EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEX 1  
 
ANNEX  
to the  
COMMISSION IMPLEMENTING REGULATION (EU) …/...  
 
amending Commission Regulations (EU) No 321/2013, No 1299/2014, No  1301/2014, 
No 1302/2014, No 1303/2014 and No  1304/2014, Regulation (EU) 2016/919 and 
Commission  Implementing Decision 2011/665/EU as regards the alignment with 
Directive  (EU)  2016/797 of th e European Parliament and of the Council and the 
implementation of specific objectives set out in Commission  Delegated 
Decision  (EU)  2017/1474    
EN 1  EN ANNEX I 
The Annex to Regulation (EU) 3 21/2013 is amended as follows:  
(1) in sections 1, 1.3, 3, 4.1, 4.2.1, 4.7, 5.1, 6.1.2.3, 6.1.3, 6.2.3, 7.1.2, the references to 
"Directive 2008/57/EC" are replaced by references to "Directive (EU) 2016/797";  
(2) section 1.2 is replaced by the following:  
‘1.2. Geographical scope  
The geographical scope of this TSI is the entire European Union’s rail system as set 
out in  the section 1 of Annex I to Directive (EU) 2016/797, taking into account the 
limitations concerning the track gauge set out in Article 2.’;  
(3) Section  2 is replaced as follow s:  
‘2. SCOPE AND DEFINITION OF  SUBSYSTEM  
2.1. Scope  
This TSI is applicable to ‘freight wagons including vehicles designed to carry lorries’ 
as referred to in Annex I Section 2 to Directive (EU) 2016/797  taking into account 
the limitations as set out in  Article  2. In the following  this part of the subsystem  
rolling  stock  is called  ‘freight  wagon’  and belongs  to the subsystem ‘rolling stock’ as 
set out in Annex II to Directive  2016 /797. 
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) mobile railway infrastructure construction and maintenance  equipment  
(b) vehicles designed to  carry:  
– motor vehicles with their passengers on board,  or 
– motor vehicles without passengers on board but intended to be integrated 
in passenger trains (car  carriers)  
(c) vehicles which  
– increase their length in loaded configuration, and  
– their payload itself is part of the vehicle structure.  
Note: See also section 7.1 for particular cases.  
2.2. Definit ions 
In 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, or  
– a 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.   
EN 2  EN (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.’ ; 
(4) Section 3, row 4.2.3.6.6 of Table 1 is replaced as follows : 
 
4.2.3.6.6  Automatic 
variable gauge 
systems  1.1.1,  
1.1.2,  
1.1.3      
 
(5) Section  4.2.2.2  is replaced as follows : 
‘The 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 Chapter 5 of EN  12663 -2:2010.  
In case of a rake of a rail compatible system composed of separate rail bogies 
connected to compatible road vehicles, the load cases may di ffer 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 point 4.5.14 of EN 15877 -1:2012.  
Note: Joining techniques are deemed to be covered as well by the demonstration of 
conformity in accordance to point 6.2.2.1.’ ; 
(6) in the second  and third paragraph of section 4.2.3.1 , the text ‘EN 15273 -2:2009’  
‘Gauging’  is replaced by ‘EN  15273 -2:2013 +A1:2016 ’; 
(7) in section 4.2.3.1 , the text ‘GIC1 and GIC2’ ‘Gauging’ is replaced by ‘GI1 and GI2’ ; 
(8) in section 4.2.3.2 , the text ‘EN 15528:2008’ ‘Compatibility with load carrying capacity of 
lines’  is replaced by ‘EN 15528:2015’ ; 
(9) in section 4.2.3.3 , the text ‘Commission De cision 2012/88/EU (1)’ ‘Compatibility with train 
detection systems’ is replaced by ‘ERA/ERTMS/033281 rev. 3.0’ ; 
(10) in point 4.2.3.3 the footnote ‘(1) OJ L 51, 23.2.2012, p. 1.’ is deleted ; 
(11) in section 4.2.3.4, the text ‘The specifications of the design and the  conformity assessment of 
on-board equipment is an open point in this TSI.’ is replaced as follows : 
‘If the unit is intended to be capable of being monitored by on -board equipment, the 
following requirements shall apply:  
– This equipment  shall  be able to detect  a deterioration  of any of the axle box 
bearings  of the unit.  
EN 3  EN – 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 shal l 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.’ ; 
(12) in section 4.2.3.5.2 the text ‘Chapter 5 of EN 14363:2005’ ‘Running dynamic behaviour’ is 
replaced by ‘chapters 4, 5 and 7 of EN 14363:2016’ ; 
(13) section  4.2.3.6.6 is replaced as follows : 
‘4.2.3.6.6. Automatic variable gauge systems  
This requirement is applicable to units equipped with an automatic variable gauge 
system with changeover mechanism of the axial position of the wheels allowing the 
unit to be compatible with 1 435 mm track gauge  and other track gauge(s) within 
the scope of this TSI by means of passage through a gauge changeover facility.  
The changeover mechanism shall ensure the locking in the correct intended axial 
position of the wheel.  
After passage through the changeover faci lity, 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 wheelset 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  by means  of a demonstration  of compliance  in accordance with  the 
Annex  I of Commission  Implementing  Regulation  (EU)  No 402/2013  (1), using  the 
harmonized criterion defined in point 2.5.5 of the same  annex.  
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 (integration in the interoperability constituent 
wheelset) and in point 6.2.2.4a (su bsystem 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 
gauge changeover  facility(ies)  the unit is compati ble with,  shall  be part of the 
technical  documentation  (see also section 4.4 of this  TSI).   
EN 4  EN The requirements and conformity assessments required in other sections of this TSI 
apply independently  for each wheel  position  corresponding  to one track  gauge  and 
have  to be documented accordingly.’ ; 
(14) in section 4.2.3.6.6, new footnote ‘(1) OJ L 121, 3.5.2013, p. 8.’ is added in the same page as 
text ‘Commission Implementing Regulation (EU) No 402/2013 (1)’ ; 
(15) in section 4.2.4.2 the text ‘Commission Regulation (EC) No 352/2009 (1)’ is replaced by the 
text ‘Commission Implementing Regulation (EU) No 402/2013 (1)’ ; 
(16) in section 4.2.4.2 the footnote ‘(1) OJ L 108, 29.4.2009, p. 4.’ is replaced by the footnote ‘(1) 
OJ L 121, 3.5.2013, p. 8.’ ; 
(17) in section 4.2.4.3.2.1, the text ‘UIC leaflet 544 -1:2013’ and ‘UIC 544 -1:2013’ is replaced by 
the text ‘UIC 544 -1:2014’ ; 
(18) in section 4.2.4.3.2.2, the text ‘the minimum parking brake performance’ is replaced by the text 
‘the minimum parking brake force’  
(19) in section 4.2.4.3.2.2, the text ‘the minimum performance of the parking brake shall be marked 
on the unit. The marking shall comply with clause 4.5.25 of EN 15877 - 1:2012.’ is deleted ; 
(20) in section 4.2.5, the text ‘EN 50125 -1:1999’ is replaced by ‘EN 50125 -1:2014’ ; 
(21) in section 4.2.6.2.1, the text ‘EN 50153:2002’ is replaced by ‘EN 50153:2014’;  
(22) in section 4.2.6.1.2.4,  the text ‘TS 45545 -7:2009’ is replaced by ‘EN 45545 -7:2013’;  
(23) in section 4.2.6.2.2 , the text ‘EN 50153:2002’ is replaced by ‘EN 50153:2014’ ; 
(24) in section 4.2.6.3, the t ext ‘chapter  1 of ERA technical document ERA/TD/2012 -04/INT 
version 1.2 of 18.1.2013 published on the ERA website (http://www.era.europa.eu)’ is 
replaced by ‘Figure 11 of EN 16116 -2:2013’ ; 
(25) in Table 7 of section 4.3.3, the text ‘Reference Commission Decision 2012/88/EU  Annex A, 
Table A2, index 77’ is replaced by ‘Reference ERA/ERTMS/033281 rev. 4.0’; 
(26) Section 4.4, is replaced as follows : 
‘4.4 Operating rules  
Operating rules are developed within the procedures described in the railway 
undertaking safety management system.  These rules take into account the 
documentation related to operation which forms a part of the technical file as 
required in Article 1 5(4) of and as set out in Annex IV to Directive (EU) 2016/797.  
For the safety critical components (see also 5.5.), the sp ecific 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 fo reseeable 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  
EN 5  EN detection systems, permitted environmental conditions, type(s) and operation 
of track gauge changeover facility(ies) the unit is compatible with),  
- a description of operat ion 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 critica l 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 mig ht 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.’ ; 
(27) Section 4 .5, is replaced as follows : 
‘4.5 Maintenance rules  
Maintenance is a set of activities intended to keep a functional unit in, or to restore it 
to a state in which it can perform its required function.  
The following documents being part of the technical file  as required in Article 18(3) 
of and as set out in Annex VI 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), and  
- the mai ntenance 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 three documents are provided immediately to the entity in charge of 
maintenance assigned for the maintenance of the  unit by the applicant or by any 
entity authorised by the applicant (e.g. a keeper).  
On the basis of these three documents, the entity in charge of maintenance shall 
define a maintenance plan and appropriate maintenance requirements at maintenance 
operatio nal level under its sole responsibility (not in the scope of the assessment 
against this TSI).  
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 e ntities in charge of maintenance after vehicle s have entered into 
operation.  
4.5.1 General documentation  
The general documentation comprises of:  
- Drawings and description of the unit and its components.   
EN 6  EN - Any legal requirement concerning the maintenance of th e 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).  
- Conf iguration 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 file  
The maintenance design justification file explains how mainten ance 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 p eriodicity of maintenance 
activities. The maintenance design justification file consists of:  
- Precedents, principles and methods used to design the maintenance of the 
unit. 
- Precedents, principles and methods used to identify the safety critical 
components a nd 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 file  
The maintenance description file describes how maintenance activities can be 
conducted. Maintenance activities include , among others, inspections, monitoring, 
tests, measurements, replacements, adjustments and repairs.  
Maintenance activities are split into:  
- preventive maintenance (scheduled and controlled), and  
- corrective maintenance.  
The maintenance description file incl udes 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 conf ormity.   
EN 7  EN - 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 plan1 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 underta ke 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.’ ; 
(28) in section 4.8, t he text ‘GIC1 and GIC2’ is replaced by ‘GI1 and GI2’;  
(29) A new section 4.9 is added as follows:  
‘4.9 Route compatibility checks before the use of authorised vehicles  
The parameters of the subsystem ‘rolling stock — freight wagons’ to be used by the 
railway un dertaking, for the purpose of route compatibility check, are described in 
Appendix D1 of Regulation XXX (OPE TSI)2.’; 
(30) in section 5.3.1, the text ‘The running gear shall be designed for an application range, the area 
of use, as defined by the following para meters:’ is replaced as follows : 
‘The running gear shall be designed for all application ranges, the areas of use, as 
defined by the following parameters:  
– Track gauge’ ; 
(31) in section 5.3.2, the text ‘The wheelset shall be assessed and designed for the area of use as 
defined by’ is replaced as follows : 
‘For the purpose  of this TSI, wheelsets  include  the main  parts  ensuring  the 
                                                 
1 The maintenance plan shall take into accounts the findings of the ERA Task force on Freight 
Maintenance (see ‘Final report on the activities of the Task Force Freight Wagon Maintenance’ 
published on the ERA website http://www.era.europa.eu).  
2 Regulation XXX concerning the technical specification for interoperability relating to the ‘operation 
and traffic management’ subsystem of the rail system in the European Union and repe aling Commission 
Decision 2012/757/EU .  
EN 8  EN 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,’ ; 
(32) in section 5.3.3, the text: ‘ — maximum speed and service life,  and’ is replaced as 
follows : 
‘-   maximum speed,  
– in-service limits, and’  
(33) a new section 5.3.4b is added below section 5.3.4a:  
‘5.3.4b. Automatic variable gauge system  
An 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,  and 
– the types of gauge changeover fa cility(ies) the system is designed for, 
including the nominal speed through the 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 o ut in 
point 4.2.3.6.6; these requirements shall be assessed at IC level as set out in point 
6.1.2.6.’  
(34) in section 6.1.2 , Table 9 , a new row 4.2.3.6.6 is added below the row ‘4.2.3.6.4 Axle’  
4.2.3.6.6  Automatic 
variable gauge 
system  X (*)  X X X (*)  X X (**)  
(35) in section  6.1.2 , the following  text is added  after the last paragraph : 
‘In case of a specific  case applicable  to a component  defined  as interoperability  
constituent  in section  5.3 of this TSI, the corresponding requirement can be part of 
the verification at interoperability constituent level only in the case where the 
component remains compliant to the chapters 4 and 5 of this TSI and where the 
specific case does not refer to a national rule (i.e. additional requirement compatible 
with the cor e 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.’ ; 
(36) the section  6.1.2.1 is replaced as follows : 
‘6.1.2.1. Running gear  
The demonstration of conformity for running dynamic behaviour is set out in EN 
16235:2013.   
EN 9  EN Units equipped with an established running gear as described in chapter 6 of EN 
16235:2013 are presumed to be  in conformity with the relevant requirement 
provided that the running gears are operated within their established area of use.  
The assessment of the bogie frame strength shall be based on clause 6.2 of EN 
13749:2011.’ ; 
(37) In section 6.1.2.2 , the last paragra ph of is replaced as follows : 
‘A verification procedure shall exist to ensure at the assembly phase that no defects 
may detrimentally affect safety due to any change in the mechanical characteristics 
of the fitted parts of the axle. This procedure shall co ntain the determination of the 
interference values and, in case of press -fitted wheelsets, the corresponding press -
fitting diagram.’ ; 
(38) in section 6.1.2.5, four instances of text ‘ERA/TD/2013 -02/INT version 2.0 of 
XX.XX.2014’ are replaced by the text ‘ERA/TD /2013 -02/INT version 3.0 of  
27.11.2015’;  
(39) a new section 6.1.2.6 is added below the section 6.1.2.5:  
‘6.1.2.6. Automatic variable gauge system  
The assessment procedure shall be based on a validation plan covering all aspects 
mentioned in points 4.2.3.6.6 and  5.3.4b.  
The validation plan shall consider assessment on all the following different phases:  
– Design review  
– Static tests (bench tests and integration -in-the-wheelset/unit tests)  
– Test on gauge changeover facility(ies)  
– On-track tests.  
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 clearl y documented.  
In case the manufacturer  has no sufficient  return  of experience,  the automatic  variable  
gauge  system shall be subject to an assessment of suitability for use by in -service 
experience procedure (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 the type(s) and operating conditions of the gauge 
changeover facility(ies) the automatic variable gauge system has been assessed 
for.’; 
(40) In section 6.2.2.1, the text ‘The demonstration of conformity shall be in accordance 
with Chapters 6 and 7 of EN 12663 -2:2010.’ is replaced by ‘The demonstration of 
conformity shall be in accordance with chapters  6 and 7 of EN 12663 -2:2010,  or 
alternatively  with chapter  9.2 of EN 12663 -1:2010+A1:2014.’ ; 
(41) section 6.2.2.2 is replaced as follows :  
EN 10  EN ‘6.2.2.2. Safety against derailment running on twisted track  
The demonstration  of conformity  shall  be carried  out in accordance  with chapters  4, 
5 and 6.1 of EN 14363:2016.’ ; 
(42) section 6.2.2.3  is replaced as follow s: 
‘6.2.2.3. Running dynamic behaviour  
On-track tests  
The demonstration of conformity shall be carried out in accordance with chapters 4, 
5 and 7 of EN 14363:2016.  
For units operated on the 1 668 mm track gauge network, the evaluation of the 
estimated value for the guiding force normalized to the radius R m = 350 m 
according to EN 14363:2016, clause 7.6.3.2.6 (2), shall be calculated according to 
the following formula : Ya,nf,qst = Ya,f,qst – (11 550 m / R m – 33) kN.  
The limit value of the quasi -static guiding force Y j,a,qst shall be 66 kN.  
Values of cant deficiency can be adapted to 1 668 mm track gauge by multiplying 
the corresponding 1 435 mm parameter values by the following conversion factor: 1 
733/1 500.  
The combination of the highest equivalent conicity and speed for which the unit 
meets the stability criterion in chapters 4, 5 and 7 of EN 14363:2016 shall be 
recorded in the report.’ ; 
(43) in section 6.2.2.4,  following text is added below the text:  
‘It is permitted to use other standards for the above demonstration of conformity 
where the EN standards do not cover the proposed technical solution; in that case 
the notified body shall verify that  the alternative  standards  form  part of a technically  
consistent  set of standards  applicable  to the design, construction and testing of the  
bearings.  
Only standards that are publicly available can be referred to in the demonstration 
required above.  
In the case of bearings  manufactured according to a design developed and already 
used to place products  on the market  before  the entry  into force  of relevant  TSIs  
applicable  to those  products,  the applicant is allowed to deviate from the 
demonstration of conformity above and ref er 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.’ ; 
(44) a new section 6.2.2.4a is added  below section 6.2.2.4:  
‘6.2.2.4a. Automatic variable gauge systems  
The safety  analysis  required  in point  4.2.3.6.6,  and performed  at IC level,  shall  be 
consolidated  at the level of the unit; in particular, the assumptions made in 
accordance with point 6.1.2.6 may need to be reviewed to take into account the unit 
and its mission  profile.’ ;  
EN 11  EN (45) in section 6.2.2.5,  the text ‘for bogie units: Figure 18 of  Annex  H of Annex  I of UIC 
leaflet  430-1:2012.’  is replaced by ‘for bogie units: Figure 18 of Annex H and 
Figures 19 and 20 of Annex I of UIC leaflet  430-1:2012.’ ; 
(46) in section 6.2.2.8.1, the text ‘EN 1363 -1:1999’ is replaced by ‘EN 1363 -1:2012’ ; 
(47) in section 6.2.2.8.2, t he text: ‘Testing of t he materials ignitability and flame spread 
properties shall be performed in accordance with ISO 5658 -2:2006/Am1:2011 for 
which the limit value shall be CFE ≥ 18 kW/m2. For the following  materials  and 
components  the fire safety  requirements  are deemed  to comply  with the required 
ignitability and flame spread  properties:’  is replaced by  ‘Testing of the materials 
ignitability and flame spread properties shall be performed in accordance with ISO 
5658 -2:2006/Am1:2011 for which the limit value shall be CFE ≥ 18  kW/m2. 
For rubber parts of bogies, the testing shall be performed in accordance with ISO 
5660 -1:2015 for which the limit value shall be MARHE ≤ 90 kW/m2 under the test 
conditions specified in reference T03.02 of Table 6 of EN 45545 -2:2013+A1:2015.  
For the following  materials  and components  the fire safety  requirements  are deemed  to 
comply  with the required ignitability and flame spread  properties:  
– Wheelsets , coated or uncoated,’ ; 
(48) in  section 6.2.2.8.3 , the text ‘EN 50355:2003’ is replaced by ‘EN 50355:2013’ ; 
(49) in  section 6.2.2.8.3 , the text ‘EN 50343:2003’ is replaced by ‘EN 50343:2014’ ; 
(50) the section 7.1 is replaced as follows : 
‘7.1. Authorisation for placing on the market  
This TSI is applicable to the subsystem ‘rolling stock — freight wagons’ with in the 
scope set out in its Sections 1.1, 1.2 and 2.1, which are placed on the market  after the 
date of application of this TSI.  
This TSI is also applicable on a voluntary basis to:  
– units referred to in section 2.1 point (a) in transport (running) configur ation, in 
case they correspond to a ‘unit’ as defined in this TSI, and  
– units as defined in section 2.1 point (c), in case they are in empty 
configuration.  
In case the applicant chooses to apply this TSI, the corresponding EC declaration 
of verification sha ll be recognised as such by Member States.’  
(51) the section  7.1.2 is replaced as follows : 
‘7.1.2 Mutual recognition of the first authorisation of placing on the market  
In accordance with Article 21(3) (b) of Directive (EU) 2016/797 the authorisation for 
placing of the market of a vehicle  (as defined in this TSI) is granted on the basis of:  
• in accordance with point (a) of Article 21(3): the  ‘EC’ declaration of 
verification as provided for in Article 15 of the same directive, and  
• in 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 com patibility of the vehicle  with the network  
EN 12  EN 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 
network s 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 S ection 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) Units intended to operate on the 1 668 mm track gauge network must comply 
with the requirements  regarding  the axle bearing  condition  monitoring  by line 
side equipment  as set out in point  7.3.2.2(b).  
(d) The reference profile established fo r 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. 
(e) 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).  
(f) 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 standardised 
coupling  system.  
(g) 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.  
(h) The unit must be mark ed with all applicable markings in accordance with EN 
15877 -1:2012, except the marking defined in its clause  4.5.25(b).  
(i) The parking brake force shall be marked as set out in Figure 1, 30 mm below 
the marking defined in clause 4.5.3 of EN  15877 -1: 
 
Figure 1   
EN 13  EN 1. MARKING OF THE PARKIN G BRAKE FORCE  
 
(52) Section 7.2 , is replaced as follows : 
‘7.2 General rules for implementation  
7.2.1 Substitution of constituents  
This section deals with substitutions of constituents as referred to in Article 2 of 
Directive (EU) 2016/797 . 
The following categories have to be considered:  
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 co rresponding 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 Section 6.3.  
Table 11 shows the possible permutations.  
Table 11  
Substitution 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 performance in accordance with the relevant TSI requirements 
considering that these components are:  
 
EN 14  EN - suitable, i.e. conform to the relevant TSI(s),  
- used within its area of use,  
- enabling interoperability,  
- meeting the essential requirements, and  
- in line with restrictions stated in the technical file.  
7.2.2  Changes to an existing unit or to an existing unit type  
7.2.2.1 Introduction  
This point 7.2.2 defines the principles to be applied by the applicants and authorising 
entities in line with the EC verification procedure desc ribed in Article 15(9), 
Article  21(12) and Annex IV of Directive (EU) 2016/797. This procedure is further 
developed in Article 13, 15 and 16 of Commission Implementing Regulation (EU) 
2018/545 and in Decision 2010/713/EC.  
This point 7.2.2 applies in case of any change(s) to an existing uni t or unit type, 
including renewal or upgrade. It does not apply in cas e of changes covered by 
Article  15(1)(a) of Commission Implementing Regulation (EU) 2018/545.  
7.2.2.2 Rules to manage changes in both a unit or a unit type  
Parts and basic parameters of the unit that are not affected by the change(s) are 
exempt from conformity assessment against the provisions in this TSI.  
A new assessment against the requirements of this TSI or the TSI Noise 
(Commission Regulation No 1304/20143) shall only be needed for the basic 
parameters in this TSI which may be affected by the change(s).  
For requirements specified in the TSI Noise see also clause 7.2 of that TSI.  
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.  
In accordance with Articles 15 and 16 of Commission Implementing Regulation 
(EU) 2018/545 and Decision 2010/713/EU and by applicati on of modules SB, SD/SF 
or SH1 for the EC verification, and if relevant Article 15(5) of Directive 
(EU)  2016/797, the applicant shall inform a notified body of all changes affecting the 
conformity of the subsystem with the requirements of the relevant TSI( s) requiring 
new checks. This information shall be provided by the applicant with corresponding 
references to the technical documentation relating to the existing EC type or design 
examination certificate.  
The basic design characteristics of the rolling st ock 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 classified 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, or  
 15(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 
                                                 
3 OJ L 356, 12.12.2014, p. 421.   
EN 15  EN in Article 21(12)(b) of Directive (EU) 2016/797 requires to classify them as 
15(1)(d).  
Changes not referred to in the paragraph above are deemed not to have any impact on 
the basic design characteristics and will be classified 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 classify them 
as 15(1)(d) . 
 
All changes shall remain compliant with the applicable TSIs regardless their 
classification.  
Table 11a  
Basic design characteristics related to basic parameters set out in the WAG TSI  
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. Change s impacting the 
basic design 
characteristic and 
classified as 21(12)(a) of 
Directive (EU) 2016/797  
4.2.2.1.1  
End coupling  Type of end 
coupling  Change of end coupler 
type N/A 
4.2.3.1  
Gauging  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  
EN 16  EN 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. Change s impacting the 
basic design 
characteristic and 
classified as 21(12)(a) of 
Directive (EU) 2016/797  
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 ch ange of the line 
category(ies) the wagon 
is compatible with  N/A 
4.2.3.3 
Compatibility 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  circuits  
Axle counters  
Loop equipment  
4.2.3.4  
Axle bearing 
condition monitoring  On-board detection 
system  N/A Fitting/ Removal of on -
board detection system  
4.2.3.5  
Running 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  
 Rail inclination  N/A Change of rail inclination 
the vehicle is conform to  
4.2.3.6.2 
Characteristics of 
wheelsets  Wheelset gauge  N/A Change of track gauge 
the wheelset is 
compatible with  
4.2.3.6.3 
Characteristics of 
wheels  Minimum required 
in-service wheel 
diameter  Change of minimum 
required in -service 
diameter of more than 
10 mm  N/A  
EN 17  EN 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. Change s impacting the 
basic design 
characteristic and 
classified as 21(12)(a) of 
Directive (EU) 2016/797  
4.2.3.6.6  
Automatic v ariable 
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  
4.2.3.6.7  
Running gear for 
manual cha nge of 
wheelsets  Wheelset gauge  N/A Change of track gauge(s) 
the wheelset is 
compatible with  
4.2.4.3.2.1  
Service brake  Stopping distance  Change of stopping 
distance of more than ± 
10% N/A 
Maximum 
deceleration for the 
load condition 
‘maximum speed 
under  normal 
payload at the 
maximum design 
speed  Change of more than ± 
10% on the maximum 
average brake 
deceleration  N/A 
4.2.4.3.2.2  
Parking brake  Parking brake  Parking brake function 
installed/removed  N/A 
4.2.4.3.3  
Thermal capacity  Thermal capacity 
expressed in terms 
of 
Speed  
Gradient  
Brake distance  N/A New reference case 
declared  
4.2.4.3.4  
Wheel slide 
protection (WSP)  Wheel slide 
protection  N/A Fitting/removal of WSP 
function  
4.2.5  
Environmental 
conditions  Temperature range  Change of temperat ure 
range (T1, T2, T3)  N/A  
EN 18  EN In order to establish the EC type or design examination certificate, the notified body  
selected by the applicant  is permitted to refer to:  
The original EC type or design examination certificate for parts of the design that are 
unch anged 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 modified parts of the design that affect the conformity of the 
subsystem with the latest revision of this TSI in force at that time.  
In any case, the applicant shall ensure that the technical documentation which is 
relating to the EC type or design examination certificate i s updated accordingly.  
The updated technical documentation, related to the EC type or design examination 
certificate is referred to in the technical file accompanying the EC declaration of 
verification issued by the applicant for rolling stock declared as conformant to the 
modified type.  
7.2.2.3 Particular rules for existing units not covered by an EC declaration of 
verification  authorised for placing in service before 1 January 2015  
The following rules apply to existing units authorised for placing in serv ice 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 applicant demonstrates that the corresponding essential requirements are met and 
the safety level is maintained or improved. The applicant shall in this case justify the 
reasons for which the TSI defined performance was  not met. 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 paragraph (13) above is not applicable in changes 
impacting the basic design characteristics and cla ssified as 21(12)a set out in table 
11b. 
Table 11b:  Basic design characteristics related to basic parameters set out in the 
WAG  TSI for rolling stock not holding an EC type or design examination 
certificate  
 
TSI clause  Related 
basic 
design 
character
istic(s)  Changes 
impacting the 
basic design 
characteristic 
and classified as 
21(12)(a) of 
Directive (EU) 
2016/797  
4.2.3.1 
Gauging  Reference 
profile  Change of 
reference profile 
the unit is 
conform to   
EN 19  EN 4.2.3.3 
Compatibili
ty with train 
detection 
systems  Compatibi
lity with 
train 
detection 
systems  Change of 
declared 
compatibility 
with one or more 
of the three train 
detection 
systems:  
Track circuits  
Axle counters  
Loop equipment  
4.2.3.4 
Axle 
bearing 
condition 
monitoring  On-board 
detection 
system  Fitting/ Removal 
of on -board 
detection system  
4.2.3.6.2 
Characterist
ics of 
wheelsets  Wheelset 
gauge  Change of track 
gauge the 
wheelset is 
compatible with  
4.2.3.6.6 
Automatic 
variable 
gauge  
systems  Wheelset 
gauge 
changeov
er facility  Change of track 
gauge( s) the 
wheelset is 
compatible with  
 
7.2.3 Rules related to the EC type or design examination certificates  
7.2.3.1 Rolling stock subsystem  
This point concerns a rolling stock type (unit type in the context of this TSI), as 
defined in Article 2(26) of Direc tive (EU) 2016/797, which is subject to an EC type 
or design verification procedure in accordance with section 6.2 of this TSI. It also 
applies to the EC type or design verification procedure in accordance with the TSI 
Noise, which refers to this TSI for i ts scope of application to freight units.  
The TSI assessment basis for an EC type or design examination is defined in 
columns ‘Design review’ and ‘Type test’ of Appendix F of this TSI and of Appendix 
C of the TSI Noise.  
7.2.3.1.1 Phase A  
Phase A starts onc e a notified body, which is responsible for EC verification, is 
appointed by the applicant and ends when the EC type or design examination 
certificate is issued.  
The TSI assessment basis for a type is defined for a phase A period, with a duration 
of maximum four years. During the phase A period the assessment basis for EC 
verification to be used by the notified body is considered to be fixed.   
EN 20  EN When a revised version of this TSI or of the TSI Noise comes into force during the 
phase A period, it is permi ssible (but not mandatory) to use the revised version(s), 
either totally or for particular sections, unless explicitly otherwise specified in the 
revision of these TSIs. In case of application limited to particular sections, the 
applicant has to justify an d document that applicable requirements remain consistent, 
and this has to be approved by the notified body.  
7.2.3.1.2 Phase B  
The phase B period defines the period of validity of the EC type or design 
examination certificate once it is issued by the notif ied body. During this time, units 
may be EC certified on the basis of conformity to type.  
The EC type or design examination certificate of EC verification for the subsystem is 
valid for a ten -year phase B period after its issue date, even if a revision of this TSI 
or of the TSI Noise come into force, unless explicitly otherwise specified in the 
revision of these TSIs. During this period of validity, new rolling stock of the same 
type is permitted to be placed in service on the basis of an EC declaration of 
verification referring to the type certificate of verification.  
The updated technical documentation related to the EC type or design examination 
certificate is referred to in the technical file accompanying the EC declaration of 
verification issued by the applicant for rolling stock declared as conformant to the 
modified type.  
7.2.3.2 Interoperability constituents  
This point concerns interoperability constituents which are subject to EC type 
examination (module CB), design examination (module CH1) or to sui tability for use 
(module CV) in accordance with section 6.1 of this TSI.  
The EC type or design examination or suitability for use certificate is valid for a ten -
year period. During this time, new constituents of the same type are permitted to be 
placed int o service without a new type assessment, unless explicitly otherwise 
specified in the revision of this TSI. Before the end of the ten -year period, the 
constituent shall be assessed according to the latest revision of this TSI in force at 
that time, for tho se requirements that have changed or are new in comparison to the 
certification basis.’ ; 
(53) Section 7.3.2.8 is added:  
‘7.3.2.8. 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 result in a  
(54) in section 7.2.2.2,a new footnote ‘(1) OJ L 356, 12.12.2014, p. 421.’ is adde d in the 
same page as text ‘Commission Regulation (EU) No 1304/2014 (1)’  
(55) in section 7.2.2.3, a new footnote ‘(1) OJ L 356, 12.12.2014, p. 421.’ is added in the 
same page as text ‘Commission Regulation (EU) No 1304/2014 (1 )’; 
(56) in section 7.2.3.1, a  new footnote ‘(1) OJ L 356, 12.12.2014, p. 421.’ is added in the 
same page as text ‘Commission Regulation (EU) No 1304/2014 (1 )’;  
EN 21  EN (57) in section 7.3.1, the following text is added below the text:  
‘In case of a specific case applicable to a component defined a s interoperability 
constituent in section  5.3 of this TSI, the conformity assessment has to be performed 
according to point 6.1.2.’ ; 
(58) in section 7.3.2.3, the text ‘EN 14363:2005 point 4.1.3.4.1’ is replaced by ‘EN 
14363:2016 clause 6.1.5.3.1’ ; 
(59) section  7.3.2 .4, ‘Running dynamic behaviour (point 4.2.3.5.2)‘ is replaced by:  
‘Specific case UK for Great Britain  
(‘P’) Base condition for use of simplified measuring method specified in EN 
14363:2016 clause 7.2.2 should be extended to nominal static vertical wheelset  
forces (P F0) up to 250 kN.’ ; 
(60) In Appendix A, the complete text is replaced by ‘Not  used’ ; 
(61) In Appendix C, condition C.1 ‘Manual coupling system’, the text ‘The clearance for 
the draw hook shall  be in accordance  with chapter  2 of ERA  technical  document  
ERA/TD/2012 -04/INT  version  1.2 of 18.1.2013 published on the Agency website 
(http://www.era.europa.eu).’ is replaced by ‘The clearance for the draw hook shall be 
in accordance with clause 6.3.2 of EN  16116 -2:2013.’ ; 
(62) In Appendix C, condition C.1 ‘Manual cou pling system’, the text ‘The space for 
shunting staff operation shall be in accordance with chapter 3 of ERA technical 
document ERA/TD/2012 -04/INT version 1.2 of 18.1.2013 published on the Agency 
website (http://www.era.europa.eu).’ is replaced by ‘The spa ce for shunting staff 
operation shall be in accordance with clause 6.2.1 of EN 16116 - 2:2013.  For manual  
coupling  systems  equipped  with 550 mm wide  buffers  the calculation  of the free 
space may be done considering that the coupling gear components are lateral 
centrally positioned (D = 0 mm as defined in Annex A of EN  16116 -2:2013).’ ; 
(63) In Appendix C, condition C.2 ‘UIC footsteps and handrails’ is replaced as follows :  
‘2. UIC footsteps and  handrails  
The unit shall be equipped with footsteps and handrails in accordance with chapters 
4 and 5 of EN 16116 -2:2013 and with clearances in accordance with clause 6.2.2 of 
EN 16116 -2:2013.’ ; 
(64) In Appendix C, condition C.5 ‘Marking of units’, the following text is  deleted:  
‘Markings of EN 15877 -1:2012 are required where  applicable. The following are 
always applicable:  
– 4.5.2 Gauge  marking  
– 4.5.3 Vehicle Tare  Weight  
– 4.5.4 Vehicle load  table  
– 4.5.5 Sign for length over  buffers  
– 4.5.12 Table of Maintenance  dates  
– 4.5.14 Lifting and re -railing  signs  
– 4.5.23 Distances between end a xles and bogie  centres  
– 4.5.29 Brake  weight.’ ;  
EN 22  EN (65) In Appendix C, condition C.6 ‘G1 gauge’, the text ‘GIC1’ is replaced by ‘GI1’ ; 
(66) In Appendix C, condition C.8 ‘Tests concerning longitudinal compressive forces’, 
the text ‘EN 15839:2012’ is replaced by ‘EN 15839: 2012+A1:2015’ ; 
(67) In Appendix C, condition C.9 ‘UIC brake’, the text ‘(i) The pneumatic half coupling’ 
is replaced by ‘(i) The pneumatic half coupling and its hose’ ; 
(68) In Appendix C, condition C.9 ‘UIC brake’, the text ‘(k) Brake block holders shall be 
in accor dance with UIC leaflet 542:2010’ is replaced by ‘(k) Brake block holders 
shall be in accordance with UIC 542:2013.’ ; 
(69) In Appendix C, condition C.9 ‘UIC brake’, the point (m) is replaced as follows : 
‘(m) Slack adjusters shall be in accordance with chapters 4  and 5 of EN 
16241:2014. The assessment of conformity shall be carried out in accordance with 
clauses 6.3.2 to 6.3.5 of EN 16241:2014. Additionnally, a life test shall be 
performed to demonstrate the suitability of the slack adjuster for service on the uni t 
and to verify the maintenance requirements for the operational design life. This shall 
be carried out at the maximum rated load cycling through the full range of 
adjustment.’ ; 
(70) In Appendix C, condition C.9 ‘UIC brake’, the text ‘UIC 544 -1:2013’ in row 
‘Braking mode ‘G’’ of Table  C.3 is replaced by the text ‘UIC 544 -1:2014’ ; 
(71) In Appendix C, condition C.9 ‘UIC brake’, the text ‘EN 14531 -1:2005 section 5.11’ 
of the footnote (1) of Table C.3 is replaced by the text ‘EN 14531 -1:2015 section 4’ ; 
(72) In Appendix C, condition C.11 ‘Temperature ranges for air reservoirs, hoses and 
grease’ is replaced as follows  condition:  
’11. Temperature ranges for air reservoirs, hoses and grease  
The following requirements are deemed to comply with any temperature range 
indicated in point 4.2.5:  
– Air reservoirs shall be designed for the temperature range of – 40 °C to + 70  
°C. 
– Brake cylinders and brake couplings shall be designed for the temperature 
range of – 40 °C  to + 70 °C.  
– Hoses for air brakes and air supply sh all be specified for the temperature range 
of – 40 °C to + 70  °C. 
The following requirement is deemed to comply with the range T1 indicated in point 
4.2.5:  
– The grease for the lubrication of roller bearing shall be specified for ambient 
temperatures down to  – 20 °C.’; 
(73) In Appendix C, condition C.12 ‘Welding’ is replaced as follows  condition:  
‘Welding  shall  be carried  out in accordance  with EN 15085 -1:2007+A1:2013,  EN 
15085 -2:2007,  EN 15085 - 3:2007, EN 15085 -4:2007 and EN  15085 -5:2007.’ ; 
(74) In Appendix C, the following text is added below the text in condition C.16 ‘Tow  
hooks’:   
EN 23  EN ‘Alternative technical solutions are allowed as far as conditions 1.4.2 to 1.4.9 of UIC 
535-2:2006 are respected.  If the alternative  solution  is a cable  eye bracket,  it shall  in 
addition  have  a minimum  diameter of 85  mm.’ ; 
(75) In Appendix C, the following condition C.19 is added: ‘19.  Axle bearing condition 
monitoring  
It shall be possible to monitor the axle bearing condition of the unit by means of line 
side detection equipment.’ ; 
(76) Appendix D  is replaced as follows : 
Appendix D  
Mandatory standards or normative documents referred to in this TSI  
 
TSI Standard/document  
Characteristics to be assessed  References to Standard or 
document  Clauses  
Structure and mechanical part  4.2.2   
 
 
Strength of unit  
4.2.2.2  EN 12663 -2:2010  5 
EN 15877 -1:2012  4.5.14  
 
6.2.2.1  EN 12663 -1:2010+A1:2014  9.2 
EN 12663 -2:2010  6, 7 
Gauging and track interaction  4.2.3   
Gauging  4.2.3.1  EN 15273 -2:2013  all 
Compatibility with load carrying capacity of 
lines  4.2.3.2  EN 15528:2015  6.1, 6.2  
Compatibility with train detection systems  4.2.3.3  ERA/ERTMS/033281 rev. 
3.0 See table 7 
of this TSI  
Axle bearing condition monitoring  4.2.3.4  EN 15437 -1:2009  5.1, 5.2  
Safety against derailment running on 
twisted track  4.2.3.5.1  — — 
6.2.2.2  EN 14363:2016  4, 5, 6.1  
 
 
 4.2.3.5.2  EN 14363:2016  4, 5, 7  
6.1.2.1  
6.2.2.3  EN 14363:2016  4, 5, 7  
EN 16235:2013  all  
EN 24  EN TSI Standard/document  
Characteristics to be assessed  References to Standard or 
document  Clauses  
Running dynamic behaviour  6.1.2.1  EN 13749:2011  6.2 
 
Structural design of bogie frame  4.2.3.6.1  EN 13749:2011  6.2 
6.1.2.1  EN 13749:2011  6.2 
 
Characteristics of wheelsets  4.2.3.6.2  — — 
6.1.2.2  EN 13260:2009+A1:2010  3.2.1  
 
Characteristics of wheels  4.2.3.6.3  — — 
6.1.2.3  EN 13979 -1:2003+A1:2009  
+A2:2011  7, 6.2  
 
Characteristics of axles  4.2.3.6.4  — — 
6.1.2.4  EN 13103:2009  + A2:2012  4, 5, 6, 7  
Axle boxes/bearings  4.2.3.6.5  — — 
 6.2.2.4  EN 12082:2007+A1:2010  6 
 
 
Running gear for manual change of 
wheelsets  4.2.3.6.7  — — 
 
6.2.2.5  UIC leaflet 430 -1:2012  Annexes B, 
H, I 
UIC 430 -3:1995  Annex 7  
Brake  4.2.4   
 
Service brake   
4.2.4.3.2.1  EN 14531 -6:2009  all 
UIC 544 -1:2014  all 
Parking brake  4.2.4.3.2.2  EN 14531 -6:2009  6 
 
 
Friction element for wheel tread brakes  4.2.4.3.5  – – 
 
6.1.2.5  ERA technical 
document 
ERA/TD/2013 -02/INT  
version 3.0 of 27.11.2015   
All  
EN 25  EN TSI Standard/document  
Characteristics to be assessed  References to Standard or 
document  Clauses  
Environmental conditions  4.2.5   
 
Environmental conditions  4.2.5  EN 50125 -1:2014  4.7 
6.2.2.7  — — 
System protection  4.2.6   
 
Barriers  4.2.6.1.2.1  — — 
6.2.2.8.1  EN 1363 -1:2012  all 
 
 
 
Materials  4.2.6.1.2.2  — — 
 
 
6.2.2.8.2  ISO 5658 - 
2:2006/Am1:2011  all 
EN 13501 -1:2007+A1:2009  all 
EN 45545 -2:2013+A1:2015  Table 6  
ISO 5660 -1:2015  all 
 
Cables   
6.2.2.8.3  EN 50355:2013  all 
EN 50343:2014  all 
Flammable liquids  6.2.2.8.4  EN 45545 -7:2013  all 
Protective measures against indirect 
contact (protective bonding)  4.2.6.2.2.1  EN 50153:2014  6.4 
Protective measures against direct contact  4.2.6.2.2.2  EN 50153:2014  5 
Attachment devices for rear -end signal  4.2.6.3  EN 16116 -2:2013  Figure 11  
Standards or documents referred to in the additional optional conditions set out in Appendix C  
Additional optional conditions for units  App. C  Standard / UIC leaflet / document  
 
 
 
Manual coupling system   
 
 
C.1 EN 15566:2009+A1:2010  all (except 
4.4) 
EN 15551:2009+A1:2010  all 
EN 16116 -2:2013  6.2.1, 6.3.2   
EN 26  EN Additional optional conditions for units  App. C  Standard / UIC leaflet / document  
EN 15877 -1:2012  Figure 75  
UIC footsteps and handrails  C.2 EN 16116 -2:2013  4, 5, 6.2.2  
Ability to be hump shunted  C.3 EN 12663 -2:2010  5, 8 
Tests concerning longitudinal compressive 
forces  C.8 EN 15839:2012+A1:2015  all 
 
 
 
 
 
 
 
 
 
 
 
UIC brake   
 
 
 
 
 
 
 
 
 
 
C.9 EN 15355:2008+A1:2010  all 
EN 15611:2008+A1:2010  all 
UIC 540:2006  all 
EN 14531 -1:2015  4 
EN 15624:2008+A1:2010  all 
EN 15625:2008+A1:2010  all 
EN 286 -3:1994  all 
EN 286 -4:1994  all 
EN 15807:2011  all 
EN 14601:2005+A1:2010  all 
UIC 544-1:2014  all 
UIC 542:2013  all 
UIC 541 -4:2010  all 
  EN 16241:2014  4, 5, 6.3.2 to  
6.3.5  
EN 15595:2009+A1:2011  all 
 
 
Welding   
 
C.12  EN 15085 -
1:2007+A1:2013 EN 
15085 -2:2007  
EN 15085 -3:2007  
EN 15085 -4:2007  
EN 15085 -5:2007   
 
all  
EN 27  EN Additional optional conditions for units  App. C  Standard / UIC leaflet / document  
 
Specific product properties concerning the 
wheel   
C.15  EN 13262:2004  
+A1:2008+A2:2011  all 
EN 13979 -1:2003  
+A1:2009+A2:2011  all 
Tow hooks  C.16  UIC 535 -2:2006  1.4 
Protective devices on protruding parts  C.17  UIC 535 -2:2006  1.3 
Label holders and attachment devices for 
rear end signal  C.18  UIC 575:1995  1 
 
(77) In Appendix E, the text ‘The lamp shall display a luminous area of at least 170 mm 
diameter.’ is deleted ; 
(78) In Appendix F, the row ‘Variable gauge wheelsets’ of Table F.1 is replaced  by: 
 
Automatic variable gauge system  4.2.3.6.6  X X X 6.1.2.6/6.2.2.4a  
 
 EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEX 2  
 
ANNEX  
to the  
COMMISSION IMPLEMENTING REGULATION (EU) …/...  
amending Commission Regulations (EU) No 321/2013, No 1299/2014, No  1301/2014, 
No 1302/2014, No 1303/2014 and No  1304/2014, Regulation (EU) 2016/919 and 
Commission  Implementing Decision 2011/665/EU  
as regards the alignment with Directive  (EU)  2016/797 of th e European Parliament and 
of the Council and the implementation of specific objectives set out in 
Commission  Delegated Decision  (EU)  2017/1474  
  EN 1  EN ANNEX II 
The Annex to Commission Regulation (EU)  No 1299/2014 is amended as follows :  
(1) section  1.1 is replaced by the following:  
‘1.1. Technical Scope  
This TSI concerns the infrastructure subsystem and part of the maintenance 
subsystem of the Union rail system in accordance with Article 1 of Directive (EU) 
2016/797.  
The infrastructure and the maintenance subsystems are defined respectively in points 
2.1 and 2.8 of Annex II to Directive (EU) 2016/797.  
The technical scope of this TSI is further defined in Article 2(1), 2(5) and 2(6) of this 
Regulation . ’; 
(2) point (1) of sect ion 1.3 is replaced by the following : 
‘(1) In accordance with Article 4(3) of Directive (EU) 2016/797, this TSI:  
(a) indicates its intended scope (section 2);  
(b) lays down essential requirements for the infrastructure and part of the 
maintenance subsystems (section 3);  
(c) establishes the functional and technic al specifications to be met by the 
infrastructure and part of the maintenance subsystems and its interfaces 
vis-à-vis other subsystems (section 4);  
(d) specifies the interoperability constituents and interfaces which must be 
covered by European specifications,  including European standards, 
which are necessary to achieve interoperability within the Union rail 
system (section 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, on the one hand, or the EC verification of 
the subsystems, on the other hand (section 6);  
(f) indicates the strategy for implementing this TSI (section 7);  
(g) indicates, for the staff concerned, the professional qualification s and 
health and safety conditions at work required for the operation and 
maintenance of the infrastructure subsystem, as well as for the 
implementation of this TSI (section 4);  
(h) indicates the provisi ons applicable to the existing infrastructure  
subsystem, in particular in the event of upgrading and renewal and, in 
such cases, the modification work which requires an application for a 
new authorisation;  
(i) indicates th e parameters of infrastructure  subsystem to be checked by the 
railway undertaking and the proc edures to be applied to check those 
parameters after the delivery of the vehicle authorisation for placing on 
the market and before the first use of the vehicle to ensure compatibility 
between vehicles and the routes on which they are to be operated.  
In ac cordance with Article 4(5) of the Directive (EU) 2016/797, provisions for 
specific cases are indicated in section 7.  ’; EN 2  EN (3) section 2.1 is replaced by the following : 
‘2.1. Definition of the infrastructure subsystem  
This TSI covers:  
(a) the infrastructure structura l subsystem  
(b) the part of the maintenance functional subsystem relating to the infrastructure 
subsystem (that is: washing plants for external cleaning of trains, water 
restocking, refuelling, fixed installations for toilet discharge and electrical 
shore supp lies).  
The elements of the infrastructure subsystem are described in point 2.1 of Annex II 
to Directive (EU) 2016/797.  
The elements of the maintenance subsystem are described in point 2.8 of  Annex II to 
Directive (EU) 2016/797.  
The scope of this TSI theref ore includes the following aspects of the infrastructure 
subsystem:  
(a) Line layout,  
(b) Track parameters,  
(c) Switches and crossings,  
(d) Track resistance to applied loads,  
(e) Structures resistance to traffic loads,  
(f) Immediate action limits on track geometry defects,  
(g) Platfor ms, 
(h) Health, safety and environment,  
(i) Provision for operation,  
(j) Fixed installations for servicing trains.  
Further details are set out in point 4.2.2 of this TSI.  ’; 
(4) in section 2.5 , the reference to  ‘Directive 2004/49/EC ’ is replaced by the reference to 
‘Directive (EU) 2016/798’;  
(5) in section 3 , the reference to ‘Directive 2008/57/EC ’ is replaced by the reference to 
‘Directive (EU) 2016/797’;  
(6) Table 1 in section 3 is replaced by the following : 
‘ 
Table 1: Basic Parameters of the infrastructure subsystem corresponding to the essential 
requirements  
TSI 
point  Title of TSI point  Safety  
 Reliability 
Availabi -
lity 
 Health  
 Environ -
mental 
protection  
 Technical 
compati -
bility  
 Accessi -
bility  
4.2.3.1  Structure gauge  1.1.1, 
2.1.1     1.5  EN 3  EN Table 1: Basic Parameters of the infrastructure subsystem corresponding to the essential 
requirements  
TSI 
point  Title of TSI point  Safety  
 Reliability 
Availabi -
lity 
 Health  
 Environ -
mental 
protection  
 Technical 
compati -
bility  
 Accessi -
bility  
4.2.3.2  Distance between track 
centres  1.1.1, 
2.1.1     1.5  
4.2.3.3  Maximum gradients  1.1.1     1.5  
4.2.3.4  Minimum radius of 
horizontal curve  1.1.3     1.5  
4.2.3.5  Minimum radius of 
vertical curve  1.1.3     1.5  
4.2.4.1  Nominal track gauge      1.5  
4.2.4.2  Cant  1.1.1,  
2.1.1     1.5 1.6.1  
4.2.4.3  Cant deficiency  1.1.1     1.5  
4.2.4.4  Abrupt change of cant 
deficiency  2.1.1       
4.2.4.5  Equivalent conicity  1.1.1, 
1.1.2     1.5  
4.2.4.6  Railhead profile for 
plain line  1.1.1, 
1.1.2     1.5  
4.2.4.7  Rail inclination  1.1.1,  
1.1.2     1.5  
4.2.5.1  Design geometry of 
switches and crossings  1.1.1, 
1.1.2  
1.1.3     1.5  
4.2.5.2  Use of swing nose 
crossings  1.1.2, 
1.1.3       
4.2.5.3  Maximum unguided 
length of fixed obtuse 
crossings  1.1.1, 
1.1.2     1.5  
4.2.6.1  Track resistance to  
vertical loads  1.1.1, 
1.1.2, 
1.1.3     1.5  
4.2.6.2  Longitudinal track 
resistance  1.1.1, 
1.1.2, 
1.1.3     1.5  
4.2.6.3  Lateral track resistance  1.1.1, 
1.1.2, 
1.1.3     1.5  
4.2.7.1  Resistance of new 1.1.1,    1.5  EN 4  EN Table 1: Basic Parameters of the infrastructure subsystem corresponding to the essential 
requirements  
TSI 
point  Title of TSI point  Safety  
 Reliability 
Availabi -
lity 
 Health  
 Environ -
mental 
protection  
 Technical 
compati -
bility  
 Accessi -
bility  
bridges to traffic loads  1.1.3  
4.2.7.2  Equivalent vertical 
loading for new 
earthworks and earth 
pressure effects 
imposed on new 
structures  1.1.1, 
1.1.3     1.5  
4.2.7.3  Resistance of new 
structures over or 
adjacent to tracks  1.1.1, 
1.1.3     1.5  
4.2.7.4  Resistance of existing 
bridges and earthworks 
to traffic loads  1.1.1, 
1.1.3     1.5  
4.2.8.1  The immediate action 
limit for alignment  1.1.1, 
1.1.2  1.2     
4.2.8.2  The immediate action 
limit for longitudinal 
level  1.1.1, 
1.1.2  1.2     
4.2.8.3  The immediate action 
limit for track twist  1.1.1, 
1.1.2  1.2     
4.2.8.4  The immediate action 
limit of track gauge as 
isolated defect  1.1.1, 
1.1.2  1.2     
4.2.8.5  The immediate action 
limit for cant  1.1.1, 
1.1.2  1.2     
4.2.8.6  The immediate action 
limit for switches and 
crossings  1.1.1, 
1.1.2  1.2   1.5  
4.2.9.1  Usable length of 
platforms  1.1.1, 
2.1.1     1.5  
4.2.9.2  Platform height  1.1.1, 
2.1.1     1.5 1.6.1  
4.2.9.3  Platform offset  1.1.1, 
2.1.1     1.5 1.6.1  
4.2.9.4  Track layout alongside 
platforms  1.1.1, 
2.1.1     1.5 1.6.1  
4.2.10.1  Maximum pressure 1.1.1,    1.5  EN 5  EN Table 1: Basic Parameters of the infrastructure subsystem corresponding to the essential 
requirements  
TSI 
point  Title of TSI point  Safety  
 Reliability 
Availabi -
lity 
 Health  
 Environ -
mental 
protection  
 Technical 
compati -
bility  
 Accessi -
bility  
variations in tunnels  2.1.1  
4.2.10.2  Effect of cross winds  1.1.1, 
2.1.1  1.2   1.5  
4.2.10.3  Aerodynamic effect on 
ballasted track  1.1.1  1.2   1.5  
4.2.11.1  Location markers  1.1.1  1.2     
4.2.11.2  Equivalent conicity  in 
service  1.1.1, 
1.1.2     1.5  
4.2.12.2  Toilet discharge  1.1.5  1.2 1.3.1   1.5  
4.2.12.3  Train external cleaning 
facilities   1.2   1.5  
4.2.12.4  Water restocking  1.1.5  1.2 1.3.1   1.5  
4.2.12.5  Refuelling  1.1.5  1.2 1.3.1   1.5  
4.2.12.6  Electric shore supply  1.1.5  1.2   1.5  
4.4 Operating rules   1.2     
4.5 Maintenance rules   1.2     
4.6 Professional 
qualifications  1.1.5  1.2     
4.7 Health and safety 
conditions  1.1.5  1.2 1.3 1.4.1    
’; 
(7) in point (1) of section 4.1, the reference to ‘Directive 2008/57/EC ’ is replaced by the 
reference to ‘Directive (EU) 2016/797’;  
(8) point (3) of section 4.1 is replaced by the following:  
‘(3) The functional and technical specifications of the  infrastructure and part of the 
maintenance subsystems and their interfaces,  as described in points 4.2 and 4.3, do 
not impose the use of specific technologies or technical solutions, except where this 
is strictly necessary for the interoperability of the Union rail system.  ’; 
(9) the title of section 4.2 is replaced by the  following ‘4.2. Functional and technical 
specifications of the infrastructure subsystem ’; 
(10) points (1) to (3) of section 4.2.1 are replaced by the following:  
‘(1) The elements of the Union’s rail network are set out in point 1 of Annex I to 
Directive (EU) 2 016/797. In order to deliver interoperability cost -effectively, each 
element of the Union’s rail network shall be assigned a ‘TSI category of line’.  
(2) The TSI category of line shall be a combination of traffic codes. For lines where 
only one type of tra ffic is carried (for example, a freight only line), a single code may EN 6  EN be used to describe the performances; where mixed traffic runs the category will be 
described by one or more codes for passenger and freight. The combined traffic 
codes describe the enve lope within which the desired mix of traffic can be 
accommodated.  
(3) These TSI categories of line shall be used for the classification of existing lines to 
define a target system so that the relevant performance parameters will be met.  ’; 
(11) in point (7) of section  4.2.1, note (*) of Table  3 is replaced by the following : 
‘(*) Axle load is based on design mass in working order for power heads and 
locomotives as defined in point 2.1 of EN 15663:2009+AC:2010 and design mass 
under normal payload for other vehicles in accordance with  point 6.3 of 
EN15663:2009+AC:2010.’;  
(12) point ( 10) of section 4.2.1 is replaced by the following:  
‘(10)  In accordance with Article 4(7) of Directive (EU) 2016/797 which provides 
that TSIs shall not prevent the Member States from deciding on the use of 
infrastructures for the movement of vehicles not c overed by the TSIs, it is allowed to 
design new and upgraded lines able to accommodate:  
 gauges larger,  
 axle loads higher,  
 speeds greater,  
 usable length of platform greater,  
 trains longer  
than those specified in Table 2 and Table 3.’;  
(13) point (c) of point  H in section  4.2.2.1 is replaced by the following : 
‘(c) Aerodynamic effect on ballasted track (4.2.10.3) ’;  
(14) in point K of section  4.2.2.1 the following point is added:  
‘(b) Maintenance plan (4.5.2). ’;  
(15) point  (4) in section  4.2.4.4 is replaced by the follo wing : 
‘(4) Instead of point (1), for the 1 668 mm track gauge system, the maximum design 
values of abrupt change of cant deficiency shall be:  
(a) 110 mm for v ≤ 115 km/h;  
(b)  (399-v)/2,6 [mm] for 115 km/h < v ≤ 220 km/h;  
(c) 70 mm for 220 km/h < v ≤ 230 km/h;  
(d) Abrupt change of cant deficiency is not allowed for speeds of more than 
230 km/h.’;  
(16) point  (3) in section  4.2.4.5 is replaced by the following : 
‘(3) Design track gauge, rail head profile and rail inclination for plain line shall be 
selected to ensure that the equivalent conicity limits set out in Table 10 are not 
exceeded. ’;  
(17) figure 1  in section  4.2.4.6 is replaced by the following : EN 7  EN  
(18) point (2) in section  4.2.6.2.2 is replaced by the following : 
‘(2) Provisions for the use of eddy current braking systems on track shall be defined 
at operational level by the infrastructure manager on the basis of the specific 
characteristics of the track,  including switches and crossings. The conditions of use 
of this braking system are registered in accordance with Regulation (EU) 2018/XXX1 
(RINF). ’;  
(19) Table 11 in section  4.2.7.1.1 is replaced by the following : 
‘ 
Table 11: Factor alpha (  ) for the design of new structures   
Type of traffic  Minimum factor alpha ( ) 
P1, P2, P3, P4  1,0 
P5 0,91 
P6 0,83 
P1520  1 
P1600  1,1 
F1, F2, F3  1,0 
F4 0,91 
F1520  1,46 
F1600  1,1 
’; 
                                                 
1 Commission Implementing Regulation (EU) …/... of XXX on the common specifications of the railway 
register of infrastructure and repealing Decision 2014/880/EU  
 
1  crown of rail  
2  tangent point  
3  lateral slope  
4  vertical axis of rail head  
5  gauge corner  EN 8  EN (20) section  4.2.10.3 is replaced by the following : 
‘4.2.10.3 Aerody namic effect on ballasted track   
(1) The aerodynamic interaction between rolling stock and infrastructure may 
cause the lifting and further blowing away of ballast stones from the track bed 
in plain line and switches and crossings (Ballast pick up). This risk shall be 
mitigat ed.  
(2) The requirements for the infrastructure subsystem aimed at mitigating the risk 
for ‘ballast pick up’ apply only to lines intended to be operated at speed greater 
than 250 km/h.  
(3) For lines as defined in point (2) above with intended operating speed lowe r 
than or equal to 300 km/h and equipped with mono -block sleepers and bearers, 
the level of the ballast between the rails shall be lower than the upper surface 
of the sleepers and the bearers.  
Without pr ejudice to p oint 4.2.6, the distance between the upper surface of the 
sleepers and the bearers, and the level of the ballast between rails shall be at 
least 3 cm.   
(4) For speed greater than 300 km/h, the requirements of point (1) above are an 
open point.  ’; 
(21) section  4.2.12.2 is replaced by the following : 
‘Fixed installations for toilet discharge shall be compatible with the characteristics of 
the retention toilet system specified in the LOC & PAS TSI.  ’; 
(22) point  (1) in section  4.2.12.4 is replaced by the following : 
‘(1) Fixed equipment for water restocking shal l be compatible with the 
characteristics of the water system  specified in the LOC & PAS TSI.  ’; 
(23) section  4.2.12.5 is replaced by the following : 
‘Refuelling equipment shall be compatible with the characteristics of the fuel system 
specified in the LOC & PAS TSI. ’; 
(24) section  4.2.12.6 is replaced by the following : 
‘Where provided, electrical shore supply shall be by means of one or more of the 
power supply systems specified in the LOC & PAS TSI.  ’; EN 9  EN (25) Table 15 in section  4.3.1 is replaced by the following : 
‘ 
Table 15: Interfaces with the rolling stock subsystem, ‘Locomotives and 
Passenger Rolling Stock TSI’  
Interface  Reference Infrastructure TSI  Reference Locomotives and 
Passenger Rolling Stock 
TSI 
Track gauge  4.2.4.1 Nominal track gauge  
4.2.5.1 Design geometry of 
switches and crossings  
4.2.8.6 The immediate action 
limits for switches and 
crossings  4.2.3.5.2.1 Mechanical and 
geometrical characteristics of 
wheelset  
4.2.3.5.2.3 Variable gauge 
wheelsets  
Gauge  4.2.3.1 Structure gauge  
4.2.3.2 Distance between track 
centres  
4.2.3.5 Minimum radius of 
vertical curve  
4.2.9.3 Platform offset  4.2.3.1. Gauging  
Axle load and axle 
spacing  4.2.6.1 Track resistance to 
vertical loads  
4.2.6.3 Lateral track resistance 
4.2.7.1 Resistance of new 
bridges to traffic loads  
4.2.7.2 Equivalent vertical 
loading for new earthworks 
and earth pressure effects 
imposed on new structures  
4.2.7.4 Resistance of existing 
bridges and earthworks to 
traffic loads  4.2.2.10 Load conditions and 
weighed mass  
4.2.3.2.1 Axle load parameter  
 
Running cha racteristics  4.2.6.1 Track resistance to 
vertical loads  
4.2.6.3 Lateral track resistance  
4.2.7.1.4 Nosing forces  4.2.3.4.2.1 Limit values for 
running safely  
4.2.3.4.2.2 Track loading 
limit values  
Ride stability  4.2.4.4 Equivalent conicity  
4.2.4.6 Railhead profile for 
plain line  
4.2.11.2 Equivalent conicity in 
service  
 4.2.3.4.3 Equivalent conicity  
4.2.3.5.2.2 Mechanical and 
geometrical characteristics of 
wheels  
 EN 10  EN Interface  Reference Infrastructure TSI  Reference Locomotives and 
Passenger Rolling Stock 
TSI 
Longitudinal actions  4.2.6.2 Longitudinal track 
resistance  
4.2.7.1.5 Actions due to 
traction and braking 
(longitudinal loads)  4.2.4.5 Braking performance  
Minimum horizontal 
curve radius  4.2.3.4 Minimum radius of 
horizontal curve  4.2.3.6 Minimum curve 
radius  
Annex A, A.1 Buffers  
Running dynamic 
behaviour  4.2.4.3 Cant deficiency  4.2.3.4.2.  Running dynamic 
behaviour  
Maximum deceleration  4.2.6.2 Longitudinal track 
resistance  
4.2.7.1.5 Actions due to 
traction and braking  4.2.4.5 Braking performance  
Aerodynamic effect  4.2.3.2 Distance between track 
centres  
4.2.7.3 Resistance of new 
structures over or adjacent to 
tracks  
4.2.10.1 Maximum pressure 
variations in tunnels  
4.2.10.3 Aerodynamic effect 
on ballasted track  4.2.6.2.1 Slipstream effects 
on passengers on platforms 
and on trackside workers  
4.2.6.2.2 Head  pressure pulse  
4.2.6.2.3 Maximum pressure 
variations in tunnels  
 
4.2.6.2.5 Aerodynamic effect 
on ballasted tracks  
Crosswind  4.2.10.2 Effect of crosswinds  4.2.6.2.4 Crosswind  
Installations for 
servicing trains  4.2.12.2 Toilet discharge  
4.2.12.3 Train ext ernal 
cleaning facilities  
4.2.12.4 Water restocking  
4.2.12.5 Refuelling  
4.2.12.6 Electric shore supply  4.2.11.3 Toilet discharge 
system  
4.2.11.2.2 Exterior cleaning 
through a washing plant  
4.2.11.4 Water refilling 
equipment  
4.2.11.5 Interface for water 
refilling  
4.2.11.7 Refuelling 
equipment  
4.2.11.6 Special requirements 
for stabling of trains  
’; EN 11  EN (26) Table 16 in section  4.3.1 is replaced by the following : 
‘ 
Table 16: Interfaces with the rolling stock subsystem, ‘Freight Wagons TSI’  
Interface  Reference Infrastructure TSI  Reference Freight wagons 
TSI 
Track gauge  4.2.4.1 Nominal track gauge  
4.2.4.6 Railhead profile for 
plain line  
4.2.5.1 Design geometry of 
switches and crossings  
4.2.8.6 The immediate action 
limits for switches and 
crossings  4.2.3.6.2           Characteristics 
of wheelsets  
4.2.3.6.3           Characteristics 
of wheels  
Gauge  4.2.3.1 Structure gauge  
4.2.3.2 Distance between track 
centres  
4.2.3.5 Minimum radius of 
vertical curve  
4.2.9.3 Platform offset  4.2.3.1 Gauging  
Axle load and axle 
spacing  4.2.6.1 Track resistance to 
vertical loads  
4.2.6.3 Lateral track resistance  
4.2.7.1 Resistance of new 
bridges to traffic loads  
4.2.7.2 Equivalent vertical 
loading for new earthworks 
and earth pressure effects 
imposed on new structures  
4.2.7.4 Resistance of existing 
bridges and earthworks to 
traffic loads  4.2.3.2 Compatibility with 
load carrying capacity of 
lines  
Running dynamic 
behaviour  4.2.8     Immediate action limits 
on track geometry defects  
 4.2.3.5.2           Running 
dynamic behaviour  
Longitudinal actions  4.2.6.2 Longitudinal track 
resistance  
4.2.7.1.5 Actions due to 
traction and braking 
(longitudinal loads)  4.2.4.3.2 Brake performance  
Minimum curve radius  4.2.3.4 Minimum radius of 
horizontal curve  4.2.2.1. Mechanical interface  
Vertical curve  4.2.3.5 Minimum radius of 
vertical curve  4.2.3.1 Gauging  
’; EN 12  EN (27) Table 19 in section  4.3.4 is replaced by the following : 
‘ 
Table 19 “Interfaces with the operation and traffic management subsystem”  
Interface  Reference Infrastructure TSI Reference Operation and 
Traffic Management TSI  
Ride stability  4.2.11.2 Equivalent conicity in 
service  4.2.3.4.4  Operational 
quality  
 
Use of eddy current 
brakes  4.2.6.2 Longitudinal track 
resistance  4.2.2.6.2 Braking 
performance  
Crosswinds  4.2.10.2 Effect of crosswinds  4.2.3.6.3 Contingency 
arrangements  
Operating rules  4.4 Operating rules  4.2.1.2.2.2 Modifications to 
information contained in the 
route book  
4.2.3.6 Degraded operation  
Staff competences  
 4.6 Professional competences  2.2.1 Staff and trains  
’; 
(28) in point (1) of section 4.4, the terms ‘Article 18(3)  and set out in Annex VI 
(point  I.2.4) of Directive 2008/57/EC ’ are replaced by the terms  ‘Article 15(4) and 
set out in Annex IV (point 2.4) of Directive (EU) 2016/797 ’; 
(29) section  4.5.2 is repla ced by the following:  
‘4.5.2. Maintenance plan  
The infrastructure manager shall have a maintenance plan containing the items listed 
in point 4.5.1 together with at least the following:  
(a) a set of values for intervention limits and alert limits,  
(b) a statement about the methods, professional competences of staff and personal 
protective safety equipment necessary to be used,  
(c) the rules to be applied for the protection of people working on or near the track,  
(d) the means used to check that in -service values are respected,  
(e) the measures taken, for speed greater than 250 km/h, to mitigate the risk of 
ballast pick up.  ’; 
(30) point  (1) in section 4.7 is replaced by the following : 
‘(1) t he health and safety conditions of staff required for the operation and 
maintenance of the infrastructure subsystem shall be compliant with the relevant 
European and national legislation.  ’; EN 13  EN (31) point (b)  of point (2) in section  5.3.2 is replaced by the following : 
‘(b) the rail fastening shall resist application of 3 000 000 cycles of the typica l load 
applied in a sharp curve, such that the change in performance of the fastening system 
shall not exceed:  
 20 % in terms of clamping force,  
 25 % in terms of vertical stiffness,  
 a reduction of more than 20% in terms of longitudinal restraint.  
The typ ical load shall be appropriate to:  
– the maximum axle load the rail fastening system is designed to accommodate,  
– the combination of rail, rail inclination, rail pad and type of sleepers with 
which the fastening system may be used.  ’; 
(32) section 6.1.4.1 is repla ced by the following:  
‘6.1.4.1. Interoperability constituents subject to other European Union Directives  
(1) in accordance with Article 1 0(3) of Directive (EU) 2016/797 , for interoperability 
constituents that are the subject of other legal acts of the Union covering other 
matters, the EC declaration of conformity or suitability for use shall state that the 
interoperability constituents also meet the requirements of those other legal acts ; 
(2) in accordance with Annex I to  Commission  Implementing  Regulat ion (EU) No 
XXXX/20 182, the EC declaration of conformity or suitability for use shall include a 
list of restrictions or conditions of use ’; 
(33) in point (1) of section 6.2.1, the reference to  ‘Article 1 8 of Directive 2008/57/EC ’ is 
replaced by the reference to  ‘Article 15 of Directive (EU) 2016/797’;  
(34) point (6) of section 6.2.1  is replaced by the following:  
‘(6) The applicant shall draw up the EC declaration of verification for the 
infrastructure subsystem in accordance with Article 15 of Directive (EU) 2016/797 ’; 
(35) in section 6.2.4 the following point is added  after point 6.2.4.14 : 
‘6.2.4.15 . Assessment of compatibility with braking syst ems 
The assessment of the requirements laid down in point 4.2.6.2.2(2) is  not required. ’;  
(36) in section  6.2.5 the following point is added  after point 6.2.5.2 : 
‘6.2.5.3 Assessment of aerodynamic effect on b allasted track  
(1) The demonstration of conformity of the track with the requirements to mit igate 
the risk of ballast pick -up as laid down in point 4.2.10.3(1) may be done, 
alternatively to point  4.2.10.3(3), by referring to an existing track design, 
including sw itches and crossings, on which rolling stock compliant with point 
7.1.1.8 of the LOC&PAS TSI has been in normal oper ation  with the same or 
higher speed;  
                                                 
2 Commission Implementing Regulation (EU) …/... of XXX on the templates for ‘EC’ declarations and 
certificates for railway interoperability constituents and subsystems, on the model of declaration of 
conformity to an authorised railway vehicle type and on the ‘EC’ verification procedures for 
subsystems in accordance with Directive (EU) 2016/797 of the European Parliament and of the Council 
and repealing Regula tion (EU) No 201/2011.  EN 14  EN (2) Points 6.2.5.1(2), (3), (4), (5) and (6) shall apply. For switches and crossings, 
technical characteristics as set out in Appendix C.2 and conditions of use a s set 
out in Appendix D.2 shall apply;  
(3) When reference is made  to Appendix D.1 and Appendix D.2, the only 
conditions of use to be assessed are the maximum line speed on plain track and 
the maximum line speed on through route on switches.  
(4) The assessment of the requirements of p oint 6.2.5.3(1) shall be based on a 
writt en declaration of the infrastructure manager. ’; 
(37) point (3) of section 6.4 is replaced by the following:  
‘(3) The  notified body shall include a reference to the maintenance file required by 
point 4.5.1 of this TSI in the technical file referred to in Articl e 15(4) of Directive 
(EU) 2016/797. ’; 
(38) in point (2) of section 6.5.2, the reference to  ‘Article 17 of Directive 2008/57/EC ’ is 
replaced by the reference to ‘Article 14 of Directive (EU) 2016/797’;  
(39) the first paragraph in section 7 above section 7.1 is replac ed by the following : 
‘Member States shall develop a national plan for the implementation of this TSI, 
considering the coherence of the entire rail system of the European Union. This plan 
shall include all projects regarding new, renewal and upgrading o f infrastructure 
subsystem, in line with the details mentioned in points 7.1 to 7.7 here below.’;  
(40) section 7.3.1 is replaced by the following : 
‘7.3.1.  Upgrading or renewal of a line  
(1) In accordance with Article 2(14) of Directive (EU) 2016/797, "upgrading" 
means any major modification work on a subsystem or part of it which results 
in a change in the technical file accompanying the ‘EC’ declaration of 
verification, if that technical file exists, and which improves the overall 
performance of the subsystem.  
(2) The inf rastructure subsystem of a line is considered to be upgraded in the 
context of this TSI when at least the performance parameters axle load or 
gauge, as defined in point 4.2.1 are improved in order to meet the requirements 
of another traffic code.  
(3) In accor dance with Article 2(15) of Directive (EU) 2016/797, "renewal" means 
any major substitution work on a subsystem or part of it which does not change 
the overall performance of the subsystem.  
(4) For this purpose, major substitution should be interpreted as a pr oject 
undertaken to systematically replace elements of a line or a section of a line. 
Renewal differs from a substitution in the framework of maintenance, referred 
to in point 7.3.3 below, since it gives the opportunity to achieve a TSI 
compliant line. A r enewal is the same case as upgrading, but without a change 
in performance parameters.  
(5) The scope of the upgrading or renewal of the infrastructure subsystem may 
cover the entire subsystem on a given line or only certain parts of the 
subsystem. According to Article 18(6) of Directive (EU) 2016/797, the national 
safety authority shall examine the project and decide whether a new 
authorisation for placing in service is needed.  EN 15  EN (6) Where a new authorisation is required, parts of the infrastructure subsystem 
falling under the scope of the upgrading or renewal  shall comply with this TSI 
and shall be subject to the procedure established in Article 15 of 
Directive  (EU) 2016/797, unless a permission for non -application of TSI is 
granted according to Article 7 of Directiv e (EU) 2016/797. In accordance with 
Article 15(7) and Annex IV of Directive (EU) 2016/797, the notified body 
issues certificates of verification for those parts of the infrastructure subsystem 
under the scope of the upgrading or renewal. Other elements tha t remain 
outside the scope of work, do not need to meet the requirements of this TSI, 
and are not subject of the EC verification procedure.  
(7) Where a new authorisation for placing in service is not required, compliance 
with this TSI is recommended. Where co mpliance is not possible, the 
contracting entity shall inform the Member State of the reasons thereof.  ’; 
(41) section 7.3.2 is deleted;  
(42) point  (4) in section  7.3.3  is replaced by the following : 
‘(4) In such cases, it is noted that each of the above elements taken separately cannot 
ensure compliance of the whole subsystem. The conformity of a subsystem can only 
be stated when all the elements are compliant with the TSI . ’; 
(43) section 7.6  is replaced by the following : 
‘7.6.  Route compatibility checks before the u se of authorised vehicles  
The parameters of the infrastructure subsystem to be used by the railway 
undertaking, for the purpose of route compatibility check are described in the 
appendix D1 to Regulation XXX/2018 (OPE TSI)3. ’; 
(44) in section  7.7.2 .1 the second  paragraph is replaced by the following : 
‘For platform heights of 550 mm and 760 mm, the conventional value b q0 of platform 
offset shall be calculated according to the following formulas:  ’; 
(45) in section  7.7.8.1 the ti tle ‘Platform height (4.2.9.3) ’ is replaced  by ‘Platform height 
(4.2.9.2)’ ; 
                                                 
3 Commission Implementing Regulation (EU) …/... of XXX concerning the technical specification for 
interoperability relating to the ‘operation and traffic management’ subsystem of the rail system in the 
European Union and repealing Co mmission Decision 2012/757/EU  EN 16  EN (46) point  (2) of section  7.7.11.1 is deleted;  
(47) Table 36  in Appendix A is replaced by the following : 
‘ 
Table 36 Assessment of interoperability constituents for the EC declaration of 
conformity  
Characteristics to be assessed  Assessment in the following phase  
Design and development phase  Production 
phase  
Manufacturing 
process + 
product test  
Design 
review  Review of 
manufacturi
ng process  Type test  Product 
quality  
(series)  
5.3.1 The rail      
5.3.1.1 Railhead profile  X n.a.  X X 
5.3.1.2 Rail steel  X X X X 
5.3.2 The rail fastening 
systems  n.a. n.a. X X 
5.3.3 Track sleepers  X X n.a. X 
(48) in Table 37 in Appendix B, the row concerning ‘Longitudinal track resistance’ is 
replaced by the following : 
Characteristics to be 
assessed  Design review  Assembly before 
putting into service  Particular assessment 
procedures  
Longitudinal track 
resistance (4.2.6.2)  X n.a 6.2.5  
6.2.4.15  
(49) in Table 37 in Appendix B, the following line is added:  
Characteristics to be 
assessed  Design review  Assembly before 
putting into service  Particular assessment 
procedures  
Aerodynamic effect on 
ballasted track (4.2.10.3)  X n.a 6.2.5.3  
(50) point (c) in Appendix C2 is replaced by the following : 
‘(c) Bearer  ’; EN 17  EN (51) Appendix E  is amended as follows :  
(a) the second paragraph is replaced by the following : 
‘EN line category is a function of axle load and geometrical aspects relating to 
the spacing of axles. EN line categories are set out in Annex A of EN 
15528:2015.  ’; 
(b) Table 38 is replaced by the following : 
Tabl e 38: EN Line Category –Associated Speed (1)(6) [km/h] – Passenger traffic  
Traffic code  Passenger Carriages 
(including Coaches, 
Vans and Car  
Carriers) and Light 
Freight Wagons (2) (3) Locomotives and  
Power Heads (2) (4) Electric or Diesel 
Multiple Units, Power 
Units and Railcars (2) (3) 
P1 n.a. (11) n.a. (11) Open Point  
P2 n.a. (11) n.a. (11) Open Point  
P3a (> 160 km/h)  A – 200 
B1 - 160 D2 – 200 (10) Open point  
P3b (≤ 160 km/h)  
B1 – 160 D2 – 160 C2 (8) – 160 
D2 (9) - 120 
P4a (> 160 km/h)  A – 200 
B1 - 160 D2 – 200 (10) Open point  
P4b (≤ 160 km/h)  
A – 160 
B1 - 140 D2 - 160 B1(7) – 160 
C2 (8) – 140 
D2 (9) - 120 
P5 B1 - 120 C2 - 120 (5) B1(7) - 120  
P6 a12 
P1520  Open point  
P1600  Open point  
(c) note (1) is replaced by the following : 
‘(1) The indicated speed value in the table represents the maximum 
requirement for the line and may be lower in accordance with the requirements 
in point 4.2.1(12). When checking individual structures on the line, it is 
acceptable to take  account of the type of vehicle and local allowed speed.  ’; EN 18  EN (d) note (2) is replaced by the following : 
‘(2) Passenger Carriages (including Coaches, Vans, Car Carriers), Other 
Vehicles, Locomotives, Power Heads, Diesel and Electric Multiple Units, 
Power Units a nd Railcars are defined in the LOC & PAS TSI. Light Freight 
Wagons are defined as vans except that they are allowed to be conveyed in 
formations which are not intended to convey passengers .’; 
(e) note (10) is deleted;  
(f) the following note (11) is added:  
‘(11) Ta king into account the state of art of operation there is no need to define 
harmonized requirements to deliver an adequate level of interoperability for 
this type of vehicles for P1 and P2 traffic codes.  ’; 
(52) Appendix F is amended as follows:  
(a) Table 40 is repl aced by the following:  
Table 40: Route Availability number –Associated Speed (1) (5) [miles per hour] – 
Passenger traffic  
Traffic code  Passenger Carriages 
(including Coaches, 
Vans and Car  
Carriers) and Light 
Freight Wagons  
(2) (3) (6)  Locomotives and  
Power Heads (2) (4) Electric or Diesel 
Multiple Units, Power 
Units and Railcars  
(2) (3) (6)  
P1 n.a. (11) n.a. (11) Open Point  
P2 n.a. (11) n.a. (11) Open Point  
P3a (> 160 km/h)  
RA1 – 125 
RA2 – 90 RA7 – 125 (7) 
RA8 – 110 (7) 
RA8 – 100 (8) 
RA5 – 125 (9) Open point  
P3b (≤ 160 km/h)  RA1 – 100 
RA2 – 90 RA8 – 100 (8) 
RA5 – 100 (9) RA3 – 100 
P4a (> 160 km/h)  
RA1 – 125 
RA2 – 90 RA7 – 125 (7) 
RA7 – 100 (8) 
RA4 – 125 (9) Open point  
P4b (≤ 160 km/h)  RA1 – 100 
RA2 – 90 RA7 – 100 (8) 
RA4 – 100 (9) RA3 – 100 EN 19  EN Traffic code  Passenger Carriages 
(including Coaches, 
Vans and Car  
Carriers) and Light 
Freight Wagons  
(2) (3) (6)  Locomotives and  
Power Heads (2) (4) Electric or Diesel 
Multiple Units, Power 
Units and Railcars  
(2) (3) (6)  
P5 
RA1 – 75 RA5 – 75 (8) (10) 
RA4 – 75 (9) (10) RA3 – 75 
P6 RA1  
P1600  Open point  
(b) note (1) is replaced by the following : 
‘(1) The indicated speed value in the table represents the maximum 
requirement for the line and may be lower in accordance with the requirements 
in point 4.2.1(12). When checking individual structures on the line, it is 
acceptable to take account of the type of ve hicle and local allowed speed.  ’; 
(c) note (2) is replaced by the following ; 
‘(2) Passenger Carriages (including Coaches, Vans, Car Carriers), Other 
Vehicles, Locomotives, Power Heads, Diesel and Electric Multiple Units, 
Power Units and Railcars are defined in  the LOC & PAS TSI. Light Freight 
Wagons are defined as vans except that they are allowed to be conveyed in 
formations which are not intended to convey passengers.  ’; 
(d) Note (11) shall be added by the following : 
‘(11) Taking into account the state of art of operation there is no need to define 
harmonized requirements to deliver an adequate level of interoperability for 
this type of vehicles for P1 and P2 traffic codes.  ’; 
(53) the fourth paragraph in Appendix K , immediately above Table 45,  is deleted;  
(54) Appendix L is deleted;  
(55) the second paragraph  of point P3  in Appendix P is modified by the following  
(normal font):  
‘The vertical curve radius Rv is limited to 500m. Heights not exceeding 80 mm shall 
be considered as zero within a radius Rv between 500 m and 625 m.  ’; 
(56) Table 47 in Appendix Q  is replaced  by the following : 
‘Table 47: Notified national technical rules for UK -GB Specific Cases  
Specific 
Case  TSI Point  Requirement  NTR Ref  NTR Title  
7.7.17.1  4.2.1: Table Categories of line: GI/RT7073  Requirements for the 
Position of Infrastructure EN 20  EN 2 & Table 3  Gauge  and for Defining and 
Maintaining Clearances  
GE/RT8073  Requirements for the 
Application of Standard 
Vehicle Gauges  
GI/RT7020  GB Requirements for 
Platform Height, Platform 
Offset and Platform Width  
7.7.17.2 
& 
7.7.17.9  4.2.3.1 & 
6.2.4.1  Structure gauge  GI/RT7073  Requirements for the 
Position of Infrastructure 
and for Defining and 
Maintaining Clearances  
GE/RT8073  Requirements for the 
Application of Standard 
Vehicle Gauges  
GI/RT7020  GB Requirements for 
Platform Height, Platform 
Offset and Platform Width  
7.7.17.3 
& 
7.7.17.10  4.2.3.2: 
Table 4  
& 6.2.4.2  Distance between 
track centres  GI/RT7073  Requirements for the 
Position of Infrastructure 
and for Defining and 
Maintaining Clearances  
7.7.17.4  4.2.5.3 & 
Appendix J  Maximum unguided 
length of fixed 
obtuse crossings  GC/RT5021  Track System 
Requirements  
GM/RT2466  Railway Wheelsets  
7.7. 17.6  4.2.9.2  Platform height  GI/RT7020  GB Requirements for 
Platform Height, Platform 
Offset and Platform Width  
7.7. 17.7 
& 
7.7. 17.11  4.2.9.3 & 
6.2.4.11  Platform offset  GI/RT7020  GB Requirements for 
Platform Height, Platform 
Offset and Platform Width  
GI/RT7073  Requirements for the 
Position of Infrastructure 
and for Defining and 
Maintaining Clearances  
’; 
(57) Appendix R is replaced by the following : 
‘List of open points  
(1) Immediate action limits for isolated defects in alignment for speeds of more 
than 300 km/h (4.2.8.1).  
(2) Immediate action limits for isolated defects in longitudinal level for speeds  of 
more than 300 km/h (4.2.8.2).  EN 21  EN (3) The minimum allowed value of distance between track centres for the uniform 
structure gauge IRL3 is an open point (7.7.18.2).  
(4) EN Line Category –Associated Speed [km/h] for Traffic codes P1 (multiple 
units), P2 (multiple un its), P3a (multiple units), P4a (multiple units), P1520 (all 
vehicles), P1600 (all vehicles), F1520 (all vehicles) and F1600 (all vehicles) in 
Appendix E, Tables 38 and 39.  
(5) Route Availability Number –Associated Speed [miles/h] for Traffic codes P1 
(multipl e units),  P2 (multiple units), P3a (multiple units), P4a (multiple units), 
P1600 (all vehicles) and F1600 (all vehicles) in Appendix F, Tables 40 and 41.  
(6) Rules and drawings related to gauges IRL1, IRL2 and IRL3 are an open point 
(Appendix O).  
(7) The requirem ents for mitigating the risk for ballast pick up for speed greater 
than 300 km/h.  ’; 
(58) Table 48 in Appendix S is replaced by the following:  
‘ 
Table 48: Terms  
Defined term  TSI point  Definition  
Actual point (RP) /  
Praktischer Herzpunkt /  
Pointe de coeur  4.2.8.6  Physical end of a crossing vee. See Figure 2, which 
shows the relationship between the actual point (RP) 
and the intersection point (IP).  
Alert limit /  
Auslösewert /  
Limite d’alerte  4.5.2  Refers to the value which, if exceeded, requires that 
the track geometry condition is analysed and 
considered in the regularly planned maintenance 
operations.  
Axle load/  
Achsfahrmasse/  
Charge à l’essieu  4.2.1, 
4.2.6.1  Sum of the static vertical wheel forces exerted on the 
track through a wheelset or a pair of independent 
wheels divided by acceleration of gravity.  
Braking systems 
independent of wheel -rail 
adhesion conditions”  4.2.6.2.2  “Braking systems independent of wheel – rail 
adhesion conditions” refers to all brake systems of the 
rolling stock capable to d evelop a brake force applied 
to the rails independently of the wheel – rail adhesion 
conditions (e.g. magnetic braking systems and eddy 
current braking systems)  
Cant /  
Überhöhung /  
Dévers de la voie  4.2.4.2  
4.2.8.5  Difference in height, relative to the horizontal, of the 
two rails of one track at a particular location, measured 
at the  
centrelines of the heads of the rails.  
Cant deficiency / 
Überhöhungsfehlbetrag / 4.2.4.3  Difference between the applied cant and a higher 
equilibriu m cant.  EN 22  EN Defined term  TSI point  Definition  
Insuffisance de devers  
Common crossing /  
Starres Herzstück /  
Coeur de croisement  4.2.8.6  Arrangement ensuring intersection of two opposite 
running edges of turnouts or diamond crossings and 
having one crossing vee and two wing rails.  
Crosswind /  
Seitenwind /  
Vents traversiers  4.2.10.2  Strong wind blowing laterally to a line which may 
adversely affect the safety of trains running.  
Design value /  
Planungswert /  
Valeur de conception  4.2.3.4, 
4.2.4.2, 
4.2.4.5, 
4.2.5.1, 
4.2.5.3  Theoretical value without manufacturing , construction 
or maintenance tolerances.  
Design track gauge /  
Konstruktionsspurweite /  
Ecartement de conception 
de la voie  5.3.3  A single value which is obtained when all the 
components of the track conform precisely to their 
design dimensions or their median design dimension 
when there is a range.  
Distance between track 
centres /  
Gleisabstand /  
Entraxe de voies  4.2.3.2  The distance between points of the centre lines of the 
two tracks under consideration, measured parallel to 
the running surface of the  reference track namely the 
less canted track.  
Dynamic lateral force / 
Dynamische Querkraft /  
Effort dynamique 
transversal  4.2.6.3  The sum of dynamic forces exerted by a wheelset on 
the track in lateral direction.  
Earthworks/  
Erdbauwerke/  
Ouvrages en terre 4.2.7.2, 
4.2.7.4  Soil structures and soil -retaining structures that are 
subject to railway traffic loading.  
EN Line Category /  
EN Streckenklasse /  
EN Catégorie de ligne  4.2.7.4, 
Appendix E  The result of the classification process set out in EN 
1552 8:2015 Annex A and referred to in that standard 
as ‘Line Category’. It represents the ability of the 
infrastructure to withstand the vertical loads imposed 
by vehicles on the line or section of line for regular 
(“normal”) service.  
Equivalent conicity /  
Äquivalente Konizität /  4.2.4.5, 
4.2.11.2  The tangent of the cone angle of a wheelset with coned 
wheels whose lateral movement has the same 
kinematic wavelength as the given wheelset on EN 23  EN Defined term  TSI point  Definition  
Conicité équivalente  straight track and large -radius curves. !!  
Fixed nose protection /  
Leitweite /  
Cote de protection de pointe  4.2.5.3, 
Appendix J  Dimension between the crossing nose and check rail 
(see dimension No. 2 on Figure 10 below).  
Flangeway depth /  
Rillentiefe /  
Profondeur d’ornière  4.2.8.6.  Dimension between the running surface and the 
bottom of flangeway (see dimension No. 6 on Figure 
10 below).  
Flangeway width /  
Rillenweite /  
Largeur d’ornière  4.2.8.6.  Dimension between a running rail and an adjacent 
check or wing rail (see dimension No. 5  on Figure 10 
below).  
Free wheel passage at check 
rail/wing rail entry/  
Freier Raddurchlauf im 
Radlenker -Einlauf 
/Flügelschienen -Einlauf/ 
Côte d’équilibrage du 
contre -rail 4.2.8.6.  Dimension between the working face of the crossing 
check rail or wing rail  and the gauge face of the 
running rail opposite across the gauge measured at 
entry to check rail or wing rail respectively.  
(see dimensions No.4 on Figure 10 below). The entry 
to the check rail or wing rail is the point at which the 
wheel is allowed to contact the check rail or wing rail.  
Free wheel passage at 
crossing nose/  
Freier Raddurchlauf im 
Bereich der Herzspitze/  
Cote de libre passage dans 
le croisement  4.2.8.6.  Dimension between the working face of the crossing 
wing rail and check rail opposite across the gauge (see 
dimension No.3 on Figure 10 below).  
Free wheel passage in 
switches/ Freier 
Raddurchlauf im Bereich 
der Zun gen-vorrichtung / 
Côte de libre passage de 
l’aiguillage  4.2.8.6.  Dimension from the gauge face of one switch rail to 
the back edge of the opposite switch rail (see 
dimension No.1 on Figure 10 below).  
Gauge /  
Begrenzungslinie /  
Gabarit  4.2.1,  
4.2.3.1  Set of rules including a reference contour and its 
associated calculation rules allowing definition of the 
outer dimensions of the vehicle and the space to be 
cleared by the infrastructure.  
HBW/HBW/HBW  5.3.1.2  The non SI unit for steel hardness defined in EN ISO 
6506 -1:2005 Metallic materials – Brinell hardness test. 
Test method.  EN 24  EN Defined term  TSI point  Definition  
Height of check rail /  
Radlenkerüberhöhung /  
Surélévation du contre rail  4.2.8.6,  
Appendix J  Height of the check rail above the running surface (see 
dimension 7 on Figure 14 below).  
 
Immediate Action Limit / 
Soforteingriffsschwelle /  
Limite d’intervention 
immédiate  4.2.8, 4.5  The value which, if exceeded, requires taking 
measures to reduce the risk of derailment to an 
acceptable level.  
 
Infrastructure Manager/  
Betreiber der Infrastruktur/  
Gestionnaire de 
l‘Infrastructure  4.2.5.1, 
4.2.8.3, 
4.2.8.6, 
4.2.11.2 4.4, 
4.5.2, 4.6, 
4.7, 6.2.2.1, 
6.2.4, 6.4  As defined in Article 2h) of Directive 2001/14/EC of 
26 February 2001 on the allocation of railway 
infrastructure capacity and th e levying of charges for 
the use of railway infrastructure and safety 
certification (OJ L 75, 15.3.2001, p.29)  
In service value /  
Wert im Betriebszustand /  
Valeur en exploitation  4.2.8.5, 
4.2.11.2  Value measured at any time after the infrastructure has 
been placed into service.  
Intersection point (IP) /  
Theoretischer Herzpunkt /  
Point d’intersection 
théorique  4.2.8.6  Theoretical intersection point of the running edges at 
the centre of the crossing (see figure 2).  
Intervention Limit / 
Eingriffsschwelle  /  
Valeur d’intervention  4.5.2  The value, which, if exceeded, requires corrective 
maintenance in order that the immediate action limit 
shall not be reached before the next inspection;  
Isolated defect /  
Einzelfehler /  
Défaut isolé  4.2.8   A discrete track geometry fault.  
Line speed /  
Streckengeschwindigkeit /  
Vitesse de la ligne  4.2.1  Maximum speed for which a line has been designed.  
Maintenance file /  
Instandhaltungsdossier /  
Dossier de maintenance  4.5.1  Elements of the technical file relating to conditions 
and limits of use and instructions for maintenance.  EN 25  EN Defined term  TSI point  Definition  
Maintenance plan /  
Instandhaltungsplan /  
Plan de maintenance  4.5.2  A series of documents setting out the infrastructure 
maintenance procedures adopted by an Infrastructure 
Manager.  
Multi -rail track/  
Mehrschienengleis/  
Voie à multi écartement  4.2.2.2  Track with more than two rails, where at least two 
pairs of respective rails are designed to be operated as 
separate single tracks, with or without different track 
gauges.  
Nominal track gauge / 
Nennspurweite /  
Ecartement nominal de la 
voie 4.2.4.1  A single value which identifies the track gauge but 
may differ from the design track gauge.  
Normal service /  
Regelbetrieb /  
Service régulier  4.2.2.2  
4.2.9  The railway operating to a planned timetable service.  
Passive provision /  
Vorsorge für künftige 
Erweiterungen / Réservation 
pour extension future  4.2.9  Provision for the future construction of a physical 
extension to a structure (for example: increased 
platform length).  
Performance Parameter/  
Leistungskennwert/  
Paramètre de performance  4.2.1  Parameter describing a TSI Category of Line used as 
the basis for the design of infrastructure subsystem 
elements and as the indication of the performance  
level of a line.  
Plain line /  
Freie Strecke /  
Voie courante  4.2.4.5  
4.2.4.6  
4.2.4.7  Section of track without switches and crossings.  
Point retraction /  
Spitzenbeihobelung /  
Dénivelation de la pointe de 
cœur  4.2.8.6  The reference line in a fixed common crossing can 
deviate from the theoretical reference line. From a 
certain distance to the crossing point, the reference 
line of the vee can, depending on the design, be 
retracted from this theoretical line away from the 
wheel flange in order to avoid  contact between both 
elements. This situation is described in Figure 2.  
Rail inclination / 
Schienenneigung /  
Inclinaison du rail  4.2.4.5  
4.2.4.7  An angle defining the inclination of the head of a rail 
when installed in the track relative to the plane of  the 
rails (running surface), equal to the angle between the 
axis of symmetry of the rail (or of an equivalent 
symmetrical rail having the same rail head profile) and EN 26  EN Defined term  TSI point  Definition  
the perpendicular to the plane of the rails.  
Rail pad /  
Schienenzwischenlage /  
Semelle  sous rail  5.3.2  A resilient layer fitted between a rail and the 
supporting sleeper or baseplate.  
Reverse curve /  
Gegenbogen /  
Courbes et contre -courbes  4.2.3.4  Two abutting curves of opposite flexure or hand  
Structure gauge /  
Lichtraum /  
Gabarit des obstacles  4.2.3.1  Defines the space in relation to the reference track that 
shall be cleared of all objects or structures and of the 
traffic on the adjacent tracks, in order to allow safe 
operation on the reference track. It is defined on the 
basis of the reference contour by application of the 
associated rules.  
Swing nose  4.2.5.2  Within the domain of “common crossing with 
movable point”, the term “swing nose” identifies the 
part of the crossing which forms the vee and that it is 
moved to form a contin uous running edge for either 
the main or the branch line.  
Switch /  
Zungenvorrichtung /  
Aiguillage  4.2.8.6  A unit of track comprising two fixed rails (stock rails) 
and two movable rails (switch rails) used to direct 
vehicles from one track to another track . 
Switches and crossings /  
Weichen und Kreuzungen /  
Appareil de voie  4.2.4.5, 
4.2.4.7,  
4.2.5, 4.2.6, 
4.2.8.6, 5.2, 
6.2.4.4, 
6.2.4.8, 
6.2.5.2, 
7.3.3, 
Appendix C 
and D,  Track constructed from sets of switches and individual 
crossings and the rails connecting them.  
Through route /  
Stammgleis /  
Voie directe  Appendix D  In the context of switches and crossings a route which 
perpetuate the general alignment of the track.  
Track design  4.2.6, 6.2.5,  
Appendix C 
and D  The track design consists of cross -section defining 
basic dimensions and track components (for example 
rail, rail fastenings, sleepers, ballast) used together EN 27  EN Defined term  TSI point  Definition  
with operating conditions with an impact on forces 
related to 4.2.6., such as axle load, speed an d radius of 
horizontal curvature.  
Track gauge /  
Spurweite /  
Ecartement de la voie  4.2.4.1, 
4.2.4.5, 
4.2.8.4, 
5.3.3, 
6.1.5.2, 
6.2.4.3, 
Appendix H  The smallest distance between lines perpendicular to 
the running surface intersecting each rail head profile  
in a range from 0 to 14 mm below the running surface.  
Track twist /  
Gleisverwindung /  
Gauche  4.2.7.1.6 
4.2.8.3, 
6.2.4.9,  Track twist is defined as the algebraic difference 
between two cross levels taken at a defined distance 
apart, usually expressed as  a gradient between the two 
points at which the cross level is measured.  
Train length/  
Zuglänge/  
Longueur du train  4.2.1  
 The length of a train, which can run on a certain line in 
normal operation.  
Unguided length of an 
obtuse crossing /  
Führungslose Stelle /  
Lacune dans la traversée  4.2.5.3, 
Appendix J  Portion of obtuse crossing where there is no guidance 
of the wheel described as “unguided distance” in EN 
13232 -3:2003.  
Usable length of a platform 
/ Bahnsteignutzlänge /  
Longueur utile de quai  4.2.1, 
4.2.9.1  The maximum continuous length of that part of 
platform in front of which a train is intended to remain 
stationary in normal operating conditions for 
passengers to board and alight from the train, making 
appropriate allowance for stopping tol erances.  
Normal operating conditions means that railway is 
operating in a non -degraded mode (e.g. rail adhesion is 
normal, signals are working, everything is working as 
planned).  
’; 
(59) index number 4 of Table 49 in Appendix T is replaced by the following : 
‘ 
4 EN 13848 -1 Track geometry 
quality – Part 1: 
Characterisation of 
track geometry  
(with Amendment 
A1:2008)  2003  The immediate action limit for track 
twist (4.2.8.3)  EN 28  EN ’; 
(60) index number 9 of Table 49 in Appendix T is replaced by the following : 
‘ 
9 EN 15528  Railway applications 
– Line categories for 
managing the 
interface between load 
limits of vehicles and 
infrastructure  2015  Ascertain compatibility of 
infrastructure and rolling stock after 
authorisation of rolling stock (7.6), 
Capability requirements for st ructures 
according to traffic code (Appendix 
E), Basis of minimum requirements 
for structures for passenger coaches 
and multiple units (Appendix K)  
’.  
EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEX 3  
 
ANNEX  
to the  
COMMISSION IMPLEMENTING REGULATION (EU) …/...  
amending Commission Regulations (EU) No 321/2013, No 1299/2014, No  1301/2014, 
No 1302/2014, No 1303/2014 and No  1304/2014, Regulation (EU) 2016/919 and 
Commission  Implementing Decision 2011/665/EU  
as regards the alignment with Directive  (EU)  2016/797 of th e European Parliament and 
of the Council and the implementation of specific objectives set out in 
Commission  Delegated Decision  (EU)  2017/1474  
   
EN 1  EN ANNEX III 
The Annex to Regulation (EU)  1301/2014 is amended as follows :  
(1) section 1.1 is replaced by the following:  
‘1.1. Technical Scope  
This TSI  concerns the energy subsystem and part of the maintenance subsystem of 
the Union rail system in accordance with  Article 1 of Directive (EU) 2016/797.  
The energy  and the maintenance subsystems are defined respectively in points 2.2 
and 2.8 of Annex II to Directive (EU) 2016/797.  
The technical scope of this TSI is further defined in Article 2 of this Regulation . ’; 
(2) points (1)  and (2) of section 1.3 are replaced by the following:  
‘(1) In accordance with Article 4(3) of Directive (EU) 2016/797, this TSI:  
(a) indicates its intended scope (section 2);  
(b) lays down essential requirements for the energy  and part of the 
maintenance subsystems (section 3);  
(c) establishes the functional and technical specifications to be met by the 
energy  and part of the maintenance subsys tems and its interfaces vis -à-
vis other subsystems (section 4);  
(d) specifies the interoperability constituents and interfaces which must be 
covered by European specifications, including European standards, 
which are necessary to achieve interoperability withi n the Union rail 
system (section 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, on the one hand, or the EC verification of 
the subsystems, on the other hand (section 6);  
(f) indicates the strategy for implementing this TSI (section 7);  
(g) indicates, for the staff concerned, the professional qualifications and 
health and safety conditions at work required for the operation and 
maintenanc e of the energy  subsystem, as well as for the implementation 
of this TSI (section 4);  
(h) indicates the provisions applicable to the existing energy  subsystem, in 
particular in the event of upgrading and renewal and, in such cases, the 
modification work which requires an application for a new authorisation;  
(i) indicates the parameters of energy subsystem to be checked by the 
railway undertaking and the procedures to be applied to check those 
parameters after the delivery of the vehicle authorisation for placing on 
the market and before the first use of the vehicle to ensure compatibility 
between vehicles and the routes on which they are to be operated.  
(2) In accordance with Article 4(5) of the Directive (EU) 2016/797, provisions for 
specific cases are indicated in Section 7.’;  
(3) in point (3) of section 2.1, section 3 and point (1) of section 4.1, the references to 
‘Directive 2008/57/EC’ are replaced by the  references to ‘Directive (EU) 2016/797’;   
EN 2  EN (4) section 4.2.11. (4) is replaced by:  
‘(4) The curves apply to speed up to 360 km/h. For speeds above 360 km/h 
procedures set out in point 6.1.3 shall apply.  ’; 
(5) section 4.4. (1) is replaced by:  
‘Operating rules are d eveloped within the procedures described in the infrastructure 
manager 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) and as set out in Annex IV of Directive (EU) 2016/797.’ ; 
(6) in point (1) of section 5.1,  the reference to ‘Directive 2008/57/EC’ are replaced by 
the reference to ‘Directive (EU) 2016/797’;  
(7) section 6.2.1 is modified as follows:  
(a) point (1) is replaced by:  
‘At the request of the a pplicant, the notified body carries out EC verification in 
accordance with Article 15 of Directive (EU) 2016/797 and in accordance with 
the provisions of the relevant modules.’;  
(b) point (4) is replaced by:  
‘The applicant shall draw up the EC declaration of v erification for the energy 
subsystem in accordance with Article 15(1) of and Annex IV to 
Directive  (EU)  2016/797.’;  
(8) point (c) of Section 6.3.2 is replaced by:  
‘(c) for those interoperability constituents, the reason(s) why the manufacturer did 
not provide an EC declaration of conformity and/or suitability for use before its 
incorporation into the subsystem, including the application of national rules notified 
under Article 13 of Directive (EU) 2016/797. ’; 
(9) the first paragraph of section 7 is replaced by:  
‘Member States shall develop a national plan for the implementation of this TSI, 
considering the coherence of the entire rail system of the European Union. This plan 
shall include all projects regarding new, renewal and upgrading o f energy subsystem , 
in line with the details mentioned in points 7.1 to 7.4 here below. ’; 
(10) point (3) in Section 7.2.1 is deleted;  
(11) section 7.3.1 Introduction is modified as follows:  
‘In case this TSI shall apply to existing lines and without prejudice to point 7.4 
(specific cases), the  following elements shall be considered:  
(a) The scope of the upgrading or renewal of the energy subsystem may cover the 
entire subsystem on a given line or only certain parts of the subsystem. In 
accordance with  Article 18(6) of Directive (EU) 2016/797 the national safety 
authority shall examine the project and decide whether a new authorisation f or 
placing in service is needed,  
(b) Where a new authorisation is required, parts of the energy subsystem falling 
under th e scope of the upgrading or renewal shall comply with this TSI and 
shall be subject to the procedure established in Article 15 of Directive (EU) 
2016/797, unless a permission for non -application of TSI is granted according 
to Article 7 of Directive (EU) 20 16/797. In accordance with Article 15(7) and  
EN 3  EN Annex IV of Directive (EU) 2016/797, the notified body may issue certificates 
of verification for those parts of the energy subsystem under the scope of the 
upgrading or renewal. Other elements that remains outs ide the scope of work, 
do not need to meet the requirements of this TSI, and do not need to be su bject 
of conformity assessment,  
(c) Where a new authorisation for placing in service is required, the Contracting 
Entity shall define the practical measures and di fferent phases of the project, 
which are necessary to achieve the required levels of performance. These 
project phases may include transition periods for placing equipment into 
service with reduced levels of performance,  
(d) Where a new authori sation for placi ng in service is not required, compliance 
with this TSI is recommended. Where compliance is not possible, the 
contracting entity shall inform the Member State of the reasons thereof.’;  
(12) point (2) in Section 7.3.2. is deleted;  
(13) a new section 7.3.5 is added:  
‘7.3.5.  Route compatibility checks before the use of authorised vehicles  
The parameters of the infrastructure subsystem to be used by the railway 
undertaking, for the purpose of route compatibility check are described in the 
appendix D1 to Regulation XXX/20 18 (OPE TSI)1.’; 
(14) section 7.4.1 is replaced by the following:  
‘7.4.1. General  
(1) The specific cases, as listed in point 7.4.2, describe special provisions that are 
needed and authorised on particular networks of each Member State.  
(2) These specific case s are classified as:  
— ‘P’ cases:‘permanent’ cases,  
— ‘T’ cases:‘temporary’ cases, where the target system shall be  reached by 31 
December 2025.  ’. 
 
                                                 
1 Commission Implementing Regulation (EU) …/... of XXX concerning the technical specification for 
interoperability relating to the ‘operation and traffic management’ subsystem of the rail system in the 
European Union and repealing Commission Decision 2012/757/EU   
EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEX 4  
 
ANNEX  
to the  
COMMISSION IMPLEMENTING REGULATION (EU) …/...  
amending Commission Regulations (EU) No 321/2013, No 1299/2014, No  1301/2014, 
No 1302/2014, No 1303/2014 and No  1304/2014, Regulation (EU) 2016/919 and 
Commission  Implementing Decision 2011/665/EU as regards the alignment with 
Directive  (EU)  2016/797 of th e European Parliament and of the Council and the 
implementation of specific objectives set out in Commission  Delegated 
Decision  (EU)  2017/1474    
EN 1  EN ANNEX IV 
The Annex to Regulation (EU)  1302/2014 is amended as follows :  
(1) section 1.1  is amended as follows:  
(a) the reference to  ‘Article 1 of Directive 2008/57/EC’ is replaced by the 
reference to ‘Article 1 of Directive (EU) 2016/797’;  
(b) the reference to  ‘Annex II section 2.7 of Directive 2008/57/EC’ is replaced by 
the reference to ‘section 2.7 of Annex II to Directive (EU) 2016/797’;  
(c) the text  ‘Annex I sections 1.2 and 2.2 of Directive 2008/57/EC’ is replaced by 
the text  ‘section 2 of Annex I to Directive (EU) 2016/797’;  
(d) the text  ‘Article 1(3) of Directive 2008/57/EC’ is replaced by the text  ‘Articles 
1(3) and (4) of Directive (EU) 2016/797’;  
(2) section s 1.2 to 1.3  are replaced by the following:  
‘1.2. Geographical Scope  
The geographical scope of this TSI is the Union  rail system  as set out in Annex I to  
Directive (EU) 2016/797 and excludes the cases referred to in Articles 1(3) and (4) 
of Directive (EU) 2016/797 . ’; 
1.3. Content of this TSI  
In accordance with Article 4(3) of Directive (EU) 2016/797, this TSI:  
(a) indicates its intended scope (Chapter 2);  
(b) lays down essential requirements for the subsystem rolling stock ' Locomotives 
and passenger rolling stock' and 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 European Union's rail system 
(Chapter 5);  
(e) states, in each case under co nsideration, which procedures are to be used in 
order to assess the conformity or the suitability for use of the interoperability 
constituents, on the one hand, or the “EC” verification of the subsystems, on 
the other hand (Chapter 6);  
(f) indicates the strate gy for implementing this TSI (Chapter 7);  
(g) indicates for the staff concerned, the professional qualifications and health and 
safety conditions at work required for the operation and maintenance of the 
subsystem, as well as for the impleme ntation of this TSI  (Chapter 4);  
(h) indicates the provisions applicable to the existing ‘rolling stock’ subsystem, in 
particular in the event of upgrading and renewal and, in such cases, the 
modification work which requires an application for a new authorisation;  
(i) indicates the  parameters of ‘ rolling stock ’ subsystem to be checked by the 
railway undertaking and the procedures to be applied to check those parameters 
after the delivery of the vehicle authorisation for placing on the market and  
EN 2  EN before the first use of the vehicle t o ensure compatibility between vehicles and 
the routes on which they are to be operated.  
In accordance with Article 4(5) of the Directive (EU) 2016/797, provisions for 
specific cases are indicated in Chapter 7.  ’; 
(3) in section 2.1, the reference to  ‘Directiv e 2008/57/EC’ is replaced by the reference to 
‘Directive (EU) 2016/797’;  
(4) in section 2.2, the text  ‘Directive 2008/57/EC, Article 2(c)’ is replaced by the text  
‘point (3) of Article 2 of Directive (EU) 2016/797’;  
(5) in section 2.2.2, the text is replaced by the following:  
‘2.2.2. Rolling stock:  
Definitions below are classified in three groups as defined in the section 2 of Annex I 
to Directive (EU) 2016/797.  
(A) Locomotives and passenger rolling stock, including thermal or electric traction 
units, self -prope lling thermal or electric passenger trains, and passenger coaches;:  
(1) Thermal or electric traction units  
A Locomotive is a traction vehicle (or combination of several vehicles) that is 
not intended to carry a payload and has the ability to be uncoupled i n normal 
operation from a train and to operate independently.  
A Shunter is a traction unit designed for use only on shunting yards, stations 
and depots.  
Traction in a train can also be provided by a powered vehicle with or without 
driving cab, which is not  intended to be uncoupled during normal operation. 
Such a vehicle is called a Power Unit (or power car) in general or a Power 
Head when located at one end of the trainset and fitted with a driving cab.  
(2) Self-propelling thermal or electric passenger trains  
A Trainset is a fixed formation that can operate as a train; it is by definition not 
intended to be reconfigured, except within a workshop environment. It is 
composed of only motored or of motored and non -motored vehicles.  
An Electric and/or Diesel Multiple Unit is a trainset in which all vehicles are 
capable of carrying a payload (passengers or luggage / mail or freight).  
A Railcar is a vehicle that can operate autonomously and is capable of carrying 
a payload (passengers or luggage/mail or freight) . 
A tram – train is a vehicle designed for combined use on both a light -rail 
infrastructure and a heavy -rail infrastructure;  
(3) Passenger coaches and other related cars  
A Coach is a vehicle without traction in a fixed or variable formation capable 
of carr ying passengers (by extension, requirements specified to apply to 
coaches in this TSI are deemed to apply also to restaurant cars, sleeping cars, 
couchettes cars, etc.).  
A Van is a vehicle without traction capable of carrying payload other than 
passengers,  e.g. luggage or mail, intended to be integrated into a fixed or 
variable formation which is intended to transport passengers.   
EN 3  EN A Driving Trailer is a vehicle without traction equipped with a driving cab.  
A coach may be equipped with a driver's cab; such a  coach is then named a 
Driving Coach.  
A van may be fitted with a driver's cab and as such is known as a Driving Van.  
A Car carrier is a vehicle without traction capable of carrying passenger motor 
cars without their passengers and which is intended to be i ntegrated in a 
passenger train.  
A Fixed Rake of Coaches is a formation of several coaches “semi -
permanently” coupled together, or which can be reconfigured only when it is 
out of service.  
(B) Freight wagons, including low -deck vehicles designed for the en tire network 
and vehicles designed to carry lorries  
These vehicles are out of the scope of this TSI. . They are covered by Regulation 
(EU) No 321/2013  (the “freight wagons” TSI).  
(C) Special vehicles, such as on -track machines.  
On track Machines (OTMs) are  vehicles specially designed for construction and 
maintenance of the track and infrastructure. OTMs are used in different modes: 
working mode, transport mode as self -propelling vehicle, transport mode as a hauled 
vehicle.  
Infrastructure inspection vehicles  are utilised to monitor the condition of the 
infrastructure. They are operated in the same way as freight or passenger trains, with 
no distinction between transport and working modes.’ ; 
(6) sections 2.3.1 is replaced by the following:  
‘2.3.1 Types of rolling stock  
The scope of this TSI concerning rolling stock, classified in three groups as defined 
in the Annex I section 1.2 of (EU) 2016/797, is detailed as follows:  
(A) Locomotives and passenger rolling stock, including thermal or electric traction 
units, self -propelling thermal or electric passenger trains, and passenger coac hes 
(1) Thermal or electric traction units  
This type includes traction vehicles that are not capable of carrying a payload, 
such as thermal or electric locomotives or power units.  
The conc erned traction vehicles are intended for freight or/and passenger 
transport.  
Exclusion from the scope:  
Shunters (as defined in Section 2.2) are not in the scope of this TSI. When they 
are intended to operate on the Union railway network (movement between 
shunting yards, stations and depots), article 1.4(b) of Directive (EU) 2016/797 
applies.  
(2) Self-propelling thermal or electric passenger trains  
This type includes any train in fixed or pre -defined formation, composed of 
vehicles passenger carrying and/or vehicles not carrying passengers.   
EN 4  EN Thermal or electric traction equipment is installed in some vehicles of the train, 
and the train is fitted with a driver’s cab.  
Exclusion from the scope:  
In accordance with Articles 1.3, 1.4(d) and 1.5 of Directive (EU) 20 16/797, the 
following rolling stock is excluded from the scope of the TSI:  
- Rolling stock intended to operate on local, urban or suburban networks 
functionally separate from the rest of the railway system.  
- Rolling stock primarily used on light rail infr astructure but equipped with 
some heavy rail components necessary to enable transit to be effected on a 
confined and limited section of heavy rail infrastructure for connectivity 
purposes only.  
- Tram – trains.  
(3) Passenger coaches and other related cars  
Passenger carriages  
This type includes vehicles without traction carrying passengers (coaches, as 
defined in Section 2.2), and operated in a variable formation with vehicles from 
the category “thermal or electric traction units” defined above to provide th e 
traction function.  
Non-passenger carrying vehicles included in a passenger train:  
This type include s vehicles without traction included in passenger trains (e.g. 
luggage or postal vans, car carriers, vehicles for service...); they are in the 
scope of thi s TSI, as vehicles related to transport of passengers.  
(B) Freight wagons, including low -deck vehicles designed for the entire network 
and veh icles designed to carry lorries  
Freight wagons are not in the scope of this TSI; they are covered by the “freight 
wagons” TSI even when they are included in a passenger train (the train composition 
is in this case an operational issue).  
Vehicles intended to carry road motor vehicles (wi th persons on -board these road 
motor vehicles) are not in the scope of this TSI.  
(C)  Special vehi cles, such as on -track machines  
This type of rolling stock is in the scope of the TSI only when:  
(1) It is running on its own rail wheels and  
(2) It is designed and i ntended to be detected by a track based train detection 
system for traffic management and  
(3) In case of OTMs, it is in transport (running) configuration, self -propelled or 
hauled.  
Exclusion from the scope of this TSI:  
In case of OTMs, working configuration is  outside the scope of this TSI.  ’; 
(7) in chapter 3, the references to  ‘Annex III to  Directive 2008/57/EC’ are replaced by 
the reference to ‘Annex III to  Directive (EU) 2016/797’;  
(8) section 3.1 is replaced as follows  :  
EN 5  EN ‘3.1 Elements of the rolling stock subsystem corresponding to the essential 
requirements  
The following table indicates the essential requirements, as set out and numbered in 
Annex III of Directive (EU) 2016/797 , taken into account by the specifications set 
out in Chapter 4 of this TSI.  
Rolling stock elements corresponding to essential requirements  
Note : only points  in section 4.2 which contain requirements are listed.  
Ref. Point   Element of the rolling 
stock sub -system  Safety  Reliability -
Availability  Health  Environmen
tal 
protection  Technical  
compatibility  
4.2.2.2.2  Inner coupling  1.1.3  
2.4.1      
4.2.2.2.3  End coupling  1.1.3  
2.4.1      
4.2.2.2.4  Rescue coupling   2.4.2    2.5.3  
4.2.2.2.5  Staff access for 
coupling and 
uncoupling  1.1.5   2.5.1   2.5.3  
4.2.2.3  Gangways  1.1.5      
4.2.2.4  Strength of vehicle 
structure  1.1.3  
2.4.1      
4.2.2.5  Passive safety  2.4.1      
4.2.2.6  Lifting and jacking      2.5.3  
4.2.2.7  Fixing of devices to 
carbody structure  1.1.3      
4.2.2.8  Staff and freight access 
doors  1.1.5  
2.4.1      
4.2.2.9  Mechanical 
characteristics of glass  2.4.1      
4.2.2.10  Load conditions and 
weighted mass  1.1.3      
4.2.3.1  Gauging      2.4.3  
4.2.3.2.1  Axle load parameter      2.4.3  
4.2.3.2.2  Wheel load  1.1.3      
4.2.3.3.1  Rolling stock 
characteristics for 
compatibility with train 
detection systems  1.1.1     2.4.3  
2.3.2  
4.2.3.3.2  Axle bearing condition 
monitoring  1.1.1  1.2    
4.2.3.4.1  Safety against 
derailment running on 
twisted track  1.1.1  
1.1.2     2.4.3   
EN 6  EN Ref. Point   Element of the rolling 
stock sub -system  Safety  Reliability -
Availability  Health  Environmen
tal 
protection  Technical  
compatibility  
4.2.3.4.2  Running dynamic 
behaviour  1.1.1  
1.1.2     2.4.3  
4.2.3.4.2.1  Limit values for 
running safety  1.1.1  
1.1.2     2.4.3  
4.2.3.4.2.2  Track loading limit 
values      2.4.3  
4.2.3.4.3  Equivalent conicity  1.1.1  
1.1.2     2.4.3  
4.2.3.4.3.1  Design values for new 
wheel profiles  1.1.1  
1.1.2     2.4.3  
4.2.3.4.3.2  In-service values of 
wheelset equivalent 
conicity  1.1.2  1.2   2.4.3  
4.2.3.5.1  Structural design of 
bogie frame  1.1.1  
1.1.2      
4.2.3.5.2.1  Mechanical and 
geometrical 
characteristics of 
wheelsets  1.1.1  
1.1.2     2.4.3  
4.2.3.5.2.2  Mechanical and 
geometrical 
characteristics of 
wheels  1.1.1  
1.1.2      
4.2.3.5.3  Automatic variable 
gauge systems  1.1.1  
1.1.2 , 
1.1.3  1.2   1.5 
4.2.3.6  Minimum curve radius  1.1.1  
1.1.2     2.4.3  
4.2.3.7  Life guards  1.1.1      
4.2.4.2.1  Braking - Functional 
requirements  1.1.1  
2.4.1  2.4.2    1.5 
4.2.4.2.2  Braking - Safety 
requirements  1.1.1  1.2 
2.4.2     
4.2.4.3  Type of brake system      2.4.3  
4.2.4.4.1  Emergency braking 
command  2.4.1     2.4.3  
4.2.4.4.2  Service braking 
command      2.4.3  
4.2.4.4.3  Direct braking 
command      2.4.3   
EN 7  EN Ref. Point   Element of the rolling 
stock sub -system  Safety  Reliability -
Availability  Health  Environmen
tal 
protection  Technical  
compatibility  
4.2.4.4.4  Dynamic braking 
command  1.1.3      
4.2.4.4.5  Parking braking 
command      2.4.3  
4.2.4.5.1  Braking performance -
General requirements  1.1.1  
2.4.1  2.4.2    1.5 
4.2.4.5.2  Emergency braking  1.1.2  
2.4.1     2.4.3  
4.2.4.5.3  Service braking      2.4.3  
4.2.4.5.4  Calculations related to 
thermal capacity  2.4.1     2.4.3  
4.2.4.5.5  Parking brake  2.4.1     2.4.3  
4.2.4.6.1  Limit of wheel rail 
adhesion profile  2.4.1  1.2 
2.4.2     
4.2.4.6.2  Wheel slide protection 
system  2.4.1  1.2 
2.4.2     
4.2.4.7  Dynamic brake - 
Braking systems linked 
to traction system  2.4.1  1.2 
2.4.2     
4.2.4.8.1.  Braking system 
independent of 
adhesion conditions – 
General  2.4.1  1.2 
2.4.2     
4.2.4.8.2.  Magnetic track brake      2.4.3  
4.2.4.8.3  Eddy current track 
brake      2.4.3  
4.2.4.9  Brake state and fault 
indication  1.1.1  1.2 
2.4.2     
4.2.4.10  Brake requirements for 
rescue purposes   2.4.2     
4.2.5.1  Sanitary systems     1.4.1   
4.2.5.2  Audible 
communication system  2.4.1      
4.2.5.3  Passenger alarm  2.4.1      
4.2.5.4  Communication 
devices for passengers  2.4.1      
4.2.5.5  Exterior doors: access 
to and egress from 
Rolling stock  2.4.1       
EN 8  EN Ref. Point   Element of the rolling 
stock sub -system  Safety  Reliability -
Availability  Health  Environmen
tal 
protection  Technical  
compatibility  
4.2.5.6  Exterior doors: system 
construction  1.1.3  
2.4.1      
4.2.5.7  inter-unit doors  1.1.5      
4.2.5.8  Internal air quality    1.3.2    
4.2.5.9  body side windows  1.1.5      
4.2.6.1  Environmental 
conditions   2.4.2     
4.2.6.2.1  Slipstream effects on 
passengers on platform 
and on workers at track 
side 1.1.1   1.3.1    
4.2.6.2.2  Head pressure pulse      2.4.3  
4.2.6.2.3  Maximum pressure 
variations in tunnels      2.4.3  
4.2.6.2.4  Cross wind  1.1.1      
4.2.6.2.5  Aerodynamic effect on 
ballasted track  1.1.1     2.4.3  
4.2.7.1.1  Head lights      2.4.3  
4.2.7.1.2   Marker lights  1.1.1     2.4.3  
4.2.7.1.3  Tail lights  1.1.1     2.4.3  
4.2.7.1.4   Lamp controls      2.4.3  
4.2.7.2.1  Horn – General  1.1.1     2.4.3  
2.6.3  
4.2.7.2.2  Warning horn sound 
pressure levels  1.1.1   1.3.1    
4.2.7.2.3  Protection      2.4.3  
4.2.7.2.4  Horn control  1.1.1     2.4.3  
4.2.8.1  Traction performance      2.4.3  
2.6.3  
4.2.8.2  
4.2.8.2.1 to 
4.2.8.2.9  Power supply  
 
     1.5 
2.4.3  
2.2.3  
4.2.8.2.10  Electrical protection of 
the train  2.4.1      
4.2.8.3  Diesel and other 
thermal traction system  2.4.1     1.4.1  
4.2.8.4  Protection against 
electrical hazards  2.4.1      
4.2.9.1.1  Driver’s cab – General  - - - - - 
4.2.9.1.2  Access and egress  1.1.5     2.4.3   
EN 9  EN Ref. Point   Element of the rolling 
stock sub -system  Safety  Reliability -
Availability  Health  Environmen
tal 
protection  Technical  
compatibility  
4.2.9.1.3  External visibility  1.1.1     2.4.3  
4.2.9.1.4  Interior layout  1.1.5      
4.2.9.1.5  Driver's seat    1.3.1    
4.2.9.1.6  Driver's desk - 
Ergonomics  1.1.5   1.3.1    
4.2.9.1.7  Climate control and air 
quality    1.3.1    
4.2.9.1.8  Internal lighting      2.6.3  
4.2.9.2.1  Windscreen - 
Mechanical 
characteristics  2.4.1      
4.2.9.2.2  Windscreen - Optical 
characteristics      2.4.3  
4.2.9.2.3  Windscreen – 
Equipment      2.4.3  
4.2.9.3.1  Driver´s activity 
control function  1.1.1     2.6.3  
4.2.9.3.2  Speed indication  1.1.5      
4.2.9.3.3  Driver display unit and 
screens  1.1.5      
4.2.9.3.4  Controls and indicators  1.1.5      
4.2.9.3.5  Labelling      2.6.3  
4.2.9.3.6  Radio remote control 
function by staff for 
shunting operation  1.1.1      
4.2.9.4  Onboard tools and 
portable equipment  2.4.1     2.4.3  
2.6.3  
4.2.9.5  Storage facility for 
staff personal effects  - - - - - 
4.2.9.6  Recording device      2.4.4  
4.2.10.2  Fire safety – Measures 
to prevent fire  1.1.4   1.3.2  1.4.2   
4.2.10.3  Measures to 
detect/control fire  1.1.4      
4.2.10.4  Requirements related 
to emergency situations  2.4.1      
4.2.10.5  Requirements related 
to evacuation  2.4.1      
4.2.11.2  Train exterior cleaning      1.5  
EN 10  EN Ref. Point   Element of the rolling 
stock sub -system  Safety  Reliability -
Availability  Health  Environmen
tal 
protection  Technical  
compatibility  
4.2.11.3  Connection to toilet 
discharge system      1.5 
4.2.11.4  Water refilling 
equipment    1.3.1    
4.2.11.5  Interface for water 
refilling      1.5 
4.2.11.6  Special requirements 
for stabling of trains      1.5 
4.2.11.7  Refuelling equipment      1.5 
4.2.11.8  Train interior cleaning 
– power supply      2.5.3  
4.2.12.2  General documentation      1.5 
4.2.12.3  Documentation related 
to maintenance  1.1.1     2.5.1  
2.5.2  
2.6.1  
2.6.2  
4.2.12.4  Operating 
documentation  1.1.1     2.4.2  
2.6.1  
2.6.2  
4.2.12.5  Lifting diagram and 
instructions      2.5.3  
4.2.12.6  Rescue related 
descriptions   2.4.2    2.5.3  
 ’; 
(9) in section 4.1, the text  ‘Directive 2008/57/EC’ is replaced by the text  ‘Directive (EU) 
2016/797’;  
(10) in section 4.2.1.1, the text  ‘Article 5(8) of  Directive 2008/57/EC’ is replaced by the 
text ‘Article 4(8) of  Directive (EU) 2016/797’;  
(11) section 4.2.1.2 is amended as follows:  
(a) the text  ‘Article 5(6) of Directive 2008/57/EC ’ is replaced by the text  ‘Article 
4(6) of Directive (EU) 2016/797’;  
(b) the text  ‘Articl es 5(6) and 17(3) of Directive 2008/57/EC ’ is replaced by the 
text ‘Article s 4(6) and 13(2) of Directive (EU) 2016/797’;  
(12) point b -2) of section 4.2.2.2.3 is replaced as follows:  
‘b-2) Compatibility between units  
On units equipped with manual coupling system  of UIC type (as described in clause 
5.3.2) and pneumatic brake  system compatible with UIC type (as described in clause 
4.2.4.3) , the following requirements apply:   
EN 11  EN (1) The buffers and the screw coupling shall be installed according to clauses 5 
and 6 of the specification referenced in Appendix J -1, index 110 . 
(2) The dimensions and layout of brake pipes and hoses, couplings and cocks shall 
meet the requirements set out in clauses 7 and 8 of the specification referenced 
in Appendix J -1, index 110.  ’; 
(13) points (5 ) to (9) of section  4.2.2.5 are replaced by the following : 
‘(5)  Passive safety is aimed at complementing active safety when all other 
measures have failed. For this purpose, the mechanical structure of vehicles shall 
provide protection of the occupants in t he event of a collision by providing means of:  
– limiting deceleration  
– maintaining survival space and structural integrity of the occupied areas  
– reducing the risk of overriding  
– reducing the risk of derailment  
– limiting the consequences of hitting a track obst ruction.  
To meet these functional requirements, units shall comply with the detailed 
requirements specified in the specification referenced in Appendix J -1, index 8 
related to crashworthiness design category C -I (as per the specification referenced in 
Appe ndix J -1, index 8,Table 1 section 5), unless specified otherwise below.  
The following four reference collision scenarios shall be considered:  
– scenario 1: A front end impact between two identical units,  
– scenario 2: A front end impact with a freight wagon,  
– scenario 3: An impact of the unit with a large road vehicle on a level crossing;,  
– scenario 4: An impact of the unit into a low obstacle (e.g. car on a le vel 
crossing, animal, rock,  etc.). 
(6)  These scenarios are described in the specification referenced in  Appendix J -1, 
index 8, Table 3 of Section 5.  
(7) The present TSI specifies crashworthiness requirements applicable within its 
scope; therefore, the Annex A of the specification referenced in Appendix J -1, index 
8 shall not apply. The requirements of the s pecification referenced in Appendix J -1, 
index 8 Section 6 shall be applied in relation to the above given reference collision 
scenarios.  
(8) To limit the consequences of hitting a track obstruction, the leading ends of 
locomotives, power heads, driving co aches and trainsets shall be equipped with an 
obstacle deflector. The requirements with which obstacle deflectors shall comply are 
defined in the specification referenced in Appendix J -1, index 8, Section 6.5.  ’; 
(14) in point (1) of section 4.2.2.10, the refer ence to ‘clause 2.1’ is replaced by ‘clause 
4.5’; 
(15) point (3) of section 4.2.3.4.2  is replaced by the following : 
‘(3) The unit shall run safely and produce an acceptable level of track loading when 
operated within the limits defined by the combination(s) of speed and cant deficiency 
under the conditions set out in the specification re ferenced in Appendix J -1, 
index  16.  
EN 12  EN This shall be assessed by verifying that limit values specified below in clauses 
4.2.3.4.2.1 and 4.2.3.4.2.2 of this TSI are respected; the conformity assessment 
procedure is described in clause 6.2.3.4 of this TSI. ’; 
(16) point ( 5) of section 4.2.3.4.2  is replaced by the following : 
‘(5) The running dynamic behaviour test report (including limits of use and track 
loading parameters) shall be stated in the technical documentation described in 
clause 4.2.12 of this TSI.  
Track loading parameters (including the additional ones Ymax, Bmax and the Bqst 
where relevant) to be recorded are defined in the specification referenced in 
Appendix J -1, index 16.  ’; 
(17) point ( 1) of section 4.2.3.4.2 .1 is replaced by the following : 
‘(1) The limit values for running safety which t he unit shall meet are specified in 
the specification referenced in Appendix J -1, index 17.  ’; 
(18) point ( 1) of section 4.2.3.4.2 .2 is replaced by the following : 
‘(1) The limit values for track loading which the unit shall meet (when assessing 
with the normal method) are specified in the specifi cation referenced in 
Appendix  J-1, index 19.  ’; 
(19) section 4.2.3.5.2.3 is deleted;  
(20) section 4.2.3.5.3 is added after section 4.2.3.5.2.2 as follows:  
‘4.2.3.5.3  Automatic variable gauge systems  
(1) This requirement is applicable to units equipped with an automatic variable 
gauge system with changeover mechanism of the axial position of the wheels 
allowing the unit to be compatible with 1435 mm track gauge and other track 
gauge(s) within the scope of this TSI by means of passage th rough a track 
gauge changeover facility. . 
(2) The changeover mechanism shall ensure the locking in the correct intended 
axial position of the wheel.  
(3) 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. . 
(4) 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 
equipm ent simultaneously to those of the wheels . 
(5) 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 fatal ities); considering this severity 
of the failure consequence, it shall be demonstrated that the risk is controlled to 
an acceptable level.  
(6) The automatic variable gauge system is defined as an interoperable constituent 
(clause 5.3.4b). The conformity assess ment procedure is specified in clause  
EN 13  EN 6.1.3.1b (IC level), in clause 6.2.3.5 (safety requirement) and in clause 6.2.3.7b 
(subsystem level) of this TSI . 
(7) The track gauges the unit is compatible with shall be recorded in the technical 
documentation. A descrip tion 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 clause 
4.2.12.4 (1) of this TSI).  
(8) The requirements and confo rmity 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.  ’; 
(21) section 4.2.4.8.2 is replaced by the following : 
‘4.2.4.8.2  Magnetic track brake   
(1) Requirements on magnetic brakes specified for compatibility with train 
detection system based on axle counters are referenced in point 4.2.3.3.1.2 (10) 
of this TSI.  
(2) A magnetic track brake is allowed to be used as an emergency brake, as 
mentioned in the TSI INF, clause 4.2.6.2.2.  
(3) The geometrical characteristics of the end elements of the magnet in contact 
with the rail shall be as specified for one of the types described in the 
specification referenced in Appendix J -1, index 31.  
(4) Magnetic track brake shall  not be used at speed higher than 280 km/h.  
(5) The braking performance of the unit specified in clauses 4.2.4.5.2 of this TSI 
shall be determined with and without the use of magnetic track brakes.  ’; 
(22) section 4.2.4.8.3 is replaced by the following : 
‘4.2.4.8.3  Eddy current track brake  
(1) This clause covers only eddy current track brake developing a brake force 
between the unit and the rail.  
(2) Requirements on eddy current track brakes specified for compatibility with 
train detection system based on axle counters, tra ck circuits, wheel detectors 
and vehicle detectors based on inductive loops are referenced in point 
4.2.3.3.1.2 (10) of this TSI.  
(3) If the eddy current track brake requires a displacement of its magnets when the 
brake is applied, the unobstructed movement o f such magnets between the 
‘brake released’ and ‘brake applied’ positions shall be demonstrated by 
calculation in accordance with the specification referenced in Appendix J -1, 
index 14.  
(4) The maximum distance between the eddy current track brake and the tra ck 
corresponding to ‘brake released’ position will be recorded in the technical 
documentation described in clause 4.2.12 of this TSI.  
(5) The eddy current track brake shall not operate below a fixed speed threshold.  
(6) The conditions for use of eddy current track  brake for technical compatibility 
with the track are not harmonised (regarding in particular their effect on rail 
heating and vertical force) and are an open point.   
EN 14  EN (7) The Register of Infrastructure indicates per track section if their use is allowed, 
and pr ovides in such case their conditions for use.  
 The maximum distance between the eddy current track brake and the 
track corresponding to ‘brake released’ referred to in point (4),  
 Fixed speed threshold referred to in point (5),  
 Vertical force as a function o f the train speed, for the case of full 
application of eddy current track brake (emergency braking) and limited 
application of eddy current brake (service braking),  
 Braking force as a function of the train speed, for the case of full 
application of eddy cu rrent track brake (emergency braking) and limited 
application of eddy current brake (service braking),  
(8) The braking performance of the unit specified in clauses 4.2.4.5.2 and 4.2.4.5.3 
of this TSI shall be determined with and without the use of eddy current  track 
brakes. ’; 
(23) point (1) of section 4.2.6.2 is replaced by the following : 
‘(1) The requirements in this clause apply to all rolling stock. For rolling stock 
operated on the 1520 mm and 1600 mm track gauge systems, in case of a maximum 
speed higher than t he limits specified in the clauses 4.2.6.2.1 to 4.2.6.2.5, the 
procedure for innovative solution shall apply. ’; 
(24) section 4.2.6.2.1 is replaced by the following : 
‘4.2.6.2.1  Slipstream effects on passengers on platform and on workers trackside  
(1) Units of maxim um design speed v tr, max > 160 km/h, running in the open air at a 
reference speed v tr,ref shall not cause the air speed to exceed, at each 
measurement point defined in clause 4.2.2.1 and Table 5 of the specification 
referenced in Appendix J -1 index 108, th e value u 95%,max  as indicated in Table 5 
of the specification referenced in Appendix J -1, index 108 .  
(2) For units intended to be operated on the networks with track gauges of 1524 
mm and 1668 mm, the corresponding values in Table 4 referring to the 
parameter s of the specification referenced in Appendix J -1, index 108 shall be 
applied : 
Table 4: Limit criteria  
Track 
gauge  
(mm)  Maximum design 
speed v tr,max (km/h)  Measurement point  Trackside 
maximum 
permissible air 
speed, (limit 
values for 
u95%,max  (m/s))  Reference speed v tr,ref 
(km/h)  Measurement 
performed at 
height above 
the top of rail  Measurement 
performed at a 
distance from 
the track 
centre  
1524  160 < v tr,max < 
250 0.2 m  3.0 m  22,5 Maximum design 
speed  
1.4 m  3.0 m  18 200 km/h or the 
maximum design 
speed, whichever 
is lower   
EN 15  EN Track 
gauge  
(mm)  Maximum design 
speed v tr,max (km/h)  Measurement point  Trackside 
maximum 
permissible air 
speed, (limit 
values for 
u95%,max  (m/s))  Reference speed v tr,ref 
(km/h)  Measurement 
performed at 
height above 
the top of rail  Measurement 
performed at a 
distance from 
the track 
centre  
1668  160 < v tr,max < 
250 0.2 m  3.1 m  20 Maximum design 
speed  
1.4 m  3.1 m  15.5 200 km/h or the 
maximum design 
speed, whichever 
is lower  
250 ≤ vtr,max  0.2 m  3.1 m  22 300 km/h or the 
maximum design 
speed, whichever 
is lower  
1.4 m  3.1 m  15.5 200 km/h  
(3) The train formation to be tested is specified for fixed/predefined formations 
and units assessed for use in general operation respectively in clauses 4.2.2.2 
and 4.2.2.4 of the specification referenced in Appendix J -1, index 108. Single 
units fitted with a drivers cab shall be tested within a formation complying with 
the requirements set out in clause 4.2.2.3 of specification referenced in 
Appendix J -1, index 108.  
(4) The conformity assessment procedure is described in claus e 6.2.3.13 of this 
TSI. ’; 
(25) section 4.2.6.2.2 is amended as follows:  
(a) point (1) is replaced  by the following : 
‘(1) The passing of two trains generates an aerodynamic load on each of the 
two trains. The requirement on head pressure pulse in open air allows a limit 
aerodynamic load induced by the rolling stock in open air to be defined 
assuming a a distance between track centres  for the track where the train is 
intended to be operated.    
The distance between track centres  depends on the speed and the gauge of the 
line. Minimum values of  a distance between track centres  depending on speed 
and gauge are defined in the INF TSI.  ’; 
(b) point (2) is replaced  by the following : 
‘(2) Units with a maximum design speed higher than 160 km/h running in 
the open air at their re ference speed vtr,ref on 1435 mm track gauge shall not 
cause the maximum peak -to-peak pressure to exceed the maximum permissible 
pressure change defined in Table 2 of the specification referenced in Appendix 
J-1, index 109 assessed over the measurement pos itions defined in point 4.1.2 
of the specification referenced in Appendix J -1, index 109.  ’; 
(c) point (3) is replaced  by the following : 
‘(3) For units intended to be operated on the networks with track gauges of 
1524 mm and 1668 mm, the corresponding values i n Table 4b referring to the 
parameters of the specification referenced in Appendix J -1, index 109 shall be 
applied:   
EN 16  EN Table 4b: Limit criteria  
Track 
gauge  Maximum 
design 
speed 
vtr,max 
(km/h)  Measurement point  
Permissible 
pressure 
change, 
(Δp95%,max ) Reference 
speed v tr,ref 
(km/h)  Measurement 
performed at 
height above 
the top of rail  Measurement 
performed at 
a distance 
from the track 
centre  
1524 
mm 160 < 
vtr,max < 
250 between 1,5 
m and 3,0 m  2.5 m  1600  Pa Maximum 
design 
speed  
1668 
mm 160 < 
vtr,max < 
250 between 1,5 
m and 3,0 m  2.6 m  800 Pa  Maximum 
design 
speed  
250 ≤ 
vtr,max between 1,5 
m and 3,0 m  2.6 m  800 Pa  250 km/h  
’; 
(26) section 4.2.6.2. 5 is replaced by the following : 
‘4.2.6.2.5  Aerodynamic effect on ballasted tracks  
(1) This requirement applies to units of maximum design speed higher than 
250 km/h.  
(2) The requirement addresses the aerodynamic effect of trains on ballasted tracks, 
in order to limit risks induced by the projection of ballast (ballast pick up).  
(3) For units of maximum design speed lower or equal to 300 km/h, this 
requirement is fulfilled if it is proven that the underside geometry and relevant 
equipment are the same as those of a train already operated on ballasted tracks of the 
European network at the same or higher speed before 31st December 2017.   
(4) For units with a maximum design speed lower or equal to 300 km/h which do 
not fulfil the point (3) above, the procedure set out in point 6.2.5 shall apply.  
(5) For units of maximum design speed higher th an 300 km/h, the criteria to be 
fulfilled regarding aerodynamic effects are  an open point.  ’; 
(27) point (2) of section 4.2.7.1 is replaced by the following : 
‘(2) This requirement is not applicable to lights which luminous intensity is not 
higher than 100 cd th at are included in push buttons for the command of passenger 
doors (not continuously lit).  ’; 
(28) point (4) of section 4.2.11.6 is replaced by the following : 
 ‘(4) Single pole’ power supply line (AC 1 kV, AC/DC 1.5 kV, DC 3 kV), in 
accordance with the specific ation referenced in Appendix J -1, index 111.  ’; 
(29) in section 4.2.12.1 , the reference to  ‘clause 2.4 of Annex VI of Directive 
2008/57/EC ’ is replaced by the reference to ‘clause 2.4 of Annex IV of Directive 
(EU) 2016/797’;   
EN 17  EN (30) a new point (3a) is added below point (3) of section  4.2.12.1  as follows:  
‘(3a) This documentation is provided immediately to the entity in charge of 
maintenance assigned for the maintenance of the unit by the applicant or by any 
entity authorised by the applicant (e.g. a keeper).  ’; 
(31) a new point (3a) is added below point (3) of section 4.2.12.2 as follows:  
‘(3a) For units designed and assessed for general operation, this shall include a 
description of the electric interfaces between units and of communication protocols, 
with the reference to the standards or other normative documents that have been 
applied. Communication protocols (if used) shall comply with the specification 
referenced in Appendix J -1, index 112. ’; 
(32) a new point (9a) is added below point ( 9) of section 4.2.1 2.2 as follows:  
‘(9a)  Maximum distance between the eddy current track brake and the track 
corresponding to ‘brake released’, fixed speed threshold referred to in point, vertical 
force and braking force as a function of the train speed, for the case of ful l 
application of eddy current track brake (emergency braking) and limited application 
of eddy current brake (service braking), as required in clause 4.2.4.8.3. ’; 
(33) point (2) of section 4.2.12.3 is replaced by the following : 
‘(2) The maintenance design justi fication file: explains how maintenance activities 
are defined and designed in order to ensure that the rolling stock characteristics will 
be kept within acceptable limits of use during its lifetime.  
The maintenance design justification file shall give input data in order to determine 
the criteria for inspection and the periodicity of maintenance activities. ’; 
(34) point (3) of section 4.2.12.3 is replaced by the following : 
‘(3) The maintenance description  file: explains how maintenance activities is 
recommended to be performed.  ’; 
(35) a new point (1a) is added below point ( 1) of section 4.2.12.3.1 as follows:  
‘(1a)  Precedents, principles and methods used to identify the safety critical 
components and their sp ecific operational, servicing, maintenance and traceability 
requirements. ’; 
(36) a new point (6a) is added below point ( 6) of section 4.2.12.3. 2 as follows:  
‘(6a)  Safety critical components list: The safety critical components list shall 
contain the specific servicing, maintenance and servicing/maintenance traceability 
requirements. ’; 
(37) point (1) of section 4.2.12.4 is replaced by the following:  
‘(1) 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, type(s) and operation of track gauge 
changeover facility(ies) the unit is compatible with...).  ’; 
(38) a new point (3a) is added below point ( 3) of section 4.2.12.4 as follows:  
‘(3a)  Safety critical components list: The safety critical components list shall 
contain the specific operational and traceability requirements. ’;  
EN 18  EN (39) Table 7 in section 4.3.3 is  replaced by the following:  
‘ 
Table 1 : Interface with the Inf rastructure subsystem  
Reference LOC & PAS 
TSI  Reference Infrastructure 
TSI   
Parameter  Point  Parameter  Point  
Rolling stock kinematic gauge  4.2.3.1.  Structure gauge  
Distance between track 
centres  
Minimum radius of vertical 
curve  4.2.3.1  
4.2.3.2  
 
4.2.3.5  
Axle load parameter  4.2.3.2.1  
 Track resistance to vertical 
loads  
Lateral track resistance  
Resistance of new bridges to 
traffic loads  
Equivalent vertical loading 
for new earthworks and earth 
pressure effects  
Resistance of existing 
bridges and earthworks to 
traffic loads  4.2.6.1  
 
4.2.6.3  
4.2.7.1  
 
4.2.7.2  
 
 
4.2.7.4  
Running dynamic behaviour  4.2.3.4.2.  Cant deficiency  4.2.4.3  
Running dynamic limit values 
for track loading  4.2.3.4.2.
2 Track resistance to vertical 
loads  
Lateral track resistance  4.2.6.1  
 
4.2.6.3  
Equivalent conicity  4.2.3.4.3  Equivalent conicity  4.2.4.5  
Geometrical characteristics of 
wheelset  
Geometrical characteristics of 
wheels  
Automatic variable gauge 
systems  4.2.3.5.2.
1 
4.2.3.5.2.
2 
4.2.3.5.3  Nominal track gauge  
Rail head profile for plain 
line 
In service geometry of 
switches and crossings  4.2.4.1  
4.2.4.6  
 
4.2.5.3  
Minimum curve radius  4.2.3.6  Minimum radius of 
horizontal curve  4.2.3.4  
Maximum average 
deceleration  4.2.4.5.1  Longitudinal track resistance  
Actions due to traction and 
braking  4.2.6.2  
 
4.2.7.1.5   
EN 19  EN Table 1 : Interface with the Inf rastructure subsystem  
Reference LOC & PAS 
TSI  Reference Infrastructure 
TSI   
Slipstream effects  
 
Head pressure pulse  
Maximum pressure variations 
in tunnels  4.2.6.2.1  
4.2.6.2.2  
4.2.6.2.3  Resistance of new structures 
over or adjacent to tracks  
Maximum pressure 
variations in tunnels  
Distance between track 
centres  4.2.7.3  
 
 
4.2.10.1  
 
4.2.3.2  
Crosswind  4.2.6.2.4  Effect of crosswinds  4.2.10.2  
Aerodynamic effect on 
ballasted track  4.2.6.2.5  Ballast pick -up 4.2.10.3  
Toilet discharge system  
Exterior cleaning through a 
washing plant  
Water refilling equipment:  
Interface for water refilling  
 
Refuelling equipment  
Special requirements for 
stabling of trains  4.2.11.3  
4.2.11.2.2  
 
4.2.11.4  
4.2.11.5  
4.2.11.7  
4.2.11.6  Toilet discharge  
Train external cleaning 
facilities,  
 
Water restocking,  
 
Refuelling  
Electric shore supply  4.2.12.2  
4.2.12.3  
 
 
4.2.12.4  
 
4.2.12.5  
4.2.12.6  
’; 
(40) a new point (3a) is added below point ( 3) of section 4.4 as follows:  
‘(3a)  For the safety critical components, 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 after vehicles have entered into operation . ’; 
(41) section 4.5 is replaced  by the following:  
‘4.5. Maintenance rules  
(1) In light of the essential requirements mentioned in Section 3, the provisions for 
maintenance of the rolling stock in the scope of this TSI:  
 Clause 4.2.11 “Servicing”  
 Clause 4.2.12 “Documentation for Operation and  Maintenance”.  
(2) Other provisions in the section 4.2 (clauses 4.2.3.4 and 4.2.3.5) specify for 
particular characteristics the limit values that have to be verified during 
maintenance activities.  
(2a) The safety critical components and their specific servicin g, maintenance and 
maintenance traceability requirements are identified by the 
designers/manufacturers at design phase and through a collaboration between  
EN 20  EN designers/manufacturers and the concerned entities in charge of maintenance 
after vehicles have enter ed into operation.  
(3) From the information mentioned above and provided in the clause 4.2, the 
appropriate tolerances and intervals to ensure compliance with the essential 
requirements throughout the lifetime of the rolling stock are defined at 
maintenance op erational level by and under the sole responsibility of entities in 
charge of maintenance (not in the scope of the assessment against this TSI); 
this activity includes:  
 The definition of the in -service values where they are not specified in this 
TSI, or wh ere operating conditions allow the use of different in -service 
limit values than those specified in this TSI.  
 The justification of the in -service values, by providing the equivalent 
information to those required in clause 4.2.12.3.1 “The maintenance 
design  justification file”.  
(4) On the basis of the information mentioned above in this clause, a maintenance 
plan is defined at maintenance operational level by and under the sole 
responsibility of the entities in charge of maintenance (not in the scope of the 
assessment against this TSI), consisting in a structured set of maintenance tasks 
that include the activities, tests and procedures, means, maintenance criteria, 
periodicity, working time required to carry out the maintenance tasks.  
(5) For on -board software, the designer/manufacturer shall specify, for any on -
board software modification, all maintenance requirements and procedures 
(including health monitoring, diagnosis of events, test methods and tools and 
also the required professional competence) necessary for achieving essential 
requirements and values quoted in the mandatory requirements of this TSI 
throughout the life -cycle (Installation, normal operation, failures, repair work, 
checking and maintenance, decommissioning, etc.).  ’; 
(42) in section 4.7, the referenc e to ‘Directive 2008/57/EC’ is replaced by the reference to 
‘Directive (EU) 2016/797’;  
(43) in section 4.8, the reference to ‘ Article 34(2a) of Directive 2008/57/EC ’ is replaced 
by the reference to ‘ point (a) of Article 48(3) of  Directive (EU) 2016/797’;  
(44) a new section 4.9 is added below point (5)  of section 4.8 as follows:  
‘4.9. Route compatibility checks before the use of authorised vehicles  
The parameters of the rolling stock subsystem to be used by the railway undertaking, 
for the purpose of route compatibili ty check, are described in Appendix D1 of 
Regulation XXX (OPE TSI)1. ’; 
(45) in section 5.1, the reference to ‘ Article 2(f) of Directive 2008/57/EC ’ is replaced by 
the reference to ‘ Article 2(7) of  Directive (EU) 2016/797’;  
(46) a new section 5.3.4a is added below section 5 .3.4 as follows:  
‘5.3.4a  Automatic variable gauge systems  
                                                 
1 Regulation XXX concerning the technical specification for interoperability relating to the ‘operation 
and traffic management’ subsystem of the rail system in the European Union and repealing Commission 
Decision 2012/757/EU .  
EN 21  EN (1) An 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 (corresponding to design mass 
under normal payload as defined in clause 4.2.2.10 of this TSI).  
 The range of nominal wheel tread diameters.  
 The maximum design speed of the unit.  
 The type(s) 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.  
(2) An automatic variable gauge system shall comply with the requirements set out 
in clause 4.2.3.5.2.3; these r equirements shall be assessed at IC level as set out 
in clause 6.1.3.1b.’ ; 
(47) in section 6.1.1, the text ‘Article 13(1) and Annex IV of Directive 2008/57/EC ’ is 
replaced by the reference to ‘ Article 10 of  Directive (EU) 2016/797’;  
(48) a new point (3) is added bel ow point ( 2) of section 6.1.1 as follows:  
‘(3) 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 consti tuent 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 . ’; 
(49) in the second table of section 6.1.2, a new row is added below the row ‘5.3.4 wheel’ 
as follows:  
‘ 
5.3.4 a Automatic variable 
gauge systems   X(*)   X X X(*)  X 
’; 
(50) a new section 6.1.3.1a  is added below point ( 8) of section 6.1.3.1 as follows:  
‘6.1.3.1a. Automatic variable gauge system (clause 5.3.4 a) 
(1) The assessment procedure shall be based on a validation plan covering all 
aspects mentioned  in clauses 4.2.3.5.3 and 5.3.4a . 
(2) The validation plan shall be consistent with the safety analysis required in 
clause 4.2.3.5.3 and shall define the assessment needed in  all the following 
different phases:  
 Design review.  
 Static tests (bench tests and integration in the running gear/unit tests).   
EN 22  EN  Test on track gauge changeover facility(ies), representative of in -service 
conditions.  
 On-track tests, representative of in-service conditions  
(3) Regarding the demonstration of compliance to points (5) of clause 4.2.3.5.3, 
the assumptions considered for the safety analysis related to the vehicle the 
system is intended to be integrated in, and related to the mission profile of t hat 
vehicle, shall be clearly documented.  
(4) The automatic variable gauge system may be subject to an assessment of 
suitability for use (module CV; see also clause 6.1.6)  
(5) The certificate delivered by the Notified Body in charge of the conformity 
assessment sh all include both the conditions for use as per clause 5.3.4b (1) 
and the type(s) and operating conditions of the track gauge changeover 
facility(ies) the automatic variable gauge system has been assessed for. ’; 
(51) point (1) of section 6.1.6 is replaced by the  following:  
‘(1) Assessment of suitability for use according to the type validation of in service 
experience procedure (module CV) may be part of the assessment procedure for the 
following interoperability constituents:  
 Wheels (see clause 6.1.3.1).  
 Automa tic variable gauge system (see clause 6.1.3.1 a). 
 Wheel slide protection system (see clause 6.1.3.2).  
 Contact strips (see clause 6.1.3.8).  ’; 
(52) in section 6.2.1, the text ‘Article 18 and Annex VI of Directive 2008/ 57/EC ’ is 
replaced by the reference to ‘ Artic le 15 and Annex IV of  Directive (EU) 2016/797’;  
(53) point (1) of section 6.2.3.3 is replaced by the following:  
(1) The demonstration of conformity shall be carried out in accordance with one of 
the methods specified in the specification referenced in Appendix J-1, index 83.  
(54) section 6.2.3.4 is replaced by the following:  
‘6.2.3.4.  Running dynamic behaviour – technical requirements (Clause 4.2.3.4.2 
a) 
(1) For units designed to be operated on 1435 mm or 1524 mm or 1668 mm 
system, the demonstration of conformity sh all be carried out in accordance with the 
specification referenced in Appendix J -1, index 84, clause 7.  
The parameters described in clauses 4.2.3.4.2.1 and 4.2.3.4.2.2 shall be assessed 
using criteria defined in the specification referenced in Appendix J -1, index 84.  ’; 
(55) point (3) of section 6.2.3.5 is replaced by the following:  
‘(3) The compliance with the safety requirements that are specified in clauses 
4.2.3.4.2, 4.2.3.5.3, 4.2.4.2.2, 4.2.5.3.5, 4.2.5.5.8 and 4.2.5.5.9 in terms of level of 
severity/consequences associated to hazardous failure scenarios shall be 
demonstrated by one of the two following methods:  
1. Application of a harmonised risk acceptance criterion associated to the severity 
specified in the clause 4.2 (e.g “fatalities” for  emergency braking.).   
EN 23  EN The applicant may choose to use this method, provided that there is an available 
harmonized risk acceptance criterion defined in the CSM on Risk Assessment and its 
amendments (Commission Implement ing Regulation (EU) No 402/20132). 
The applicant shall demonstrate compliance with the harmonised criterion by 
applying Annex I -3 of the CSM on RA. The following principles (and their 
combinations) may be used for the demonstration: similarity with reference 
system(s); application of codes of practice; application of explicit risk estimation 
(e.g. probabilistic approach).  
The applicant shall designate the body for the assessment of the demonstration he 
will provide: the notified body selected for the RST sub -system or an assessment 
body as d efined in the CSM on RA.  
The demonstration shall be recognized in all Member States; or  
2. Application of a risk evaluation and assessment in accordance with the CSM on 
RA, in order to define the risk acceptance criterion to be used, and demonstrate 
compl iance to this criterion.  
The applicant may choose to use this method in any case.  
The applicant shall designate the assessment body for the assessment of the 
demonstration he will provide, as defined in the CSM on RA.  
A safety assessment report shall be p rovided in compliance with the requirements 
defined in the CSM on RA and its amendments.  
The safety assessment report shall be taken into account by the National Safety 
Authority in the concerned Member State, in accordance with Section 2.5.6 of Annex 
I and Article 15(2) of the CSM on RA.  
In the case of additional authorisations for placing on the market of vehicles, 
Article  15 (5) of the CSM on RA applies for the recognition of the safety assessment 
report in other Member States.  ’; 
(56) the second paragraph in  point (1) of section 6.2.3.6 is replaced by the following : 
‘The evaluation of the equivalent conicity is set out in the specification referenced in 
Appendix J -1, index 107. ’;  
(57) point (2) of section 6.2.3.7 is replaced by the following:  
‘(2) The demonstrati on of compliance for mechanical resistance and fatigue 
characteristics of the axle shall be in accordance with the specification referenced in 
Appendix J -1, index 88, clauses 5, 6 and 7.  
The decision criteria for the permissible stress is specified in the specification 
referenced in Appendix J -1, index 88, clause 8.’;  
(58) a new section 6.2.3.7a is added after section 6.2.3.7 as follows:  
‘6.2.3.7a Automatic variable gauge system  
(1) The safety analysis required in clause 4.2.3.5.3 point (5), and performed at IC 
level, shall be consolidated at the level of the unit (vehicle); in particular, the 
                                                 
2 Commission implementing Regulation (EU) No 402/2013 of 30 April 2013 on the common safety 
method for risk evaluation and assessment and repealing Regulation (EC) No 352/2009 as referred to in 
Article 6(3)(a) of Directive 2004/49/EC of the European Parliament and of the Council (OJ L 1 21, 
3.5.2013, p. 8)   
EN 24  EN assumptions made according to clause 6.1.3.1a point (3) may need to be 
reviewed to take into  account the vehicle and its mission profile.  
(2) The assessment of the integration of the IC within the running gear/unit and the 
technical compatibility with the track gauge changeover facility shall consist 
of: 
 The compliance with the area of use defined in  clause 5.3.4.a (1) shall be 
verified.  
 Verification of the correct integration of the IC within the running 
gear/unit, including the correct performance of its on -board control / 
monitoring system (when applicable), and  
 On-track tests including tests on th e track gauge changeover facility(ies), 
representative of in -service conditions.  ’; 
(59) section 6.2.3.13 is replaced by the following:  
‘6.2.3.13.  Slipstream effects on passengers on platform and on workers trackside 
(clause 4.2.6.2.1)  
(1) Demonstration of conformity with the limit value of trackside maximum 
permissible air speed set out in clause 4.2.6.2.1 of this TSI shall be 
demonstrated on the basis of full -scale tests on straight track performed in 
accordance with clause 6.2.2.1 of specification referen ced in Appendix J -1, 
index 94.  
(2) Instead of the full assessment described above, it is permitted to carry out a 
simplified assessment for rolling stock of a similar design to rolling stock for 
which the full assessment defined in this TSI has been carried ou t. In such 
cases, the simplified conformity assessment defined in clause 4.2.4 of the 
specification referenced in Appendix J -1, index 94, can be applied as long as 
the differences in the design remain within the limits of table 7 of the 
specification refer enced in Appendix J -1, index 94.  ’; 
(60) section 6.2.3.14 is replaced by the following:  
‘6.2.3.14.  Head pressure pulse (clause 4.2.6.2.2)  
(1) Conformity shall be assessed on the basis of full -scale tests under conditions 
specified in the specification referenced i n Appendix J -1, index 95, clause 
6.1.2.1. Alternatively conformity may be assessed by means of either validated 
Computational Fluid Dynamics (CFD) simulations as described in the 
specification referenced in Appendix J -1, index 95, clause 6.1.2.4 or as an 
additional alternative conformity is permitted to be assessed by moving model 
tests as specified in the specification referenced in Appendix J -1, index 95, 
clause 6.1.2.2.  
(2) Instead of the full assessment described above, it is permitted to carry out a 
simpli fied assessment for rolling stock of a similar design to rolling stock for 
which the full assessment defined in this TSI has been carried out. In such 
cases, the simplified conformity assessment defined in clause 4.1.4 of the 
specification referenced in Ap pendix J -1, index 95, can be applied as long as 
the differences in the design remain within the limits of table 4 of the 
specification referenced in Appendix J -1, index 95.  ’;  
EN 25  EN (61) in section 6.2.6, the text ‘Article 18 (3) of Directive 2008/ 57/EC ’ is replaced b y the 
reference to ‘ Article 15(4) of  Directive (EU) 2016/797’;  
(62) a new section 6.2.7a is added after section 6.2.7 as follows:  
‘6.2.7a Additional optional requirements for units intended to be used in general 
operation  
(1) The compliance with the following set o f conditions (2) to (9) is optional. If the 
applicant selects this option, a notified body has to assess the compliance 
within the EC verification procedure. This shall be reported in the certificate 
and in the technical documentation.  
(2) The unit shall be fi tted with a manual coupling system as defined in clauses 
4.2.2.2.3 b) and 5.3.2  
(3) The unit shall be fitted with an EN -UIC braking system as defined in the 
specification referenced in Appendix J -1, index 22.  
(4)  The unit shall meet the requirements of this TSI at least within the temperature 
range T1 ( – 25 °C to + 40 °C; nominal) as defined in clause 4.2.6.1 of this TSI 
and in the specification referenced in Appendix J -1, index 34.  
(5) The tail lights requested in clause 4.2.7.1 shall be provided by fixed tail lamps . 
(6) If the unit is fitted with a gangway, the gangway shall fulfil the specification 
referenced in Appendix J -1, index 113.  
(7) Power supply shall be compliant to point 4 of clause 4.2.11.6  
(8) The physical interface between units for the signal transmission shall e nsure 
that the cable and plug of at least one line is compatible with the 18 -conductor 
cable defined in the plate 2 of the specification referenced in Appendix J -1, 
index 114.  
(9) The unit shall be marked at least with the following markings in accordance 
with the specification referenced in Appendix J -1, index 115 : 
 Length over buffers  
 Electric power supply .’; 
(63) in section 6.3.2, the text ‘Article 17 of Directive 2008/ 57/EC ’ is replaced by the 
reference to ‘ Article 14 of  Directive (EU) 2016/797’;  
(64) in point (1) of section 7.1.1.2.1 , the text ‘in accordance with point (f) of Article 5(3) 
of Directive 2008/57/EC ’ is replaced by the text ‘in accordance with point ( f) of 
Article  4(3) of Directive (EU) 2016/797’;  
(65) in point (4) of section 7.1.1.2.1 , the text ‘in service in  accordance with Articles 22 to 
25 of Directive 2008/57/EC ’ is replaced by the text ‘ on the market in accordance 
with Article  21 of  Directive (EU) 2016/797’;  
(66) in point (1) of section 7.1.1.2.2 , the text ‘Article 2(t) of the Directive 2008/57/EC ’ is 
replace d by the text ‘point (23) of Article  2 of Directive (EU) 2016/797’;  
(67) in point (3) of section 7.1.1.3 , the text ‘in accordance with Article 24 or 25 of 
Directive 2008/57/EC ’ is replaced by the text ‘in accordance with Article 20 of  
Directive (EU) 2016/797’;   
EN 26  EN (68) in point (3) of section 7.1.1. 4, the text ‘in accordance with Article 24 or 25 of 
Directive 2008/57/EC ’ is replaced by the text ‘in accordance with Article 20 of  
Directive (EU) 2016/797’;  
(69) in section 7.1.1.4 a, the reference to section ‘4.2.8.2.8 ’ is replaced by the reference to 
‘4.2.8.2.8 .4’; 
(70) in section 7.1.1, a new section 7.1.1.8 is added below section 7.1.1.7 as follows:  
‘7.1.1.8 Transitional measure for passive safety requirement  
Requirements set out in 4.2.2. 5(6) shall not be mandatory during  a transition period 
ending on 1 January 2022 for locomotives with a single ‘central cab’  which, on 
XXXX [at the date of publication of this Regulation], are projects at an advanced 
stage of development, contracts in course of performance and rolling stock  of an 
existing design as set out in point 7.1.1.2 of this TSI.  
When the requirements set out in 4.2.2. 5(6) are not applied , it is permitted as an 
alternative method, to demonstrate compliance against the requirement of scenario 3 
of 4.2.2. 5(5) by demonstr ating compliance with following criteria:  
– the frame of the locomotive is designed according to the specification  
referenced in Appendix J -1, index 7 cat L (as already specified in 
clause  4.2.2.4 of this TSI),  
– the distance between the buffers and the cab w indscreen is at least 2,5 m .’; 
(71) section 7.1.2 is replaced by the following:  
‘7.1.2 Changes to an existing rolling stock or rolling stock type  
7.1.2.1 Introduction  
(1) This clause 7.1.2 defines the principles to be applied by the applicants and 
authorising entit ies in line with the EC verification procedure described in 
Article 15(9), Article 21(12) and Annex IV of Directive (EU) 2016/797. This 
procedure is further developed in Article 13, 15 and 16 of Commission 
Implementing Regulation (EU) 2018/545 and in Decis ion 2010/713/EC.  
(2) This clause 7.1.2 applies in case of any change(s) to an existing rolling stock or 
rolling stock type, including renewal or upgrade. It does not apply in case of 
changes covered by Article 15(1)(a) of Commission Implementing Regulation 
(EU) 2018/545.  
7.1.2.2 Rules to manage changes in both rolling stock and rolling stock type  
(1) Parts and basic parameters of the rolling stock that are not affected by the 
change(s) are exempt from conformity assessment against the provisions in this 
TSI. 
(2) A new assessment against the requirements of this TSI, the TSI Noise 
(Commission Regulation No 1304/2014) and the TSI PRM (Commission 
Regulation No 1300/2014) shall only be needed for the basic parameters in this 
TSI which may be affected by the change(s).  
– For r equirements specified in the TSI Noise see also clause 7.2 of that 
TSI. 
– For requirements specified in the TSI PRM see also clause 7.2.3 of that 
TSI.  
EN 27  EN (3) National migration strategies related to the implementation of other TSIs (e.g. 
TSIs covering fixed install ations) shall be taken into account when defining to 
what extent the TSIs covering rolling stock needs to be applied.  
(4) 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 Article 
15(5) of Directive (EU) 2016/797, the applicant shall inform a notified body of 
all changes affecting the conformity of the subsystem with the requirements of 
the relevant TSI(s) requ iring new checks. This information shall be provided 
by the applicant with corresponding references to the technical documentation 
relating to the existing EC type or design examination certificate.  
(5) The basic design characteristics of the rolling stock are  defined in Table 17 and 
Table 17a. Based on these tables and on the safety judgement mandated in 
Article 21(12)(b) of Directive (EU) 2016/797, the  changes shall be classified as 
follows:  
(a) 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, or  
(b) 15(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(1 2)(b) of Directive (EU) 2016/797 requires to 
classify them as 15(1)(d).  
(6) Changes not covered by point 7.1.2.2(5) above are deemed not to have any 
impact on the basic design characteristics and may be classified as 15(1)(a) or 
15(1)(b) of Commission Implemen ting Regulation (EU) 2018/545 , unless the 
safety judgement mandated in Article 21(12)(b) of Directive (EU) 2016/797 
requires to classify them as 15(1)(d) . 
(7) All changes shall remain compliant with the applicable TSIs regardless their 
classification.  
Table 17 : Basic design characteristics related to basic parameters set out in the 
LOC&PAS TSI  
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  
4.2.2.2.3 End 
coupling  Type of end 
coupling  Change of end coupler 
type N/A 
 
 
 
 Design mass in 
working order   
 
 
  
 
 
 Design mass 
under normal 
payload   
EN 28  EN 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  
 
 
 
4.2.2.10 Load 
conditions and 
weighed mass  
4.2.3.2.1 Axle 
load parameter  Design mass 
under exceptional 
payload   
 
Change in any of the 
corresponding basic 
design characteristics 
resulting in a change of 
the line category(ies) the 
vehicle is compatible with   
 
 
 
 
N/A Maximum design 
speed (km/h)  
Static axle load 
in working order  
Static axle load 
under exceptional 
payload  
Vehicle length  
Static axle load 
under normal 
payload  
Position of the 
axles along the 
unit (axle 
spacing)  
4.2.3.1 Gauging  Reference profile  N/A Change of reference profile 
the vehicle is conform to  
 Minimum 
vertical convex 
curve radius 
capability  Change in m inimum 
vertical convex curve 
radius capability  the 
vehicle is compatible with 
of more than 10%  N/A 
 Minimum 
vertical concave 
curve radius 
capability  Change in m inimum 
vertical concave  curve 
radius capability  the 
vehicle is compatible with 
of more than 10%  N/A 
4.2.3.3.1 Rolling 
stock 
characteristics for 
the compatibility 
with train Compatibility 
with train 
detection systems  N/A Change of declared 
compatibility with one or 
more of the three following 
train detection systems:   
EN 29  EN 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  
detection systems   Track circuits  
 Axle counters  
 Loop equipment  
4.2.3.3.2 Axle 
bearing condition 
monitoring  On-board 
detection system   
N/A Fitting/Removal of declared 
on-board detection system  
4.2.3.4. Rolling 
stock dynamic 
behaviour  Combination of 
maximum speed 
and maximum 
cant deficiency 
for which the 
vehicle was 
assessed  N/A Increase in maximum speed 
of more than 15 km/h or 
change of more than ± 10% 
in maximum admissible cant 
deficiency  
 
 Rail inclination  N/A Change of rail inclination 
the vehicle is conform to  
4.2.3.5.2.1. 
Mechanical and 
geometric 
characteristics of 
wheelsets  Wheelset gauge  N/A Change of track gauge the 
wheelset is compatible with  
4.2.3.5.2.2 
Characteristics of 
wheels  Minimum 
required in -
service wheel 
diameter  Change of minimum 
required in -service 
diameter of more than 
±10 mm  N/A 
4.2.3.5.2.3 
Automatic 
variable gauge 
systems  Wheelset gauge 
changeover 
facility  Change in the vehicle 
leading to a change in the 
changeover facility(ies) 
the wheelset is 
compatible with  Change of track gauge(s) the 
wheelset is compatible w ith 
4.2.3.6. 
Minimum curve 
radius  Minimum 
horizontal curve 
radius capability  Increase of minimum 
horizontal curve radius of 
more than 5 m  N/A 
4.2.4.5.1 Braking 
performance - 
General 
requirements  Maximum 
average 
deceleration  Change of more than ± 
10% on the maximum 
average brake 
deceleration  N/A  
EN 30  EN 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  
4.2.4.5.2 Braking 
performance – 
Emergency 
braking  Stopping distance 
and deceleration 
profile for each 
load condition 
per design 
maximum speed.  Change of stopping 
distance of more than ± 
10%  N/A 
For vehicles 
intended for 
general 
operation only : 
Brake weight 
percentage 
(lambda)   
 
 
Change of lambda of 
more than ± 10%   
 
 
N/A 
For vehicles 
intended for 
general 
operation only : 
Braked mass   
 
 
Change of braked mass of 
more than ± 10%   
 
 
N/A 
4.2.4.5.3 Braking 
performance – 
Service braking  Stopping distance 
and maximum 
deceleration for 
the load 
condition ‘design 
mass under 
normal payload’ 
at the design 
maximum speed  Change of stopping 
distance of more than ± 
10%  N/A 
4.2.4.5.4 Braking 
performance – 
Thermal capacity  Thermal capacity 
expressed in 
terms of:  
 Speed  
 Gradient  
 Brake 
distance  N/A  New reference case declared   
EN 31  EN 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  
4.2.4.5.5 Braking 
performance – 
Parking brake  Maximum 
gradient on 
which the unit is 
kept immobilized 
by the parking 
brake alone (if 
the vehicle is 
fitted with it)  Change of declared 
maximum gradient of 
more than ± 10%  N/A 
4.2.4.6.2. Wheel 
slide protection 
system  Wheel slide 
protection system  N/A Fitting/removal of WSP 
function  
4.2.4.8.2 
Magnetic track 
brake  Magnetic track 
brake  N/A Fitting/removal of magnetic 
track brake function  
Possibility of 
preventing the 
use of the 
magnetic track 
brake  N/A Fitting/removal of the brake 
control allowing the 
activation/deactivation of 
magnetic track brake  
4.2.4.8.3 Eddy 
current track 
brake  Eddy current 
track brake  N/A Fitting/removal of the eddy 
current track brake function  
Possibility of 
preventing the 
use of the eddy 
current track 
brake  N/A Fitting/removal of the brake 
control allowing the 
activation/deactivation of 
eddy current track brake  
4.2.6.1.1 
Temperature  Temperature 
range  Change of temperature 
range (T1, T2, T3)  N/A 
4.2.6.1.2 Snow, 
ice and hail  Snow, ice and 
hail conditions  Change of the selected 
range ‘snow, ice and hail’ 
(nominal or severe)  N/A 
4.2.8.2.2 
Operation within 
range of voltages 
and frequencies  Energy supply 
system (voltage 
and frequency)  N/A Change of 
voltage(s)/frequency(ies) of 
the energy supply system  
(AC 25kV -50Hz, AC 15kV -
16.7Hz, DC 3kV, DC 1.5kV, 
DC 750V, third rail, others)   
EN 32  EN 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  
4.2.8.2.3 
Regenerative 
brake with 
energ y to the 
overhead contact 
line Regenerative 
brake  N/A Fitting/removal of 
regenerative brake function  
 Possibility of 
preventing the 
use of the 
regenerative 
brake when fitted  Fitting/removing the 
possibility of preventing 
the use of regenerative 
brake  N/A 
4.2.8.2.4 
Maximum power 
and current from 
the overhead 
contact line  Applicable to 
Electric units 
with power 
higher than 2 
MW only : 
Power or current 
limitation 
function   
 
 
Power or current 
limitation function 
fitted/removed   
 
 
N/A 
4.2.8.2.5 
Maximum 
current at 
standstill for DC 
systems  Maximum 
current at 
standstill per 
pantograph for 
each DC system 
the vehicle is 
equipped for  Change of the maximum 
current value by 50 A 
without exceeding the 
limit set in the TSI  N/A 
4.2.8.9.1.1  
Height of 
interaction with 
contact wires 
(RST level)  Height of 
interaction of 
pantograph with 
contact wires 
(over top of rail)  Change of height of 
interaction allowing/no 
longer allowing 
mechanical contact with 
one of the contact wires at 
heights above rail level 
between:  
4 800  mm and 6 500 mm  
4 500 mm and 6 500 mm  
5 550 mm and 6 800 mm  
5 600 mm and 6 600 mm  N/A  
EN 33  EN 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  
4.2.8.2.9.2 
Pantograph head 
geometry (IC 
level)  Pantograph head 
geometry  N/A Change of pantograph head 
geometry to or from one of 
the types defined in clauses 
4.2.8.2.9.2.1, 4.2.8.2.9.2.2 or 
4.2.8.2.9.2.3  
4.2.8.2.9.4.2 
Contact strip 
material  Contact strip 
material  New contact strip as per 
4.2.8.2.9.4.2(3)  N/A 
4.2.8.2.9.6 
Pantograph 
contact force and 
dynamic 
behaviour  Mean contact 
force curve  Change requiring a  new 
assessment of pantograph 
dynamic behaviour.  N/A 
4.2.8.2.9.7 
Arrangement of 
pantographs 
(RST level)  Number of 
pantograph and 
shortest distance 
between two 
pantographs  N/A Where the spacing of 2 
consecutive pantographs in 
fixed or predefined 
formations  of the assessed 
unit is reduced by means of 
removing a vehicle  
4.2.8.2.9.10 
Pantograph 
lowering (RST 
level)  Automatic 
dropping device 
(ADD)  Automatic dropping 
device (ADD) function 
fitted/removed  N/A 
4.2.10.1. General 
and  
categorisation  Fire safety 
category  N/A Change of fire safety 
category  
4.2.12.2. General 
documentation  Maximum 
number of 
trainsets or 
locomotives 
coupled together 
in multiple 
operation.  N/A Change of maximum 
allowed number of trainsets 
or locomotives coupled 
together in multiple 
operation  
 
Table 17a  
Basic design characteristics related to basic parameters set out in the PRM TSI   
EN 34  EN 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  
4.2.2.11. Step 
position for 
vehicle access 
and egress  Platform heights for 
which the vehicle is 
designed  N/A Change of platform height 
the vehicle is compatible 
with  
 
(8) In order to establish the EC type or design examination certificate, the notified 
body selected by the applicant is permitted to 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 affect the 
conformity of the subsystem with the latest revision of this TSI in force 
at that time.  
(9) In any case, the applicant shall ensure that the technical documentation which 
is relating to the EC type or design examin ation certificate is updated 
accordingly.  
(10) The updated technical documentation, related to the EC type or design 
examination certificate is referred to in the technical file accompanying the EC 
declaration of verification issued by the applicant for rolling  stock declared as 
conformant to the modified type.  
Particular rules for existing rolling stock not covered by an EC declaration of 
verification  authorised for placing in service before 1 January 2015  
 
(11) The following rules apply to existing rolling stock au thorised for placing in 
service before 1 January 2015, where the  scope of the change has an impact on 
basic parameters not covered by the EC declaration  (if any).  
(12) The compliance with technical requirements of this TSI is deemed established 
when a basic par ameter is improved in the direction of the TSI defined 
performance and the applicant demonstrates that the corresponding essential 
requirements are met and the safety level is maintained or improved. The 
applicant shall in this case justify the reasons for  which the TSI defined 
performance was not met. This justification shall be included in the technical 
file, if any, or in the original technical documentation of the vehicle.  
(13) The particular rule set out in paragraph (13) above is not applicable in changes 
impacting the basic design characteristics and classified as 21(12) (a) set out in 
table 17c and 17d.   
EN 35  EN  
Table 17 c: Basic design characteristics related to basic parameters set out in the 
LOC&PAS TSI  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  
4.2.3.1 Gauging  Referenc e profile  Change of reference 
profile the vehicle is 
conform to  
4.2.3.3.1 Rolling 
stock 
characteristics for 
the compatibility 
with train 
detection systems  Compatibility with train 
detection systems  Change of declared 
compatibility with one 
or more of the three 
following train 
detection systems:  
 Track circuits  
 Axle counters  
 Loop 
equipment  
4.2.3.3.2 Axle 
bearing condition 
monitoring  On-board detection 
system  Fitting/Removal of 
declared on -board 
detection system  
4.2.3.5.2.1. 
Mechanical and 
geometric 
characteristics of 
wheelsets  Wheelset gauge  Change of track gauge 
the wheelset is 
compatible with  
4.2.3.5.2.3 
Automatic 
variable gauge 
systems  Wheelset gauge 
changeover facility  Change of track 
gauge(s) the wheelset 
is compatible with  
4.2.8.2.3 
Regenerative 
brake with 
energy to the 
overhead contact 
line Regenerative brake  Fitting/removal of 
regenerative brake 
function  
Table 17d   
EN 36  EN Basic design characteristics related to basic parameters set out in the PRM  TSI 
for rolling stock not holding an EC ty pe 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  
4.2.2.11. Step 
position for 
vehicle access 
and egress  Platform heights for 
which the vehicle is 
designed  Change of platform height 
the vehicle is compatible 
with  
(14) ’; 
(72) the title of section 7.1.3 ‘Rules related to the  type or design examination certificates ’ 
is replaced by ‘Rules related to the EC type or design examination certificates ’;  
(73) section 7.1.3.1 is replaced by the following:  
‘7.1.3.1.  Rolling stock subsystem  
(1) This clause concerns a rolling stock type (unit type in the context of this TSI), 
which is subject to a EC type or design verification procedure in accordance 
with the section 6.2 of this TSI. It also applies to the EC type or design 
verification procedure in accordance with the TSI Noise (Commission 
regulation N° 1304/2014), and the TSI PRM (Commission regulation N° 
1300/2014) which refers to this TS I for its scope of application to Locomotives 
and Passenger rolling Stock.  
(2) The TSI assessment basis for a ‘EC type or design examination’ is defined in 
columns 2 and 3 ‘Design review’ and ‘Type test’  of Appendix H of this TSI.  
Phase A  
(3) Phase A starts once a  notified body, which is responsible for EC verification, is 
appointed by the applicant and ends when the EC type or design examination 
certificate is issued.  
(4) The TSI assessment basis for a type is defined for a phase A period, with a 
duration of maximum s even years. During the phase A period the assessment 
basis for EC verification to be used by the notified body will not change.  
(5) When a revised version of this TSI comes into force during the phase A period, 
it is permissible (but not mandatory) to use the  revised version, either totally or 
for particular sections, unless explicitly otherwise specified in the revision of 
these TSIs; in case of application limited to particular sections, the applicant 
has to justify and document that applicable requirements remain consistent, and 
this has to be approved by the notified body.  
Phase B  
(6) The phase B period defines the period of validity of the EC type or design 
examination certificate once it is issued by the notified body. During this time, 
units may be EC certif ied on the basis of conformity to type.   
EN 37  EN (7) The EC type or design examination certificate of EC verification for the 
subsystem is valid for a seven year phase B period after its issue date, even if a 
revision of this TSI comes into force. During this time, new  rolling stock of the 
same type is permitted to be placed in service on the basis of an EC declaration 
of verification referring to the type certificate of verification.  
(74) a new section 7.1.4  is added after section 7.1.3.2 as follows:  
‘7.1.4.  Conditions for having an authorisation for placing on the market not 
limited to  particular national networks  
7.1.4.1.  Introduction  
This clause 7.1.4 applies to a vehicle composed of a rolling stock subsystem only, 
when the Applicant specifies an area of use not limited to particular national 
networks (i.e. EU network as area of use) in its application for an authorisation for 
placing on the market.  
In accordance with Article 21(3) b) of Directive (EU) 2016/797 the authorisation for 
placing on the market of a vehicle comp osed of a rolling stock subsystem only and 
corresponding to a unit (as defined in this TSI) is granted on the basis of:  
 according to point (a) of article 21(3): the  ‘EC’ declaration of verification as 
provided for in Article 15 of the same directive, and  
 according to point (d) of article 21(3): evidence of the technical compatibility 
of the vehicle with the network in the area of use covering the EU network.  
For a vehicle composed of a rolling stock subsystem only, points (b) and (c) of 
article 21(3) of D irective (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 in the clause 7.1.4.2 below as additional requirements to be 
covered in the EC verification of the subsystem rolling stock.  
7.1.4.2.  Additional requirement s to be applied in the EC verification of the 
rolling stock subsystem  
(1) The following points (2)  and (3) lay out the conditions under which an EC 
verification procedure including EC declaration of verification of a unit is not 
required to be complemented   (under Annex IV, section 3 of the Directive 
(EU) 2016/797) for  having its conditions of use and other restrictions not 
limited to one particular national network.  
These conditions shall be seen as complementary to the requirements in 
sections 4, 5, 6 and 7 of this TSI. These conditions shall be fulfilled in their 
entirety;  
(2) Conditions related to sections 4, 5 and 6 of this TSI:   
(a) The unit is designed for operation on the 1435 mm track gauge (clauses 
2.3.2 and 4.2.3.5.3 ); in case of Automatic variable gauge  systems, the 
second track gauge position is not covered.  
(b) The maximum speed of the unit is lower than 250 km/h (clauses 2.3.3, 
4.2.3.3.2 and 4.2.6.2.5).   
EN 38  EN (c) The unit shall not be equipped with eddy current track brake.  
The unit, if equipped with magnetic trac k brake, shall be fitted with a 
system allowing the possibility of preventing the use of such equipment; 
in addition to the requirements in clauses 4.2.4.5 and 4.2.4.8 of this TSI, 
a braking performance calculation performed without considering these 
brake  systems shall be part of the technical documentation specified in 
clause 4.2.12.  
(d) Where the  unit is equipped with pantograph(s), pantograph head(s) shall 
be compliant to types 1600 mm or 1950 mm. (clause 4.2.8.2.9.2)  
(e) The unit is declared as compatible wit h train detection systems based on 
track circuits, on axle counters (including mechanical wheel detectors) 
and on loop equipment on the basis of the TSI requirements in clause 
4.2.3.3.1 and on the basis of the following requirements, in order to 
mitigate o pen points:  
– The metal free space around wheels fulfils the conditions of the 
figure 3 of the specification referenced in Appendix J -2, index 1, 
clause 3.1.3.5.  
– The use of sanding equipment may be subject to limitations, in case 
the sand characteristics, re ferenced in Appendix J -2, index 1, clause 
3.1.4.2, are not suitable.   
– The unit, if equipped with flange lubrication, shall be fitted with a 
system allowing the possibility of preventing the use of such 
equipment, according to the specification referenced in Appendix 
J-2, index 1, clause 3.1.5.  
– Where the unit is equipped with composite brake blocks, these 
brake blocks shall be assessed for their suitability for train 
detection systems based on track circuits, in accordance with the 
procedure specified in Ap pendix J -2, index 2.  
– Electromagnetic fields measured according to the specification 
referenced in Appendix J -2, index 1, clause 3.2.1, shall be part of 
the technical documentation specified in clause 4.2.12.  
– Where the unit is equipped with a pantograph, t he vehicle 
impedance between pantograph and wheel, as described in the 
specification referenced in Appendix J -2, index 1, clause 3.2.2.1 
shall be evaluated and recorded in the technical documentation 
specified in clause 4.2.12.  
– Where the unit is equipped w ith electric traction equipment, 
harmonics in traction current measured according to the 
specification referenced in Appendix J -2, index 1, clause 3.2.2, 
shall be part of the technical documentation specified in clause 
4.2.12.  
Note: Regarding compatibility  with train detection systems, 
additional checks may be needed when justified, considering the 
specification referenced in Appendix J -2, index 1, clauses 3.1.10 
and 3.2.2, information provided in the RINF for specific routes and 
the integration of the unit  in the train composition.  In case  
EN 39  EN additional checks have been performed, these shall be identified for 
consideration in the ‘ conditions for use and other restrictions ’ of 
the unit.  
(f) The unit is declared as compatible with track side axle bearing condition  
monitoring as specified in clause 4.2.3.3.2.2 (1).  
(g) The unit is equipped with forged or rolled wheels (clauses 4.2.3.5.2.2 and 
6.1.3.1).  
(h) The unit, if of category B fire safety, is equipped with fire barriers of full 
cross section partition. (clauses 4.2.10 .3.4 and 4.2.10.4.4).  
The conditions (a) to (f) have to be taken into account in the ‘ conditions of use and 
other restrictions ’ of the unit; these condition and other information declared in the 
ERATV have to be considered for the definition of the “area o f use” of the unit (i.e. 
national networks).  
Note: Regarding the TSI PRM and the TSI Noise that are also applicable to the unit, 
there is no need for additional verification provided that specific cases meet the 
conditions of point (3) below. The TSI PRM r equires that the characteristics of the 
platform(s) where the unit is intended to stop, that have been taken into account for 
the verification, are recorded as part of the technical documenta tion specified in 
clause 4.2.12.  
(3) Conditions related to the sectio n 7.3 of this TSI, ‘specific cases’:  
The specific cases listed in the section 7.3 of the TSI have their application 
limited as follows:  
(a) Those that do not preserve the compliance to chapters 4, 5 and 6 of the 
TSI and to the conditions (a) to (h) listed abov e in point (2) shall not be 
applied; they are listed below:  
– Specific cases required by United Kingdom (Great Britain) and 
specifying a non -mandatory alternative;  
– Specific case defined in clause 7.3.2.3 – Rolling stock requirements 
for compatibility with tr ackside equipment (4.2.3.3.2.2) for Sweden 
– (application limited to non -upgraded lines);  
– Specific case defined in clause 7.3.2.8 – Aerodynamic effects 
(4.2.6.2) for  United Kingdom (Great Britain);  
– Specific case defined in clause 7.3.2.10 – Power supply – general 
(4.2.8.2) for United Kingdom (Great Britain);  
– Specific case defined in clause 7.3.2.15 – Contact strip material 
(4.2.8.2.9.4.2) for France – (not specified as mandatory);  
– Specific cases defined in TSI PRM (excepted specific case for 
Austria and Ge rmany for all rolling Stock intended to stop, in 
normal operation, at platforms below 550 mm height).  
As a consequence, depending on the exact impact of the specific case, the unit 
may be declared as not intended to operate in the related member state netw ork 
or part of network (according to the related specific case).  
(b) Those that represent additional requirements, complementary to requirements 
of chapters 4, 5 and 6 of the TSI, and to the conditions a) to h) listed above in  
EN 40  EN point (2) shall be applied if rel evant for the unit and if the unit is intended to 
operate (as identified by the Applicant) in the related member state network or 
part of network (according to the related specific case); they are listed below:  
– Specific case defined in clause 7.3.2.8 – Aerodynamic effects (4.2.6.2) 
for Italy;  
– Specific case defined in clause 7.3.2.11 – Operation within range of 
voltages and frequencies (4.2.8.2.2) for France;  
– Specific case defined in clause 7.3.2.12 – Use of regenerative brakes 
(4.2.8.2.3) for Belgium, Czech  Republic and Sweden;  
– Specific case defined in clause 7.3.2.13 – Height of interaction with 
contact wires (RST level) (4.2.8.2.9.1.1) for United Kingdom (Great 
Britain);  
– Specific case defined in clause 7.3.2.16 – Pantograph contact force and 
dynamic behaviour (4.2.8.2.9.6) for France, Sweden, United Kingdom 
(Great Britain) and Channel Tunnel;  
– Specific case defined in clause 7.3.2.20 – Fire safety and evacuation 
(4.2.10) for Italy;  
– Specific case defined in clause 7.3.2.21 – Running capability (4.2.10.4 .4) 
and fire containment and control system (4.2.10.3.4) for Channel Tunnel.  
– Specific case defined in TSI PRM in clause 7.3.2.6, for Austria and 
Germany for all rolling Stock intended to stop, in normal operation, at 
platforms below 550 mm height.  
7.1.4.3.  Area of use and conditions of use and other restrictions  of the vehicle  
(1) The ‘area of use’ of the vehicle is declared as the EU network, but shall 
exclude the national networks identified in section 7.1.4.2 (3) above, if the unit 
is impacted by the concern ed requirements and the requirement(s) is/ are not 
applied.   
(2) The conditions of use and other restrictions  attached to the authorisation for 
placing on the market of the vehicle shall be defined taking into account the 
clause 7.1.4.2 in addition to the sec tion 4.2 of this TSI.  ’; 
(75) section 7.2 is amended as follows:  
(a) the reference to  ‘Article 34 of Directive 2008/57/EC ’ is replaced by the 
reference to ‘Article 48 of Directive (EU) 2016/797’;  
(b) the text  ‘Article 35 of Directive 2008/57/EC and Commission Implementing 
Decision 2011/633/EU ’ is replaced by the text  ‘Article 48 of Directive (EU) 
2016/797 and Commission Implementing  Regulation XXX (RINF )3’; 
(76) Point (2) of section 7.3.1 is replaced by the following:  
‘(2) These specific cases are classified as:  
— ‘P’ cases:‘permanent’ cases,  
                                                 
3 COMMISSION IMPLEMENTING REGULATION (EU) …/... of XXX on the common specifications 
of the railway register of infrastructure and repealing Decision 2014/880/EU   
EN 41  EN — ‘T’ cases:‘temporary’ cases, where the target system shall be  reached by 31 
December 2025.  ’; 
(77) a new point (6) is added below point ( 5) of section 7.3.1 as follows:  
‘(6) In case of a specific case applicable to a component de fined as interoperability 
constituent in section 5.3 of this TSI, the conformity assessment has to be made 
according to the clause 6.1.1 point (3). ’; 
(78) section 7.3.2.4 is replaced by the following:  
‘7.3.2.4.  Safety against derailment running on twisted trac k (4.2.3.4.1)  
Specific case United Kingdom (Great Britain) (“P”)  
It is permissible for all units and cases to use Method 3 set out in EN14363:2016 
clause 6.1.5.3.1.  
This specific case does not prevent the access of TSI compliant rolling stock to the 
natio nal network. ’; 
(79) section 7.3.2.5 is replaced by the following:  
‘7.3.2.5.  Running dynamic behaviour (4.2.3.4.2, 6.2.3.4)  
Specific case Finland (“P”)  
The following modifications to the running dynamic behaviour clauses of the TSI 
applies to vehicle to be operated solely on Finnish 1524 mm network:  
– Test zone 4 is not applicable for running dynamic testing.  
– Mean value of curve radius of all track sections for test zone 3 shall be 550 ±50 
metres for running dynamic testing.  
– Track quality parameters in running  dynamics testing shall be according to 
RATO 13 (Track inspection).  
– Measuring methods are according to EN 13848:2003+A1.  
Specific case Ireland and UK for Northern Ireland (“P”)  
For technical compatibility with the existing network it is permissible to use notified 
national technical rules for the purpose of assessing running dynamic behaviour.  
Specific case Spain (“P”)  
For rolling stock intended to be used on 1668 mm track gauge, the quasi -static 
guiding force Yqst limit value shall be evaluated for curve r adii  
250 m ≤ Rm < 400 m.  
The limit value shall be: (Yqst)lim = 66 kN.  
For the normalisation of the estimated value to the radius Rm = 350 m according to 
clause 7.6.3.2.6 (2) of EN 14363:2016, the formula  
‘Ya,nf,qst = Ya,f,qst – (10 500  m / Rm – 30) kN’ shall be replaced by  
‘Ya,nf,qst = Ya,f,qst – (11 550  m / Rm – 33) 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: 
1733/1500.  
Specific case t he United Kingdom (Great Britain) (“P”)   
EN 42  EN For technical compatibility with the existing network it is permissible to use national 
technical rules amending EN 14363 requirements and notified for the purpose of 
running dynamic behaviour. This specific case doe s not prevent the access of TSI 
compliant rolling stock to the national network.  ’; 
(80) in section 7.3.2.6, below Table 22, the text ‘Specific case Spain (“P”)’ of clause 
7.3.2.6 is replaced by ‘Specific case Spain for 1668 mm track gauge (“P”)’ ; 
(81) in section 7. 3.2.10, the text ‘clause 7.4.2.8.1’ is  replaced by ‘clause 7.4.2.9.1’;  
(82) in section 7.3.2.11, the text ‘clause 7.4.2.3.1’ is replaced by ‘clause 7.4.2.4.1’;  
(83) a new section 7.3.2.27 is added below section 7.3.2.26 as follows:  
 ‘7.3.2.27. Rules to manage change s in both rolling stock and rolling stock type 
(7.1.2.2)  
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 
result in a new version.’;  
(84) section 7.5.3.1 is amended as follows:  
(a)  the reference to  ‘Directive 2008/57/EC’ is replaced by the reference to 
‘Directive (EU) 2016/797’;  
(b) The text  ‘in accordance with article 17 of Directive 2008/57/EC or through the 
Infrastructure Register referred to in article 35 of the same Directive’ is 
replaced by the text  ‘in accordance with article 14 of Directive 2008/57/EC or 
through the Infrastructure Regis ter referred to in article 49 of the same 
Directive’;  
(85) in the list ‘APPENDICES’ following Chapter 7, the text ‘Appendix A: Buffer and 
draw gear ’ is replaced by ‘Appendix A: Intentionally deleted’;  
(86) the text of Appendix A is replaced by ‘Intentionally delete d’; 
(87) section  C.3 of Appendix C  is replaced by the following:  
‘C.3 Running dynamic behaviour  
The running characteristics are permitted to be determined by running tests or by 
reference to a similar type approved machine as detailed in clause 4.2.3.4.2 of thi s 
TSI or by simulation.  
The following additional deviations from the specification referenced in Annex J -1, 
index 16 apply:  
 The test shall always be taken as the simplified method for this type of 
machines  
 when running tests according to the specification referenced in Annex J -1, 
index 16 are done with wheel profile in new condition, these are valid for a 
maximum distance of 50 000 km. After 50 000 km it is necessary to:  
– either re -profile the wheels;  
– or calculate the equivalent conicity of the worn profile and check that it 
does not differ more than 50  % from the value of the test of the  
EN 43  EN specification referenced in Annex J -1, index 16  (with a maximum 
difference of 0,05);  
– or make a new test according to the specification referenced in Annex J -
1, index 16 with  worn wheel profile;  
 in general, stationary tests to determine the parameters of characteristic running 
gear in accordance with to the specification referenced in Annex J -1, index 16, 
clause 5. 3.1 are not necessary;  
 if the required test speed cannot be obt ained by the machine itself, the machine 
shall be hauled for the tests.  
Running behaviour can be proven by simulation of the tests described in to the 
specification referenced in Annex J -1, index 16  (with the exceptions as specified 
above) when there is a validated model of representative track and operating 
conditions of the machine.  
A model of a machine for simulation of running characteristics shall be validated by 
comparing the model results against the results of a running tests when the same 
input of  track characteristic is used.  
A validated model is a simulation model that has been verified by an actual running 
test that excites the suspension sufficiently and where there is a close correlation 
between the results of the running test and the predicti ons from the simulation model 
over the same test track. ’; 
(88) Appendix H  is replaced by the following:  
‘APPENDIX H - Assessment of the rolling stock subsystem  
H.1 Scope  
This Appendix indicates the assessment of conformity of the rolling stock subsystem . 
H.2 Characteristics and modules  
The sub -system characteristics to be assessed in the different phases of design, 
development and production are marked by X in Table H.1. A cross in column 4 of 
Table H.1 indicates that the relevant characteristics shall be veri fied by testing each 
single subsystem.  
Table H.1 – Assessment of the rolling stock subsystem  
1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
Structure and mechanical parts  4.2.2   
Inner coupling  4.2.2.2.2  X n.a. n.a. -  
EN 44  EN 1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
End coupling  4.2.2.2.3  X n.a. n.a. - 
IC automatic centre buffer coupler  5.3.1  X X X - 
IC manual end coupling  5.3.2  X X X - 
Rescue coupling  4.2.2.2.4  X X  n.a. - 
IC rescue coupling  5.3.3  X X X  
Staff access for coupling and 
uncoupling  4.2.2.2.5  X X n.a. - 
Gangways  4.2.2.3  X X n.a. - 
Strength of vehicle structure  4.2.2.4  X X n.a. - 
Passive safety  4.2.2.5  X X n.a. - 
Lifting and jacking  4.2.2.6  X X n.a. - 
Fixing of devices to carbody 
structure  4.2.2.7  X  n.a. n.a. - 
Staff and freight access doors  4.2.2.8  X X n.a. - 
Mechanical characteristics of glass  4.2.2.9  X  n.a. n.a. - 
Load conditions and weighted 
mass  4.2.2.10  X X X 6.2.3.1  
Track interaction and gauging  4.2.3   
Gauging  4.2.3.1  X n.a. n.a. - 
Wheel load  4.2.3.2.2  X X n.a 6.2.3.2  
Rolling Stock characteristics for 
compatibility with train detection 
systems  4.2.3.3.1  X X X - 
Axle bearing condition monitoring  4.2.3.3.2  X X n.a. - 
Safety against derailment running 
on twisted track  4.2.3.4.1  X X n.a. 6.2.3.3  
Running dynamic behaviour 
requirements  4.2.3.4.2 
a)  X X n.a. 6.2.3.4   
EN 45  EN 1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
Active systems – safety 
requirement  4.2.3.4.2 
b) X n.a. n.a. 6.2.3.5  
Limit values for running safety  4.2.3.4.2
.1 X X n.a. 6.2.3.4  
Track loading limit values  4.2.3.4.2
.2 X X n.a. 6.2.3.4  
Equivalent conicity  4.2.3.4.3  X n.a. n.a. - 
Design values for new wheel 
profiles  4.2.3.4.3
.1  X n.a. n.a. 6.2.3.6  
In-service values of wheelset 
equivalent conicity  4.2.3.4.3
.2  X   - 
Structural design of bogie frame  4.2.3.5.1  X X. n.a. - 
Mechanical and geometrical 
characteristics of wheelsets  4.2.3.5.2
.1  X X X 6.2.3.7  
Mechanical and geometrical 
characteristics of wheels  4.2.3.5.2
.2  X X X - 
Wheels (IC)  5.3.2  X X X 6.1.3.1  
      
Automatic variable gauge systems  4.2.3.5 .3 X X X 6.2.3.7a  
Automatic variable gauge systems 
(IC) 5.3.4a  X X X 6.1.3.1a  
Minimum curve radius  4.2.3.6  X n.a. n.a. - 
Life guards  4.2.3.7  X n.a. n.a. - 
Braking  4.2.4   
Functional requirements  4.2.4.2.1  X X n.a - 
Safety requirements  4.2.4.2.2  X n.a n.a 6.2.3.5  
Type of brake system  4.2.4.3  X X n.a - 
Brake command  4.2.4.4   
Emergency braking  4.2.4.4.1  X X X - 
Service braking  4.2.4.4.2  X X X -  
EN 46  EN 1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
Direct braking command  4.2.4.4.3  X X X - 
Dynamic braking command  4.2.4.4.4  X X n.a - 
Parking braking command  4.2.4.4.5  X X X - 
Braking performance  4.2.4.5   
General requirements  4.2.4.5.1  X n.a n.a - 
Emergency braking  4.2.4.5.2  X X  X 6.2.3.8  
Service braking  4.2.4.5.3  X X  X 6.2.3.9  
Calculations related to thermal 
capacity  4.2.4.5.4  X n.a n.a - 
Parking brake  4.2.4.5.5  X n.a n.a - 
Limit of wheel rail adhesion 
profile  4.2.4.6.1  X n.a n.a - 
Wheel slide protection system  4.2.4.6.2  X X n.a 6.2.3.10  
Wheel slide protection system (IC)  5.3.5 X X X 6.1.3.2  
Interface with traction - Braking 
systems linked to traction (electric, 
hydro -dynamic)  4.2.4.7  X X X - 
Braking system independent of 
adhesion conditions  4.2.4.8   
General  4.2.4.8.1
. X n.a n.a - 
Magnetic track brake  4.2.4.8.2
. X X n.a - 
Eddy current track brake  4.2.4.8.3  X X n.a. - 
Brake state and fault indication  4.2.4.9  X X  X - 
Brake requirements for rescue 
purposes  4.2.4.10  X X  n.a - 
Passenger related items  4.2.5   
Sanitary systems  4.2.5.1  X n.a n.a 6.2.3.11   
EN 47  EN 1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
Audible communication system  4.2.5.2  X X X - 
Passenger alarm  4.2.5.3  X X X - 
Passenger alarm – safety requir.  4.2.5.3  X n.a n.a 6.2.3.5  
Communication devices for 
passengers  4.2.5.4  X X X - 
Exterior doors: access to and 
egress from Rolling Stock  4.2.5.5  X X X - 
Exterior doors – safety requir.  4.2.5.5  X n.a n.a 6.2.3.5  
Exterior door system construction  4.2.5.6  X  n.a n.a - 
inter-unit doors  4.2.5.7  X X n.a - 
Internal air quality  4.2.5.8  X  n.a n.a 6.2.3.12  
Body side windows  4.2.5.9  X   - 
Environmental conditions and 
aerodynamic effects  4.2.6   
Environmental conditions  4.2.6.1   
Temperature  4.2.6.1.1  X n.a. 
X (1) n.a. - 
Snow, ice and hail  4.2.6.1.2  X n.a. 
X (1) n.a. - 
(1) Type test if and as defined by 
the Applicant.    
Aerodynamic effects  4.2.6.2   
Slipstream effects on passengers 
on platform and on workers 
trackside  4.2.6.2.1  X X n.a. 6.2.3.13  
Head pressure pulse  4.2.6.2.2  X X n.a. 6.2.3.14  
Maximum pressure variations in 
tunnels  4.2.6.2.3  X X n.a. 6.2.3.15  
Cross wind  4.2.6.2.4  X n.a n.a. 6.2.3.16   
EN 48  EN 1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
External lights & visible and 
audible warning devices  4.2.7   
External front and rear lights  4.2.7.1   
Head lights  
IC 4.2.7.1.1  
5.3.6  X X n.a - 
6.1.3.3  
Marker lights  
IC 4.2.7.1.2  
5.3.7  X X n.a - 
6.1. 3.4 
Tail lights  
IC 4.2.7.1.3  
5.3.8  X X n.a -6.1.3.5  
Lamp controls  4.2.7.1.4  X X n.a - 
Horn  4.2.7.2   
General – warning sound  
IC 4.2.7.2.1  
5.3.9  X X n.a - 
6.1.3.6  
Warning horn sound pressure 
levels  
 4.2.7.2.2  
5.3.9  
 X X n.a 6.2.3.17  
6.1.3.6  
Protection  4.2.7.2.3  X n.a n.a - 
Control  4.2.7.2.4  X X n.a - 
Traction and electrical 
equipment  4.2.8   
Traction performance  4.2.8.1   
General  4.2.8.1.1   
Requirements on performance  4.2.8.1.2  X n.a n.a - 
Power supply  4.2.8.2   
General  4.2.8.2.1  X n.a n.a - 
Operation within range of voltages 
and frequencies  4.2.8.2.2  X X n.a - 
Regenerative brake with energy to 
the overhead contact line  4.2.8.2.3  X X n.a -  
EN 49  EN 1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
Maximum power and current from 
the overhead contact line  4.2.8.2.4  X X n.a 6.2.3.18  
Maximum  current at standstill for 
DC systems  4.2.8.2.5  X X n.a - 
Power factor  4.2.8.2.6  X X n.a 6.2.3.19  
System energy disturbances  4.2.8.2.7  X X n.a - 
Energy consumption measuring 
function  4.2.8.2.8  X X n.a  - 
Requirements linked to pantograph  4.2.8.2.9  X X n.a 6.2.3.20 & 
21 
Pantograph (IC)  5.3.10  X X X 6.1.3.7  
Contact strips (IC)  5.3.11  X X X 6.1.3.8  
Electrical protection of the train  
 
IC Main circuit breaker  4.2.8.2.1
0  
5.3.12  X  X  n.a - 
Diesel and other thermal traction 
system  4.2.8.3  - - - Other 
Directive  
Protection against electrical 
hazards  4.2.8.4  X  X  n.a - 
Cab and operation  4.2.9   
Driver´s Cab  4.2.9.1  X n.a n.a - 
General  4.2.9.1.1  X n.a n.a - 
Access and egress  4.2.9.1.2  X n.a n.a - 
Access and egress in operating 
conditions  4.2.9.1.2
.1  X n.a n.a - 
Driver's cab emergency exit  4.2.9.1.2
.2  X n.a n.a - 
External visibility  4.2.9.1.3  X n.a n.a  - 
Front visibility  4.2.9.1.3
.1  X n.a n.a - 
Rear and side view  4.2.9.1.3
.2  X n.a n.a -  
EN 50  EN 1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
Interior layout  4.2.9.1.4  X n.a n.a - 
Driver's seat  
IC 4.2.9.1.5  
5.3.13  X 
X n.a 
X n.a 
X - 
Driver's desk - Ergonomics  4.2.9.1.6  X n.a n.a - 
Climate control and air quality  4.2.9.1.7  X X n.a 6.2.3.12  
Internal lighting  4.2.9.1.8  X X  n.a - 
Windscreen -Mechanical 
characteristics  4.2.9.2.1  X X  n.a 6.2.3.22  
Windscreen -Optical characteristics  4.2.9.2.2  X X  n.a 6.2.3.22  
Windscreen -Equipment  4.2.9.2.3  X X n.a - 
Driver machine interface  4.2.9.3   
Driver´s activity control function  4.2.9.3.1  X X X - 
Speed indication  4.2.9.3.2  - - - - 
Driver display unit and screens  4.2.9.3.3  X X n.a - 
Controls and indicators  4.2.9.3.4  X X n.a - 
Labelling  4.2.9.3.5  X n.a n.a - 
Radio remote control function by 
staff for shubting operation  4.2.9.3.6  X X n.a - 
Onboard tools and portable 
equipment  4.2.9.4  X n.a n.a - 
Storage facility for staff personal 
effects  4.2.9.5  X n.a n.a - 
Recording device  4.2.9.6  X X X -  
Fire safety and evacuation  4.2.10   
General and categorisation  4.2.10.1  X n.a n.a - 
Mesures to prevent fire  4.2.10.2  X  X n.a -  
EN 51  EN 1 2 3 4 5 
Characteristics to be  
assessed, as specified in clause 4.2 of this TSI  Design and 
development  
phase  Production  
phase  Particular 
assessment 
procedure  Design  
review  Type 
Test Routine  
Test 
Element of the Rolling Stock sub -
system  Clause     Clause  
Mesures to detect/control fire  4.2.10.3  X X n.a - 
Requirements related to 
emergencies  4.2.10.4  X X n.a - 
Requirements related to evacuation  4.2.10.5  X  X n.a - 
Servicing  4.2.11   
Cleaning of driver's cab 
windscreen  4.2.11.2  X X n.a - 
Connection to toilet discharge 
system  
IC 4.2.11.3  
 
5.3.14  X n.a n.a - 
Water refilling equipment  4.2.11.4  X n.a n.a - 
Interface for water refilling  
IC 4.2.11.5  
5.3.15  X n.a n.a - 
Special requirements for stabling 
of trains  4.2.11.6  X X n.a - 
Refuelling equipment  4.2.11.7  X n.a n.a - 
Train interior cleaning – power 
supply  4.2.11.8  X n.a n.a - 
Documentation for operation 
and maintenance  4.2.12   
General  4.2.12.1  X n.a n.a - 
General documentation  4.2.12.2  X n.a n.a - 
Documentation related to 
maintenance  4.2.12.3  X n.a n.a - 
The maintenance design 
justification file  4.2.12.3.
1 X n.a n.a - 
The Maintenance description file  4.2.12.3.
2 X n.a n.a - 
Operating documentation  4.2.12.4  X n.a n.a - 
Lifting diagram and instructions  4.2.12.4  X n.a n.a - 
Rescue related descriptions  4.2.12.5  X n.a n.a - 
’;  
EN 52  EN (89) Appendix I  is replaced by the following:  
‘APPENDIX I - Aspects for which the technical specification is not available  
(open points)  
Open points that relate to technical compatibility between the vehicle and the 
network:  
Element of the Rolling 
Stock sub -system  Clause of 
this TSI  Technical aspect not 
covered by this TSI  Comments  
Compatibility with train 
detection systems  4.2.3.3.1  See specification referenced 
in Annex J -2, index 1.  Open points also identified 
in the TSI CCS.  
Running dynamic 
behaviour for 1520 mm 
track gauge system  4.2.3.4.2  
4.2.3.4.3  Running dynamic behaviour. 
Equivalent conicity.  Normative documents 
referred to in the TSI are 
based on experience gained 
on the 1435 mm system.  
Braking system 
independent of adhesion 
conditions  4.2.4.8.3  
 Eddy current track brake  
 Equipment not mandatory.  
Electromagnetic 
compatibility with concerned 
network.  
Aerodynamic effect on 
ballasted track for RST 
of design speed > 300 
km/h  4.2.6.2.5  Limit value and conformity 
assessment in order to limit 
risks induced by the 
projection of ballast  On-going work within CEN.  
Open point also in TSI INF.  
 
Open points that do not relate to technical compatibility between the vehicle and the 
network:  
Element of the Rolling 
Stock sub -system  Clause of 
this TSI  Technical aspect not 
covered by this TSI  Comments  
Fire Containment and 
Control Systems  4.2.10.3.4  Conformity assessment of 
FCCS other than full partitions.  Assessment procedure of 
efficiency for controlling fire 
and smoke developed by 
CEN according to a request 
for standard issued by ERA.  
’; 
(90) Appendix J  is replaced by the following:  
‘APPENDIX J  - Technical specifications referred to in this TSI  
J.1 Standards  or normative documents  
 TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points   
EN 53  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
1 Inner coupling for 
articulated units  4.2.2.2.2  EN 12663 -
1:2010 +A1:2014  6.5.3, 6.7.5  
2 End coupling – manual 
UIC type – pipes 
interface  4.2.2.2.3  EN 15807: 2011  relevant cl.6 
3 End coupling – manual 
UIC type – end cocks  4.2.2.2.3  EN 14601:2005+ 
A1:2010  relevant cl.6 
4 End coupling – manual 
UIC type – lateral 
location of brake pipe 
and cocks  4.2.2.2.3  UIC 648:Sept 2001  relevant cl.6 
5 Rescue coupling - 
interface with recovery 
unit 4.2.2.2.4  UIC 648:Sept 2001  relevant cl.6 
6 Staff access for coupling 
and uncoupling – space 
for shunting staff  4.2.2.2.5  EN 16839:2017  4 
7 Strength of vehicle 
structure – general  
categorisation of rolling 
stock  
method of verification  4.2.2.4  
Appendix  C 
Section C.1 EN 12663 -
1:2010+A1:2014  relevant cl.6 
5.2 
9.2 
6.1 – 6.5 
8 Passive safety – general  
 
categorisation  
scenarios  
obstacle defle ctor 4.2.2.5  FprEN 15227:2017  Except 
Annex A  
5-table 1  
5-table 3, 6, 
6.5 
9 Lifting and jacking - 
geometry of permanent 
and removable points  4.2.2.6  EN 16404: 2016  5.2, 5.3  
10 Lifting and jacking - 
marking  4.2.2.6  EN 15877 -2:2013  4.5.17   
EN 54  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
11 Lifting and jacking - 
strength method of 
verification  4.2.2.6  EN 12663 -
1:2010 +A1:2014  6.3.2, 6.3.3, 
9.2 
12 Fixing of devices to 
carbody structure  4.2.2.7  EN 12663 -
1:2010 +A1:2014  6.5.2  
13 Load conditions and 
weighed mass – load 
conditions  
hypothesis of load 
conditions  4.2.2.10  EN 15663:2009  
/AC:2010  2.1 
 
relevant cl.6 
14 Gauging – method, 
reference contours  
verification of eddy 
current track brakes  
verification of 
pantograph gauge  4.2.3.1  
 
4.2.4.8.3(3)  EN 15273 -
2:2013 +A1:2016  relevant cl 6 
 
relevant cl. 
6 
A.3.12  
15 Axle bearing condition 
monitoring – zone 
visible to track side 
equipment  4.2.3.3.2.2  EN 15437 -1:2009  5.1, 5.2  
16 Running dynamic 
behaviour  4.2.3.4.2  
Appendix C  EN 14363: 2016  relevant cl.6 
17 Running dynamic 
behaviour – limit values 
for running safety  4.2.3.4.2.1  EN 14363: 2016  7.5 
18 NOT USED  
19 Running dynamic 
behaviour – track 
loading limit values  4.2.3.4.2.2  EN 14363:  2016  7.5 
20 Structural design of the 
bogie frame  4.2.3.5.1  EN 13749:2011  6.2,  
Annex C   
EN 55  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
21 Structural design of the 
bogie frame – body to 
bogie connection  4.2.3.5.1  EN 12663 -
1:2010 +A1:2014  relevant cl. 
6 
22 Braking – type of brake 
system, UIC brake 
system  4.2.4.3  
6.2.7a  EN 14198: 2016  5.4 
23 Braking performance – 
calculation – general  4.2.4.5.1  EN 14531 -1:2005 or  
EN 14531 -6:2009  relevant cl.6 
24 Braking performance – 
friction coefficient  4.2.4.5.1  EN 14531 -1:2005  5.3.1.4  
25 Emergency braking 
performance – response 
time / delay time  
brake weight percentage  4.2.4.5.2  EN 14531 -1:2005  5.3.3  
 
5.12 
26 Emergency braking 
performance – 
calculation  4.2.4.5.2  EN 14531 -1:2005 or  
EN 14531 -6:2009  relevant cl.6 
27 Emergency braking 
performance – friction 
coefficient  4.2.4.5.2  EN 14531 -1:2005  5.3.1.4  
28 Service braking 
performance – 
calculation  4.2.4.5.3  EN 14531 -1:2005 or  
EN 14531 -6:2009  relevant cl.6 
29 Parking brake 
performance – 
calculation  4.2.4.5.5  EN 14531 -1:2005 or  
EN 14531 -6:2009  relevant cl.6 
30 Wheel slide protection 
system – design  
verification method  
wheel rotation 
monitoring system  4.2.4.6.2  EN 15595:2009 +A1:2011  4 
5, 6 
4.2.4.3   
EN 56  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
31 Magnetic track brake  4.2.4.8.2  EN 16207:2014  Annex C  
32 Door obstacle detection 
– sensitivity  
maximum force  4.2.5.5.3  EN 14752:2015  5.2.1.4.1  
5.2.1.4.2.2  
33 Door emergency 
opening – manual force 
to open the door  4.2.5.5.9  EN 14752:2015  5.5.1.5  
34 Environmental 
conditions – temperature  4.2.6.1.1  EN 50125 -1:2014  4.3 
35 Environmental 
conditions – snow, ice 
and hail conditions  4.2.6.1.2  EN 50125 -1:2014  4.7 
36 Environmental 
conditions – obstacle 
deflector  4.2.6.1.2  EN 15227:2008  
+A1:2011  relevant cl.6 
37 Aerodynamic effects –
crosswind method of 
verification  4.2.6.2.4 . EN 14067 -6:2010  5 
38 Head lights – colour  
dimmed headlamp 
luminous intensity  
 
full-beam headlamp 
luminous intensity 
alignment  4.2.7.1.1  EN 15153 -
1:2013 +A1:2016  5.3.3  
5.3.4  table 
2 first line  
5.3.4  table 
2 first line  
5.3.5  
39 Marker lights – colour  
 
spectral radiation 
distribution  
luminous intensity  4.2.7.1.2  EN 15153 -
1:2013 +A1:2016  5.4.3.1 
table 4  
5.4.3.2  
5.4.4   
table 6   
EN 57  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
40 Tail lights – colour  
 
luminous intensity  4.2.7.1.3  EN 15153 -
1:2013 +A1:2016  5.5.3   
table 7  
5.5.4  
table 8  
41 Warning horn sound 
pressure levels  4.2.7.2.2  EN 15153 -
2:2013 +A1:2016  5.2.2  
42 Regenerative brake with 
energy to the overhead 
contac tline  4.2.8.2.3  EN 50388:2012  and EN 
50388:2012/AC:2013  12.1.1  
43 Maximum power and 
current from the 
overhead contact line – 
automatic regulation of 
current  4.2.8.2.4  EN 50388:2012  and EN 
50388:2012/AC:2013  7.2 
44 Power factor – 
verification method  4.2.8.2.6  EN 50388:2012  and EN 
50388:2012/AC:2013  6 
45 System energy 
disturbances for AC 
systems – harmonics and 
dynamic effects  
compatibility study  4.2.8.2.7  EN 50388:2012  and EN 
50388:2012/AC:2013  10.1 
 
 
10.3  
Table 5  
Annex D  
10.4 
46 Working range in height 
of pantograph (IC level) 
– characteristics  4.2.8.2.9.1.2  EN 50206 -1:2010  4.2, 6.2.3  
47 Pantograph head 
geometry  4.2.8.2.9.2  EN 50367:2012  and EN 
50367:2012/AC:2013  5.3.2.2  
48 Pantograph head 
geometry – type 1600 
mm 4.2.8.2.9.2.1  EN 50367:2012  and EN 
50367:2012/AC:2013  Annex A.2 
Figure A.6  
49 Pantograph head 
geometry – type 1950 
mm 4.2.8.2.9.2.2  EN 50367:2012  and EN 
50367:2012/AC:2013  Annex A.2 
Figure A.7   
EN 58  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
50 Pantograph current 
capacity (IC level)  4.2.8.2.9.3  EN 50206 -1:2010  6.13.2  
51 Pantograph lowering 
(RST level) – time to 
lower the pantograph  
ADD  4.2.8.2.9.10  EN 50206 -1:2010  4.7 
 
4.8 
52 Pantograph lowering 
(RST level) – dynamic 
insulating distance  4.2.8.2.9.10  EN 50119:2009  and EN 
50119:2009/A1:2013  Table 2  
53 Electrical protection of 
the train – coordination 
of protection  4.2.8.2.10  EN 50388:2012  and EN 
50388:2012/AC:2013  11 
54 Protection against 
electrical hazard  4.2.8.4  EN 50153:2014  relevant cl.6 
55 Windscreen – 
mechanical 
characteristics  4.2.9.2.1  EN 15152:2007  4.2.7, 4.2.9  
56 Windscreen –
primary/secondary 
images  
optical distorsion  
haze 
luminous transmittance  
chromaticity  4.2.9.2.2  EN 15152:2007  4.2.2  
 
4.2.3  
4.2.4  
4.2.5  
4.2.6  
57 Recording device – 
functional requirements  
recording performance  
integrity  
data integrity safeguard  
level of protection  4.2.9.6  EN/IEC 62625 -1:2013  4.2.1, 4.2.2, 
4.2.3, 4.2.4  
4.3.1.2.2  
4.3.1.  4 
4.3.1.5  
4.3.1.7  
58 Measures to prevent fire 
– material requirements  4.2.10.2.1  EN 45545 -
2:2013 +A1:2015  relevant cl.6  
EN 59  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
59 Specific measures for 
flammable liquids  4.2.10.2.2  EN 45545 -
2:2013 +A1:2015  Table 5  
60 Fire spreading protection 
measures for passenger 
rolling stock – partition 
test 4.2.10.3.4  
 EN 1363 -1:2012  relevant cl 6 
61 Fire spreading protection 
measures for passenger 
rolling stock – partition 
test 4.2.10.3.5  EN 1363 -1:2012  relevant cl .6 
62 Emergency lighting – 
lighting level  4.2.10.4.1  EN 13272:2012  5.3 
63 Running capability  4.2.10.4.4  EN 50553:2012  and EN 
50553:2012/AC:2013  relevant cl.6 
64 Interface for water filling  4.2.11.5  EN 16362:2013  4.1.2  
figure 1  
65 Special requirements for 
stabling of trains – local 
external auxiliary power 
supply  4.2.11.6  EN/IEC 60309 -2:1999  
and amendments EN 
60309 -2:1999/A11:2004, 
A1: 2007 and A2:2012  relevant cl.6 
66 Automatic centre buffer 
coupler – type 10  5.3.1  EN 16019:2014  relevant cl.6 
67 Manual end coupling – 
UIC type  5.3.2  EN 15551: 2017  relevant cl.6 
68 Manual end coupling – 
UIC type  5.3.2  EN 15566: 2016  relevant cl.6 
69 Rescue coupler  5.3.3  EN 15020:2006  
+A1:2010  relevant cl.6 
70 Main circuit breaker – 
coordination of 
protection  5.3.12  EN 50388:2012  and EN 
50388:2012/AC:2013  11  
EN 60  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
71 Wheels – verification 
method  
decision criteria  
further verification 
method  
thermomechanical 
behaviour  6.1.3.1  EN 13979 -1:2003  
+A2:2011  7.2.1, 7.2.2  
7.2.3  
7.3 
6 
72 Wheel slide protection – 
method of verification  
test programme  6.1.3.2  EN 15595:2009 +A1:2011  5 
 
only 6.2.3 
of 6.2  
73 Head lamps – colour  
luminous intensity  6.1.3.3  EN 15153 -
1:2013 +A1:2016  6.3 
6.4 
74 Marker lamps – colour  
luminous intensity  6.1.3.4  EN 15153 -
1:2013 +A1:2016  6.3 
6.4 
75 Tail lamps – colour  
luminous intensity  6.1.3.5  EN 15153 -
1:2013 +A1:2016  6.3 
6.4 
76 Horn – sounding  
sound pressure level  6.1.3.6  EN 15153 -
2:2013 +A1:2016  6 
6 
77 Pantograph – static 
contact force  6.1.3.7  EN 50367:2012  and EN 
50367:2012/AC:2013  7.2 
78 Pantograph - limit value  6.1.3.7  EN 50119:2009  and EN 
50119:2009/A1:2013  5.1.2  
79 Pantograph – 
verification method  6.1.3.7  EN 50206 -1:2010  6.3.1  
80 Pantograph – dynamic 
behaviour  6.1.3.7  EN 50318:2002  relevant cl.6 
81 Pantograph – interaction 
characteristics  6.1.3.7  EN 50317:2012  and EN 
50317:2012/AC:2012  relevant cl.6  
EN 61  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
82 Contact strips – 
verification method  6.1.3.8  EN 50405: 2015  7.2, 7.3  
7.4, 7.6  
7.7 
83 Safety against 
derailment running on 
twisted track  6.2.3.3  EN 14363: 2016  4, 5, 6.1  
84 Running dynamic 
behaviour – method of 
verification  
assessment of criteria  
conditions of assessment  6.2.3.4  EN 14363: 2016  4, 5, 7  
85 Equivalent conicity – rail 
section definitions  6.2.3.6  EN 13674 -1:2011  relevant cl.6 
86 Equivalent conicity – 
wheel profile definitions  6.2.3.6  EN 13715:2006 +A1:2010  relevant cl.6 
87 Wheelset – assembly  6.2.3.7  EN 13260:2009  
+A1:2010  3.2.1  
88 Wheelset – Powered and 
non-powered axles, 
method of verification, 
decision criteria  6.2.3.7  EN 13103 -1:2017  5, 6 
 
7 
89 NOT USED  
90 Axle boxes/bearings  6.2.3.7  EN 12082:2007 +A1:2010  6 
91 Emergency braking 
performance  6.2.3.8  EN 14531 -1:2005  5.11.3  
92 Service braking 
performance  6.2.3.9  EN 14531 -1:2005  5.11.3  
93 Wheel slide protection, 
method of verification of 
performance  6.2.3.10  EN 15595:2009 +A1:2011  6.4  
EN 62  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
94 Slipstream effect – full 
scale tests – simplified 
assessment  6.2.3.13  EN 14067 -4:2013  6.2.2.1  
4.2.4 and 
table 7  
95 Head pressure pulse – 
method of verification  
CFD  
Moving model  – 
simplified assessment 
method  6.2.3.14  EN 14067 -4:2013  6.1.2.1  
6.1.2.4  
6.1.2.2  
4.1.4 and 
table 4  
96 Maximum pressure 
variations - distance xp 
between the entrance 
portal and the measuring 
position, the definitions 
of ΔpFr, ΔpN, ΔpT, the 
minimum tunnel length  6.2.3.15  EN 14067 -5:2006  
+A1:2010  relevant cl.6 
97 Horn – sound pressure 
level  6.2.3.17  EN 15153 -
2:2013 +A1:2016  5 
98 Maximum power and 
current from the 
overhead contact line – 
method of verification  6.2.3.18  EN 50388:2012  and EN 
50388:2012/AC:2013  15.3 
99 Power factor - method of 
verification  6.2.3.19  EN 50388:2012  and EN 
50388:2012/AC:2013  15.2 
100 Current collection 
dynamic behaviour – 
dynamic tests  6.2.3.20  EN 50317:2012  and EN 
50317:2012/AC:2012  relevant cl.6 
101 Windscreen – 
characteristics  6.2.3.22  EN 15152:2007  6.2.1 to 
6.2.7  
102 Structural strength   
Appendix  C EN 12663 -2:2010  5.2.1 -5.2.4   
EN 63  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
Section C.1 
103 NOT USED  
 
104 NOT USED  
 
105 NOT USED  
 
106 NOT USED  
107 Design values for new 
wheel profiles – 
evaluation of the 
equivalent conicity  6.2.3.6  EN 14363:2016   Annexes O 
and P  
108 Slipstream effects – 
Requirements  4.2.6.2.1  EN 14067 -4:2013  4.2.2.1, 
4.2.2.2, 
4.2.2.3 and 
4.2.2.4  
109 Head pressure pulse – 
Requirements  4.2.6.2.2  EN 14067 -4:2013  4.1.2  
110 End coupling – 
Compatibility between 
units –manual UIC type  4.2.2.2.3    
EN 16839:2017  5, 6  
7, 8 
111 ‘Single pole’ power 
supply  line 4.2.11.6  CLC/TS 50534:2010  Annex A  
112 Communication 
protocols  4.2.12.2  IEC 61375  relevant cl. 
(1) 
113 Gangways -Flange 
intercommunication 
connections  6.2.7a  EN 16286 -1:2013  Annexes A 
and B   
EN 64  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
114 Physical interface 
between units for the 
signal transmission  6.2.7a  UIC 558, January 1996  Plate 2  
115 Marking: length over 
buffers and electric 
power supply  6.2.7a  EN 15877 -2:2013  4.5.5.1  
4.5.6.3  
116 On-board location 
function -Requirements  4.2.8.2.8.1  EN 50463 -3:2017  4.4 
117 Accuracy of energy 
measurement function  
for active energy 
measurement:  
Requirements  
Class designations  
Assessment 
methodology  
 4.2.8.2.8.2  
6.2.3.19b  EN 50463 -2:2017  4.2.3.1 and 
4.2.3.4  
4.3.3.4, 
4.3.4.3 and 
4.4.4.2  
5.4.3.4.1, 
5.4.3.4.2, 
5.4.4.3.1, 
Table 3, 
5.4.3.4.3.1 
and 
5.4.4.3.2.1  
118 Energy measurement 
function: consumption 
point identification - 
Definition  4.2.8.2.8.3  
 EN 50463 -1:2017  4.2.5.2  
119 Interface protocols 
between on -board 
energy measurement 
system (EMS) and on -
ground data collection 
system (DCS) - 
Requirements  4.2.8.2.8.4  
 EN 50463 -4:2017  4.3.3.1, 
4.3.3.3, 
4.3.4, 4.3.5, 
4.3.6 and 
4.3.7   
EN 65  EN  TSI Normative document  
Index 
N° Characteristics to be 
assessed  Point  Document N°  Mandatory 
points  
120 Energy measurement 
function: mean 
temperature coefficient 
of each device - 
Assessment 
methodology  6.2.3.19b  EN 50463 -2:2017  5.4.3.4.3.2  
and 
5.4.4.3.2.2  
121 The compiling and 
handling of data within 
the data handing system -
Assessment 
methodology  6.2.3.19b  EN 50463 -3:2017  5.4.8.3, 
5.4.8.5 and 
5.4.8.6  
122 On- board energy 
measurement system -
Tests  6.2.3.19b  EN 50463 -5:2017  5.3.3 and 
5.5.4  
6clauses of the standard that are in direct relationship to the requirement expressed in the 
clause of the TSI indicated in column 3 . 
J.2 Technical documents (available on ERA website)  
 TSI ERA technical document  
Index 
N° Characteristics to be assessed  Point  Mandatory ref  
Document N°  Points  
1 Interface between control  
-command signalling trackside and 
other subsytems  4.2.3.3.1  ERA/ERTMS/033281 
rev 4.0 3.1 & 
3.2 
2 Friction elements for wheel tread 
brake for freight wagons  7.1.4.2  ERA/TD/2013 -02/INT  
v.3.0  All 
’; 
 
  
EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEX 5  
 
ANNEX  
to the  
COMMISSION IMPLEMENTING REGULATION (EU) …/...  
 
amending Commission Regulations (EU) No 321/2013, No 1299/2014, No  1301/2014, 
No 1302/2014, No 1303/2014 and No  1304/2014, Regulation (EU) 2016/919 and 
Commission  Implementing Decision 2011/665/EU  
as regards the alignment with Directive  (EU)  2016/797 of th e European Parliament and 
of the Council and the implementation of specific objectives set out in 
Commission  Delegated Decision  (EU)  2017/1474    
EN 1  EN ANNEX V 
The Annex to Regulation (EU)  1303/2014  is amended as follows :  
(1) in Sections 1.1, 3, 4.1, 4.4 and 6.2.5 the references to "Directive 2008/57/EC " are 
replaced by references to "Directive (EU) 2016/797 "; 
(2) in section 1.1.1(a), "European Union rail network" is replaced by "network of the 
Union rail system" ; 
(3) in section 1.1.3.1"European Union rail" is replaced by "network of the Union rail";  
(4) section  1.1.4 is modified  as follows:  
(a) point (a) of  Section  1.1.4 is replaced by:  
"This TSI covers only specific risks to the safety of passengers and on -board 
staff in tunnels for the sub-systems above. "; 
(b) a new point ( 5) is added in point (c) of Section  1.1.4 is added:  
"Risks for people in the neighbourhood of a tunnel where collapse of the 
structure could have catastrophic consequences. "; 
(5) section  1.2 is replaced as follows:  
"1.2 Geographical scope  
The geographical scope of this TSI is the network of the  Union rail system as  
described in Annex I of Directive (EU) 2016/797 with the exclusion of the cases 
referred to in Section  1(3) and 1(4) of Directive (EU) 2016/797 "; 
(6) "fire fighting  point(s) " is replaced by "evacuation and rescue  point(s) "  in s ections  
1.1.1(b), 2.2.1(b), 2.4(c) , 4.2.1.7, 4.2.3, 4.4.1(c), 4.4.2(a), 4.4.6 ; 
(7) in point (b) of Section 2.2.3, the text "panic and to" is deleted;  
(8) point (f) of Section 2.3 " is replaced as follows:  
"If the expectations of the emergency response services expressed in emergency 
plans go beyond the assumptions described above, the need for additional measures 
or tunnel equipment can be considered ."; 
(9) in Section  2.4, a definition (b1) "Final place of safety " is added as follows : 
"(b1) Final place of safety: the final place  of safety is the place where passengers and  
staff will no longer be impacted by the effects of the initial incident (e.g. smoke 
opacity  and toxicity, temperature). It is the termination point of the evacuation ."; 
(10) point 2.4(c) is replaced as follows:  
"(c) Evacuation and rescue point: an evacuation and rescue point is a defined 
location,  inside or  outside the tunnel, where fire fighting equipment can be used by 
the emergency response services and where passengers and staff can evacuate from a  
train. "; 
(11) point (b) shall be added to Section  3 
"(b) For meeting the essential requirements, the corresponding parameters of s  4.2.1, 
4.2.2 and 4.2.3 shall apply. ";  
EN 2  EN (12) section  3 is replaced as follows:  
3. ESSENTIAL REQUIREMENT S 
(a) The following table indicates basic parameters of this TSI and their 
correspondence to the essential requirements as set out and numbered in 
Annex  III to Directive (EU) 2016/797.  
(b) For meeting the essential requirements, the corresponding parameters of 
sections 4.2.1, 4.2.2 and 4.2.3 shall apply.  
3.1 Infrastructure and energy subsystems  
(a) In order to meet the essential requirement ‘Safety’ applying to the 
Infrastructure and Energy subsystems, the CSM on risk assessment may 
be applied as an alternative to the corresponding parameters of sections 
4.2.1 and 4.2.2.  
(b) Accordingly, for the risks i dentified in point 1.1.4 and the scenarios listed 
in point 2.2, the risk can be assessed by:  
(1) a comparison with a reference system,  
(2) an explicit risk estimation and evaluation.  
(c) For meeting the essential requirements other than ‘Safety’, the 
corresponding par ameters of sections 4.2.1 and 4.2.2 shall apply.  
 
Element of the 
infrastructure 
sub-system  Ref. 
Clause  Safety  Reliability 
Availa -
bility  Health  Environ -
mental 
protection  Technical 
compati -
bility  Accessi -
bility  
Prevent 
unauthorised 
access to 
emergency exits  
and technical 
rooms  4.2.1.1.  2.1.1       
Fire resistance of 
tunnel structures  4.2.1.2.  1.1.4  
2.1.1       
Fire reaction of 
building material  4.2.1.3.    1.3.2  1.4.2    
Fire reaction of 
building material  4.2.1.3.  1.1.4  
2.1.1       
Fire detection  4.2.1.4.  1.1.4  
2.1.1       
Evacuation 
facilities  4.2.1.5.  1.1.5  
2.1.1        
EN 3  EN Element of the 
infrastructure 
sub-system  Ref. 
Clause  Safety  Reliability 
Availa -
bility  Health  Environ -
mental 
protection  Technical 
compati -
bility  Accessi -
bility  
Escape walkways  4.2.1.6.  2.1.1       
Evacuation and 
rescue points  4.2.1.7  
except (b)  2.1.1       
Evacuation and 
rescue points  4.2.1.7 (b)      1.5  
Emergency 
communication  4.2.1.8.  2.1.1       
Power supply for 
emergency 
response services  4.2.1.9  2.1.1       
Reliability of 
electrical 
installations  4.2.1.10  2.1.1       
 
Element of the 
energy sub -
system  Ref. 
Clause  Safety  Reliability 
Availa -
bility  Health  Environ -
mental 
protection  Technical 
compati -
bility  Accessi -
bility  
Segmentation of 
overhead line or 
conductor rails  4.2.2.1.  2.2.1       
Overhead line or 
conductor rail 
earthing  4.2.2.2.  2.2.1       
 
3.2 Rolling stock subsystem  
(a) a. For meeting the essential requirements, the corresponding parameters 
of section 4.2.3 shall  apply.  
Element of the 
rolling stock  
sub-system  Ref. 
Clause  Safety  Reliability 
Availa -
bility  Health  Environ -
mental 
protection  Technical 
compati -
bility  Accessi -
bility  
Measures to 
prevent fire  4.2.3.1  1.1.4  
2.4.1   1.3.2  1.4.2     
EN 4  EN Element of the 
rolling stock  
sub-system  Ref. 
Clause  Safety  Reliability 
Availa -
bility  Health  Environ -
mental 
protection  Technical 
compati -
bility  Accessi -
bility  
Measures to 
detect and control 
fire 4.2.3.2  1.1.4  
2.4.1       
Requirements 
related to 
emergencies  4.2.3.3  2.4.1  2.4.2    1.5 
2.4.3   
Requirements 
related to 
evacuation  4.2.3.4  2.4.1       
(13) in section 4.1, "European Union rail system " is replaced by  "Union rail system";  
(14) section  4.2.1.2(b) is deleted ; 
(15) section  4.2.1.3 is replaced as follows:  
"4.2.1.3 This specification applies to all tunnels.  
(a) This specification applies to construction products and building elements inside  
tunnels, including cables.  
(1) These products shall fulfil the requirements of Commission Regulation 
(EU)  2016/3641: Tunnel building material shall fulfil the requirements of 
classification A2  
(2) Non-structural panels and other equipment shall fulfil the requirements of  
classification B.  
(3) Exposed cables shall have the characteristics of low flammability, low 
fire spread, low toxicity and low smoke density.  
(b) Materials that would not contribute significantly to a fire load shall be listed. 
They  are allowed to not comply with the above. "; 
(16) sectio n 4.2.1.4(a) is replaced  as follows:  
"(a) Fires in technical rooms shall be detected in order to alert the infrastructure 
manager  in case of fire. "; 
(17) section  4.2.1.5.2(b3) is deleted ; 
(18) in section  4.2.1.5.4 , the terms  "on escape routes" and "as low as possible," are 
deleted;  
(19) in section  4.2.1.6 , the term "top" is replaced by "bottom";  
                                                 
1 Commission Delegated Regulation (EU) 2016/364 of 1 July 2015 on the classification of the reaction to 
fire performance of construction products pursuant to Regulation (EU) No 305/2011 of the European 
Parliament and of the Council  (OJ L 68, 15.3.2016, p. 4 –11)  
EN 5  EN (20) section  4.2.1.7 is modified as follows:  
(a) in point (a1) the terms "length of the train" are replaced by  the terms  "length of 
the passenger train" ; 
(b) in point (a2) the terms "safe space" are replaced by "open air area" ; 
(21) table in  4.2.1.7 is replaced as follows:  
Rolling stock category 
according to  
paragraph 4.2.3  Maximum distance from the portals to an 
evacuation and rescue point and between 
evacuation and rescue points  
Category  A 5 km  
Category B  20 km  
(22) in point 4 of point (c) of s ection  4.2.1.7  is replaced as follows:  
"It shall be possible to switch off and earth the overhead line or conductor rail , either 
locally or remotely "; 
(23) a new section  4.2.1.9 is added with the following  text: 
4.2.1.9 Power supply for emergency response services  
This specification applies to all tunnels of more than 1 km length.  
(a) The electricity power distribution system in the tunnel shall be suitable for the 
emergency response services equipment in accor dance with the emergency 
plan for the tunnel. Some national emergency response services groups may be 
self-sufficient in relation to power supply. In this case, the option of not 
providing power supply facilities for the use of such groups may be 
appropria te. Such a decision, however, must be described in the emergency 
plan.  
(24) a new section 4.2.1. 10 is added with the following text : 
4.2.10 Reliability of electrical installations  
This specification applies to all tunnels of more than 1 km length.  
(a) Electrical in stallations relevant for safety (Fire detection, emergency lighting, 
emergency communication and any other system identified by the 
Infrastructure Manager as vital to the safety of passengers in the tunnel) shall 
be protected against damage arising from me chanical impact, heat or fire.  
(b) The distribution system shall have redundancy incorporated into the design.  
(c) Autonomy and reliability: an alternative power supply shall be  available for an 
appropriate period of time after failure of the main power supply. The time 
required shall be consistent with the evacuation scenarios considered and 
included in the emergency plan.  
(25) section  4.2.2.1 is replaced as follows:  
"This specificat ion applies to all tunnels of more than 1 km length.  
(a) The traction energy supply system in tunnels may be divided into segments.   
EN 6  EN (b) In such case, it shall be possible to switch off the traction energy supply of 
each segment either locally or remotely.  
(c) A means of communication and lighting shall be provided at the switching 
location to enable safe manual operation of the switching equipment. "; 
(26) point c of s ection 4.2.2.2 is deleted ; 
(27) section 4.2.2.3 is deleted ; 
(28) section 4.2.2.5. is deleted ; 
(29) in the t able in section  4.3.1 the reference to clause  "4.2.2.4(a)" is replaced by 
"4.2.1.3" ; 
(30) in the table in section 4.3.2  the terms "specific elements for train crew and auxiliary 
staff" and "4.6.3.2.3" are  deleted ; 
(31) section  4.4.2 is replaced  as follows:  
"These rules apply to tunnels of >1 km  
(a) An emergency plan shall be developed under the direction of the Infrastructure 
Manager(s), in co -operation with the emergency response services and the 
relevant  authorities for each tunnel. Station managers shall be equally involved 
if one  or more stations are used as a safe area or an evacuation and rescue 
point. Railway  
Undertakings that will use the tunnel may also be involved.  The emergency 
plan shall be consistent with the self -rescue, evacuation, fire -fighting and 
rescue facilities  available.  
(b) Detailed tunnel -specific incident scenarios adapted to the local tunnel 
conditions  shall be developed for the emergency plan.  
(c) The emergency plan shall be communicated to Railway Undertakings 
intending to use the tunnel " 
(32) section  4.4.4. is modifie d as follows:  
(a) in point (a) "section " is replaced by "segment";  
(b) point (c) is replaced as follows  
"Procedures and responsibilities for earthing shall be defined between the 
Infrastructure Manager and the emergency response services, and reported in 
the emerg ency plan. Provision shall be made for isolation of the segment in 
which the incident has taken place."  
(33) In Section  4.4.6.(c)  the text "panic and" is deleted ; 
(34) Section  4.8 is deleted ; 
(35) Section  6.2.5 is modified as follows:  
"Article  18(3)" is replaced by " Article 15(4);  
(36) Section  6.2.6 is replaced as follows:  
"6.2.6. Assessment of conformity for the Safety requirements applying to the  
Infrastructure  and Energy subsystems   
EN 7  EN (a) This clause applies when a comparison with a reference system or an explicit 
risk estimation is used to meet the essential requirement ‘Safety’ applying to 
the Infrastructure and Energy subsystems.  
(b) In such case, the applicant shall:  
(1) determine the risk acceptance principle, the methodology for the risk  
assessment, the safety requirements to be fulfilled by the system and the  
demonstration that they are fulfilled ; 
(2) determine the risk acceptance levels with the relevant national  
authority/authorities;  
(3) designate the independent assessment body as defined in the CSM on risk  
assessment. This assessmen t body can be the notified body selected for 
the Infrastructure or Energy subsystem if recognised or accredited as per 
Section  7 of the CSM on risk assessment.  
(c) A safety assessment report shall be provided in compliance with the 
requirements  defined in the CSM on risk assessment.  
(d) The EC certificate issued by the notified body shall explicitly mention the risk  
acceptance principle used for meeting the ‘Safety’ requirement of this TSI. It 
shall  also mention the methodology applied for the risk assessment and t he risk 
acceptance  levels. " 
(37) Section 6.2.7 is modified as follows:  
Section 6.2.7.1. is deleted : "Prevent unauthorised access to emergency exits and 
equipment rooms The assessment shall confirm that: (a) Emergency exit doors to the 
surface and doors to techn ical rooms are provided with suitable locks (b)The locks 
provided are consistent with the overall strategy for security for the tunnel and 
adjacent infrastructure (c) Emergency exits are not lockable from the inside and shall 
be able to be opened by evacua ting persons (d) Access arrangements are in place for 
the emergency response services" is  replaced by " not used " 
Section 6.2.7.2. (a)(2) is deleted  
Section 6.2.7.5. is deleted, "Access and equipment for emergency response services 
The Notified Body shall c onfirm, by verification of the technical file and also 
considering evidence of consultation with the emergency response services, that the 
corresponding requirements in section 4.2.1 and 4.4 have been met: " is replaced by 
"not used"  
Section 6.2.7.6, " 4.2.2 .5" is replaced by "4.2.1.11."  
(38) Section  7(b) is modified as follows:  
"suitable for safe integration in accordance with Section  15(1) of Directive 
2008/57/EC with all non -TSI compliant tunnels within the geographical scope of this 
TSI." is replaced by "technically compatible with all non -TSI compliant tunnels 
within the geographical scope of this TSI in accordance with Section  21(3) of 
Directive (EU) 2016/797." ; 
(39) Section 7.1.1.(b) is modified as follows:  
"In the latter case Article  24 an d 25 of Directive 2008/57/EC apply." is dele ted;  
EN 8  EN (40) Section  7.2.2 is replaced as follows:  
"7.2.2. Upgrade and renewal measures for tunnels  
7.2.2.1. Renewal or upgrading of a tunnel  
(a) A tunnel is considered to be renewed or upgraded in the context of this TSI 
when any  major modification or substitution work are carried out on a 
subsystem (or part of it)  composing the tunnel.  
(b) Assemblies and components that are not included in the scope of a particular 
upgrade  or renewal programme do not have to be made compliant a t the time 
of such a  programme.  
(c) When upgrading or renewal works are carried out, the following parameters 
apply if  they are in the scope of work:  
 4.2.1.1. Prevent unauthorised access to emergency exits and technical  rooms  
 4.2.1.3. Fire reaction of buil ding material  
 4.2.1.4. Fire detection in technical rooms  
 4.2.1.5.5 Escape signage  
 4.2.1.8. Emergency communication  
(d) The tunnel emergency plan shall be revised.  
7.2.2.2. Extension of a tunnel  
(a) A tunnel is considered to be extended in the context of this  TSI when its 
geometry is  affected (e.g. extension in length, connection to another tunnel).  
(b) When a tunnel extension is carried out, then the following measures shall be  
implemented for assemblies and components included in the extension:  
 4.2.1.1. Preven t unauthorised access to emergency exits and technical  rooms  
 4.2.1.2. Fire resistance of tunnel structures  
 4.2.1.3. Fire reaction of building material  
 4.2.1.4. Fire detection in technical rooms  
 4.2.1.5.4 Emergency lighting  
 4.2.1.5.5 Escape signage  
 4.2.1.6. Escape walkways  
 4.2.1.8. Emergency communication  
 4.2.1.9. Power supply for emergency response services  
 4.2.1.11. Reliability of electrical installations  
 4.2.2.1. Segmentation of overhead line or conductor rails  
 4.2.2.2. Overhea d line or conductor rail earthing  
(c) The CSM on risk assessment shall be implemented as described in point 6.2.6 
for defining the relevance of applying other measures.  
(d) The tunnel emergency plan shall be revised. "; 
(41) section 7.4.1 is replaced by the following:   
EN 9  EN ‘7.4.1. General  
(1) The specific cases, as listed in the following clause, describe special provisions 
that are needed and authorised on particular networks of each Member State.  
(2) These specific cases are classified as ‘T’ cases: ‘temporary’ cases: the target 
system shall be  reached by 31 December 2025.   
(3) Any specific case applicable to rolling stock within the scope of this TSI in 
detailed in the LOC&PAS TSI. ’. 
(42) Table of appendix B is replaced as follows:  
Characteristics to be assessed  Step of the pr oject  
Particular 
assessment 
procedures  Design  
review  Assembly before 
putting into 
service  
1 2 3 
4.2.1.1. Prevent unauthorised access to emergency 
exits and technical rooms  X X  
4.2.1.2. Fire resistance of tunnel structures  X X 6.2.7.2  
4.2.1.3. Fire reaction of building material  X  6.2.7.3  
4.2.1.4. Fire detection in technical rooms  X X  
4.2.1.5. Evacuation facilities  X X 6.2.7.4  
4.2.1.6. Escape walkways  X X  
4.2.1.7 Evacuation and rescue points  X X  
4.2.1.8 Emergency communication  X   
4.2.1.9.  Power supply for emergency response 
services  X   
4.2.1.10. Reliability of electrical installations  X   
4.2.2.1. Segmentation of overhead line or 
conductor rails  X X  
4.2.2.2. Overhead line or conductor rail earthing  X X  
  
EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEX 6  
 
ANNEX  
to the  
COMMISSION IMPLEMENTING REGULATION (EU) …/...  
amending Commission Regulations (EU) No 321/2013, No 1299/2014, No  1301/2014, 
No 1302/2014, No 1303/2014 and No  1304/2014, Regulation (EU) 2016/919 and 
Commission  Implementing Decision 2011/665/EU  
as regards the alignment with Directive  (EU)  2016/797 of th e European Parliament and 
of the Council and the implementation of specific objectives set out in 
Commission  Delegated Decision  (EU)  2017/1474  
   
EN 1  EN ANNEX VI 
The Annex to Regulation (EU)  1304/2014 is amended as follows :  
(1) in section 1 the text ‘Directive 2008/57/EC’ is replaced by the text ‘Directive (EU)  
2016/797’;  
(2) section 2 is replaced by the following : 
‘2. DEFINITION OF THE SUBSYSTEM  
A ‘unit’ means the rolling stock which is subject to the application of this TSI, and 
therefore subject to the ‘EC’ verification procedure. Chapter 2 of Regulation (EU) 
No 1302/2014 and chapter 2 of Regulation (EU) No 321/2013  describe what a unit 
can consist of.  
The requirements of this TSI apply to the following categories of rolling stock set out 
in section 2 in Annex I of Directive (EU) 2016/797:  
(a) Locomotives and passenger rolling stock including thermal or electric traction 
units, self -propelling thermal or electric passenger trains, and passenger 
coaches. This category is further defined in chapter 2 of Regulation (EU) 
No 1302/2014 and shall be re ferred to in this TSI as locomotives, electric 
multiple units (EMU), diesel multiple units (DMU) and coaches;  
(b) Freight wagons, including low -deck vehicles designed for the entire network 
and vehicles designed to carry lorries. This category is further defin ed in 
chapter 2 of Regulation (EU) No 321/2013  and shall be referred to in this TSI 
as wagons;  
(c) Special vehicles, such as on -track machines. This category is further defined in 
chapter 2 of Regulation (EU) No  1302/2014 and consists of on -track machines 
(referred to in this TSI as OTMs) and infrastructure inspection vehicles, which 
belong to the categories in points (a) or (b) depending on their design. ’; 
(3) section 3 is replaced by the following : 
‘3. ESSENTIAL REQUIREMENTS  
All basic parameters set out in this TSI must be linked with at least one of the 
essential requirements as set out in Annex III of Directive (EU) 2016/797. Table 1 
indicates the allocation.   
EN 2  EN Table 1  
Basic parameters and their link to the essential requirements  
Point  Basic parameter  Essential r equirements  
Safety  Reliability 
and 
availabilit
y Health  Environ
mental 
protectio
n Technic
al 
compati
bility  Accessi
bility  
4.2.1  Limits for stationary 
noise     1.4.4    
4.2.2  Limits for starting noise     1.4.4    
4.2.3  Limits for pass -by 
noise     1.4.4    
4.2.4  Limits for driver’s cab 
interior noise     1.4.4    
’ 
(4) in section 4.2 the reference to ‘Articles 5(5) and 2(l) of Directive 2008/57/EC’ is 
replaced by the reference to ‘Articles 4(5) and 2(13)  of Directive (EU)  2016/797’;  
(5) in section 7.2 the following paragraph is added before section 7.2.1:  
‘The principles to be applied by the applicants and authorising entities in case of 
change(s) to an existing rolling stock or rolling stock type are defined in point 7.1.2 
of Regulation (EU) No  1302/2014 and section  7.2 of Regulation (EU) 
No 321/2013. ’; 
(6) section 7.2 .1 is replaced by the following:  
‘7.2.1 Provisions in case of changes to existing rolling stock or rolling stock type  
The applicant shall ensure that the noise levels of rolling stock subject to change(s) 
remain below the limits set out in the TSI which was applicable when the rolling 
stock in question was first authorised. If no TSI existed at the time of the first 
authorisation, the applicant  shall ensure  that the noise levels of the rolling stock 
subject to change(s) are either not increased or remain below the limits set out in 
Decision 2006/66/EC or Decision 2002/735/EC.  
If an assessment is required, it shall be limited to the basic parameters affected by the 
change(s).  
If the simplified evaluation is ap plied, the original unit may represent the reference 
unit in accordance with the provisions of point 6.2.3.  
The replacement of a whole unit or (a) vehicle(s) within a unit (e.g. a replacement 
after a severe damage) does not require a conformity assessment against this TSI, as 
long as the unit or the vehicle(s) are identical to the ones they replace.  ’. EN   EN  
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEX 7  
 
ANNEX  
to the  
COMMISSION IMPLEMENTING REGULATION (EU) …/...  
amending Regulation (EU) No 1299/2014, Regulation (EU) No 1301/2014, 
Regulation  (EU)  No 1302/2014, Regulation (EU) No 1303/2014, 
Regulation  (EU)  No 1304/2014, Regulation (EU) No 321/2013, 
Regulation  (EU)  No 2016/919 and Decision 2011/665/EU  
as regards the alignment with Directive  (EU)  2016/797 and the implementation of 
specific objectives set out in Decision  (EU)  2017/1474  EN 1  EN ANNEX VII 
The Annex to Regulation (EU)  2016 /919 is amended as follows :  
(1) Section 1.1 is amended as follows:  
(a) in the second subparagraph, the text  ‘Annex  I points 1.2 and 2.2 of 
Directive  2008/57/EC’ is replaced by the text  ‘Annex I point 2 of Directive 
(EU)  2016/797’;  
(b) points (1) to (4) are replaced by the following:  
‘(1) locomotives and passenger rolling stock, including thermal or electric 
traction unit s, self-propelling thermal or  electric passenger trains, and 
passenger coach , if equipped with a driving cab.  
(2) special vehicles, such as on -track m achines, if equipped with a driving 
cab and intended to be used in transport mode on its own wheels.  
This list of vehicles shall include those which are specially designed to operate 
on the different types of high -speed lines described in point 1.2.  (Geographical 
scope) .’; 
(2) Section 1.2 is replaced by the following:  
‘1.2. Geographical Scope  
The geographical scop e of this TSI is the network of the whole rail system, as 
described in Annex I point 1 of Directive (EU) 2016/797 and excludes the  
infrastructure  cases referred to in Articles 1(3) and 1(4) of Directive (EU) 2016/797.  
The TSI shall apply to networks with 1435 mm, 1520 mm, 1524 mm, 1600 mm and 
1668 mm track gauges. However, it shall not apply to short border crossing lines 
with 1520 mm track gauges that are connected to the network of third countries. ’; 
(3) Section 1.3 is amended as follows : 
(a) the text  ‘Article 5 (3) of Directive 2008/57/EC’ is replaced by the text  
‘Article  4(3) of Directive  (EU) 2016/797 ’; 
(b) points (8) and (9) are added after point (7) as follows:  
‘(8) indicates the provisions applicable to the existing subsystems, in 
particular in the event of upgr ading and renewal and, in such cases, the 
modification work which requires an application for a new authorisation 
for the vehicle  or trackside subsystem  — Chapter 7 (Implementing the 
Control -Command and Signalling  Subsystems TSI);  
(9) indicates the param eters of the subsystems to be checked by the railway 
undertaking and the procedures to be applied to check those parameters 
after the delivery of the vehicle authorisation for placing on the market 
and before the first use of the vehicle to ensure compatib ility between 
vehicles and the routes on which they are to be operated — Chapter 4 
(Characterisation of the Subsystem).  ’; 
(c) the text  ‘Article 5(5) of Directive 2008/57/EC’ is replaced by the text  
‘Article  4(5) of Directive  (EU) 2016/797 ’;  EN 2  EN (4) The first paragra ph of section 2.1 is replaced by the following:  
‘The Control -Command and Signalling Subsystems are defined in Annex II of 
Directive (EU) 2016/797 as:  
(a) Trackside control -command and signalling as: “all the trackside equipment 
required to ensure safety and t o command and control movements of trains 
authorised to travel on the network.”  
(b) On-board control -command and signalling as “all the on -board equipment 
required to ensure safety and to command and control movements of trains 
authorised to travel on the net work.  ’; 
(5) Section 2.2 is amended as follows:  
(a) the text ‘ Class B systems for the trans -European rail system network are a 
limited set of train protection limited set of train protection legacy systems that 
were in use  in the trans - European rail network before 20  April  2001’ is 
replaced by ‘ Class B systems for the trans -European rail system network are a 
limited set of train protection and voice radio legacy systems that were already 
in use in the trans - European rail network before 20  April  2001’;  
(b) the te xt ‘Class B systems for other parts of the network of the rail system in the 
European Union are a limited set of train protection limited set of train 
protection legacy systems that were in use  in the trans - European rail network 
before 1  July 2015 ’ is rep laced by ‘ Class B systems for other parts of the 
network of the rail system in the European Union are a limited set of train 
protection and voice radio legacy systems that were already in use in the trans - 
European rail network before 1  July 2015 ’; 
(c) the tex t ‘The list of Class B systems is established in the European Railway  
Agency  technical document s ‘List of CCS Class B systems, ERA/TD/2011 -11, 
version 3.0 .’ is replaced by ‘ The list of Class B systems is established in the 
European Union Agency for Railway s technical document ‘List of CCS Class 
B systems, ERA/TD/2011 -11.’; 
(6) Section 2.3 is replaced by the following:  
‘2.3 Trackside Application Levels (ETCS)  
The interfaces specified by this TSI define the means of data transmission to, and 
(where appropriate) f rom trains. The ETCS specifications referenced by this TSI 
provide application levels from which a trackside implementation may choose the 
means of transmission that meet its requirements.  
This TSI defines the requirements for all application levels.  
For the technical definition of the ETCS application levels see Annex A, 4.1 c. ’; 
(7) Section 3.1 is amended as follows:  
(a) the text  ‘Directive 2008/57/EC’ is replaced by the reference to ‘Directive (EU) 
2016/797’;  
(b) a new point (6) is added after point 5 as follow:  
‘(6) Accessibility.’;  EN 3  EN (8) Section 3.2.1 is replaced by the following:  
‘3.2.1 Safety  
Every project to which this specification is applied shall take the measures necessary 
to ensure that the level of risk of an incident occurring within the scope of the 
Control -Command and Signalling Subsystems, is not higher than the objective for 
the service. For this purpose the risk management process set out in Annex I to the 
Commission Implementing Regulation (EU) No 402/20131 shall be applied, as 
referred to in Art icle 6(1)(a) of Directive (EU)2016/798 of the European Parliament 
and of the Council2 The correct application of the risk management process as set out 
in Annex I of Regulation 402/2013, as well as the appropriateness of the results from 
this application, must be independently assessed by a CSM assessment body 
according to Article 6 of that Regulation. The CSM Assessment Body must be 
accredited or recognised according to the requirements in Annex II of Regulation 
402/2013 in the fields of “Control -command a nd signalling” and “System safe 
integration” as listed in item 5 “classification” of ERADIS database entry for 
Assessment Bodies . 
To ensure that the measures taken to achieve safety do not jeopardise 
interoperability, the requirements of the basic paramete r defined in point 4.2.1 
(Control -Command and Signalling safety characteristics relevant to interoperability) 
shall be respected.  
For the ETCS Class A system the safety objective is apportioned between the 
Control -Command and Signalling On -board and Tracks ide Subsystems. The detailed 
requirements are specified in the basic parameter defined in point 4.2.1 (Control -
Command and Signalling safety characteristics relevant to interoperability). This 
safety requirement must be met together with the availability r equirements as defined 
in Point 3.2.2 (Reliability and Availability).  
The application of the specifications as referred to in Annex A, Table A 3 is an 
appropriate means to fully comply to the risk management of the Commission 
Implementing Regulation (EU) N o 402/2013 for design, implementation, production, 
installation and validation (incl. Safety acceptance) of interoperability constituents 
and subsystems.  When different  specifications  from the ones referred to in Annex A, 
Table 3  are applied , at least equivalence shall be demonstrated with the specifications 
in Annex A, Table 3.  
To avoid unnecessary duplication of independent assessment work, the independent 
safety assessment activities that are required by the specifications referred to in 
Annex A, Table A 3 shall be carried out by an Assessment Body accredited or 
recognized as specified in the section above  instead of a CENELEC independent 
safety assessor .’; 
(9) Section 3.2.5.2 is deleted;  
(10) A new section 3.2.6 is added as follows:  
                                                 
1 Commission Implementing Regulation (EU) No 402/2013 of 30 April 2013 on the common safety 
method for risk evaluation and assessment and repealing Regulation (EC) No 352/2009 (OJ L 121, 
3.5.2013, p. 8)  
2 Directive (EU) 2016/798  of the European Parli ament and of the Council of 11 May 2016  on railway 
safety  (OJ L 138, 26.5.2016, p.  102). EN 4  EN ‘3.2.6 Accessib ility 
No requirements are mandated for the CCS subsystems for the essential requirement 
accessibility. ’ 
(11) Section 4.1.1 is amended as follows:  
(a) in point (16) the text ‘points 4.2.16’ is replaced by ‘point 4.2.16’;  
(b) a new point (17) is added as follows:  
‘(17)  ETCS and Radio System Compatibility (point 4.2.17)’;  
(12) In section 4.1.2 the text ‘ limiting the movement of TSI -compliant on -board 
subsystems. ’ is replaced by ‘ limiting the movement of vehicles with TSI -compliant 
on-board subsystems. ’; 
(13) Table 4.1 in section 4.1 .3 is replaced by:  
‘Table 4.1  
Subsystem  Part  Basic parameters  
Control -Command and 
Signalling On -board  Train protection  4.2.1, 4.2.2, 4.2.5, 4.2.6, 4.2.8, 4.2.9, 4.2.12, 
4.2.14, 4.2.16, 4.2.17  
Voice radio 
communication  4.2.1.2, 4.2.4.1, 4.2.4.2, 4.2.5.1,  4.2.13, 4.2.16, 
4.2.17  
Data radio 
communication  4.2.1.2, 4.2.4.1, 4.2.4.3, 4.2.5.1, 4.2.6.2, 4.2.16, 
4.2.17  
Control -Command and 
Signalling Trackside  Train protection  4.2.1, 4.2.3, 4.2.5, 4.2.7, 4.2.8, 4.2.9, 4.2.15, 
4.2.16, 4.2.17  
Voice radio 
communication  4.2.1.2, 4.2.4, 4.2.5.1, 4.2.7, 4.2.16, 4.2.17  
Data  communication  4.2.1.2, 4.2.4, 4.2.5.1, 4.2.7, 4.2.16, 4.2.17  
Train detection  4.2.10, 4.2.11, 4.2.16  
’;  
(14) The title of section 4.2.1 is replaced by ‘ Control -Command and Signalling reliability, 
availability and safety characteristics relevant to interoperability ’; 
(15) Section 4.2.1.1 is amended as follows:  
(a) the text ‘on board’ is replaced by ‘on -board’;  
(b) a new paragraph is added at the end of the section as follows:  
‘Train detection equipm ent can be used to enable the safe movement of trains 
on railways. The safety requirements of such train detection equipment are 
dependent on the operational framework conditions and the way all functions 
of the trackside signalling system are actually int egrated. The definition of the 
safety requirements of the train detection equipment shall be part of the overall 
risk assessment of the trackside signalling system ( e.g. including the 
interlocking  or level crossing  functions) using the methodology set out in 
Annex I of Regulation (EU) No 402/2013 .’; 
(16) Section 4.2.2 is replaced by the following:  
‘4.2.2.  On-board ETCS functionality  EN 5  EN The basic parameter for ETCS on -board functionality describes all of the functions 
needed to run a train in a safe way. The primary  function is to provide automatic 
train protection and cab signalling:  
(1) setting the train characteristics (e.g, maximum train speed, braking 
performance),  
(2) selecting the supervision mode on the basis of information from trackside,  
(3) performing odometry functio ns, 
(4) locating the train in a coordinate system based on Eurobalise locations,  
(5) calculating the dynamic speed profile for its mission on the basis of train 
characteristics and of information from trackside,  
(6) supervising the dynamic speed profile during the mis sion,  
(7) providing the intervention function.  
These functions shall be implemented in accordance with Annex A 4.2.2 b and their 
performance shall conform to Annex A 4.2.2 a.  
The requirements for tests are specified in Annex A 4.2.2 c.  
The main functionality i s supported by other functions, to which Annex A 4.2.2 a 
and Annex A 4.2.2 b also apply, together with the additional specifications indicated 
below:  
(1) Communication with the Control -Command and Signalling Trackside 
Subsystem.  
(a) Eurobalise data transmission. See point 4.2.5.2 (Eurobalise 
communication with the train).  
(b) Euroloop data transmission. See point 4.2.5.3 (Euroloop communication 
with the train). This data transmission is optional for the on -board 
subsystem unless operating on an ETCS level 1 line wher e Euroloop is 
installed and the release speed is set to zero for safety reasons (e.g. 
protection of danger points).  
(c)  Radio data transmission for radio infill. See Annex A, 4.2.2 d, point 
4.2.5.1 (Radio communications with the train), point 4.2.6.2 (Interfa ce 
between GSM -R Radio Data Communication and ETCS) and point 4.2.8 
(Key Management). This radio data transmission  is optional  for the  on-
board subsystem unless operating on an ETCS level 1 line where  radio 
data transmission for radio infill is installed a nd the release speed is set to 
zero for safety reasons (e.g., protection of danger points).  
(d) Radio data transmission. See point 4.2.5.1 (Radio communications with 
the train), point 4.2.6.2 (Interface between GSM -R Radio Data 
Communication and ETCS) and poin t 4.2.8 (Key Management).  
(2) Communicating with the driver. See Annex A, 4.2.2 e and point 4.2.12 (ETCS 
DMI).  
(3) Communicating with the STM. See point 4.2.6.1 (Interface between ETCS and 
STM). This function includes:  
(a) managing the STM output,  EN 6  EN (b) providing data to b e used by the STM,  
(c) managing STM transitions.  
(4) Managing information about the completeness of the train (train integrity) —  
Supplying the train integrity to the on -board subsystem, is optional unless it is 
required by trackside.  
(5) Equipment health monitoring and degraded mode support. This function 
includes:  
(a) initialising the on -board ETCS functionality,  
(b) providing degraded mode support,  
(c) isolating the on -board ETCS functionality.  
(6) Support data recording for regulatory purposes. See point 4.2.14 (Interface to 
Data  Recording for Regulatory Purposes).  
(7) Forwarding information/orders and receiving state information from rolling 
stock:  
(a) to the DMI. See point 4.2.12 (ETCS DMI)  
(b) to/from the train interface unit. See Annex A, 4.2.2 f.  ’; 
(17) Section 4.2.3 is replaced by the follo wing:  
‘4.2.3.  Trackside ETCS functionality  
This Basic parameter describes the ETCS trackside functionality. It contains all 
ETCS functionality to provide a safe path to a specific train.  
The main functionality is:  
(1) locating a specific train in a coordinate system based on Eurobalise locations 
(level 2 and level 3),  
(2) translating the information from trackside signalling equipment into a standard 
format for the Control -Command and Signalling On -board Subsystem,  
(3) sending movement authorities including track description and orders assigned 
to a specific train.  
These functions shall be implemented in accordance with Annex A 4.2.3 b and their 
performance shall conform to Annex A 4.2.3 a.  
The main functionality is supported by other functions, to which Anne x A 4.2.3 a 
and Annex A 4.2.3 b also apply, together with the additional specifications indicated 
below:  
(1) communicating with the Control -Command and Signalling On -board 
Subsystem. This includes:  
(a) Eurobalise data transmission. See point 4.2.5.2 (Eurobalise 
communication with the train) and point 4.2.7.4 (Eurobalise/Line -side 
Electronic Unit (LEU));  
(b) Euroloop data transmission. See point 4.2.5.3 (Euroloop communication 
with the train) and point 4.2.7.5 (Euroloop/LEU). Euroloop is only 
relevant in level 1, in whi ch it is optional;  EN 7  EN (c)  Radio data transmission for radio infill. See Annex A, 4.2.3 d, point 
4.2.5.1 (Radio communications with the train), point 4.2.7.3 (GSM -
R/trackside ETCS functionality) and point 4.2.8 (Key Management). 
Radio in -fill is only relevant in level 1, in which it is optional;  
(d) Radio data transmission. See point 4.2.5.1 (Radio communications with 
the train), point 4.2.7.3 (GSM -R/trackside ETCS functionality) and point 
4.2.8 (Key Management). Radio data transmission is only relevant to 
level 2 and  level 3.  
(2) generating information/orders to the on -board ETCS, e.g. information related 
to closing/opening the air flaps, lowering/raising the pantograph, 
opening/closing the main power switch, changing from traction system A to 
traction system B. Implement ation of this functionality is optional for 
trackside; it can however be required by other applicable TSIs or national rules 
or the application of risk evaluation and assessment to ensure safe integration 
of subsystems;  
(3) managing the transitions between are as supervised by different Radio Block 
Centres (RBCs) (only relevant for level 2 and level 3). See point 4.2.7.1 
(Functional interface between RBCs) and point 4.2.7.2 (Technical interface 
between RBCs).  ’; 
(18) In section 4.2.6.3 the reference to ‘4.2.6f’ is de leted.  
(19) In section 4.2.11 the text ‘ Control -Command and Signalling equipment. ’ is replaced 
by ‘Control -Command and Signalling train detection equipment. ’ 
(20) In section 4.2.16 the text ‘ by Control -command and signalling On -board 
Subsystems ’ is replaced by ‘ by C ontrol -command and signalling On -board 
Interoperability Constituents and  Subsystems ’; 
(21) A new section 4.2.17 is added as follows:  
‘4.2.17  ETCS and Radio System Compatibility  
Due to the different possible implementations and the status of the migration to fully 
compliant CCS Subsystems, checks shall be performed in order to demonstrate the 
technical compatibility between the on -board and trackside CCS Subsystems.  The 
necessity of th ese checks shall be considered as a temporary measure  to increase the 
confidence on the technical compatibility between the CCS subsystems  to achieve 
the principle stated in point 6.1.2.1 . 
4.2.17.1  ETCS System Compatibility  
ETCS System Compatibility (ESC) shall be the recording of technical compatibility 
between ETCS on-board and ETCS trackside parts of the CCS subsystems within an 
area of use.  
ESC type shall be the value assigned to record the technical compatibility between  an 
ETCS on-board and a section within the area of use. All sections of the Union 
network which require the same set of checks for the demonstration of ESC shall 
have the same ESC type.  
4.2.17.2  Radio System Compatibility  
Radio System Compatibility (RSC) s hall be the recording of technical compatibility 
between voice or data radio and GSM -R trackside parts of the CCS subsystems.  EN 8  EN RSC type shall be the value assigned to record the technical compatibility between a 
voice or data radio and a section within the area of use. All sections of the Union 
network which require the same set of checks for the demonstration of RSC shall 
have the same RSC type.’;  
(22) Section 4.3 is amended as follows:  
(a) in the title of the tables , the text ‘Clause’ is replaced by ‘Point’;  
(b) sectio n 4.3.1  is replaced by the following : 
1.1.1.  Interface to the Traffic Operation and Management Subsystem  
Interface with Traffic Operation and Management TSI  
Reference CCS TSI   Reference Traffic Operation and Management TSI3  
Parameter  Point  Parameter  Point  
Operating rules (normal and 
degraded conditions)  4.4 Rule book  
Operating rules  4.2.1.2.1  
4.4 
Visibility of trackside Control -
Command and Signalling objects  4.2.15  Signal and line -side marker sighting  4.2.2.8  
Train braking performance and 
characteristics  4.2.2  Braking performance  4.2.2.6  
Use of sanding equipment  
On-board flange lubrication  
Use of composite brake blocks  4.2.10  Rule book  4.2.1.2.1  
Interface to Data Recording for 
Regulatory Purposes  4.2.14  Data recording onboard  4.2.3.5  
ETCS DMI  4.2.12  
 Train running number  4.2.3.2.1  
GSM -R DMI  4.2.13  Train running number  4.2.3.2.1  
Key Management  4.2.8  Ensuring that the train is in running 
order  4.2.2.7  
 
(c) section 4.3.2 is replaced by the following : 
‘4.3.2.  Interface to the Rolling Stock Subsystem  
                                                 
3 Commission Regulation (EU) 2015/995 of 8 June 2015 amending Decision 2012/757/EU concerning 
the technical specification for interoperability relating to the ‘operati on and traffic management’ 
subsystem of the rail system in the European Union  EN 9  EN Interface with Rolling Stock TSIs  
Reference CCS TSI  Reference Rolling Stock TSIs  
Parameter  Point  Parameter   Point  
Compatibility with trackside 
train detection systems: 
vehicle design  4.2.10  Rolling stock 
characteristics to be 
compatible with train 
detection systems based on 
track circuits  HS RS TSI4 wheelset location  
axle load  
sanding  
electrical resistance between wheels  
CR RS TSI5 
LOC & PAS TSI6 
Wagon TSI7 4.2.7.9.2  
4.2.3.2  
4.2.3.10  
4.2.3.3.1  
4.2.3.3.1.1  
4.2.3.3.1.1  
4.2.3.2  
Rolling stock 
characteristics to be 
compatible with train 
detection systems based on 
axle counters  HS RS TSI wheelset geometry  
wheels  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  4.2.7.9.2  
4.2.7.9.3  
4.2.3.3.1.2  
4.2.3.3.1.2  
4.2.3.3  
Rolling stock 
characteristics to be 
compatible  with loop 
equipment  HS RS TSI  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  None  
4.2.3.3.1.3  
4.2.3.3.1.3  
None 4.2.3.3  
Electromagnetic compatibility 
between rolling stock and 
Control -Command and 
Signalling trackside 
equipment  4.2.11  Rolling stock 
characteristics to be  
compatible with train 
detection systems based on 
track circuits  HS RS TSI  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  4.2.6.6.1  
4.2.3.3.1.1  
4.2.3.3.1.1  
None 4.2.3.3  
 Rolling stock 
characteristics to be 
compatible with train 
detection systems based on 
axle counters  HS RS TSI  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  4.2.6.6.1  
4.2.3.3.1.2  
4.2.3.3.1.2  
None 4.2.3.3  
                                                 
4 HS RS TSI is Commission Decision of 21 February 2008 concerning a technical specification for 
interoperability relating to the rolling stock sub -system of the trans -European high-speed rail system 
(2008/232/CE)  
5 CR RS TSI is Commission Decision of 26 April 2011 concerning a technical specification for 
interoperability relating to the rolling stock subsystem — Locomotives and passenger rolling stock of 
the trans -European conve ntional rail system (2011/291/EU)  
6 LOC & PAS TSI is Commission Regulation (EU) No 1302/2014 of 18 November 2014 concerning a 
technical specification for interoperability relating to the ‘rolling stock — locomotives and passenger 
rolling stock’ subsystem o f the rail system in the European Union  
7 Wagon TSI is 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 Eu ropean Union and repealing Decision 2006/861/EC  EN 10  EN Interface with Rolling Stock TSIs  
Reference CCS TSI  Reference Rolling Stock TSIs  
Parameter  Point  Parameter   Point  
Train braking performance 
and characteristics  4.2.2  Emergency braking 
performance  HS RS TSI  Emergency braking  
 Service braking  
CR RS TSI Emergency braking  
Service braking  
LOC & PAS TSI  Emergency braking  
 Service braking  
Wagon TSI  4.2.4.1  
4.2.4.4  
4.2.4.5.2  
4.2.4.5.3  
4.2.4.5.2  
4.2.4.5.3  
4.2.4.1.2  
Position of Control -Command 
and Signalling on -board 
antennas  4.2.2  Kinematic gauge  HS RS TSI  
CR RS TSI  
LOC & PAS TSI     
Wagon TSI  4.2.3.1  
4.2.3.1  
4.2.3.1  
none  
Isolation of on -board ETCS 
functionality  4.2.2  Operating rules  HS RS TSI  
CR RS TSI  
LOC & PAS TSI    
Wagon TSI  4.2.7.9.1  
4.2.12.3  
4.2.12.3  
none  
Data interfaces  4.2.2  Monitoring and diagnostic 
concepts  HS RS TSI  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  4.2.7.10  
4.2.1.1  
4.2.1.1  
None  
Visibility of trackside Control -
Command and Signalling 
objects  4.2.15  External visibility  
Head lights  HS RS TSI  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  4.2.7.4.1.1  
4.2.7.1.1  
4.2.7.1.1  
None  
Driver’s external field of 
view  HS RS TSI  line of sight  
 windscreen  
CR RS TSI line of sight  
 windscreen  
LOC & PAS TSI  line of sight  
 windscreen  
Wagon TSI  4.2.2.6 b  
4.2.2.7  
4.2.9.1.3.1  
4.2.9.2  
4.2.9.1.3.1  
4.2.9.2  
None  
Interface to data recording for 
regulatory purposes  4.2.14  Recording device  HS RS TSI  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  4.2.7.10  
4.2.9.6  
4.2.9.6  
none  EN 11  EN Interface with Rolling Stock TSIs  
Reference CCS TSI  Reference Rolling Stock TSIs  
Parameter  Point  Parameter   Point  
Commands to rolling stock 
equipment  4.2.2  
4.2.3  Phase separation  HS RS TSI  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  4.2.8.3.6.7  
4.2.8.2.9.8  
4.2.8.2.9.8  
none  
Emergency braking command  4.2.2  Emergency braking 
command  HS RS TSI  
CR RS TSI  
LOC & PAS TSI  
Wagon TSI  none  
4.2.4.4.1  
4.2.4.4.1  
none  
Construction of equipment  4.2.16  Material requirements  HS RS TSI  
CR RS TSI  
LOC&PAS TSI  
Wagon TSI  4.2.7.2.2  
4.2.10.2.1  
4.2.10.2.1  
none  
 
(d) in section 4.3.4 the text ‘Phase separation points’ is replaced by ‘Phase 
separation sections’;  
(23) In section 4.4 the text ‘Traffic Operation and Management TSI’ is replaced by 
‘Operation and Traffic Management TSI’.  
(24) In section 4.5.1 at the end of point (1) the following text is added “For equipment 
error corrections see point 6.5,’.  
(25) Section 4.8 is replaced by:  
‘4.8 Registers  
The data to be provided for the registers provided for in Articles 48 and 49 of 
Directive (EU) 2016/797 are those indicated in Commission Implementing 
Regulation 2001/665/EU8 and Commission Implementing Regulation (EU) XXX9.’; 
(26) A new section 4.9 is added below section 4.8 as follows:  
‘4.9. Route compatibility checks before the use of authorised vehicles  
The parameters of the on -board CCS subsystem to be used by the railway 
undertaking, for the purpose of route compatibility check, are described in  Appendix 
D1 of Regulation XXX  (OPE TSI)10. ’; 
                                                 
8 Commission Implementing Decision 2011/665/EU of 4 October 2011 on the European register of 
authorised types of railway vehicles (OJ L 264, 8.10.2011, p 32).  
9 Regulation on the common specifications of the railway register of infrastructure and repealing 
Decision 2014/880/EU  
10 Regulation concerning the technical specification for interoperability relating to the ‘operation and 
traffic management’ subsystem of the rail system in the European Union and repeali ng Commission 
Decision 2012/757/EU  EN 12  EN (27) Section 5.1 is replaced by the following:  
‘5.1 Definition  
In accordance with Article 2(7) of Directive (EU) 2016/797, interoperability 
constituents means any elementary component, group of components, subassemb ly 
or complete assembly of equipment incorporated or intended to be incorporated into 
a subsystem, upon which the interoperability of the rail system depends directly or 
indirectly, including both tangible  objects and intangible objects.’ ; 
(28) In section 5.2.2  a new paragraph is added at the end of the section as follows:  
‘Compliance of interfaces internal to the group of ICs to basic par ameters of 
Chapter  4 does not have to be verified. Compliance of interfaces external to the 
group of ICs has to be verified t o demonstrate conformity with the basic parameters 
related to the requirements of these external interfaces. ’; 
(29) Section 5.3 is amended as follows:  
(a) Table 5.1.a is replaced by:  
‘Table 5.1.a Basic interoperability constituents in the Control -Command 
and Signal ling On -board  Subsystem  
1 2 3 4 
N Interoperability constituent IC  Characteristics  Specific requirements to 
be assessed by reference 
to Chapter 4  
1 ETCS on -board  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
On-board ETCS functionality (excluding odometry)  4.2.2  
ETCS and GSM -R air gap interfaces  
 RBC  
 Radio in -fill unit ( data transmission 
optional ) 
 Eurobalise air gap  
 Euroloop air gap ( data transmission 
optional)  4.2.5  
4.2.5.1  
4.2.5.1  
4.2.5.2  
4.2.5.3  
Interfaces  
 STM (implementation of interface K 
optional)  
 GSM -R ETCS Data Only Radio  
 Odometry  
 Key management system  
 ETCS ID Management  
 ETCS Driver -Machine Interface  
 Train interface  
 On-board recording device   
4.2.6.1  
4.2.6.2  
4.2.6.3  
4.2.8  
4.2.9  
4.2.12  
4.2.2  
4.2.14  
Construction of equipment  4.2.16  EN 13  EN 1 2 3 4 
N Interoperability constituent IC  Characteristics  Specific requirements to 
be assessed by reference 
to Chapter 4  
2 Odometry equipment  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
On-board ETCS functionality: only Odometry   
4.2.2  
Interfaces  
 On-board ETCS   
4.2.6.3  
Construction of equipment  4.2.16  
3 Interface of External STM  Interfaces  
 On-board ETCS   
4.2.6.1  
4 GSM -R voice cab radio  
 
Note: SIM card, antenna, 
connecting cables and filters 
are not part of this 
interoperability constituent  Reliability, Availability, Maintainability, (RAM)  
 4.2.1.2  
4.5.1  
Basic communication functions  4.2.4.1  
Voice and operational communication applications  4.2.4.2  
Interfaces  
 GSM -R air gap  
 GSM -R Driver -Machine Interface   
4.2.5.1  
4.2.13  
Construction of equipment  4.2.16  
5 GSM -R ETCS Data only Radio  
 
Note: SIM card, antenna, 
connecting cables and filters 
are not part of this 
interoperability constituent  Reliability, Availability, Maintainability (RAM)  
 4.2.1.2  
4.5.1  
Basic communication functions  4.2.4.1  
ETCS data communication applications  4.2.4.3  
Interfaces  
 On-board ETCS  
 GSM -R air gap   
4.2.6.2  
4.2.5.1  
Construction of equipment  4.2.16  
6 GSM -R SIM card  
Note: it is the responsibility of 
the GSM -R network operator 
to deliver to railway 
undertakings the SIM cards to 
be inserted in GSM -R terminal 
equipment  Basic communication functions  4.2.4.1  
Construction of equipment  4.2.16  
’; EN 14  EN (b) table 5.1.b is replaced by:  
‘Table 5.1.b Groups of interoperability constituents in the Control -
Command and Signalling On -board  Subsystem  
This table is an example to show the structure. Other groups are allowed . 
1 2 3 4 
N Group of Interoperability 
constituents  Characteristics  Specific requirements to 
be assessed by reference 
to Chapter 4  
1 ETCS on -board  
Odometry equipment  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
On-board ETCS functionality  4.2.2  
ETCS and GSM -R air gap interfaces  
 RBC  
 Radio in -fill unit ( data transmission 
optional ) 
 Eurobalise air gap  
 Euroloop air gap ( data transmission 
optional)  4.2.5  
4.2.5.1  
4.2.5.1  
4.2.5.2  
4.2.5.3  
Interfaces  
 STM (implementation of interface K 
optional)  
 GSM -R ETCS Data Only Radio  
 Key management system  
 ETCS -ID Management  
 ETCS Driver Machine Interface  
 Train interface  
 On-board recording device   
4.2.6.1  
4.2.6.2  
4.2.8  
4.2.9  
4.2.12  
4.2.2  
4.2.14  
Construction of equipment  4.2.16  
’; 
(c) table 5.2.a is replaced by:  
‘Table 5.2.a Basic interoperability constituents in the Control -Command 
and Signalling Trackside Subsystem  EN 15  EN 1 2 3 4 
N Interoperability constituent IC  Characteristics  Specific requirements 
to be assessed by 
reference to Chapter 4  
1 RBC  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
Trackside ETCS functionality ( excluding 
communication via Eurobalises, radio in -fill and 
Euroloop)  4.2.3  
ETCS and GSM -R air gap interfaces: only radio 
communication with train  4.2.5.1  
Interfaces  
 Neighbouring RBC  
 Data radio communication  
 Key management system  
 ETCS -ID Management   
4.2.7.1, 4.2.7.2  
4.2.7.3  
4.2.8  
4.2.9  
Construction of equipment  4.2.16  
2 Radio in -fill unit  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
Trackside ETCS functionality (excluding 
communication via Eurobalises, Euroloop and level 2 
and level 3 functionality)  4.2.3  
ETCS and GSM -R air gap interfaces: only radio 
communication with train  4.2.5.1  
Interfaces  
 Data radio communication   
 Key management system  
 ETCS -ID Management  
 Interlocking and LEU   
4.2.7.3  
4.2.8  
4.2.9  
4.2.3  
Construction of equipment  4.2.16  
3 Eurobalise  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
ETCS and GSM -R air gap interfaces: only Eurobalise 
communication with train  4.2.5.2  
Interfaces  
 LEU - Eurobalise   
4.2.7.4  
Construction of equipment  4.2.16  
4 Euroloop  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
ETCS and GSM -R air gap interfaces: only Euroloop 4.2.5.3  EN 16  EN 1 2 3 4 
N Interoperability constituent IC  Characteristics  Specific requirements 
to be assessed by 
reference to Chapter 4  
communication with train  
Interfaces  
 LEU – Euroloop   
4.2.7.5  
Construction of equipment  4.2.16  
5 LEU Eurobalise  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
Trackside ETCS functionality ( excluding 
communication via radio in -fill, Euroloop and level  2 
and level  3 functionality)  4.2.3  
Interfaces  
 LEU - Eurobalise   
4.2.7.4  
Construction of equipment  4.2.16  
6 LEU Euroloop  Reliability, Availability, Maintainability, Safety 
(RAMS)  4.2.1  
4.5.1  
Trackside ETCS functionality (excluding 
communication via radio in -fill, Eurobalise and 
level  2 and level  3 functionality)  4.2.3  
Interfaces  
 LEU – Euroloop   
4.2.7.5  
Construction of equipment  4.2.16  
7 Axle Counter  Trackside train detection systems (only parameters 
relevant for axle counters)  4.2.10  
Electromagnetic compatibility (only parameters 
relevant for axle counters)  4.2.11  
Construction of equipment  4.2.16  
’; 
(30) Section 6.1 is replaced by the following:  
‘6.1. Introduction  
6.1.1.  General principles  
6.1.1.1.  Compliance with basic parameters  
Fulfilment of the essential requirements set out in Chapter 3 of this TSI shall be 
ensured through compliance with the basic parameters speci fied in Chapter 4.  
This compliance shall be demonstrated by:  EN 17  EN (1) assessing the conformity of the interoperability constituents specified in 
Chapter 5 (see point 6.2.1, 6.2.2, 6.2.3, 6.2.4),  
(2) verifying the subsystems (see point 6.3 and point 6.4).  
6.1.1.2.  Essen tial requirements fulfilled by National Rules  
In certain cases, some of the essential requirements may be met by national rules, 
because of:  
(1) the use of Class B systems,  
(2) open points in the TSI,  
(3) non-application of TSIs (derogations) under Article 7 of Direct ive (EU) 
2016/797,  
(4) specific cases described in point 7.6.  
In such cases, assessment of conformity with those rules shall be carried out under 
the responsibility of the Member States concerned according to notified procedures. 
See point 6.4.2.  
6.1.1.3.  Partial fulfilment of TSI requirements  
With regard to checking if essential requirements are fulfilled through compliance 
with the basic parameters, and without prejudice to the  obligations set out in 
Chapter  7 of this TSI, control -command and signalling inter operability constituents 
and subsystems that do not implement all functions, performance and interfaces as 
specified in Chapter 4 (including the specifications referred to in Annex A), can 
obtain EC certificates of conformity or, respectively, certificates  of verification, 
under the following conditions for issuing and using the certificates:  
(1) The applicant for EC verification of a trackside control -command and 
signalling subsystem is responsible for deciding which functions, performance 
and interfaces need to be implemented to meet the objectives for the service 
and to ensure that no requirements contradicting or exceeding the TSIs are 
exported to the on -board control -command and signalling subsystems;  
(2) The operation of an on -board control -command and signall ing subsystem, that 
does not implement all functions, performance and interfaces specified in this 
TSI, may be subject to conditions and limits of use due to compatibility and/or 
safe integration with trackside control -command and signalling subsystems. 
Without prejudice to the tasks of a Notified Body described in respective 
Union legislation and related documents the applicant for EC verification is 
responsible for ensuring that the technical file provides all the information11 
that an operator needs to id entify such conditions and limits of use.  
(3) The authorising entity may refuse for duly justified reasons the authorisation 
for placing in service or on the market, or place conditions and limits of use on 
the operation, of control -command and signalling subs ystems that do not 
implement all functions, performance and interfaces specified in this TSI.  
If a control -command and signalling interoperability constituent or subsystem does 
not implement all functions, performance and interfaces specified in this TSI, the 
provisions of point 6.4.3 shall apply.  
                                                 
11 The template to be used to provide this information will be defined in the Application Guide.  EN 18  EN  
6.1.2.  Principles for testing ETCS and GSM -R 
6.1.2.1.  Principle  
The principle is that a Control -Command and Signalling On -board Subsystem 
covered by an 'EC' declaration of verification is able to run on every Con trol-
Command and Signalling Trackside Subsystem covered by an 'EC' Declaration of 
verification, under the conditions specified in this TSI, with no additional 
verifications.  
Achievement of this principle is facilitated by:  
(1) rules for the design and installation of the Control -Command and Signalling 
On-board and the Trackside subsystems,  
(2) test specifications to prove that the Control -Command and Signalling On -board 
and Trackside Subsystems comply with the requirements of this TSI and are 
mutually compa tible.  
6.1.2.2.  Operational test scenarios  
For the purpose of this TSI, an “operational test scenario” means the description of 
the intended railway system operation in situations relevant for ETCS and GSM -R 
(e.g. entry of a train into an equipped area, aw akening of a train, overriding a signal 
at stop), by means of a sequence of trackside and on -board events related to or 
influencing the Control -command and Signalling subsystems (e.g. sending/receiving 
messages, exceeding a speed limit, actions of operator s ) and the specified timing 
between them.  
The operational tests scenarios are based on the engineering rules adopted for the 
project.  
Check of compliance of a real implementation with an operational tests scenario 
shall be possible gathering information through easily accessible interfaces 
(preferably the standard interfaces specified in this TSI).  
6.1.2.3.  Requirements for Operational test scenarios  
The set of engineering rules for the trackside parts of ETCS and GSM -R and related 
operational test scenar ios for the Trackside Control -command and Signalling 
Subsystem shall be sufficient to describe all intended system operations relevant for 
the Trackside Control -command and Signalling Subsystem in normal and identified 
degraded situations, and:  
(1) shall be co nsistent with the specifications referenced in this TSI;  
(2) shall assume that functions, interfaces and performance of the Control -
command and Signalling On -board Subsystems interacting with the Trackside 
Subsystem are compliant with the requirements of this TSI;  
(3) shall be the ones used in the EC Verification of the Trackside Control -
command and Signalling Subsystem, to check that the implemented functions, 
interfaces and performance are able to ensure that the intended system 
operation in combination with the  relevant modes and transitions between 
levels and modes of the Control -command and Signalling On -board 
Subsystems are respected.  EN 19  EN 6.1.2.4.  Requirements for ETCS System Compatibility  
The Agency shall set up and manage the set of checks to demonstrate the te chnical 
compatibility of an on -board subsystem with the trackside subsystem in a technical 
document.  
Infrastructure Managers shall notify to the Agency the definition of the necessary 
checks to demonstrate:  
(a) the technical compatibility of an on -board subsy stem with the trackside 
subsystem on their network  by 1 September 2019 at the latest,  
(b) the technical compatibility of an on -board subsystem with a trackside 
subsystem to be placed in service at least three months before the placing in 
service.  
Infrastructur e Managers shall  classify the ETCS lines according to ESC types.  
Infrastructure Managers shall notify any changes on the necessary checks for their 
network to demonstrate the technical compatibility of an on -board subsystem with 
the trackside subsystem.  
6.1.2.5.  Requirements for Radio System Compatibility  
The Agency shall set up and manage the set of checks to demonstrate the technical 
compatibility of an on -board subsystem with the trackside subsystem in a technical 
document.  
Infrastructure Managers shall  notify to the Agency the definition of the necessary 
checks to demonstrate:  
(a) the technical compatibility of an on -board subsystem with the trackside 
subsystem on their network  by 1 September 2019 at the latest,  
(b) the technical compatibility of an on -board su bsystem with a trackside 
subsystem to be placed in service at least three months before the placing in 
service.  
Infrastructure Managers shall classify their lines according to RSC types for voice 
and, if applicable, ETCS data.  
Infrastructure Managers shall notify any changes on the necessary checks for their 
network to demonstrate the technical compatibility of an on -board subsystem with 
the trackside subsystem.  
’; 
(31) Section 6.2 is amended as follows:  
(a) in section 6.2.1, the text ‘Article  13 and Annex IV to  Directive 2008/57/EC’ is 
replaced by the text ‘Article  10(1) and Article 9(2) of  Directive (EU) 
2016/797’ ; 
(b) in section 6.2.2, the text ‘Directive 2008/57/EC’ is replaced by the text 
‘Directive (EU) 2016/797’ ; 
(c) table 6.1 is replaced by the  following:  
‘Table 6.1 Conformity assessment requirements of an interoperability 
constituent or a group of interoperability constituents  EN 20  EN N Aspect  What to assess  supporting evidence  
1 Functions, 
interfaces and 
performances  Check that all mandatory functions, 
interfaces and performances as described 
in the basic parameters referenced in the 
relevant table of Chapter 5 are 
implemented and that they comply with 
the requirements of this TSI  design documentation and running of 
test cases and test sequenc es, as 
described in the basic parameters 
referenced in the relevant table of 
Chapter 5  
Check which optional functions and 
interfaces as described in the basic 
parameters referenced in the relevant table 
of Chapter 5 are implemented and that 
they comply with the requirements of this 
TSI design documentation and running of 
test cases and test sequences, as 
described in the basic parameters 
referenced in the relevant table of 
Chapter 5  
Check which additional functions and 
interfaces (not specified in this TSI) are 
implemented and that they do not lead to 
conflicts with implemented functions 
specified in this TSI  Impact analysis  
2 Construction 
of equipment  Check compliance with mandatory 
conditions, where specified in the basic 
parameters referenced in  the relevant table 
of Chapter 5  Documentation on material used and, 
where necessary, tests to ensure that 
the requirements of the basic 
parameters referenced in the relevant 
table of Chapter 5 are satisfied  
In addition, check that the interoperability 
constituent functions correctly in the 
environmental conditions for which it is 
designed  Tests according to the applicant’s 
specifications  
3 Reliability, 
Availability, 
Maintainabilit
y, Safety 
(RAMS)  Check compliance with the safety 
requirements described in the basic 
parameters referenced in the relevant table 
of Chapter 5, i.e.  
1. respect for quantitative 
Tolerable Hazard Rates (THRs) 
caused by random failures  
2. the development process is able 
to detect a nd eliminate 
systematic failures  1. Calculations for the THRs 
caused by random failures, 
supported by reliability 
data.  
 
2.1. The manufacturer’s quality 
and safety management 
throughout design, 
manufacturing and testing 
conforms to a recognised 
standard (s ee note)  
2.2. The software development 
life-cycle, the hardware 
development life -cycle and 
the integration of hardware 
and software have each   
been undertaken in 
accordance with a 
recognised standard (see 
note)  
 
2.3. The safety verification and 
validation  process has been 
undertaken in accordance 
with a recognised standard EN 21  EN N Aspect  What to assess  supporting evidence  
(see Note) and respects the 
safety requirements 
described in the basic 
parameters referenced in 
the relevant table of 
Chapter 5  
2.4. The functional and 
technical safety 
requirements (cor rect 
operation under fault -free 
conditions, effects of faults 
and of external influences) 
are verified in accordance 
with a recognised standard 
(see Note)  
Note: The standard shall satisfy at 
least the following requirements:  
1. be compl iant with the 
requir ements for code of 
practice, as stated in Annex 
1, point 2.3.2, of 
Regulation (EU) 402/2013  
2.  be widely acknowledged in 
the railway domain. If this 
is not the case, the standard 
will have to be justified 
and be acceptable to the 
Notified Body;  
3. be rele vant for the control 
of the considered hazards 
in the system under 
assessment;  
4. be publicly available for all 
actors who want to use it.  
 
4 Check that the quantitative reliability 
target (related to random failures) 
indicated by the applicant is met  Calculations  
5 Elimination of systematic failures  Tests of equipment (full 
Interoperability Constituent or 
separately for subassemblies) in 
operational  conditions, with repair 
when defects are detected.  
Documentation accompanying the 
certificate which indicates which kind 
of verifications have been performed, , 
which standards have been applied 
and criteria adopted to consider these 
tests completed (according to 
decisions of the applicant).  EN 22  EN N Aspect  What to assess  supporting evidence  
6 Check compliance with maintenance 
requirements – point 4.5.1  Document check  
’; 
(d) sections 6.2.5 and 6.2.6 are deleted ; 
(32) Section 6.3 is amended as follows:  
(a) section 6.3.1 is replaced by the following:  
‘6.3.1.  Assessment procedures for Control -Command and Signalling 
Subsystems  
This Chapter deals with the 'EC' declaration of verification for the Control -
Command and Signalling On -board Subsystem and the 'EC' declaration of 
verification for the Control -Command and Signalling Trackside Subsystem.  
At the request of the applicant the  Notified Body shall carry out an 'EC' 
verification of a Control -Command and Signalling On -board or Trackside 
Subsystem in accordance with Annex IV to Directive (EU) 2016/797.  
The applicant shall draw up the 'EC' declaration of verification for the Control -
Command and Signalling On -board or Trackside Subsystem in accordance 
with Article 15(1) and Article 15(9) of Directive (EU) 2016/797.  
The content of the 'EC' declaration of verifi cation shall conform to 
Article  15(9) of Directive (EU) 2016/797.  
The assess ment procedure shall be carried out using the modules specified in 
point 6.3.2 (Modules for Control -Command and Signalling Subsystems).  
The 'EC' declarations of verification for a Control -Command and Signalling 
On-board Subsystem and of a Control -Command a nd Signalling Trackside 
Subsystem, together with the certificates of conformity, shall be deemed 
sufficient to ensure that the subsystems are compatible under the conditions 
specified in this TSI.  ’; 
(b) section 6.3.2.3 is replaced by the following:  
‘6.3.2.3. Conditions for using modules for On -board and Trackside Subsystems  
With reference to point 4.2 of Module SB (type -examination), design review is 
requested.  
With reference to point 4.2 of Module SH1 (full quality management system 
with design examination),  an additional type test is required.  ’; 
(c) in section 6.3.3, Table 6.2 is replaced by the following:  
‘Table 6.2 Conformity assessment requirements for an On -board 
Subsystem  
N Aspect  What to assess  supporting evidence  EN 23  EN N Aspect  What to assess  supporting evidence  
1 Use of 
interoperability 
constituents  Check whether the interoperability 
constituents to be integrated into the 
subsystem are all covered by an 'EC' 
Declaration of conformity and a 
corresponding certificate.  
The Subsystem needs to be checked with 
a SIM card compliant with the 
requirements of this TSI. Changing the 
SIM card with another one compliant 
with the TSI is not a modification of the 
Subsystem. Existence and content of 
documents  
Check conditions and limits of use on the 
use of Interoperability Constituents against 
the characteristics of the subsystem and of 
the environment  Analysis by document 
check  
For interoperability constituents that have 
been certified against a version of the CCS 
TSI, which is different from the version 
applied for the ‘EC’ Verification of the 
subsystem  and /  or against a set of 
specifications which is different from the 
set of specifications applied for the ‘EC’ 
Verification of the subsystem , check that 
the certificate still ensures compliance 
with the requirements of the TSI currently 
in force.  Impact analys is by 
document checks  
2 Integration of 
interoperability 
constituents in the 
subsystem  Check the correct installation and 
functioning of the internal interfaces of the 
subsystem - Basic parameter 4.2.6  Checks according to  
specifications  
Check that additional functions (not 
specified in this TSI) do not impact the 
mandatory ones  Impact analysis  
Check that the values of ETCS  IDs are 
within the allowed range and, if required 
by this TSI, have unique values – Basic 
parameter 4.2.9  Check of design 
specifications  
3 Integration with 
rolling stock  Check the correct installation of 
equipment - Basic Parameters 4.2.2, 4.2.4, 
4.2.14 and conditions for installation of 
equipment, as specified by the 
manufacturer  Results of checks 
(according to specifications 
referenced in the Basic 
Parameters and the 
manufacturer's installation 
rules)  
Check that the Control -Command and 
Signalling On -board Subsystem is 
compatible with the rolling stock 
environment – Basic parameter 4.2.16  Document check 
(certificates of 
interoperability constituents 
and possible integration 
methods checked against 
characteristics of rolling 
stock)  EN 24  EN N Aspect  What to assess  supporting evidence  
Check that parameters (e.g, braking 
parameters) are correctly configured and 
that they are within the allowed range  Documen t check (values of 
parameters checked against 
characteristics of rolling 
stock)  
4 Integration with 
Class B  Check that the external STM is connected 
to on -board ETCS with TSI -compliant 
interfaces  Nothing to test: there is a 
standard interface already 
tested at interoperability 
constituent level. Its 
functioning has already 
been tested when checking 
the integration of 
interoperability constituents 
in the subsystem  
Check that Class B functions implemented 
in the on -board ETCS – Basic parameter 
4.2.6.1 - create no additional requirements 
for the Control -Command and Signalling 
Trackside Subsystem due to transitions  Nothing to test: everything 
has already been tested at  
interoperability constituent 
level  
Check that separate Class B equipment 
which is not connected to the on -board 
ETCS – Basic Parameter 4.2.6.1 - creates 
no additional requirements for Control -
Command and Signalling Trackside 
Subsystem due to transitions  nothing to test: no 
interface12  
Check that separate Class B equipment 
connected on -board ETCS using (partly) 
non TSI compliant interfaces – basic 
parameter 4.2.6.1 - creates no additional 
requirements for the Control -Command 
and Signalling Trackside Subsystem due 
to transitions. Also che ck that ETCS 
functions are not affected  impact analysis  
5 Integration with  
Control -Command 
and Signalling 
Trackside 
Subsystems  Check that Eurobalise telegrams can be 
read (scope of this test is limited to 
checking that the antenna has been 
appropriately  installed. The tests already 
carried out at Interoperability Constituent 
level shall not be repeated) – Basic 
Parameter 4.2.5  Test using a certified 
Eurobalise : the ability to 
read correctly the telegram 
is the supporting evidence.  
Check that Euroloop  telegrams (if 
applicable) can be read – Basic Parameter 
4.2.5  Test using a certified 
Euroloop : the ability to 
read correctly the telegram 
is the supporting evidence.  
                                                 
12 In this case, the assessment of the management of transitions shall be according to national 
specifications.  EN 25  EN N Aspect  What to assess  supporting evidence  
Check that the equipment can handle a 
GSM -R call for voice and data (if 
applicable) – Basic Parameter 4.2.5  Test with a certified GSM -
R network. The ability to 
set up, maintain and 
disconnect a connection is 
the supporting evidence.  
6 Reliability, 
Availability, 
Maintainability, 
Safety (RAMS)  Check that the equipment complies with 
safety requirements - Basic Parameter 
4.2.1  Application of procedures 
specified in the Common 
Safety Method for Risk 
Evaluation and Assessment.  
Check that the quantitative reliability 
target is met - Basic Parameter 4.2.1  Calculations  
Check the compliance with requirements 
about maintenance – point 4.5.2  Documents check  
7 Integration with 
Control -Command 
and Signalling 
Trackside 
Subsystems and 
other subsystems:  
tests under 
conditions  
representing the 
intended 
operation.  Test the behaviour of the subsystem under 
as many different conditions as reasonably 
possible  representing the intended 
operation  (e.g line gradient, train speed, 
vibrations, traction power, weather 
conditions, design of Control -Command 
and Signalling trackside functionality). 
The test must be able to verify:  
1. that odometry functions are correctly 
performed - basic parameter 4.2.2  
2. that the on -board Control -Command 
and Signalling Subsystem is 
compatible with the rolling stock 
environment – basic parameter 4.2.16  
These tests must also be such as  to 
increase confidence that there will be no 
systematic failures.  
The scope of these tests excludes tests 
already carried out at different stages: tests 
performed on the interoperability 
constituents and tests performed on the 
subsystem in a simulated env ironment 
shall be taken into account.  
Tests under environmental conditions are 
not necessary for on -board GSM -R voice 
equipment.  
Note: Indicate in the certificate which 
conditions have been tested and which 
standards have been applied.  Reports of test run s. 
 
’; 
(d) a new section 6.3.3.1 is added after table 6.2 as follows:  
‘6.3.3.1.  ETCS and radio system compatibility checks  EN 26  EN Particular attention shall be given to assessing the conformity of the on -board 
CCS subsystem regarding the Basic Parameter ETCS and radio system 
compatibility referred to in 4.2.17.  
Regardless of the selected module  previously used for the on -board subsy stem 
certificate , the Notified Body shall check;  
(a) the availability of the result of the technical compatibility checks for the 
selected area of use of the vehicle.  
(b) The technical compatibility checks have been performed in accordance 
with the technical docu ment published by the Agency.  
(c) The technical compatibility checks results indicate all the 
incompatibilities and errors encountered during the technical 
compatibility checks.  
The Notified Body shall not check again any aspect covered in the subsystem 
certif icate.  
Performing these checks also at the level of Interoperability Constituent may 
reduce the amount of checks at the level of Control -command and Signalling 
Subsystem.  ’; 
(e) in section 6.3.4, table 6.3 is replaced by the following:  
‘Table 6.3 Conformity assessment requirements for a Trackside 
Subsystem  
N Aspect  What to assess  supporting evidence  
1 Use of 
interoperability 
constituents  Check that all interoperability constituents to 
be integrated into the subsystem are covered 
by an EC declaration of conformity and the 
corresponding certificate.  Existence and content of 
documents  
Check conditions and limits of use on the 
use of interoperability constituents against 
the characteristics of the subsystem and of 
the environment  Impact analysis by 
documents check  
For interoperability constituents that have 
been certified against a version of the 
Control -Command and Signalling TSI,  
which is different from the version applied 
for the ‘EC’ Verification of the subsystem  
and / or against a set of specifications which 
is different from the set of specifications 
applied for the ‘EC’ Verification of the 
subsystem , check that the certificate still 
ensures compliance with the requirements of 
the TSI currently in force  impact analysis by  
comparison of 
specifications referenced in 
the TSI and certificates of 
the interoperability 
constituents  
2 Integration of 
interoperability 
constituents in 
the subsystem  
 Check that  the internal interfaces of the 
subsystem have been installed properly and 
function properly - Basic parameters 4.2.5, 
4.2.7 and conditions specified by the 
manufacturer  
(N/A for IC axle counter)  checks according to  
specifications  EN 27  EN N Aspect  What to assess  supporting evidence  
Check that additional functions (not 
specified in this TSI) do not impact the 
mandatory ones impact analysis  
Check that the values of ETCS  IDs are 
within the allowed range and, if required by 
this TSI, have unique values – Basic 
Parameter 4.2.9  
(N/A for IC axle counter)  check of design 
specifications  
For IC axle counters (only):  
The integration of the IC in th e subsystem 
has to be verified:  
Check i ndex 77 document points 3.1.2.4 and 
3.1.2.5  only. 
Check the correct installation of equipment 
and conditions specified by the 
manufacturer.  
Note: Compliance with RAMS requirements 
to be check ed under row 8.  Document check  
3 Visibility of 
trackside 
Control -
Command 
objects  Check that requirements for marker boards 
specified in this TSI are fulfilled 
(characteristics, compatibility with the 
infrastructure requirements (gauge, …), 
compatibility with the driver’s field of view) 
– Basic parameter 4.2.15  Design documentation, 
results of tests  or test runs 
with TSI compliant rolling 
stock  
4 Integration with 
infrastructure  Check that the equipment has been properly 
installed - Basic parameters 4.2.3, 4.2.4 and 
conditions for installation specified by the 
manufacturer  Results of checks 
(according to specifications 
referenced in the basic 
parameters and 
manufacturer's installation 
rules)  
Check that the Control -Command and 
Signalling Trackside subsystem equipment 
is compatible with the trackside environment 
– Basic parameter 4.2.16  Document check 
(certificates of 
interoperability constituents 
and possible methods of 
integration checked against 
trackside characteristics)  
5 Integration with 
trackside 
signalling  Check that all functions required by the 
application are implemented in accordance 
with specifications referenced in this TSI - 
Basic parameter 4.2.3  Document check 
(applicant's design 
specification and 
certificates o f 
interoperability 
constituents)  
Check the correct configuration of 
parameters (Eurobalise telegrams, RBC 
messages, marker boards positions, etc.)  Document check (values of 
parameters checked against 
characteristics of trackside 
and of signalling)  EN 28  EN N Aspect  What to assess  supporting evidence  
Check that the interfaces are correctly 
installed and function properly.  Design verification and 
tests according to 
information supplied by the 
applicant  
Check that the Control -Command and 
Signalling Trackside subsystem operates 
correctly according to information at the 
interfaces with trackside signalling (e.g., 
appropriate generation of Eurobalise 
telegrams by a LEU or of message by RBC)  Design verification and 
tests according to the 
information supplied by the 
applicant  
6 Integration with 
Control -
Command and 
Signalling On -
board 
Subsystems and 
with rolling 
stock  Check the GSM -R coverage - Basic 
Parameter 4.2.4  On site measurements  
Check that all functions required by the 
application are implemented in accordance 
with specifications referenced in this TSI - 
basic parameters 4.2.3, 4.2.4  and 4.2.5  Reports of the operational 
test scenarios  specified in 
point 6.1.2 with at least two 
certified Control -Command 
and Signalling On -board 
Subsystems from different 
suppliers. The report shall 
indicate which operational 
test scenarios have been 
tested, which on -board 
equipment has been used 
and whether tests have been 
performed in laboratories, 
test lines or real 
implementation.  
7 Compatibility of 
train detection 
systems  
(Excluding axle 
counters)  
 
 Check that the train detection systems 
comply with the requirements of this TSI - 
Basic parameters 4.2.10 and 4.2.11  
Check the correct installation of equipment 
and conditions specified by the 
manufacturer.  
 
Note: Compliance with RAMS requireme nts 
to be check ed under row 8.  
 Evidence of compatibility 
of equipment from existing 
installations (for systems 
already in use); perform 
tests according to standards 
for new types.  
On-site measurements to 
prove correctness of 
installation.  
Document check of correct 
installation of equipment.  
 
8 Reliability, 
Availability, 
Maintainability, 
Safety (RAMS)  Check compliance with safety requirements 
- Basic Parameter 4.2.1 .1 Application of procedures 
specified in the Common 
Safety Method for Risk 
Evaluation and Assessment  
Check that quantitative reliability targets are 
respected - Basic Parameter 4.2.1 .2 Calculations  EN 29  EN N Aspect  What to assess  supporting evidence  
Check the compliance with requirements 
about maintenance – point 4.5.2  Document check  
9 Integration with 
Control -
Command and 
Signalling On-
board 
Subsystems and 
rolling stock: 
tests under 
conditions  
representing the 
intended 
operation.  Test the behaviour of the subsystem under 
many different conditions as reasonably 
feasible  representing the intended operation  
(e.g. train speed, number of t rains on the 
line, weather conditions). The test must be 
able to verify:  
3. the performance of train detection 
systems - Basic parameters 
4.2.10, 4.2.11,  
4. that the Control -Command and 
Signalling Trackside subsystem 
is compatible with trackside 
environment – Basic parameter 
4.2.16  
These tests will also increase confidence in 
the absence of systematic failures.  
The scope of these tests excludes tests 
already done in different steps: tests 
performed at the level of interoperability 
constituents and tests performed  on the 
subsystem in a simulated environment shall 
be taken into account.  
Note: Indicate in the certificate which 
conditions have been tested and which 
standards have been applied.  Reports of test runs.  
 
10 ETCS and radio  
System 
Compatibility  The necessary ESC and RSC check 
definition is made available to the Agency – 
Basic Parameter 4.2.17.  Technical compatibility 
checks for ESC and RSC 
published and maintained 
by the Agency.  
’; 
(33) Section 6.4 is replaced as follows:  
(a) section 6.4.1 is replaced by the  following:  
‘6.4.1.  Assessment of parts of control -command and signalling subsystems  
Pursuant to Article 15(7) of Directive (EU) 2016/797, the Notified Body may 
issue certificates of verification for certain parts of a subsystem, if allowed to 
do so under the relevant TSI.  
As pointed out in point 2.2 (Scope) of this TSI, the trackside and on -board 
control -command and signalling subsystems conta in parts, as specified in 
point  4.1 (Introduction).  
A certificate of verification may be issued for each part or fo r a combination of 
parts specified in this TSI; the Notified Body only checks if that particular part 
fulfils the TSI requirements.  
Regardless of which module is chosen, the Notified Body shall check that:  EN 30  EN (1) the TSI requirements for the part in question have  been fulfilled and  
(2) the fulfilment of the TSI requirements already assessed for other parts of 
the same subsystem has not been modified.  ’; 
(b) in section 6.4.2, the text ‘ certificate ’ is replaced by the text ‘ EC certificate ’; 
(c) section 6.4.3.3  is replaced by the following:  
‘6.4.3.3.  Content of certificates  
In any event, notified bodies shall coordinate with the Agency the way in 
which conditions and limits of use of interoperability constituents and 
subsystems are managed in the relevant certificates and techn ical files in the 
working group set up under Article 24 of Regulation (EU) 2016/796 of the 
European Parliament and of the Council.  ’; 
(d) Section 6.4.4 is replaced by the following:  
‘6.4.4.  Intermediate Statement of Verification  
If conformity is assessed for p arts of subsystems specified by the applicant and 
different from the parts allowed by point in Table 4.1 (Introduction) of this 
TSI, or if only certain stages of the verification procedure have been 
performed, only an intermediate statement of verification  may be issued.’;  
(34) Section 6.5 is replaced by the following:  
‘6.5. Management of errors  
Where deviations from intended functions and/or performance are detected during 
the tests or during the operational life of a subsystem, the applicants and/or operators 
shall inform the Agency and the authorising entity that issued the authorisations for 
the concerned trackside subsystems or vehicles, to initiate the procedures set out in 
Article 16 of Directive (EU) 2016/797. As a result of the application of Article 16( 3) 
of that Directive:  
(1) if the deviation is due to incorrect application of this TSI or to errors in design 
or installation of equipment, the applicant for the relevant certificates shall take 
the necessary corrective actions and the certificates affected and/or the 
corresponding technical file  (for interoperability constituents and/or 
subsystems) shall be updated;  
(2) if the deviation is due to errors in this TSI or in specifications referenced 
therein, the procedure set out in Article 6 of the Directive (EU) 20 16/797 shall 
be initiated.  
The Agency shall organise an efficient processing of all the information received in 
order to facilitate the Change Control Management process for improvement/further 
development of the specifications, including the test specific ations.  ’; 
(35) Section 7.2 is amended as follows:  
(a) two new sections 7.2.1a and 7.2.1b are added below section 7.2.1 as follows:  
‘7.2.1a   Changes to an existing On -Board subsystem  
This point defines the principles to be applied by the applicants 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 EN 31  EN further developed in  Article 13, 15 and 16 of Commission Implementing 
Regulation (EU) 2018/545 and in Decision 2010/713/EC.  
This point applies in case of any change(s) to an existing on -board subsystem 
or on -board subsystem type, including renewal or upgrade. It does not appl y in 
case of changes covered by Article 15(1)(a) of Commission Implementing 
Regulation (EU) 2018/545.  
7.2.1a.1  Rules to manage changes in on -board CCS subsystems  
1. Parts , as defined in Table 4.1 of this TSI,   and basic parameters of the on -
board subsystem  that are not affected by the change(s) are exempt from 
conformity assessment against the provisions in this TSI.  
2. A new assessment against the requirements of the applicable TSI shall 
only be needed for the basic parameters which may be affected by the 
change(s).  
3. 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 
Article 15(5) of Directive (EU) 2016/79 7, the applicant shall inform a 
notified body of all changes affecting the conformity of the subsystem 
with the requirements of the relevant TSI(s) requiring new checks. This 
information shall be provided by the applicant with corresponding 
references to t he technical documentation relating to the existing EC 
certificate.  
4. The applicant has to justify and document that applicable requirements 
remain consistent at subsystem level, and this has to be assessed by a 
Notified Body.  
5. The changes impacting the  basic design characteristics of the on -board 
subsystem are defined in Table 7.1. These changes shall be classified as 
15(1)(c) or 15(1)(d) of Commission Implementing Regulation (EU) 
2018/545.  
6. Changes not covered by point 7.2.1a.1(5) above are deemed no t to have 
any impact on the basic design characteristics and will be classified as 
15(1)(a) or 15(1)(b) of Commission Implementing Regulation (EU) 
2018/545.  
Note: The classification of the changes set out in points 7.2.1a.2(5) and 
7.2.1a.2(6) above is perf ormed by the applicant without prejudice of the 
safety judgement mandated in Article 21(12)(b) of Directive (EU) 
2016/797.  
7. All changes shall remain compliant with the applicable TSIs regardless 
its classification.  
 
 
 
 EN 32  EN Table 7.1 Basic design characteristics  
1. TSI Point  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  
On-board ETCS 
functionality  Set of specification of 
Annex A  Not Applicable  Use another Annex A set 
of specifications  
On-board ETCS 
implementation   Not Applicable  Not fulfilling all the 
conditions in point 
7.2.1a.2 (Functional 
change)  
Managing information 
about the completeness of 
the train  Not Applicable  Adding or removing train 
integrity  
4.2.17.1 ETCS System 
Compatibility  ETCS System 
Compatibility  Adding or removing ESC 
statements checked by a 
NoBo  Not applicable  
4.2.4 Mobile 
communication functions 
for railways GSM -R  
4.2.4.2  
Voice and operational 
communication 
application  GSM -R Baseline  Not Applicable  Use another Baseline  
Voice and operational 
communication 
implementation  Not Applicable  Not fulfilling all the 
conditions in point 
7.2.1a.3 (Functional 
change)  
4.2.17.2 Radio System 
Compatibility  Radio Voice System 
Compatibility  Adding or removing RSC 
statements checked by a 
NoBo  Not applicable  
4.2.4  
Mobile communication 
functions for railways 
GSM -R 
4.2.4.3  
Data communication 
applications for ETCS  GSM -R Baseline  Not Applicable  Use another Baseline  
Data communication for 
ETCS implementation  Not Applicable  Not fulfilling all the 
conditions in point 
7.2.1a.3 (Functional 
change)  
4.2.17.2 Radio Sy stem 
Compatibility  Radio Data System 
Compatibility  Adding or removing RSC 
statements checked by a 
NoBo  Not applicable  
4.2.4 Mobile 
communication functions 
for railways GSM -R 
4.2.4.1 Basic SIM Card GSM -R Home 
Network  Replacement of a TSI 
compliant GSM -R SIM 
Card by another TSI 
compliant GSM -R SIM 
Card with a different Not applicable  EN 33  EN 1. TSI Point  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  
communication function  GSM -R Home Network  
SIM Card support of 
Group ID 555  Change the SIM Card 
support of Group ID 555  Not applicable  
4.2.6.1 ETCS and Class B  
train protection  Class B train protection 
legacy system  To be defined by 
Members States through 
national rules  To be defined by 
Members States through 
national rules  
4.2.5.1 Radio 
communication with the 
train Class B radio legacy 
system  To be defined by 
Members States through 
national rules  To be defined by 
Members States through 
national rules  
9. In order to establish the EC certificate, the Notified Body may refer to:  
– The original EC 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.  
– Amendments to the original EC certificate for modified parts of the 
design that affect the conformity of the subsystem with the 
applicable TSI version used for the EC verification.  
10. In any case, the applicant shall ensure that the technical documentation 
which is relating to the EC certificate is updated accordingly.  
11. The updated technical documentation, related to the EC certificate is 
referred to in the technical file accompanying the EC declaration of 
verification issued by the applicant for on -board subsystem declared as 
conformant to the modified type.  
7.2.1a.2  Conditions for a change in the On -board ETCS that does not 
impact the basic design characte ristics  
1. The target functionality remains unchanged or is set to the state already 
expected during the original certification or authorization.  
2. The interfaces relevant for safety & technical compatibility remain 
unchanged or are set to the state alre ady expected during the original 
certification or authorization  
3. An Assessment Body (CSM RA) as specified in point 3.2.1 has 
positively assessed the change.  
4. The change is performed under a quality management system approved 
by a notified body (e.g. ac cording to modules CH1, SH1, CD, SD). For EN 34  EN other modules (e.g. CF, SF) it shall be justified that the verification 
performed remains valid13. 
5. A release note about the change shall be made available to all interested 
parties (e.g. The Agency and the nation al safety authorities, IMs, RUs, 
ECMs and keeper of the vehicle). More relevant information will be 
made available to the Agency and national safety authorities upon their 
request.  
6. The system identifier does distinguish between a functional and a 
realization identifier.  
7. The functional part of the system identifier has not been changed after 
the change.  
7.2.1a.3  Conditions for a change in the on -board mobile communication 
functions for railways that does not impact the basic design characteristics  
1. The target functionality remains unchanged or is set to the state already 
expected during the original certification or authorization.  
2. The interfaces relevant for technical compatibility remain unchanged or 
are set to the state already expected during the original certification or 
authorization  
3. The change is performed under a quality management system approved 
by a notified body (e.g. according to modules CH1, SH1, CD, SD). For 
other modules (e.g. CF, SF) it shall be justified that the verification 
performed remains valid14. 
4. A release note about the change shall be made available to all interested 
parties (e.g. The Agency and the national safety authorities, IMs, RUs, 
ECMs and keeper of the vehicle). More relevant information will be 
made available to the Agency and national safety authorities upon their 
request.  
7.2.1b   Changes to an existing trackside subsystem  
This point defines the principles to be applied by the applicants and authorising 
entities in line with the EC verification procedure descr ibed in Article 15(9), 
Article 18(6)  of Directive (EU) 2016/797  and in Decision 2010/713/EC.  
In the event of changing, upgrading or renewing the Control -Command and 
Signalling Subsystems bearing EC certificate of verification the following rules 
apply:  
1. The changes require new authorisation if they impact basic parameters as 
defined in table 7.2.  
                                                 
13 All activit ies required for a modification which are performed outside a quality management system 
approved by a notified body might require additional examinations or tests by the notified body.  
14 All activities required for a modification which are performed outsid e a quality management system 
approved by a notified body might require additional examinations or tests by the notified body.  EN 35  EN Table 7.2 Trackside basic parameters modifications which requires a 
new authorisation  
Basic Parameter  Modification which requires a new 
authorisation  
4.2.3  Trackside ETCS functionality  Not fulfilling all the condition s in point 
7.2.1b.1 
4.2.4  
4.2.4.2  Mobile communication functions for 
railways GSM -R  
Voice and operational communication 
application  Not fulfilling all the condition s in point 
7.2.1b.2 
4.2.4  
4.2.4.3  Mobile communication functions for 
railways GSM -R  
Data communication applications for 
ETCS  Not fulfilling all the condition s in point 
7.2.1b.2 
2. The changes are permitted to be dealt with by only re -assessing those 
modifications that affect the conformity of the subsystem with the 
applicable TSIs version used for the EC verification. The applicant has to 
justify and document that applicable requirements remain consistent at 
subsystem level, and this has to be assessed by a Notified Body.  
3. The a pplicant shall inform the Notified Body of all changes that may 
affect the conformity of the subsystem with the requirements of the 
relevant TSI(s) or the conditions for validity of the certificate.  
This information shall be provided by the applicant with  corresponding 
references to the technical documentation relating to the existing EC 
certificate.  
4. In order to establish the EC certificate, the Notified Body may to refer to:  
– The original EC certificate for parts of the design that are 
unchanged or thos e that are changed but do not affect the 
conformity of the subsystem, as far as it is still valid.  
– Additional EC certificate (amending the original certificate) for 
modified parts of the design that affect the conformity of the 
subsystem with the applicabl e TSI version used for the EC 
verification.  
5. In any case, the applicant shall ensure that the technical documentation 
which is relating to the EC certificate is updated accordingly.  
7.2.1b.1  Conditions for a change in the trackside ETCS functionality tha t 
requires new authorisation for placing in service if not fulfilled  
1. The target functionality remains unchanged or is set to the state already 
expected during the original certification or authorization.  EN 36  EN 2. The interfaces relevant for safety & technical compatibility remain 
unchanged or are set to the state already expected during the original 
certification or authorization.  
3. An Assessment Body (CMS -RA) as specified in point 3.2.1 has 
positively assessed the change.  
4. The change is performed under a quality management system approved 
by a notified body (e.g. according to modules CH1, SH1, CD, SD). For 
other modules (e.g. CF, SF) it shall be justified that the verification 
performed remains valid15. 
5. A release note about the change shall be ma de available to all interested 
parties (e.g. The Agency and the national safety authorities, IMs, RUs, 
ECMs and keeper of the vehicle). More relevant information will be 
made available to the Agency and national safety authorities upon their 
request.  
6. The system identifier does distinguish between a functional and a 
realization identifier  
7. The functional part of the system identifier has not been changed after 
the change.  
7.2.1b.2  Conditions for a change in the trackside mobile communication 
functions  for railways that require s a new authorisation for placing in service  if 
not fulfilled  
1. The target functionality remains unchanged or is set to the state already 
expected during the original certification or authorization.  
2. The interfaces relevant fo r technical compatibility remain unchanged or 
are set to the state already expected during the original certification or 
authorization.  
3. The change is performed under a quality management system approved 
by a notified body (e.g. according to modules CH1,  SH1, CD, SD). For 
other modules (e.g. CF, SF) it shall be justified that the verification 
performed remains valid16. 
4. A release note about the change shall be made available to all interested 
parties (e.g. The Agency and the national safety authorities, IMs, RUs, 
ECMs and keeper of the vehicle). More relevant information will be 
made available to the Agency and national safety authorities upon their 
request.  
7.2.1b.3              Impact on the technical compatibility between on -board and 
trackside parts of  the CCS subsystems    
Infrastructure managers shall ensure that changes to an existing trackside 
subsystem do not affect the technical compatibility of TSI complaint on -board 
subsystems in operation on the lines concerned by the changes. This 
                                                 
15 All activities required for a modification which are performed outside a quality management system 
approved by a notified body might require additional examinations or tests by the notified body.  
16 All activities required for a modification which are performed outside a quality management system 
approved by a notified body might require additional examinations or tests by the noti fied body.  EN 37  EN requirement i s not applicable when the changes are due to the implementation 
of a different set of specifications referred to in Annex A to this TSI or 
requirements in 7.2.6. (1) and (3).  
 
(b) in section 7.2.3, the text ‘ Article  29(1) of Directive  2008/57/EC’ is replaced b y 
‘Article  51(1) of Directive  (EU) 2016/797 ’; 
(c) section 7.2.6  is replaced by the following:  
‘7.2.6.   Conditions for mandatory and optional functions   
The applicant for EC verification of a Control -command and Signalling 
Trackside subsystem shall check whet her Control -command and Signalling 
Trackside functions, which are defined “optional” in this TSI, are required by 
other TSIs or national rules or by the application of risk evaluation and 
assessment to ensure safe integration of subsystems.  
The trackside i mplementation of national or optional functions must not 
prevent the use of that infrastructure by a train that complies only with the 
mandatory requirements of the On -board Class A system except as required for 
the following on -board optional functions:  
(1) An ETCS Level 3  Trackside application requires that the on -board is able 
to confirm the train integrity;  
(2) An ETCS Level 1 Trackside application with infill requires that the on -
board is equipped with the corresponding in -fill data transmission 
(Euroloop or r adio)if the release speed is set to zero for safety reasons 
(e.g. protection of danger points).  
(3) When ETCS needs data transmission by radio, the data radio 
communication part as specified in this TSI is required.  
An on -board subsystem, which incorporates a KER STM, may make it 
necessary to implement the K -interface. ’;  
 
(36) Section 7.3.2 is amended as follows:  
(a) the text ‘point’ is replaced by ‘section’;  
(b) the text ‘already in service’ is replaced by ‘already on the market’;  
(37) Section 7.4.1 is replaced by:  
‘7.4.1   Trackside installations  
Articles 1,  2 and Annex I to Commission Implementing Regulation (EU) 2017/6 of 
5 January  2017 on the European Rail Traffic Management System European 
deployment plan shall apply as referred to in A rticle 47 of Regulation (EU) 
No 1315/2 013. 
7.4.1.1  High -speed network  
It is mandatory to fit ETCS track -side when:  
1. installing for the first time the train protection part of a Control -Command and 
Signalling Trackside Subsystem (with or without a Class B system); or  EN 38  EN 2. upgrading the existing  train protection part of a Control -Command and 
Signalling Trackside Subsystem, where this would change the functions, 
performance and/or interoperability -relevant interfaces (air gaps) of the 
existing legacy system. This does not apply to modifications de emed necessary 
to mitigate safety -related defects in the legacy installation.’;  
(38) Section 7.4.2.1 is amended as follows:  
‘7.4.2.1.  New vehicles  
1. New vehicles authorised to be placed on the market for the first time shall be 
equipped with ETCS in accordance  with set of specifications #2 or #3 referred 
to in Table 2.1 of Annex A of this TSI.  
2. The requirement to be equipped with ETCS does not apply to:  
(1) new mobile railway infrastructure construction and maintenance 
equipment,  
(2) new shunting locomotives,  
(3) other  new vehicles not intended for operating on high -speed lines;  
(a) if they are intended exclusively for national service operated 
outside the corridors defined in point Annex I of Commission 
Implementing Regulation (EU) 2017/6 and outside the lines 
ensuring th e connections to the main European ports, marshalling 
yards, freight terminals and freight transport areas defined in 
Article 2(1) of Commission Implementing Regulation (EU) 2017/6 
or 
(b) if they are intended for off -TEN cross -border service, i.e., service 
until the first station in the neighbouring country or to the first 
station where there are connections further in the neighbouring 
country.  
3. All vehicle type authorisations granted based on set of specifications #1 
referred to in Table 2.1 of Annex  A of this TSI shall not remain valid.  .  
 ’; 
(39) In section 7.4.3, the text ‘placing in service’ is replaced by ‘placing on the market’;  
(40) Section  7.4.4  is amended as follows:   
(a) In the first paragraph the text ‘ those lines with ETCS  and decommissioning of class 
B syst ems’ is replaced by ‘ those lines with ETCS  and Class A Radio  and 
decommissioning of class B systems ’; 
(b) In point (1) the text ‘General and context description, including facts and figures on 
existing train protection systems, such as capacity, safety, reliab ility performance, 
remaining economic lifetime of the installed equipment and cost benefit analysis of 
ETCS implementation. ’ is replaced by ‘ General and context description, including , 
national requirements relevant for Baseline 3 on -board units, informati on on 
communication between on -board units and track side installations, facts and figures 
on existing train protection systems, such as capacity, safety, reliability performance, 
remaining economic lifetime of the installed equipment and  cost benefit anal ysis of 
ETCS and Class A Radio implementation ’; EN 39  EN (c) In point (4)(i) the text ‘ The dates of ETCS deployment ’ is replace by ‘ The dates of 
ETCS and Class A Radio deployment ’; 
(d) In point (4)(i iii) the text ‘or other parts of the network.’ is replaced by ‘or other pa rts 
of the network , including service facilities ’; 
(e) In the third paragraph the text ‘ at least every five years. ’ is replace by ‘at least every 
five year.  The update of the national implementation plans shall take into account the 
introduction of the next generation communication system(s) , e.g. by indicating the 
date of start of operation and , when applicable,  the date of decommissioning of 
GSM -R on (parts of) the Network .’; 
(41) the text ‘ Article  29(1) of Directive  2008/57/EC’ is replaced by ‘ Article  51(1) of 
Directive  (EU) 2016/797 ’; 
(42) In section 7.5 the fourth paragraph is replaced by the following:  
‘Implementing a train detection system that is compliant with the requirements of this 
TSI can be done independently of the installation of ETCS or GSM -R.’; 
(43) A new s ection 7.5a is added below section 7.5 as follows:  
‘7.5a ETCS and radio system compatibility checks implementation rules  
Existing vehicles shall be deemed compatible with the ETCS and radio system 
compatibility types of the networks on which they are opera ting at the end of 
December 2020  without any further checks. ’;  
(44) In section 7.6.1, the text ‘ points below should  be read ’ is replaced by ‘ points below 
shall be read ’; 
(45) Section 7.6.2.1 is amended as follows;  
(46) the text ‘the vehicle should  have’ is replaced by ‘ the vehicle shall  have’;  
(a) the text ‘ Index 77, point 3.1.2.4 ’ is replace by ‘ Index 77, point 3.1.2.3 ’; 
(b) the text ‘ Index 77, point 3.1. 8’ is replace by ‘ Index 77, point 3.1. 7’; 
(47) Section 7.6.2.2 is amended as follows:  
(a) the text ‘ Index 77, point 3.1.2.4 ’ is replace by ‘ Index 77, point 3.1.2.3 ’; 
(48) In the last two rows in the third column of the table, the text ‘set of specifications 2’ 
is replace by ‘set of specifications 2 or 3’;  
(49) Section 7.6.2.3 is amended as follows:  
(a) the text ‘Index 77, point 3.1.2.4’ is repla ce by ‘Index 77, point 3.1.2.3’;  
(b) the text ‘Index 77, point 3.1.8’ is replace by ‘Index 77, point 3.1.7’;  
(c) in the first row in the second column of the table; the text ‘T3’ is replaced by 
‘P’; 
(d) in the first row in the third column of the table, the text ‘ This Specific Case is 
linked with the use of TVM ’ is replaced by ‘ This Specific Case is linked with 
the use of track circuits using electrical joints ’; 
(e) in the first row in the first column of the table, the text ‘the vehicle should  
have’ is replaced by ‘the ve hicle shall  have’;  
(f) a new row is added at the end of the table as follows:  EN 40  EN 4.2.10 Trackside Train Detection Systems  
Index 77, point 3.1.4.1.  
 
In addition to the TSI requirements, the 
allowed maximum amount of sand per unit  
and per rail within 30 s is: 750 g  
 P This specific case is linked to the 
use of track circuits with a higher 
sensitivity regarding the isolation 
layer between wheels and rails due 
to sanding on the French Network  
 
(50) Section 7.6.2.6 is replaced by the following:  
‘7.6.2.6. Sweden  
Specific case Category  Notes  
4.2.4 Mobile communication functions for 
railways – GSM -R 
Index 33, statement 4.2.3:  
It is permissible to put on the market on -board 
Control -Command and Signalling Subsystems 
including 2 Watt GSM -R voice cab radios and 
ETCS data only radios. The subsystems shall be 
able to operate in networks with -82 dBm.  P No impact on interoperability  
4.2.10 — Trackside Train Detection Systems  
Index 77, point 3.1.2.1 : 
Maximum axle distance between two axles ≤ 
17,5 m ( ai in Fig. 1, point 3.1.2.1).  P  
4.2.10 — Trackside Train Detection Systems  
Index 77, point 3.1.2. 3: 
Minimum axle distance between first and last 
axle ≥ 4,5 m (L -b1-b2 in Fig. 1, point 3.1.2. 3). P  
4.2.10 — Trackside Train Detection Systems  
Index 77, point 3.2.2. 5: 
Frequency range:  0,0-2,0 Hz  
Interference current limit [rms value]: 25,0 A 
Evaluation method:  Low-Pass filter                 
Evaluation parameters:  (Down sampling to 1 
kHz, followed by) 2.0 Hz 4th order Butterworth 
low-pass filter, followed by an ideal rectifier to 
give the absolute value.  
The maximum interference current for a rail 
vehicle must not exceed 25,0 A in the frequency 
range 0,0 -2,0 Hz. Inrush current may exceed 
45,0 A for less than 1,5 seconds and 25 A for 
less than 2 ,5 seconds.  P  EN 41  EN ’; 
(51) In section 7.6.2.7 the text ‘Index 77, point 3.1.2.4’ is replace by ‘Index 77, point 
3.1.4.1’ 
(52) In section 7.6.2.8 a new row is added at the end of the table as follows:  
‘ 
4.2.10 Trackside Train Detection Systems  
Index 77, point 3.2.2.5:  
 
Frequency range: 93  - 110 Hz  
Interference current limit [rms value]:  
2.8 A (for influencing unit)  
2 A (for one traction unit)  
Evaluation method: Band Pass Filters                  
Evaluation parameters:  
•              BP filter characteristics:  
Centre frequencies: 95, 96, 98, 100, 104, 106 
and 108 Hz  
3dB-Bandwidth: 4 Hz  
Butterworth, 6th order  
•              RMS calculation:  
Integration time: 0.5 s  
Time overlap: 50 %  T3 This specific case is needed because 
these track circuits may be modified by 
shifting the center frequency  from 100 
Hz to 106,7 Hz. This would make 
obsolete a vehicle related NTR 
requiring a 100 Hz monitoring system.  
’; 
(53) A new section 7.6.2.9 is added after 7.6.2.8 as follows:  
‘7.6.2.9 Italy  
Specific case  Category  Notes  
   
4.2.10 — Trackside Train Detection Systems  
Index 77, point 3.2.2.4 and point 3.2.2.6 : 
Frequency range:  82 - 86 Hz  
Interference current limit [rms value]: 1.125 A  
Evaluation method:  FFT                 
Evaluation parameters:  Time window 1s, 
Hanning window, 50% overlap, average on 6 
consecutive windows  P  
’; 
(54) A new section 7.6.2.10 is added after 7.6.2.9 as follows:  EN 42  EN ‘7.6.2.10 Czech Republic  
Specific case  Category  Notes  
4.2.10 — Trackside Train Detection Systems  
Index 77, point 3.2.2. 4 and point 3.2.2. 6: 
Frequency range: 70.5 - 79.5  Hz 
Interference current limit [rms value]: 1 A  
Evaluation method: Band Pass Filters                 
Evaluation parameters:  
• BP filter characteristics:  
Centre frequencies:  73 ,75, 77 Hz (continuous 
band)  
3dB-Bandwidth: 5 Hz  
Butterworth, order 2*4  
• RMS calculation:  
Integration time: 0.5 s  
Time overlap: min 75 %  
Frequency range: 27 1.5 – 278.5 Hz 
Interference current limit [rms value]: 0.5 A  
Evaluation method: Band Pass Filters                 
Evaluation parameters:  
• BP filter characteristics:  
Centre frequencies: 274 , 276 Hz (continuous 
band)  
3dB-Bandwidth: 5 Hz  
Butterworth, order 2*4  
• RMS calculation:  
Integration time: 0.5 s  
Time overlap: min 75 %  T3 This specific case is needed as long as 
track circuits type EFCP are used.  
’; 
(55) A new section 7.6.2.11 is added after 7.6.2.10 as follows:  
‘7.6.2.10 The Netherlands  EN 43  EN Specific case  Category  Notes  
4.2.10 — Trackside Train Detection Systems  
Index 77, point 3.2.2. 6: 
Frequency range: 65 -85 Hz  
(ATBEG limit)  
Interfere nce current limit [rms value]: 
0,5 A 
Evaluation method: Band Pass Filters                 
Evaluation parameters:  
• BP filter characteristics  
Centre frequency: 75 Hz  
3dB-Bandwith: 20 Hz  
20dB -Bandwith: 40 Hz  
• RMS calculation  
Integration time: 5 s  
Time overlap: 80%  
Transient shorter than 1s only 
exceeding the ATBEG limit and not the 
GRS limit may be ignored.  
 
Frequency range: 65 -85 Hz  
(GRS TC limit)  
Interfere nce current  limit [rms value]: 
1,7 A 
Evaluation method: Band Pass Filters                 
Evaluation parameters:  
• BP filter characteristics  
Centre frequency: 75 Hz  
3dB-Bandwith: 20 Hz  
20dB -Bandwith: 40 Hz  
• RMS calculation  
Integration time: 1,8 s  
Time overlap: 80%  
  T3 This Specific Cases is needed in the 
context of the Class -B system ATBEG . 
’; 
(56) Annex A is replaced by the following:  
‘Annex A  
References  EN 44  EN For each reference made in the basic parameters (Chapter 4 of this TSI) the 
following table indicates the corresponding mandatory specifications, via the Index 
in Table A  2 (Table  A 2.1, Table  A 2.2, Table  A 2.3). 
Table A 1  
Reference in Chapter 4  Index number (see Table A 2)  
4.1  
 4.1 a  Intentionally deleted  
 4.1 b  Intentionally deleted  
 4.1 c  3 
  
4.2.1   
     4.2.1 a  27, 78  
  
  
4.2.2   
     4.2.2 a  14 
     4.2.2 b  1, 4, 13, 15, 60  
     4.2.2 c  31, 37b, c, d  
     4.2.2 d  18, 20  
     4.2.2 e  6 
     4.2.2 f  7, 81, 82  
  
 4.2.3   
      4.2.3 a  14 
      4.2.3 b  1, 4, 13, 15, 60  
      4.2.3 c  Intentionally deleted  
      4.2.3 d  18, 21  
  
4.2.4   
      4.2.4 a  64, 65  EN 45  EN Reference in Chapter 4  Index number (see Table A 2)  
      4.2.4 b  66 
      4.2.4 c  67 
      4.2.4 d  68 
      4.2.4 e  73, 74  
      4.2.4 f  32, 33  
      4.2.4 g  48 
      4.2.4 h  69, 70  
      4.2.4 j  71, 72  
      4.2.4 k  75, 76 
  
4.2.5   
      4.2.5 a  64, 65  
      4.2.5 b  10, 39, 40  
      4.2.5 c  19, 20  
      4.2.5 d  9, 43  
      4.2.5 e  16, 50  
  
4.2.6   
      4.2.6 a  8, 25, 26, 36 c, 49, 52  
      4.2.6 b  29, 45  
      4.2.6 c  46 
      4.2.6 d  34 
      4.2.6 e  20 
      4.2.6 f  Intentionally deleted  
  
4.2.7   
      4.2.7 a  12 
      4.2.7 b  62, 63  EN 46  EN Reference in Chapter 4  Index number (see Table A 2)  
      4.2.7 c  34 
      4.2.7 d  9 
      4.2.7 e  16 
  
4.2.8   
      4.2.8 a  11, 79, 83  
  
4.2.9   
      4.2.9 a  23 
  
4.2.10   
      4.2.10 a  77 (point 3.1)  
  
4.2.11   
      4.2.11 a  77 (point 3.2)  
  
4.2.12   
      4.2.12 a  6, 51  
  
4.2.13   
      4.2.13 a  32, 33, 51, 80  
  
4.2.14   
      4.2.14 a  5 
  
4.2.15   
      4.2.15 a  38 
 EN 47  EN Specifications  
One of the three tables in Table A  2 (Table A  2.1, Table A  2.2, Table A  2.3) of this 
Annex shall be applied for the trackside subsystem. For the on -board subsystem 
either  Table A 2.2 or Table A 2.3 shall be applied . 
When a document listed in Table A  2 incorporates, by copying or by reference to, a 
clearly identified point of another document, this  point , and only this, shall be 
considered a part of the document listed in Table A  2. 
For the purposes of this TSI, when a  document listed in Table A  2 makes a 
“mandatory” or “normative” reference to a document not listed in Table A  2, the 
referenced document shall always be understood as an acceptable means of 
compliance with basic parameters (that can be used for certificat ion of 
Interoperability Constituents and Subsystems and not requiring future revisions of 
the TSI) and not as a mandatory specification.  
Note: specifications indicated as ‘Reserved’ in Table A  2 are also listed as open 
points in Annex G when there is a nee d for notification of national rules to close the 
corresponding open points. Reserved documents not listed as open points are 
intended as improvements to the system.  
Table A 2.1 - List of mandatory specifications  
Index 
N Set of specifications # 1 (only for  trackside Subsystems)  
(ETCS Baseline 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
1 ERA/ERTMS/003204  ERTMS/ETCS Functional requirement 
specification  5.0  
2 Intentionally deleted     
3 SUBSET -023 Glossary of Terms and Abbreviations  2.0.0   
4 SUBSET -026  System Requirements Specification  2.3.0   
5 SUBSET -027 FFFIS Juridical recorder -downloading 
tool 2.3.0  Note 1  
6 SUBSET -033 FIS for man -machine interface  2.0.0   
7 SUBSET -034 FIS for the train interface  2.0.0   
8 SUBSET -035 Specific Transmission Module FFFIS  2.1.1   
9 SUBSET -036 FFFIS for Eurobalise  2.4.1   
10 SUBSET -037 EuroRadio FIS  2.3.0   
11 SUBSET -038 Offline key management FIS  2.3.0   
12 SUBSET -039 FIS for the RBC/RBC handover  2.3.0   
13 SUBSET -040 Dimensioning and Engineering rules  2.3.0   
14 SUBSET -041 Performance Requirements for 
Interoperability  2.1.0   EN 48  EN Index 
N Set of specifications # 1 (only for  trackside Subsystems)  
(ETCS Baseline 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
15 SUBSET -108 Interoperability related consolidation on 
TSI Annex A documents  1.2.0   
16 SUBSET -044 FFFIS for Euroloop  2.3.0   
17 Intentionally deleted     
18 SUBSET -046 Radio infill FFFS  2.0.0   
19 SUBSET -047 Trackside -Trainborne FIS for Radio 
infill  2.0.0   
20 SUBSET -048 Trainborne FFFIS for Radio infill  2.0.0   
21 SUBSET -049 Radio infill FIS with LEU/interlocking  2.0.0   
22 Intentionally deleted     
23 SUBSET -054 Responsibilities and rules for the 
assignment of values to ETCS variables  2.1.0   
24 Intentionally deleted     
25 SUBSET -056 STM FFFIS Safe time layer  2.2.0   
26 SUBSET -057 STM FFFIS Safe link layer  2.2.0   
27 SUBSET -091 Safety Requirements for the Technical 
Interoperability of ETCS in Levels 1 
and 2  2.5.0   
28 Intentionally deleted     
29 SUBSET -102 Test specification for interface “K”  1.0.0   
30 Intentionally deleted     
31 SUBSET -094 Functional requirements for an onboard 
reference test facility  2.0.2   
32 EIRENE FRS  GSM -R Functional requirements 
specification  8.0.0  Note 10  
33 EIRENE SRS  GSM -R System requirements 
specification  16.0.0  Note 10  
34 A11T6001  (MORANE) Radio Transmission FFFIS 
for EuroRadio  13.0.0   
35 Intentionally deleted     
36 a Intentionally d eleted     
36 b Intentionally deleted     EN 49  EN Index 
N Set of specifications # 1 (only for  trackside Subsystems)  
(ETCS Baseline 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
36 c SUBSET -074-2 FFFIS STM Test cases document  1.0.0   
37 a Intentionally deleted     
37 b SUBSET -076-5-2 Test cases related to features  2.3.3   
37 c SUBSET -076-6-3 Test sequences  2.3.3   
37 d SUBSET -076-7 Scope of the test specifications  1.0.2   
37 e Intentionally deleted     
38 06E068  ETCS Marker -board definition  2.0  
39 SUBSET -092-1 ERTMS EuroRadio Conformance 
Requirements  2.3.0   
40 SUBSET -092-2 ERTMS EuroRadio test cases safety 
layer  2.3.0   
41 Intentionally deleted     
42 Intentionally deleted     
43 SUBSET 085  Test specification for Eurobalise FFFIS  2.2.2   
44 Intentionally deleted     
45 SUBSET -101 Interface “K” Specification  1.0.0   
46 SUBSET -100 Interface “G” Specification  1.0.1   
47 Intentionally deleted     
48 Reserved  Test specification for mobile 
equipment GSM -R  Note 4  
49 SUBSET -059 Performance requirements for STM  2.1.1   
50 SUBSET -103 Test specification for Euroloop  1.0.0   
51 Reserved  Ergonomic aspects of the DMI    
52 SUBSET -058 FFFIS STM Application layer  2.1.1   
53 Intentionally deleted     
54 Intentionally deleted     
55 Intentionally deleted     
56 Intentionally deleted     
57 Intentionally deleted     EN 50  EN Index 
N Set of specifications # 1 (only for  trackside Subsystems)  
(ETCS Baseline 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
58 Intentionally deleted     
59 Intentionally deleted     
60 Intentionally deleted     
61 Intentionally deleted     
62 Reserved  RBC -RBC Test specification for safe 
communication interface    
63 SUBSET -098 RBC -RBC Safe Communication 
Interface  1.0.0   
64 EN 301  515  Global System for Mobile 
Communication (GSM); Requirements 
for GSM operation on railways  2.3.0  Note 2  
65 TS 102  281 Detailed requirements for GSM 
operation on railways  3.0.0  Note 3  
66 TS 103 169  ASCI Options for Interoperability  1.1.1   
67 (MORANE) P 38 T 9001  FFFIS for GSM -R SIM Cards  5.0 Note 10  
68 ETSI TS 102 610  Railway Telecommunication; GSM;  
Usage of the UUIE for GSM operation 
on railways  1.3.0   
69 (MORANE) F 10 T 6002  FFFS for Confirmation of High Priority 
Calls  5.0  
70 (MORANE) F 12 T 6002  FIS for Confirmation of High Priority 
Calls  5.0  
71 (MORANE) E 10 T 6001  FFFS for Functional Addressing  4.1  
72 (MORANE) E 12 T 6001  FIS for Functional Addressing  5.1  
73 (MORANE) F 10 T6001  FFFS for Location Dependent 
Addressing  4  
74 (MORANE) F 12 T6001  FIS for Location Dependent Addressing  3  
75 (MORANE) F 10 T 6003  FFFS for Presentation of Functional 
Numbers to Called and Calling Parties  4  
76 (MORANE) F 12 T 6003  FIS for Presentation of Functional 
Numbers to Called and Calling Parties  4  
77 ERA/ERTMS/033281  Interfaces between CCS trackside and 
other subsystems  4.0 Note 7  
78 Reserved  Safety requirements for ETCS DMI 
functions    EN 51  EN Index 
N Set of specifications # 1 (only for  trackside Subsystems)  
(ETCS Baseline 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
79 Not applicable  Not applicable    
80 Not applicable  Not applicable    
81 Not applicable  Not applicable    
82 Not applicable  Not applicable    
 
Table A 2.2 - List of mandatory specifications  
Index 
N Set of specifications # 2  
(ETCS Baseline 3  Maintenance Release 1 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
1 Intentionally deleted     
2 Intentionally deleted     
3 SUBSET -023 Glossary of Terms and Abbreviations  3.1.0   
4 SUBSET -026  System Requirements Specification  3.4.0   
5 SUBSET -027 FIS Juridical Recording  3.1.0   
6 ERA_ERTMS_015560  ETCS Driver Machine interface  3.4.0   
7 SUBSET -034 Train Interface FIS  3.1.0   
8 SUBSET -035 Specific Transmission Module FFFIS  3.1.0   
9 SUBSET -036 FFFIS for Eurobalise  3.0.0   
10 SUBSET -037 EuroRadio FIS  3.1.0   
11 SUBSET -038 Offline key management FIS  3.0.0   
12 SUBSET -039 FIS for the RBC/RBC handover  3.1.0   
13 SUBSET -040 Dimensioning and Engineering rules  3.3.0   
14 SUBSET -041 Performance Requirements for 
Interoperability  3.1.0   
15 Intentionally deleted     
16 SUBSET -044 FFFIS for Euroloop  2.4.0   
17 Intentionally deleted     
18 Intentionally deleted     EN 52  EN Index 
N Set of specifications # 2  
(ETCS Baseline 3  Maintenance Release 1 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
19 SUBSET -047 Trackside -Trainborne FIS for Radio 
infill  3.0.0   
20 SUBSET -048 Trainborne FFFIS for Radio infill  3.0.0   
21 Intentionally deleted     
22 Intentionally deleted     
23 SUBSET -054 Responsibilities and rules for the 
assignment of values to ETCS variables  3.0.0   
24 Intentionally deleted     
25 SUBSET -056 STM FFFIS Safe time layer  3.0.0   
26 SUBSET -057 STM FFFIS Safe link layer  3.0.0   
27 SUBSET -091 Safety Requirements for the Technical 
Interoperability of ETCS in Levels 1 
and 2  3.4.0   
28 Intentionally deleted     
29 SUBSET -102 Test specification for interface “K”  2.0.0   
30 Intentionally deleted     
31 SUBSET -094 Functional requirements for an onboard 
reference test facility  3.0.0   
32 EIRENE FRS  GSM -R Functional requirements 
specification  8.0.0  Note 10  
33 EIRENE SRS  GSM -R System requirements 
specification  16.0.0  Note 10  
34 A11T6001  (MORANE) Radio Transmission FFFIS 
for EuroRadio  13.0.0   
35 Intentionally deleted     
36 a Intentionally deleted     
36 b Intentionally deleted     
36 c SUBSET -074-2 FFFIS STM Test cases document  3.0.0   
37 a Intentionally deleted     
37 b SUBSET -076-5-2 Test cases related to features  3.2.0   
37 c SUBSET -076-6-3 Test sequences  3.1.0   
37 d SUBSET -076-7 Scope of the test specifications  3.2.0   EN 53  EN Index 
N Set of specifications # 2  
(ETCS Baseline 3  Maintenance Release 1 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
37 e Intentionally deleted     
38 06E068  ETCS Marker -board definition  2.0  
39 SUBSET -092-1 ERTMS EuroRadio Conformance 
Requirements  3.0.0   
40 SUBSET -092-2 ERTMS EuroRadio test cases safety 
layer  3.0.0   
41 Intentionally deleted     
42 Intentionally deleted     
43 SUBSET 085  Test specification for Eurobalise FFFIS  3.0.0   
44 Intentionally deleted     
45 SUBSET -101 Interface “K” Specification  2.0.0   
46 SUBSET -100 Interface “G” Specification  2.0.0   
47 Intentionally deleted     
48 Reserved  Test specification for mobile 
equipment GSM -R  Note 4  
49 SUBSET -059 Performance requirements for STM  3.0.0   
50 SUBSET -103 Test specification for Euroloop  1.1.0   
51 Intentionally deleted     
52 SUBSET -058 FFFIS STM Application layer  3.1.0   
53 Intentionally deleted     
54 Intentionally deleted     
55 Intentionally deleted     
56 Intentionally deleted     
57 Intentionally deleted     
58 Intentionally deleted     
59 Intentionally deleted     
60 SUBSET -104 ETCS System Version Management  3.2.0   
61 Intentionally deleted     
62 Intentionally deleted     EN 54  EN Index 
N Set of specifications # 2  
(ETCS Baseline 3  Maintenance Release 1 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
63 SUBSET -098 RBC -RBC Safe Communication 
Interface  3.0.0   
64 EN 301  515  Global System for Mobile 
Communication (GSM); Requirements 
for GSM operation on railways  2.3.0  Note 2  
65 TS 102  281 Detailed requirements for GSM 
operation on railways  3.0.0  Note 3  
66 TS 103 169 ASCI Options for Interoperability  1.1.1   
67 (MORANE) P 38 T 9001  FFFIS for GSM -R SIM Cards  5.0 Note 10  
68 ETSI TS 102 610  Railway Telecommunication; GSM;  
Usage of the UUIE for GSM operation 
on railways  1.3.0   
69 (MORANE) F 10 T 6002  FFFS for Confirmation of High Priority 
Calls  5.0  
70 (MORANE) F 12 T 6002  FIS for Confirmation of High Priority 
Calls  5.0  
71 (MORANE) E 10 T 6001  FFFS for Functional Addressing  4.1  
72 (MORANE) E 12 T 6001  FIS for Functional Addressing  5.1  
73 (MORANE) F 10 T6001  FFFS for Location Dependent 
Addressing  4  
74 (MORANE) F 12 T6001  FIS for Location Dependent Addressing  3  
75 (MORANE) F 10 T 6003  FFFS for Presentation of Functional 
Numbers to Called and Calling Parties  4  
76 (MORANE) F 12 T 6003  FIS for Presentation of Functional 
Numbers to Called and Calling Parties  4  
77 ERA/ERTMS/033281  Interfaces between CCS trackside and 
other subsystems  4.0 Note 7  
78 Intentionally deleted    Note 6  
79 SUBSET -114 KMC -ETCS Entity Off-line KM FIS  1.0.0   
80 Intentionally deleted    Note 5  
81 Reserved  Train Interface FFFIS    
82 Reserved  FFFIS TI – Safety Analysis    
 
Table A 2.3 - List of mandatory specifications  EN 55  EN Index 
N Set of specifications # 3  
(ETCS Baseline 3 Release 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
1 Intentionally deleted     
2 Intentionally deleted     
3 SUBSET -023 Glossary of Terms and Abbreviations  3.3.0   
4 SUBSET -026  System Requirements Specification  3.6.0   
5 SUBSET -027 FIS Juridical Recording  3.3.0   
6 ERA_ERTMS_015560  ETCS Driver Machine interface  3.6.0   
7 SUBSET -034 Train Interface FIS  3.2.0   
8 SUBSET -035 Specific Transmission Module FFFIS  3.2.0   
9 SUBSET -036 FFFIS for Eurobalise  3.1.0   
10 SUBSET -037 EuroRadio FIS  3.2.0   
11 SUBSET -038 Offline key management FIS  3.1.0   
12 SUBSET -039 FIS for the RBC/RBC handover  3.2.0   
13 SUBSET -040 Dimensioning and Engineering rules  3.4.0   
14 SUBSET -041 Performance Requirements for 
Interoperability  3.2.0   
15 Intentionally deleted     
16 SUBSET -044 FFFIS for Euroloop  2.4.0   
17 Intentionally deleted     
18 Intentionally deleted     
19 SUBSET -047 Trackside -Trainborne FIS for Radio 
infill  3.0.0   
20 SUBSET -048 Trainborne FFFIS for Radio infill  3.0.0   
21 Intentionally deleted     
22 Intentionally deleted     
23 SUBSET -054 Responsibilities and rules for the 
assignment of values to ETCS variables  3.0.0   
24 Intentionally deleted     
25 SUBSET -056 STM FFFIS Safe time layer  3.0.0   
26 SUBSET -057 STM FFFIS Safe link layer  3.1.0   EN 56  EN Index 
N Set of specifications # 3  
(ETCS Baseline 3 Release 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
27 SUBSET -091 Safety Requirements for the Technical 
Interoperability of ETCS in Levels 1 
and 2  3.6.0   
28 Intentionally deleted     
29 SUBSET -102 Test specification for interface “K”  2.0.0   
30 Intentionally deleted     
31 SUBSET -094 Functional requirements for an onboard 
reference test facility  3.1.0   
32 EIRENE FRS  GSM -R Functional requirements 
specification  8.0.0  Note 10  
33 EIRENE SRS  GSM -R System requirements 
specification  16.0.0  Note 10  
34 A11T6001  (MORANE) Radio Transmission FFFIS 
for EuroRadio  13.0.0   
35 Intentionally deleted     
36 a Intentionally deleted     
36 b Intentionally deleted     
36 c SUBSET -074-2 FFFIS STM Test cases document  3.1.0   
37 a Intentionally deleted     
37 b SUBSET -076-5-2 Test cases related to features  3.3.0   
37 c SUBSET -076-6-3 Test sequences  3.2.0   
37 d SUBSE T-076-7 Scope of the test specifications  3.3.0   
37 e Intentionally deleted     
38 06E068  ETCS Marker -board definition  2.0  
39 SUBSET -092-1 ERTMS EuroRadio Conformance 
Requirements  3.1.0   
40 SUBSET -092-2 ERTMS EuroRadio test cases safety 
layer  3.1.0   
41 Intentionally deleted     
42 Intentionally deleted     
43 SUBSET 085  Test specification for Eurobalise FFFIS  3.0.0   
44 Intentionally deleted     EN 57  EN Index 
N Set of specifications # 3  
(ETCS Baseline 3 Release 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
45 SUBSET -101 Interface “K” Specification  2.0.0   
46 SUBSET -100 Interface “G” Specification  2.0.0   
47 Intentionally deleted     
48 Reserved  Test specification for mobile 
equipment GSM -R  Note 4  
49 SUBSET -059 Performance requirements for STM  3.1.0   
50 SUBSET -103 Test specification for Euroloop  1.1.0   
51 Intentionally deleted     
52 SUBSET -058 FFFIS STM Application layer  3.2.0   
53 Intentionally deleted     
54 Intentionally deleted     
55 Intentionally deleted     
56 Intentionally deleted     
57 Intentionally deleted     
58 Intentionally deleted     
59 Intentionally deleted     
60 SUBSET -104 ETCS System Version Management  3.3.0   
61 Intentionally deleted     
62 Intentionally deleted     
63 SUBSET -098 RBC -RBC Safe Communication 
Interface  3.0.0   
64 EN 301  515  Global System for Mobile 
Communication (GSM); Requirements 
for GSM operation on railways  2.3.0  Note 2  
65 TS 102  281 Detailed requirements for GSM 
operation on railways  3.0.0  Note 3  
66 TS 103 169 ASCI Options for Interoperability  1.1.1   
67 (MORANE) P 38 T 9001  FFFIS for GSM -R SIM Cards  5.0 Note 10  
68 ETSI TS 102 610  Railway Telecommunication; GSM;  
Usage of the UUIE for GSM operation 
on railways  1.3.0   EN 58  EN Index 
N Set of specifications # 3  
(ETCS Baseline 3 Release 2 and GSM -R Baseline 1)  
Reference  Name of Specification  Version  Notes  
69 (MORANE) F 10 T 6002  FFFS for Confirmation of High Priority 
Calls  5.0  
70 (MORANE) F 12 T 6002  FIS for Confirmation of High Priority 
Calls  5.0  
71 (MORANE) E 10 T 6001  FFFS for Functional Addressing  4.1  
72 (MORANE) E 12 T 6001  FIS for Functional Addressing  5.1  
73 (MORANE) F 10 T6001  FFFS for Location Dependent 
Addressing  4  
74 (MORANE) F 12 T6001  FIS for Location Dependent Addressing  3  
75 (MORANE) F 10 T 6003  FFFS for Presentation of Functional 
Numbers to Called and Calling Parties  4  
76 (MORANE) F 12 T 6003  FIS for Presentation of Functional 
Numbers to Called and Calling Parties  4  
77 ERA/ERTMS/033281  Interfaces between CCS trackside and 
other subsystems  4.0 Note 7  
78 Intentionally deleted    Note 6  
79 SUBSET -114 KMC -ETCS Entity Off-line KM FIS  1.1.0   
80 Intentionally deleted    Note 5  
81 Reserved  Train Interface FFFIS    
82 Reserved  FFFIS TI – Safety Analysis    
83 SUBSET -137 On-line Key Management FFFIS  1.0.0   
Note 1: only the functional description of information to be recorded is mandatory, 
not the technical characteristics of the interface  
Note 2: the points s of the specifications listed in point 2.1 of EN 301 515 which are 
referenced in Index 32 and Index 33 as “MI” are mandatory.  
Note 3: the change requests (CRs) lis ted in table 1 and 2 of TS 102 281 which affect 
points s referenced in Index 32 and Index 33 as “MI” are mandatory.  
Note 4: Index 48 refers only to test cases for GSM -R mobile equipment. It is kept 
"reserved" for the time being. When agreed in a future revi sion of the TSI, the 
catalogue of available harmonised test cases for the assessment of mobile equipment 
and networks, according to the steps indicated in point 6.1.2 of this TSI , will be 
introduced in these tables . 
Note 5: the products which are on the ma rket are already tailored to the needs of the 
RU related to GSM -R Driver Machine Interface and fully interoperable so there is no 
need for a standard in the TSI CCS.  EN 59  EN Note 6: information that was intended for index 78 is now incorporated in Index 27 
(SUBSET -091).  
Note 7: this document is ETCS and GSM -R baseline independent.  
Note 8: Intentionally deleted.  
Note 9: Intentionally deleted.  
Note 10: Only the (MI) requirements are mandated by TSI CCS.  
Note 11: Intentionally deleted.  
Note 12: Intentionally deleted.  
Note 13: Intentionally deleted.  
Note 14: Intentionally deleted.  
 
Table A 3 - List of mandatory standards  
The application of the version of the standards listed in the table below, and their 
subsequent amendments when published as harmonised standard in the  certification 
process  is an appropriate means to fully comply to the risk management of the 
Commission Implementing Regulation (EU) No 402/2013, without prejudice for the 
provisions of chapter 4 and chapter 6 of this TSI.  
No Reference  Document name and co mments  Version  Note  
A1 EN 50126 -1 Railway applications —The specification and 
demonstration of reliability, availability, 
maintainability and safety (RAMS) – Part 1: 
Generic RAMS Process  2017  
(19991,2)  
A2 EN 50128  Railway applications — Communication, 
signalling and processing systems — Software 
for railway control and protection systems  2011   
A3 EN 50129  Railway applications — Communication, 
signalling and processing systems — Safety 
related electronic systems for signalling  2003  1 
A4 EN 50159  Railway applications - Communication, 
signalling and processing systems  2010  1 
A5 EN 50126 -2 Railway Applications - The specification and 
demonstration of reliability, availability, 
maintainability and safety (RAMS) – Part 2: 
Systems Approach to Safety  2017   
Note 1: this standard is harmonised, see “Commission Communication in the 
framework of the implementation of the Directive 2008/57/EC of the European 
Parliament and of the Council of 17 June 2008 on the interoperability of the rail 
system within the  Community (recast)” (OJ C 435, 15.12.2017), where also 
published editorial corrigenda are indicated.  EN 60  EN Note 2: this version of the standard may be used during the transitional period 
defined in the updated version of the standard.  ’; 
(57) the Annex G is replaced  by the following:  
(58) Open Points  
Open Point  Notes  
Braking aspects  It only applies to ETCS Baseline 2 (see Annex A, Table A  2, 
Index 15).  
Resolved for ETCS Baseline 3 (see Annex A, Table A 2, 
Indexes 4 and 13).  
Reliability/ availability 
requirements  Frequent occurrences of degraded situations caused by failures 
of control -command and signalling equipment will decrease 
the system safety.  
Characteristics of sand 
applied to tracks  See Annex A, Table A 2, Index 77  
This is not an open point for 1520 mm.  
Characteristics of flange 
lubricators  See Annex A, Table A 2, Index 77  
Combination of rolling 
stock characteristics 
influencing shunting 
impedance  See Annex A, Table A 2, Index 77  
Conducted interference:  
· Vehicle impedance  
· Substation impedance 
(for DC networks only)  
· Out -band limits  
· Interference current 
limits attributed to the 
substations and 
attributed to the rolling 
stock  
· Measurement, test and 
evaluation specification  See Annex A, Table  A 2, Index 77  
 
 
’;  
EN   EN 
 
 
 EUROPEAN  
COMMISSION   
Brussels, XXX   
[…](2018) XXX  draft  
ANNEXES 8 to 9  
 
ANNEXES  
to the  
COMMISSION IMPLEMENTING REGULATION (EU) …/...  
 
amending Commission Regulations (EU) No 321/2013, No 1299/2014, No  1301/2014, 
No 1302/2014, No 1303/2014 and No  1304/2014, Regulation (EU) 2016/919 and 
Commission  Implementing Decision 2011/665/EU  
as regards the alignment with Directive  (EU)  2016/797 of th e European Parliament and 
of the Council and the implementation of specific objectives set out in 
Commission  Delegated Decision  (EU)  2017/1474  
   
EN 1  EN ANNEX VIII 
 
Annex I to Decision  2011/665/EU is amended as follows :  
(1) point 2.3  is replaced by the following:  
‘2.3 Users and user access rights  
ERATV shall have the following users:  
Table 1: Access rights to ERATV  
User  Access rights  Log in, user accounts  
National 
safety 
authority of 
any Member 
State  Submission of data related to this 
Member State to be validated by the 
Agency.  
Unrestricted consultation of any data, 
including the data for which the 
validation is pending.  Logging in with user name 
and password.  
No functional or 
anonymous accounts shall 
be made available. Several 
accounts shall be created 
if the national sa fety 
authority so requires.  
Agency  Registration of data related to vehicle 
type authorisation it has processed as 
authoring entity.  
Validation regarding the compliance 
with this specification and publication 
of the data submitted by a national 
safety auth ority.  
Unrestricted consultation of any data, 
including the data for which the 
validation is pending.  Logging in with user name 
and password.  
Public  Consultation of validated data.  Not applicable.  
’; 
(2) in point 2.4, the following paragraph is added:  
‘ERATV  shall, as appropriate, allow for exchange of information with other 
information systems of the Agency such as the European Vehicle Register ('EVR')  as 
referred to in Decision (EU) 2018 /XX1, the common user interface for the railway 
register of infrastruct ure as referred to in Decision 2014/880/EU and the one stop -
shop ('OSS') as referred to in Article 12 of Regulation (UE) 2016/796 of the 
European Parliament and of the Council of 11 May 20162.’;  
                                                 
1 Decision (EU ) 2018/XX 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  
2 Regulation (EU) 2016/796 of the European Parliame nt and of the Council of 11 May 2016 on the 
European Union Agency for Railways and repealing Regulation (EC) No 881/2004  (OJ L 138, 
26.5.2016, p. 1 –43).  
EN 2  EN (3) in point 2.5, the following indents are added:  
– EVR: the form at of data on the type of vehicle in EVR shall have a one -to-one 
correspondence with the designation of types and, where applicable, variants or 
versions of type in ERATV ; 
– The One Stop Shop3 (OSS): OSS shall  rely on ERATV to manage any 
information related to the types/variants/versions. The identification of the type 
shall  be used as reference during the exchange of information between the 
systems; OSS will allow retrieving information for types/variants/versions 
from ERATV and will trigger the publication of the type/variant/version 
information in ERATV when the vehicle type authorisation is delivered ; 
– Single Rule Database4 containing national rules: for the national rules for 
vehicle authorisation: the list of parameters for which the conformity 
assessment  is done against national rules indicated in ERATV shall be the 
same in the Single Rule Database. ERATV must not allow referring to any 
parameter not included in the Single Rule Database.  
Until the Single Rules Database is operational and data migrated fro m the 
Reference Document Database and Notif -IT, the list of parameters for which 
the conformity assessment is done against national rules indicated in ERATV 
shall be the same as in the Reference Document Database. ERATV must not 
allow referring to any para meter not included in the Reference Document 
Database . ’; 
(4) point 5.1 is replaced by the following : 
‘5.1 General principle  
Every national safety authority shall submit information relate d to the authorisations 
of a type  of vehicle  or vehicle type variant  it has granted.  
Every national safety authority shall submit  information related to the versions of a 
vehicle type or versions of a vehicle type variant it has received  in accordance with 
in accordance with Article 15(3) of Regulation (EU) 2018/545 . 
The Agenc y shall directly register information related to the authorisations of a type 
of vehicle or vehicle type variant  it has granted  and information related to the 
versions of a vehicle type or versions of a vehicle type variant it has received . 
ERATV shall inc lude a web based tool for exchange of information between the 
national safety authorities and the Agency. This tool shall allow the following 
exchanges of information:  
(1) submission of data for the register by a national safety authority to the Agency 
includi ng: 
(a) data related to granting an authorisation for a new type of vehicle or a 
new vehicle type variant (in this case the national safety authority shall 
provide the full set of data as set out in Annex II);  
(b) data related to granting an authorisation for a ty pe of vehicle previously 
registered in ERATV (in this case the national safety authority shall only 
                                                 
3 As provided for in  Article 12 of  Regulation (EU) 2016/796  of the European Parliament and of the 
Counc il 
4 As provided for in Article 27 of Regulation (EU) 2016/796  of the European Parliament and of the 
Council   
EN 3  EN provide data related to the authorisation itself, i.e. fields in Section 3 of 
the list set out in Annex II);  
(c) data related to registering a version of a vehi cle type or version of a 
vehicle type variant (in this case the national safety authority shall 
provide the full set of data as set out in Annex II);  
(d) data related to modification of an existing authorisation (in this case the 
national safety authority shal l only provide data related to the fields that 
need to be modified; this may not include modification of data related to 
the characteristics of the vehicle);  
(e) data related to suspension of an existing authorisation (in this case the 
national safety authorit y shall only provide the date of suspension);  
(f) data related to reactivation of an existing authorisation (in this case the 
national safety authority shall only provide data related to the fields that 
need to be modified), distinguishing between  
– reactivation  without modification of data,  
– reactivation with modification of data (these data may not be 
related to the characteristics of the vehicle).  
(g) data related to withdrawal of an authorisation;  
(h) data related to correction of an error.  
(2) sending of requests for dat a clarification and/or correction by the Agency to a 
national safety authority;  
(3) sending of answers by a national safety authority to the requests of clarification 
and/or correction done by the Agency.  
The national safety authority shall submit the data for  updating the register 
electronically by means of a web based application and using the standard web based 
electronic form with the relevant fields filled in as set out in Annex II.  
The Agency shall check the data submitted by the national safety authority  regarding 
their compliance with this specification, and either validate them or request a 
clarification.  
If the Agency considers that the data submitted by the national safety authority are 
not in compliance with this specification, the Agency shall send the national safety 
authority a request for correction or clarification of the submitted data.  
Upon each update of data regarding a type of vehicle the system shall generate a 
confirmation message, which shall be sent by e -mail to the users of the national  
safety authority that submitted the data, to the national safety authority of all other 
Member States where the type is authorised and to the Agency.  ’; 
(5) point 5.2.1 is replaced by the following : 
‘5.2.1  Registering a new vehicle type authorisation, a new vehicle type variant a new 
version of a vehicle type or a new version of a vehicle type  
(1) The national safety authority shall inform the Agency of any vehicle type 
authorisation within 20 working days following the issue of the authorisation.  
(2) The national s afety authority shall inform the Agency of any vehicle type 
variant within 20 working days following the issue of the authorisation.   
EN 4  EN (3) The national safety authority shall inform the Agency of any version of a 
vehicle type or version of a vehicle type variant  it has received in accordance 
with Article  15(3) of Regulation (EU) 2018/545 within 20 working days 
following receipt of the complete information.  
(4) The Agency shall check the information submitted by the national safety 
authority and within 20 working days  following the receipt of this information 
either validate it and assign a type of vehicle number as set out in Annex III or 
request its correction or clarification. In particular, in order to prevent an 
unintended duplication of types in ERATV, the Agency  shall check, as far as 
the data available in ERATV allows, that this type has not been registered 
before by another Member State.  
(5) After validation of the information submitted by the national safety authority, 
the Agency shall assign the new type of vehic le its number. The rules for 
assigning the type of vehicle number are set out in Annex III. ’; 
(6) point 5.3 is replaced by the following : 
‘5.3 Entry or modification of data by the Agency  
5.3.1 The authoring entity is a national safety authority  
Where a nationa l safety authority acts as authoring ent ity, the Agency shall not 
modify  data submitted by a national safety authority. The role of the Agency shall 
consist of validation and publication only.  
In exceptional circumstances, such as technical impossibility o f following the normal 
procedure, the Agency may, following a request from a national safety authority, 
enter or modify data submitted by a national safety authority. In this case, the 
national safety authority that requested the entry or modification of d ata shall 
confirm the data entered or modified by the Agency and the Agency shall duly 
document the process. The timescales for entering data in ERATV as indicated in 
Section 5.2 shall apply.  
5.3.2 The authoring entity is the Agency  
Where the Agency acts as authoring entity, it shall:  
(a) register any vehicle type authorisation or vehicle type variant within 20 
working days following the issue of the authorisation;  
(b) register any version of a vehicle type or version of a vehicle type variant within 
20 working da ys following receipt of the complete information;  
(c) modify any existing authorisation for a type of vehicle within 20 working days 
following the issue of the modification to the authorisation;  
(d) suspend any existing authorisation for a type of vehicle within 5  working days 
following the issue of the suspension of the authorisation;  
(e) reactivate any authorisation for a type of vehicle previously suspended within 
20 working days following the issue of the reactivation of the authorisation;  
(f) withdraw any existing aut horisation for a type of vehicle within 5 working days 
following the withdrawal of the authorisation.  ’;  
EN 5  EN (7) section 6  is replaced by the following:  
‘6. GLOSSARY  
Term or 
abbreviation  Definition  
Type ID  An identification for the type composed of the type number (parameter 0.1, 
number composed of 10 digits), the variant (parameter 0.2, alphanumeric 
composed of three characters) and the version (parameter 0.4, alphanumeric 
composed of three characters):  
TypeID=Type number+ Variant+Version=XX -XXX -XXXX -X-ZZZ-VVV  
Restriction  Any condition or limitation indicated in the authorisation of type of vehicle 
that applies to placing on the market or use of any vehicle in conformity with 
this type. Restrictions do not include technical characteristics that are 
included in Section 4 of Annex II (List and format of parameters).  
Modification of 
authorisation  Modification, at the request of an authorising entity, of information of the 
registered vehicle type authorisation previously published which needs to be 
changed.  
Suspension of 
authorisation  Decision taken by an authorising entity according to which an authorisation 
for a vehicle type is temporarily suspended and no vehicle may be authorised 
to be placed on the market on the basis of its conformity to the given type, 
until the causes that motivated the suspension have not been analysed. 
Suspension of authorisation for a vehicle type does not apply to the vehicles 
already in use.  
Reactivation of 
authorisation  Decision taken by an authorising entity according to which a suspension of 
authorisation it previously issued no longer applies.  
Authorisation 
to be renewed  Decision taken by an authorising entity according to which an authorisation 
for a vehicle type needs to be renewed in accordance with Article 24(3) of 
Directive (EU) 2016/797 and no vehicle may be authorised to be placed on 
the market on the basis of its conformity to the given type. Authorisation to 
be renewed status for a vehicle type does not affect th e vehicles already in 
use. 
Revocation of 
authorisation  Decision taken in accordance with Article 26 of Directive (EU) 2016/797 by 
an authorising entity according to which an authorisation for a vehicle type is 
no longer valid. Vehicle already authorised t o be placed on the market on the 
basis of its type shall be withdrawn.  
Error  Transmitted or published data that do not correspond to the given 
authorisation for type of vehicle. Modification of authorisation does not fall 
under this definition.  
’.  
EN 6  EN ANNEX IX 
Annex II to Decision  2011/665/EU is replaced by the following:   
‘ANNEX II  
DATA TO BE REGISTERED AND FORMAT  
(1) For each authorised type of vehicle, ERATV shall include the following data:  
(a) identification of the type;  
(b) manufacturer;  
(c) conformity with the TSIs;  
(d) authorisations, including general information about these authorisations, their 
status, list of parameters for which conformity with national rules has been 
checked;  
(e) technical characterist ics. 
(2) The data to be registered in ERATV for each type of vehicle and their format shall be 
as indicated in Table 2 . The data to be registered depend on the category of the 
vehicle as indicated in Table 2 . 
(3) The values indicated for the parameters related to the technical characteristics shall 
be those recorded in the fi le accompanying the application.  
(4) In the cases where possible values for a parameter are limited to a predefined list, 
these lists shall be maintained and updated by the Agency.   
(5) For the types of vehicle that are not in conformity with all the relevant TSIs in force, 
the national safety authority that has granted the type authorisation may limit the 
information to be provided on the technical characteristics indicated in Section 4 
below to the p arameters that have been checked according to the applicable rules.  
(6) Where a parameter is defined in the applicable TSI, the value indicated for the 
parameter shall be the one assessed in the verification procedure.  
(7) Predefined lists shall be maintained and kept updated by the Agency in accordance 
with the TSIs in force, including the TSIs that may be applied during a transitional 
period.   
(8) For parameters indicated as ‘open point’ no data shall be introduced until the ‘open 
point’ is closed in the relevant TSI . 
(9) For parameters indicated as ‘optional’, indication of data shall be subject to the 
decision of the applicant for the type authorisation.  
(10) Fields 0.1 -0.4 shall be filled in by the Agency.  
 
   
EN 7  EN Table 2: Parameters of ERATV  
Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
0 Identification of the type  Heading (no data)       
0.1 Type number (in accordance with Annex III)  [number] XX -
XXX -XXXX -X  Y Y Y Y  
0.2 Variant  included in this type  
(in accordance with Article 2(13) of Regulation 
(EU) 2018/545)  [alphanumeric] 
ZZZ 
 Y Y Y Y  
0.4 Versions included in this type.  
(in accordance with Article 2(14) of Regulation 
(EU) 2018/545)  [alphanumeric] 
VVV  
 
 
 Y Y Y Y  
0.3 Date of record in ERATV  [date] DD -MM-
YYYY  Y Y Y Y  
1 General information  Heading (no data)       
1.1 Type name  [character string] 
(max 256 
characters)  O O O O  
1.2 Alternative type name  [character string] 
(max 256 
characters)  O O O O  
1.3 Manufacturer’s name  Heading (no data)       
1.3.1  Manufacturer identification data  Heading (no data)       
1.3.1.1  Name of organisation  [character string] 
(max 256 
characters)  
Selection from a 
predefined list, 
possibility to add 
new organisations  Y Y Y Y  
1.3.1.2  Registered business number  Text O O O O  
1.3.1.3  Organisation code  Alphanumeric code  O O O O   
EN 8  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
1.3.2  Manufacturer contact data  Heading (no data)       
1.3.2.1  Address of organisation, street and number  Text O O O O  
1.3.2.2  Town  Text O O O O  
1.3.2.3  Country code  Code as in EC 
interinstitutional 
Style Guide  O O O O  
1.3.2.4  Post code  Alphanumeric code  O O O O  
1.3.2.5  E-mail address  E-mail O O O O  
1.4 Category  [character string] 
Selection from a 
predefined list 
(according to 
Annex III)  Y Y Y Y  
1.5 Subcategory  [character string] 
Selection from a 
predefined list 
(according to 
Annex III) Y Y Y Y  
2 Conformity with TSIs  Heading (no data)       
2.1 Conformity with TSI  For each TSI:  
[character string] 
Y/N/Partial/Not 
applicable 
Selection from a 
predefined list of 
vehicle related TSIs 
(both in force and 
those that were 
previously in force) 
(multiple selection 
possible)  Y Y Y Y   
EN 9  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
2.2 EC certificate of verification :  
Reference of ‘EC type examination 
certificates’ (if module SB applied) and/or ‘EC 
design examination certificates’ (if module 
SH1 applied)  [character string] 
(possibility  to 
indicate several 
certificates, e.g. 
certificate for 
rolling stock 
subsystem, 
certificate for CCS, 
etc.) Y Y Y Y  
2.3 Applicable specific cases (specific cases 
conformity with which has been assessed)  [character string] 
Selection from a 
predefined list  
(multiple selection 
possible) based on 
TSIs (for each TSI 
marked as Y or P)  Y Y Y Y  
2.4 Sections of TSI not complied with  [character string] 
Selection from a 
predefined list 
(multiple selection 
possible) based on 
TSIs (for each TSI 
marked as P)  Y Y Y Y  
3 Authorisations  Heading (no data)       
3.0 Area of use  [character string] 
Selection from a 
predefined list : MS 
- Network  Y Y Y Y  
3.1 Authorisation in  Heading (no data)       
3.1.1  Member State of authorisation  [character string] 
Selection from a 
predefined list  Y Y Y Y  
3.1.2  Current status  Heading (no data)       
3.1.2.1  Status  [character string] + 
[date] Possible 
options: Valid, 
Suspended DD -
MM-YYYY, 
Revoked DD -MM-
YYYY, to be 
renewed DD -MM-
YYYY  Y Y Y Y   
EN 10  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
3.1.2.2  Validity of authorisation (if defined)  [date] DD -MM-
YYYY  Y Y Y Y  
3.1.2.3  Coded  conditions for use and other restrictions  [character string] 
Code assigned by 
the Agency  Y Y Y Y  
3.1.2.4  Non-coded  conditions for use and other 
restrictions  [character string]  Y Y Y Y  
3.1.3  Historical  Heading (no data)       
3.1.3.1  Original authorisation  Heading (no data)       
3.1.3.1.
1 Date of the original authorisation  [date] DD -MM-
YYYY  Y Y Y Y  
3.1.3.1.
2 Authorisation holder  Heading (no data ) 
      
3.1.3.1.
2.1 Authorisation holder identification data  Heading (no data)       
3.1.3.1.
2.1.1  Name of organisation  [character string] 
(max 256 
characters)  
Selection from a 
predefined list, 
possibility to add 
new organisations  Y Y Y Y  
3.1.3.1.
2.1.2  Registered business number  Text Y Y Y Y  
3.1.3.1.
2.1.3  Organisation code  Alphanumeric code  O O O O  
3.1.3.1.
2.2 Authorisation holder contact data  Heading (no data)       
3.1.3.1.
2.2.1  
 Address of organisation, street and number  
 Text Y Y Y Y  
3.1.3.1.
2.2.2  Town  
 Text Y Y Y Y   
EN 11  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
3.1.3.1.
2.2.3  Country code  Code as in EC 
interinstitutional 
Style Guide  Y Y Y Y  
3.1.3.1.
2.2.4  Post code  Alphanumeric code  Y Y Y Y  
3.1.3.1.
2.2.5  E-mail address  E-mail Y Y Y Y  
3.1.3.1.
3 Authorisation document reference  [character string] 
(EIN)  Y Y Y Y  
3.1.3.1.
4 Certificate of verification :  
Reference of type examination or design 
examination type  
 [character string]  
(Possibility to 
indicate several 
certificates, e.g. 
certificate for 
rolling stock 
subsystem, 
certificate for CCS, 
etc.) Y Y Y Y  
3.1.3.1.
5 Parameters for which conformity to applicable 
national rules has been assessed  [character string] 
Selection from a 
predefined list 
(multiple selection 
possible) based on 
Commission 
Decision 
2015/2299/EU  Y Y Y Y  
3.1.3.1.
6 Comments  [character string] 
(max 1  024 
characters)  O O O O  
3.1.3.1.
7 Reference to the written declaration by the 
proposer referred to in Article 3(11) of 
Regulation (EU) 402/2013  [character string]  Y Y Y Y  
3.1.3.X  Modification of authorisation  Heading (no data) 
(X is progressive 
from 2 onwards, 
as many times as 
modifications of 
the authorisation 
of type have been 
issued)  Y Y Y Y   
EN 12  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
3.1.3.X.
1 Type of modification  [character string] 
Text from a 
predefined list  Y Y Y Y  
3.1.3.X.
2 Date  [date] DD -MM-
YYYY  Y Y Y Y  
3.1.3.X.
3 Authorisation holder (if applicable)  [character string] 
(max 256 
characters) 
Selection from a 
predefined list, 
possibility to add 
new organisations  Y Y Y Y  
3.1.3.X.
3.1 Authorisation holder identification data  Heading (no data)       
3.1.3.X.
3.1.1  Name of organisation  [character string] 
(max 256 
characters)  
Selection from a 
predefined list, 
possibility to add 
new organisations  Y Y Y Y  
3.1.3.X.
3.1.2 Registered business number  Text Y Y Y Y  
3.1.3.X.
3.1.3 Organisation code  Alphanumeric code  O O O O  
3.1.3.X.
3.2 Authorisation holder contact data  Heading (no data)       
3.1.3.X.
3.2.1  
 Address of organisation, street and number  
 Text Y Y Y Y  
3.1.3.X.
3.2.2  Town  
 Text Y Y Y Y  
3.1.3.X.
3.2.3  Country code  Code  as in EC 
interinstitutional 
Style Guide  Y Y Y Y  
3.1.3.X.
3.2.4  Post code  Alphanumeric code  Y Y Y Y   
EN 13  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
3.1.3.X.
3.2.5  E-mail address  E-mail Y Y Y Y  
3.1.3.X.
4 Authorisation modification document reference  [character string]  Y Y Y Y  
3.1.3.X.
5 Certificate of verification:  
Reference of type examination or design 
examination type  
 [character string]  
(possibility to 
indicate several 
certificates, e.g. 
certificate for 
rolling stock 
subsystem, 
certificate for CCS, 
etc.) Y Y Y Y  
3.1.3.X.
6 Applicable national rules (if applicable)  [character string] 
Selection from a 
predefined list 
(multiple selection 
possible) based on 
Commission 
Decision 
2015/2299/EU  Y Y Y Y  
3.1.3.X.
7 Comments  [character string] 
(max 1  024 
characters)  O O O O  
3.1.3.X.
8 Reference to the written declaration by the 
proposer referred to in Article 3(11) of 
Regulation (EU) 402/2013  [character string]  Y Y Y Y  
3.X Authorisation in  Heading (no data) 
(X is progressive 
incremented by 
one unit from 2 
onwards each time 
an authorisation 
for this type has 
been granted). 
This Section 
contains same 
fields as 3.1  Y Y Y Y  
4 Technical characteristics of the vehicle  Heading (no data)       
4.1 General technical characteristics  Heading (no data)       
4.1.1  Number of driving cabs  [Number] 0/1/2  Y Y Y Y N  
EN 14  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
4.1.2  Speed  Heading (no data)       
4.1.2.1  Maximum design speed  [Number] km/h  Y Y Y Y N 
4.1.3  Wheel set gauge  
 [character string] 
Selection from 
predefined list  Y Y Y Y Y 
4.1.5  Maximum number of trainsets or locomotives 
coupled together in multiple operation.  [number]  Y N N N N 
4.1.11  Changeover facility  [character string] 
Selection from 
predefined list  Y Y Y Y Y 
4.2 Vehicle gauge  Heading (no data)       
4.2.1  Reference profile  
 [character string] 
Selection from 
predefined list 
(more than one 
possible) (the list 
will be different for 
different categories 
depending on the 
applicable TSI)  Y Y Y Y Y 
4.3 Environmental conditions  Heading (no data)       
4.3.1  Temperature range  [character string] 
Selection from a 
predefined list 
(more than one 
possible)  Y Y Y Y N 
4.3.3  Snow, ice and hail conditions  [character string] 
Selection from a 
predefined list  Y Y N Y N 
4.4 Fire safety  Heading (no data)       
4.4.1  Fire safety category  [character string] 
Selection from a 
predefined list  Y Y N Y Y 
4.5 Design mass and loads  Heading (no data)        
EN 15  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
4.5.1  Permissible payload for different line 
categories  [number] t for line 
category [character 
string]  OP OP Y OP Y 
4.5.2  Design mass  Heading (no data)       
4.5.2.1  Design mass in working order  [number] kg  Y Y O Y Y 
4.5.2.2  Design mass under normal payload  [number] kg  Y Y O Y Y 
4.5.2.3  Design mass under exceptional payload  [number] kg  Y Y N Y Y 
4.5.3  Static axle load  Heading (no data)       
4.5.3.1  Static axle load in working order  [number] kg  Y Y O Y Y 
4.5.3.2  Static axle load under normal payload  [number] kg  Y Y Y Y Y 
4.5.3.3  Static axle load under exceptional payload  [number] kg  Y Y N Y Y 
4.5.3.4  Position of the axles along the unit (axle 
spacing) :  
a: Distance between axles  
b: Distance from end axle to the end of the 
nearest coupling plane  
c: distance between  two inside axles  
 a [number] m  
b [number] m  
c  [number] m  
 
 Y Y Y Y Y 
4.6 Rolling stock dynamic behaviour  Heading (no data)       
4.6.4  Combination of maximum speed and 
maximum cant deficiency for which the vehicle 
was assessed  [number] km/h - 
[number] mm  Y Y Y Y Y 
4.6.5  Rail inclination.  [character string] 
from a predefined 
list Y Y Y Y Y 
4.7 Braking  Heading (no data)       
4.7.1  Maximum average deceleration  [number] m/s2  Y N N Y N 
4.7.2  Thermal capacity  Heading (no data)        
EN 16  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
4.7.2.1  Brake performance on steep gradients with 
normal payload  Heading (no data)       
4.7.2.1.
1 Reference case of TSI  [character string] 
from a predefined 
list Y Y Y Y N 
4.7.2.1.
2 Speed (if no reference case is indicated)  [number] km/h  Y Y Y Y N 
4.7.2.1.
3 Gradient (if no reference case is indicated)  [number] ‰ 
(mm/m)  Y Y Y Y N 
4.7.2.1.
4 Distance (if no reference case is indicated)  [number] km  Y Y Y Y N 
4.7.2.1.
5 Time (if distance is not indicated) (if no 
reference case is indicated)  [number] min  Y Y Y Y N 
4.7.3  Parking brake  Heading (no data)       
4.7.3.3  Maximum gradient on which the unit is kept 
immobilised by the parking brake alone (if the 
vehicle is fitted with it)  [number] ‰ 
(mm/m)  Y Y Y Y N 
4.7.3.4  Parking brake  [Boolean] Y/N  N N Y N N 
4.7.4  Braking systems fitted on the vehicle  Heading (no data)       
4.7.4.1  Eddy current brake  Heading (no data)       
4.7.4.1.
1 Eddy current track brake fitted  [Boolean] Y/N  Y Y N Y Y 
4.7.4.1.
2 Possibility of preventing the use of the eddy 
current track brake (only if fitted with eddy 
current track brake)  [Boolean] Y/N  Y Y N Y Y 
4.7.4.2  Magnetic brake  Heading (no data)       
4.7.4.2.
1 Magnetic track brake fitted  [Boolean] Y/N  Y Y N Y Y 
4.7.4.2.
2 Possibility of preventing the use of the 
magnetic track brake (only if fitted with 
magnetic brake)  [Boolean] Y/N  Y Y N Y Y  
EN 17  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
4.7.4.3  Regenerative brake (only for vehicles with 
electrical traction)  Heading (no data)       
4.7.4.3.
1 Regenerative brake fitted  [Boolean] Y/N  Y N N Y Y 
4.7.4.3.
2 Possibility of preventing the use of the 
regenerative brake (only if fitted with 
regenerative brake)  [Boolean] Y/N  Y N N Y N 
4.7.5  Emergency brake : Stopping distance and 
deceleration profile for each load condition per 
design maximum speed  [number] m  
[number] m/s2  Y Y N Y N 
4.7.6  For general operation :  
Brake weight percentage (lambda) or Braked 
mass  Lambda (%)  
[number] tonnes  
 Y Y Y Y N 
4.7.7  Service brake:  
At maximum service brake: Stopping distance, 
Maximum deceleration, for the load condition 
‘design mass under normal payload’ at the 
design maximum speed.  [number] m  
[number] m/s2  Y Y Y Y N 
4.7.8  Wheel slide protection system  [Boolean] Y/N  Y Y Y Y N 
4.8 Geometrical characteristics  Heading (no data)       
4.8.1  Vehicle length  [number] m  Y Y Y Y N 
4.8.2  Minimum in -service wheel diameter  [number] mm  Y Y Y Y Y 
4.8.4  Minimum horizontal curve radius capability  [number] m  Y Y N Y Y 
4.8.5  Minimum vertical convex curve radius 
capability  [number] m  Y Y Y Y N 
4.8.6  Minimum vertical concave curve radius 
capability  [number] m  Y Y Y Y N 
4.9 Equipment  Heading (no data)       
4.9.1  Type of end coupling  
 [Character string] 
From a predefined 
list (multiple 
selection possible)  Y Y Y Y N  
EN 18  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
4.9.2  Axle bearing condition monitoring (hot axles 
box detection)  [Character string] 
From a predefined 
list (multiple 
selection possible)  Y Y Y Y Y 
4.9.4  On-board detection system  [Boolean] Y/N  Y Y Y Y Y 
4.10 Energy supply  Heading (no data)       
4.10.1  Energy supply system (voltage and frequency)  [Character string] 
From a predefined 
list (multiple 
selection possible)  Y Y N Y Y 
4.10.4  Maximum current at standstill per pantograph 
(to be indicated for each DC systems the 
vehicle is equipped for)  [Number] A for 
[Voltage 
automatically 
prefilled in]  Y Y N Y N 
4.10.5  Height of interaction of pantograph with 
contact wires (over top of rail) (to be indicated 
for each energy supply system the vehicle is 
equipped for)  [Number] From [m] 
to [m] (with two 
decimals)  Y Y N Y Y 
4.10.6  Pantograph head geometry (to be indicated for 
each energy supply system the vehicle is 
equipped for)  [Character string] 
for [energy supply 
system 
automatically 
prefilled in]  
From a predefined 
list (multiple 
selection possible)  Y Y N Y Y 
4.10.7  Number of pantographs in contact with the 
overhead contact line (OCL) (to be indicated 
for each energy supply system the vehicle is 
equipped for)  [Number]  Y Y N Y Y 
4.10.8  Shortest distance between two pantographs in 
contact with the OCL (to be indicated for each 
energy supply system the vehicle is equipped 
for; to be indicated for single and, if applicable, 
multiple operation) (only if number of raised 
pantographs is more than 1)  [Number] [m]  Y Y N Y Y  
EN 19  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
4.10.10  Material of pantograph contact strip the vehicle 
may be equipped with (to be indicated for each 
energy supply system the vehicle is equipped 
for) [Character string] 
for [energy  supply 
system 
automatically 
prefilled in]  
From a predefined 
list (multiple 
selection possible)  Y Y N Y Y 
4.10.11  Automatic dropping device (ADD) fitted (to be 
indicated for each energy supply system the 
vehicle is equipped for)  [Boolean] Y/N  Y Y N Y Y 
4.10.14  Electric units equipped with power or current 
limitation function  [Boolean] Y/N  Y N N Y Y 
4.10.15  Mean contact force  [Number] [N]  Y Y N Y Y 
4.12 Passenger related characteristics  Heading (no data)       
4.12.3.1  Platform heights for which the vehicle is 
designed.  [Number] from 
predefined list 
(multiple selection 
possible)  Y Y N N Y 
4.13 On-board CCS equipment (for vehicles with 
a driving cab only)  Heading (no data)       
4.13.1  Signalling  Heading (no data)       
4.13.1.1  ETCS equipment on-board  and the set of 
specifications from CCS TSI Annex A  [Character string] 
From a predefined 
list Y N N Y Y 
4.13.1.5  Class B or other train protection, control and 
warning systems installed (system and, if 
applicable, version)  [Character string] 
From  a predefined 
list (more than one 
option possible)  Y N N Y Y 
4.13.1.6  Special conditions implemented on -board to 
switch over between different train protection, 
control and warning systems.  [Character string] 
From combination 
of systems installed 
on board  (‘System 
XX’/‘System YY’) 
(more than one 
option possible)  Y N N Y N 
4.13. 1.7 ETCS on -board implementation  [Character string]  Y N N Y Y  
EN 20  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
4.13. 1.8 ETCS System Compatibility  [Character string] 
From a predefined 
list (more than one 
option possible)  Y N N Y N 
4.13.1.9  Managing information about the completeness 
of the train  [Boolean] Y/N  Y N N Y Y 
4.13.2  Radio  Heading (no data)       
4.13.2.1  GSM -R  Radio voice on board and its Baseline  [Character string] 
From a predefined 
list Y N N Y Y 
4.13.2.3  Class B or  other radio systems installed 
(system and, if applicable, version)  [Character string] 
From a predefined 
list (more than one 
option possible)  Y N N Y Y 
4.13.2.4  Special conditions implemented on -board to 
switch over between different radio systems.  [Character string] 
From combination 
of systems installed 
on board (‘System 
XX’/‘System YY’) 
(more than one 
option possible)  Y N N Y N 
4.13.2.5  Radio Voice System Compatibility  [Character string] 
From a predefined 
list (more than one 
option possible)  Y N N Y N 
4.13.2.6  Voice and operational communication 
implementation  [Character string]  Y N N Y Y 
4.13. 2.7 GSM -R Radio Data communication  on board 
and its Baseline  [Character string] 
From a predefined 
list Y N N Y Y 
4.13.2.8 Radio Data System Compatibility  
 [Character string] 
From a predefined 
list (more than one 
option possible)  Y N N Y N 
4.13. 2.9 Data communication application for ETCS 
implementation  [Character string]  Y N N Y Y  
EN 21  EN Parameter  Data format  Applicability to vehicle categories 
(Yes, No, Optional, Open Point)  
Parameters for technical 
compatibility between 
Vehicle and the network(s) 
of area of use  1. Traction 
vehicles  
2. Hauled 
passenger 
vehicles  
3. Freight 
wagons  
4. Special 
vehicles  
4.13.2.1
0 Voice SIM Card GSM -R Home Network  [Character string] 
From a predefined 
list Y N N Y N 
4.13.2.1
1 Data SIM Card GSM -R Home Network  [Character string] 
From a predefined 
list Y N N Y N 
4.13.2.1
2 Voice SIM Card support of Group ID 555  [Boolean] Y/N  Y N N Y N 
4.14 Compatibility with train detection systems  Heading (no  data)       
4.14.1  Type of train detection systems for which the 
vehicle has been designed and assessed  [Character string] 
From a predefined 
list (more than one 
option possible)  Y Y Y Y Y 
’;