (EU) 2018/1614 of 25 October 2018 
laying down specifications for the vehicle registers referred to in Article 47 of 
Directive (EU) 2016/797 of the European Parliament and of the Council and 
amending and repealing Commission Decision 2007/756/EC ( OJ L 268, 
26.10 .2018, p . 53).’.