# Commission Regulation (EU) No 321/2013Show full title

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

        - Previous
        - Next

U.K.

# Commission Regulation (EU) No 321/2013                     

# of 13 March 2013

# concerning the technical specification for interoperability relating to the subsystem ‘rolling stock — freight wagons’ of                        the rail system in the European Union and repealing Decision 2006/861/EC                     

# (Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to 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,(1) and in particular Article 6(1) second subparagraph thereof,                        

Whereas:

(1)Article 12 of Regulation (EC) No 881/2004 of the European Parliament and of the Council of 29 April 2004 establishing a European                              Railway Agency(2) requires the European Railway Agency (the Agency) to ensure that the technical specifications for interoperability (TSIs)                              are adapted to technical progress, market trends and social requirements and to propose to the Commission the amendments to                              the TSIs which it considers necessary.

(2)With Decision C(2010) 2576 of 29 April 2010, the Commission gave the Agency a mandate to develop and review the technical                              specifications for interoperability with a view to extending their scope to the European Union’s entire rail system. Under                              the terms of that mandate, the Agency was asked to extend the scope of the Technical Specification for Interoperability relating                              to the subsystem ‘rolling stock — freight wagons’ to the European Union’s entire rail system.

(3)On 1 February 2012 the European Railway Agency submitted a recommendation on the revised Technical Specification for Interoperability                              (TSI) relating to the subsystem ‘rolling stock — freight wagons’.

(4)The TSI on ‘rolling stock — freight wagons’ should not impose the use of specific technologies or technical solutions except                              where this is strictly necessary for the interoperability of the European Union’s rail system.

(5)The TSI on rolling stock which is to be established by this Regulation does not cover all the essential requirements set out                              in Annex III to Directive 2008/57/EC. In accordance with Article 5(6) of Directive 2008/57/EC, the technical aspects that                              are not covered should be identified as open points.

(6)In accordance with Article 17(3) of Directive 2008/57/EC, Member States are to notify to the Commission and other Member States                              the technical rules, the conformity assessment and verification procedures to be used in specific cases, and the bodies responsible                              for carrying out these procedures.

(7)The TSI on ‘rolling stock — freight wagons’ should refer to Commission Decision 2010/713/EU of 9 November 2010 on modules                              for the procedures for assessment of conformity, suitability for use and EC verification to be used in the technical specifications                              for interoperability adopted under Directive 2008/57/EC of the European Parliament and of the Council(3).

(8)In accordance with Article 11(5) of Directive 2008/57/EC, the TSI on ‘rolling stock — freight wagons’ should allow, for a                              limited period of time, interoperability constituents to be incorporated into subsystems without certification, provided that                              certain conditions are met.

(9)Commission Decision 2006/861/EC of 28 July 2006 concerning the technical specification of interoperability relating to the                              subsystem ‘rolling stock — freight wagons’ of the trans-European conventional rail system(4) should therefore be repealed.

(10)The measures provided for in this Regulation are in accordance with the opinion of the Committee established in accordance                              with Article 29(1) of Directive 2008/57/EC,

HAS ADOPTED THIS REGULATION:

# Article 1U.K.

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

# Article 2U.K.

1.The TSI shall apply to the ‘rolling stock — freight wagons’ subsystem as described in [F1point 2.7 of Annex II to Directive (EU) 2016/797 of the European Parliament and of the Council (5) ].                  

2.The TSI shall apply to freight wagons with a maximum operating speed lower than or equal to 160 km/h and a maximum axle load                        lower than or equal to 25 t.                  

3.The TSI shall apply to freight wagons which are intended to be operated on one or more of the following nominal track gauges:                        1 435 mm, 1 524 mm, 1 600 mm, and 1 668 mm. The TSI shall not apply to freight wagons operating mainly on the 1 520 mm track                        gauge, which may occasionally be operated on 1 524 mm track gauge.                  

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

# Article 3U.K.

The TSI shall apply to all new freight wagon rolling stock of the European Union’s rail system, taking into account Section                     7 of the Annex.                  

The TSI set out in the Annex shall also apply to existing freight wagon rolling stock:

[F1when it is renewed and upgraded in accordance with section 7.2.2 of the Annex to this Regulation;]                            

with regard to specific provisions, such as the traceability of axles in point 4.2.3.6.4 and the maintenance plan in point                              4.5.3[F2;]                            

[F1with regards to the marking ‘GE’ as depicted in point 5 of Appendix C of the Annex, wagons of the existing fleet which have been authorised in accordance                                 with Commission Decision 2006/861/EC as amended by Decision 2009/107/EC or with Decision 2006/861/EC as amended by Decisions                                 2009/107/EC and 2012/464/EU and meeting the conditions set out in point 7.6.4 of Decision 2009/107/EC may receive this marking                                 ‘GE’ without any additional third party assessment or new authorisation for placing on the market. The use of this marking in                                 wagons in operation remains under the responsibility of the railway undertakings.]                            

The detailed technical scope of this Regulation is set out in Chapter 2 of the Annex.

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

F2Substituted by Commission Regulation (EU) 2015/924 of 8 June 2015 amending Regulation (EU) No 321/2013 concerning the technical specification                                 for interoperability relating to the ‘rolling stock — freight wagons’ subsystem of the rail system in the European Union (Text                                 with EEA relevance).

# Article 4U.K.

[F11.With regard to ‘open points’ set out in Appendix A, the conditions to be complied with for the verification of the essential requirements of Directive                           (EU) 2016/797 shall be those laid down by national rules in force in the Member State which is part of the area of use of                           the vehicles covered by this Regulation.]                  

2.Within six months of the entry into force of this Regulation, each Member State shall send the other Member States and the                        Commission the following information, provided it has not already been sent to them under Decision 2006/861/EC:                  

(a)the list of the applicable technical rules referred to in paragraph 1;                  

(b)the conformity assessment and verification procedures to be carried out to apply those rules;                  

[F1(c)the bodies designated to carry out the conformity assessment and verification procedures with respect to the open points.]                  

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

# Article 5U.K.

[F11.With regard to specific cases set out in Section 7.3 of the Annex, the conditions to be met for the verification of the essential                           requirements of Directive (EU) 2016/797 shall be those laid down in Section 7.3 of the Annex or by national rules in force                           in the Member State which is part of the area of use of the vehicles covered by this Regulation.]                  

2.Within six months of the entry into force of this Regulation, each Member State shall notify to the other Member States and                        to the Commission:                  

(a)the applicable technical rules referred to in paragraph 1;                  

(b)the conformity assessment and verification procedures to be carried out to apply the technical rules referred to in paragraph                        1;                  

[F1(c)the bodies designated to carry out the conformity assessment and verification procedures for the national rules relating to                           the specific cases set out in point 7.3 of the Annex.]                  

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

# Article 6U.K.

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

2.Member States shall forthwith notify the Commission any future agreements or modifications of existing agreements.                  

# Article 7U.K.

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

# Article 8U.K.

[F11.An EC certificate of verification for a subsystem that contains interoperability constituents which do not have an EC declaration                           of conformity or suitability for use may be issued during a transition period ending on 1 January 2024, provided the provisions set out in Section 6.3 of the Annex are met.]                  

[F12.The production or upgrade/renewal of the subsystem using non-certified interoperability constituents shall be completed within                           the transition period set out in paragraph 1, including placing on the market.]                  

3.During the transition period set out in paragraph 1:                  

(a)the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure                        referred to in paragraph 1;                  

(b)the national safety authorities shall report on the use of non-certified interoperability constituents in the context of authorisation                        procedures in their annual report referred to in [F1Article 19 of Directive (EU) 2016/798 of the European Parliament and of the Council] (6).                  

[F14.After a transition period ending on 1 January 2015, newly produced interoperability constituents of ‘rear-end signals’, shall be covered by the required EC declaration of conformity.]                  

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

# [F3Article 8aU.K.

[F11.Notwithstanding the provisions in Section 6.3 of the Annex, an EC certificate of verification may be issued for a subsystem                              containing components corresponding to the ‘friction element for wheel tread brakes’ interoperability constituent that does not have an EC declaration of conformity during a transition period ending on 1 January 2024, if the following conditions are met:                  

(a)the component was manufactured before the date of application of this Regulation; and                  

(b)the interoperability constituent has been used in a subsystem that had been approved and placed on the market in at least                              one Member State before the date of application of this Regulation.]                  

[F12.The production, upgrade or renewal of any subsystem using non-certified interoperability constituents shall be completed,                              including granting authorisation for placing on the market, before the transition period set out in paragraph 1 expires.]                  

3.During the transition period set out in paragraph 1:                  

(a)the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure                           for the subsystem referred to in paragraph 1; and                  

(b)national safety authorities shall report in their annual report, as referred to in [F1Article 19 of Directive (EU) 2016/798], on the use of non-certified ‘friction element for wheel tread brakes’ interoperability constituents in the context of authorisation procedures.                  

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

F3Inserted by Commission Regulation (EU) 2015/924 of 8 June 2015 amending Regulation (EU) No 321/2013 concerning the technical specification                                 for interoperability relating to the ‘rolling stock — freight wagons’ subsystem of the rail system in the European Union (Text                                 with EEA relevance).

# Article 8bU.K.

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

2.After their current approval period expires, ‘friction element for wheel tread brakes’ interoperability constituents listed in Appendix G of the Annex shall be covered by EC declaration of conformity.                  

Textual Amendments

F3Inserted by Commission Regulation (EU) 2015/924 of 8 June 2015 amending Regulation (EU) No 321/2013 concerning the technical specification                                 for interoperability relating to the ‘rolling stock — freight wagons’ subsystem of the rail system in the European Union (Text                                 with EEA relevance).

# Article 8cU.K.

1.Notwithstanding the provisions in Section 6.3 of the Annex, an EC certificate of verification may be issued for a subsystem                           containing components corresponding to the ‘friction element for wheel tread brakes’ interoperability constituent that does not have an EC declaration of conformity during a transition period of 10 years after                           the expiry of the approval period of the interoperability constituent, if the following conditions are met:                  

(a)the component was manufactured before the expiry of the approval period of the interoperability constituent; and                  

[F1(b)the interoperability constituent has been used in a subsystem that had been approved and placed on the market in at least                              one Member State before the expiry of its approval period.]                  

[F12.The production, upgrade or renewal of any subsystem using non-certified interoperability constituents shall be completed,                              including granting authorisation for placing on the market, before the transition period set out in paragraph 1 expires.]                  

3.During the transition period set out in paragraph 1:                  

(a)the reasons for non-certification of any interoperability constituents shall be properly identified in the verification procedure                           for the subsystem referred to in paragraph 1; and                  

(b)the national safety authorities shall report in their annual report, as referred to in [F1Article 19 of Directive (EU) 2016/798], on the use of non-certified ‘friction element for wheel tread brakes’ interoperability constituents in the context of authorisation procedures.]                  

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

F3Inserted by Commission Regulation (EU) 2015/924 of 8 June 2015 amending Regulation (EU) No 321/2013 concerning the technical specification                                 for interoperability relating to the ‘rolling stock — freight wagons’ subsystem of the rail system in the European Union (Text                                 with EEA relevance).

# Article 9U.K.

[F1The declaration of verification and/or conformity to type of a new vehicle established in accordance with Decision 2006/861/EC                        shall be considered valid until the end of a transition period ending on 1 January 2017.]                   

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

# [F3Article 9aU.K.

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

Textual Amendments

F3Inserted by Commission Regulation (EU) 2015/924 of 8 June 2015 amending Regulation (EU) No 321/2013 concerning the technical specification                                 for interoperability relating to the ‘rolling stock — freight wagons’ subsystem of the rail system in the European Union (Text                                 with EEA relevance).

# Article 10U.K.

[F21.The Agency shall publish on its website the list of fully approved composite brake blocks for international transport referred                           to in Appendix G of the Annex, for the period in which these brake blocks are not covered by EC declarations.]                  

2.The Agency shall keep the list referred to in paragraph 1 up to date and inform the Commission of any changes to it. The Commission                        shall inform the Member States of any changes to the list through the Committee established in accordance with Article 29                        of Directive 2008/57/EC.                  

Textual Amendments

F2Substituted by Commission Regulation (EU) 2015/924 of 8 June 2015 amending Regulation (EU) No 321/2013 concerning the technical specification                                 for interoperability relating to the ‘rolling stock — freight wagons’ subsystem of the rail system in the European Union (Text                                 with EEA relevance).

# [F3Article 10aU.K.

1.In order to keep pace with technological progress, innovative solutions may be required that do not comply with the specifications                           set out in the Annex and/or for which the assessment methods set out in the Annex cannot be applied. In that case, new specifications                           and/or new assessment methods associated with those innovative solutions shall be developed.                  

2.Innovative solutions may be related to the ‘rolling stock — freight wagons’ subsystem, its parts and its interoperability constituents.                  

3.If an innovative solution is proposed, the manufacturer or his authorised representative established within the Union shall                           declare how it deviates from or complements the relevant provisions of this TSI and shall submit the deviations to the Commission                           for analysis.                  

4.The Commission shall deliver an opinion on the innovative solution proposed. If this opinion is positive, the appropriate                           functional and interface specifications and the assessment method, which must be included in the TSI in order to allow the                           use of this innovative solution, shall be developed and subsequently integrated in the TSI during the revision process carried                           out pursuant to [F1Article 5 of Directive (EU) 2016/797]. If the opinion is negative, the innovative solution proposed shall not be applied.                  

5.Pending the review of the TSI, the positive opinion delivered by the Commission shall be considered an acceptable means of                           compliance with the essential requirements of [F1Directive (EU) 2016/797] and may therefore be used for the assessment of the subsystem.]                  

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

F3Inserted by Commission Regulation (EU) 2015/924 of 8 June 2015 amending Regulation (EU) No 321/2013 concerning the technical specification                                 for interoperability relating to the ‘rolling stock — freight wagons’ subsystem of the rail system in the European Union (Text                                 with EEA relevance).

# Article 11U.K.

Decision 2006/861/EC is repealed with effect from 1 January 2014.

It shall continue to apply, however, to the maintenance of projects authorised in accordance with that Decision and, unless                     the applicant requests to apply this Regulation, to projects for new, renewed or upgraded subsystems which are at an advanced                     stage of development or are the subject of a contract which is being carried out on the date this Regulation is published.                  

# Article 12U.K.

This Regulation shall enter into force on the day following that of its publication in the *Official Journal of the European Union*.                  

It shall apply from 1 January 2014. However, an authorisation for placing into service may be granted in application of the                     TSI as set out in the Annex to this Regulation, except its Section 7.1.2, before 1 January 2014.                  

This Regulation shall be binding in its entirety and directly applicable in all Member States.

## ANNEXU.K.**Technical specification for interoperability for the ‘rolling stock — wagons’ subsystem**

### 1.INTRODUCTIONU.K.

A Technical Specification for Interoperability (TSI) is a specification that covers a subsystem (or part of it) as described                     in Article 2(i) of [F1Directive (EU) 2016/797] in order:                  
          -  to ensure the interoperability of the rail system, and 
          -  to meet the essential requirements. 

#### 1.1.**Technical scope**U.K.

See Article 2 of this Regulation.

#### [F11.2.**Geographical scope**U.K.

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.]                   

#### 1.3.**Content of this TSI**U.K.

In accordance with Article 5(3) of [F1Directive (EU) 2016/797], this TSI:                  

indicates its intended scope (Chapter 2);

lays down essential requirements for the part of the rolling stock subsystem concerned and for its interfaces vis-à-vis other                              subsystems (Chapter 3);                           

establishes the functional and technical specifications to be met by the subsystem and its interfaces vis-à-vis other subsystems                              (Chapter 4).                           

determines the interoperability constituents and interfaces which must be covered by European specifications, including European                              standards, which are necessary to achieve interoperability within the rail system (Chapter 5);                           

states, in each case under consideration, which procedures are to be used in order to assess the conformity or the suitability                              for use of the interoperability constituents and the ‘EC’ verification of the subsystems (Chapter 6);                           

indicates the strategy for implementing the TSIs (Chapter 7);

indicates, for the staff concerned, the professional qualifications and health and safety conditions at work that are required                              for the operation and maintenance of the above subsystem, as well as for the implementation of this TSI (Chapter 4).                           

### [F12.SCOPE AND DEFINITION OF SUBSYSTEMU.K.

#### 2.1.**Scope**U.K.

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

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

mobile railway infrastructure construction and maintenance equipment;                            

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);                                   

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.U.K.                  

#### 2.2.**Definitions**U.K.

In the present TSI the following definitions are used:                   

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.                                   

A ‘train’ is an operational formation consisting of several units.                            

The ‘design operating state’ covers all conditions under which the unit is intended to operate and its technical boundaries. This design operating state                                 may go beyond the specifications of this TSI in order that units may be used together in a train on the network under the                                 safety management system of a railway undertaking.]                            

### 3.ESSENTIAL REQUIREMENTSU.K.

Article 4(1) of [F1Directive (EU) 2016/797 states, that the rail system its subsystems and their interoperability constituents shall meet the relevant essential requirements.                     The essential requirements are set out in general terms in Annex III to Directive (EU) 2016/797. Table 1 indicates the basic parameters specified in this TSI and their correspondence to the essential requirements as explained                     in Annex III to Directive (EU) 2016/797].                  

#### *Table 1*

**Basic parameters and their correspondence to the essential requirements**

The essential requirements 1.3.1, 1.4.1, 1.4.3, 1.4.4 and 1.4.5 of Annex III to [F1Directive (EU) 2016/797] fall under the scope of other Union legislation.                  

### 4.CHARACTERISATION OF THE SUBSYSTEMU.K.

#### 4.1.**Introduction**U.K.

The rail system, to which [F1Directive (EU) 2016/797 applies and of which freight wagons form a part, is an integrated system whose consistency shall be verified. This consistency                     shall be checked in particular with regard to the specifications of the rolling stock subsystem and the compatibility with                     the network (Section 4.2), its interfaces in relation to the other subsystems of the rail system in which it is integrated                     (Sections 4.2 and 4.3), as well as the initial operating and maintenance rules (Sections 4.4 and 4.5) as requested by Article                     18(3) of Directive (EU) 2016/797].                  

The technical file, as set out in Article 18(3) and Annex VI to [F1Directive (EU) 2016/797] (Section 4.8), shall contain in particular design related values concerning the compatibility with the network.                  

#### 4.2.**Functional and technical specifications of the subsystem**U.K.

##### 4.2.1.*General*U.K.

In light of the essential requirements in Chapter 3, the functional and technical specifications of the subsystem ‘rolling                     stock — freight wagons’ are grouped and sorted out in the following points of this Chapter:                  
          -  Structures and mechanical parts 
          -  Gauging and vehicle track interaction 
          -  Brake 
          -  Environmental conditions 
          -  System protection. 

Except where this is strictly necessary for the interoperability of the rail system and to meet the relevant essential requirements,                     the functional and technical specifications of the freight wagon and its interfaces do not impose the use of any particular                     technical solutions.                  

[F4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]                   

Textual Amendments

F4Deleted by Commission Regulation (EU) 2015/924 of 8 June 2015 amending Regulation (EU) No 321/2013 concerning the technical specification                                 for interoperability relating to the ‘rolling stock — freight wagons’ subsystem of the rail system in the European Union (Text                                 with EEA relevance).

When the functional and technical specifications that are necessary in order to achieve interoperability and to meet the essential                     requirements, have not been developed concerning a particular technical aspect, this aspect is identified as an open point                     in the relevant point. As required in Article 5(6) of [F1Directive (EU) 2016/797] all open points are listed in Appendix A.                  

In Appendix C a set of conditions is specified. The conformity with this set of conditions is optional. If this option is                     selected, the conformity shall be assessed by a notified body within the EC verification procedure.                  

In accordance with Article 5(5) of [F1Directive (EU) 2016/797], provision may be made for specific cases for each TSI. Such provisions are indicated in Chapter 7.                  

As far as possible the assessment procedure for the requirements in Section 4.2 is defined in Chapter 6. In these cases the                     text of Section 4.2 makes a reference to the corresponding points and sub points clauses of Chapter 6. If for a particular                     basic parameter the separation of requirements and assessment procedures is not feasible, no reference is given.                  

##### 4.2.2.*Structures and mechanical parts*U.K.

###### 4.2.2.1.*Mechanical interface*U.K.

###### 4.2.2.1.1.**End coupling**U.K.

The end coupling is the mechanical interface between units forming a train.

The coupling system shall be designed in a way that no human presence between the units to be coupled/uncoupled shall be required                     whilst either one unit is moving.                  

End couplings shall be resilient and capable of withstanding the forces in accordance with the defined design operating state                     of the unit.                  

###### 4.2.2.1.2.**Inner coupling**U.K.

The inner coupling is the mechanical interface between elements forming a unit.

The inner coupling shall be resilient and capable of withstanding the forces in accordance with the defined design operating                     state of the unit. The joint between two elements sharing the same running gear, is covered by point 4.2.2.2.                  

The longitudinal strength of the inner coupling(s) shall be equal to or higher than the one of the end coupling(s) of the                     unit.                  

###### [F14.2.2.2.U.K.

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 differ from those mentioned above, due to their bi- modal specification; in such a case, the load cases considered                        shall be described by the applicant based on a consistent set of specifications with consideration of the specific conditions                        of use related to train composition, shunting and operation.                   

The demonstration of conformity is described in point 6.2.2.1.                   

The lifting and jacking positions shall be marked on the unit. The marking shall comply with 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.]U.K.                  

###### 4.2.2.3.*Integrity of the unit*U.K.

The unit shall be designed so that all movable parts intended to close an aperture (access doors, tarpaulin, lids, hatches,                     etc.) are prevented against an unintentional movement of these parts.                  

Locking devices shall indicate their status (open/closed) and shall be visible outside the unit.

##### 4.2.3.*Gauging and track interaction*U.K.

###### 4.2.3.1.*Gauging*U.K.

This point concerns the rules for calculation intended for sizing the rolling stock to run on one or several networks without                     interference risk.                  

The compliance of a unit with the intended reference profile including the reference profile for the lower part shall be established                     by one of the methods set out in [F1EN 15273-2:2013+A1:2016].                  

The kinematic method, as described in [F1EN 15273-2:2013+A1:2016] shall be used to establish conformity, if any, between the reference profile established for the unit and the respective                     target reference profiles G1, GA, GB and GC including those used for the lower part [F1GI1 and GI2].                  

###### 4.2.3.2.*Compatibility with load carrying capacity of lines*U.K.

The vertical loading characteristics of the unit shall be determined in order to check compatibility with the load carrying                     capacity of lines.                  

The permissible payload a unit may carry, for axle loads up to and including 25 t, shall be determined by application of clauses                     6.1 and 6.2 of [F1EN 15528:2015].                  

###### 4.2.3.3.*Compatibility with train detection systems*U.K.

If the unit is intended to be compatible with one or more of the following train detection systems, this compatibility shall                     be established according to the provisions of the [F1ERA/ERTMS/033281 rev. 4.0]:                  

train detection systems based on track circuits;

train detection systems based on axle counters;

train detection systems based on loop equipment.

###### 4.2.3.4.*Axle bearing condition monitoring*U.K.

It shall be possible to monitor the axle bearing condition either by:
          -  line side detection equipment, or 
          -  on-board equipment. 

If the unit is intended to be capable of being monitored by line side equipment on the 1 435 mm track gauge network the unit                     shall be compliant with clauses 5.1 and 5.2 of EN 15437-1:2009 in order to ensure sufficient visibility.                  

For units intended to be operated on the networks with track gauges of 1 524 mm, 1 600 mm, 1 668 mm, the corresponding values                     in Table 2 referring to the parameters of the standard EN 15437-1:2009 shall be applied.                  

###### *Table 2*

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

[F1If the unit is intended to be capable of being monitored by on-board equipment, the following requirements shall apply:                   
          -  This equipment shall be able to detect a deterioration of any of the axle box bearings of the unit.                          
          -  The bearing condition shall be evaluated either by monitoring its temperature, or its dynamic frequencies or some other suitable                              bearing condition characteristic.                          
          -  The detection system shall be located entirely on board the unit, and diagnosis messages shall be available on board the unit.                          
          -  The diagnosis messages delivered and how they are made available shall be described in the operating documentation set out                              in section 4.4 of this TSI, and in the maintenance rules described in section 4.5 of this TSI.]                          

###### 4.2.3.5.*Running safety*U.K.

The dynamic behaviour of a vehicle has a strong influence on safety against derailment, running safety and track loading.

###### 4.2.3.5.1.**Safety against derailment running on twisted track**U.K.

The unit shall be designed to ensure safe running on twisted track, taking into account specifically the transition phase                     between canted and level track and cross level deviations.                  

The demonstration of conformity is described in point 6.2.2.2.

###### 4.2.3.5.2.**Running dynamic behaviour**U.K.

The unit shall be designed to provide safe movement up to the maximum design speed.

The running dynamic behaviour of a unit shall be proven either by:
          -  following the procedures set out in [F1chapters 4, 5 and 7 of EN 14363:2016], or                         
          -  performing simulations using a validated model. 

The demonstration of conformity is described in point 6.2.2.3.

[F5Running dynamic behaviour is permitted to be assessed at interoperability constituent level in accordance with point 6.1.2.1.                        In this case a specific test or simulation at subsystem level is not required.]                   

Textual Amendments

F5Substituted by Commission Regulation (EU) No 1236/2013 of 2 December 2013 concerning the technical specification for interoperability relating                                 to the subsystem ‘rolling stock — freight wagons’ of the rail system in the European Union and amending Regulation (EU) No                                 321/2013 (Text with EEA relevance).

###### 4.2.3.6.*Running gear*U.K.

The running gear guarantees to carry and guide the unit safely as well as to transmit braking forces where so required.

###### 4.2.3.6.1.**Structural design of bogie frame**U.K.

The integrity of the structure of a bogie frame, all attached equipment and body to bogie connection shall be demonstrated                     based on methods as set out in point 6.2 of EN 13749:2011.                  

[F5The integrity of the structure of a bogie frame is permitted to be assessed at interoperability constituent level in accordance                        with point 6.1.2.1. In this case a specific test or simulation at subsystem level is not required.]                   

###### 4.2.3.6.2.**Characteristics of wheelsets**U.K.

The wheelset assembly shall be able to transmit forces and torque between the fitted parts in accordance with the area of                     use.                  

The geometric dimensions of the wheelsets, as defined in Figure 1, shall be compliant with limit values specified in Table                     3. These limit values shall be taken as design values and shall be stated as in-service limit values in the maintenance file                     described in Section 4.5.                  

The demonstration of conformity is described in point 6.1.2.2.

*Figure 1*

**Symbols for wheelsets used in Table 3**

###### *Table 3*

**Limits of use of the geometric dimensions of wheelsets**

###### 4.2.3.6.3.**Characteristics of wheels**U.K.

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

###### *Table 4*

**Limits of use of the geometric dimensions of wheels**

These limit values shall be taken as design values and shall be stated as in-service limit values in the maintenance file                     described in Section 4.5.                  

*Figure 2*

**Symbols for wheels used in Table 4**

The mechanical characteristics of the wheels shall ensure the transmission of forces and torque as well as the resistance                     against thermal load where so required in accordance with the area of use.                  

The demonstration of conformity is described in point 6.1.2.3.

###### 4.2.3.6.4.**Characteristics of axles**U.K.

The characteristics of the axle shall ensure the transmission of forces and torque in accordance with the area of use.

The demonstration of conformity is described in point 6.1.2.4.

The traceability of axles shall take into accounts the findings of the ERA Task force on Freight Maintenance (see ‘*Final report on the activities of the Task Force Freight Wagon Maintenance*’ published on the ERA website http://www.era.europa.eu).                  

###### 4.2.3.6.5.**Axle boxes/bearings**U.K.

The axle box and the rolling bearing shall be designed with consideration of mechanical resistance and fatigue characteristics.                     Temperature limits reached in service relevant for the hot box detection shall be defined.                  

The demonstration of conformity is described in point 6.2.2.4.

###### [F14.2.3.6.6.**Automatic variable gauge systems**U.K.

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

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

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

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

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

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

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

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

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

###### 4.2.3.6.7.**Running gear for manual change of wheelsets**U.K.

The requirement is applicable to units prepared to run on different track gauges, by means of a physical change of wheelset.

The unit shall be equipped with a locking mechanism in order to ensure the correct position of its brake equipment in the                     different configurations considering the dynamic effects in accordance with the design operating state of the unit.                  

The demonstration of conformity is described in point 6.2.2.5.

##### 4.2.4.*Brake*U.K.

###### 4.2.4.1.*General*U.K.

The purpose of the train brake system is to ensure that:
          -  the train’s speed can be reduced, 
          -  the train’s speed can be maintained on a slope, 
          -  the train can be stopped within the maximum allowable braking distance, and that 
          -  the train can be immobilised. 

Primary factors that influence the braking performance and the braking process are:
          -  the braking power, 
          -  the train mass, 
          -  the speed, 
          -  the allowable braking distance, 
          -  the available adhesion, and 
          -  the track gradient. 

The brake performance of a train is derived from the individual brake performance of each unit in the train.

###### 4.2.4.2.*Safety requirements*U.K.

The braking system contributes to the safety level of the railway system. Therefore the design of the braking system of a                     unit has to undergo a risk assessment in accordance with [F1Commission Implementing Regulation (EU) No 402/2013] (7) considering the hazard of complete loss of the brake capability of the unit. The severity level shall be deemed as catastrophic                     when:                  
          -  it affects the unit alone (combination of failures), or 
          -  it affects the brake capability of more than the unit (single fault). 

The fulfilment of the conditions of C.9 and C.14 of Appendix C is presumed to be in conformity with this requirement.

###### 4.2.4.3.*Functional and technical requirements*U.K.

###### 4.2.4.3.1.**General functional requirements**U.K.

The brake equipment of the unit shall provide the functions of braking such as the application and the release of the brake,                     upon a transmitted signal. The brake shall be:                  
          -  continuous (the brake application or release signal is transmitted from a central command to the whole train by a control                           line),                         
          -  automatic (an inadvertent disruption of the control line shall lead to brake activation on all units of the train bringing                           each part to stand still),                         
          -  disengageable, which enables its release and isolation. 

###### 4.2.4.3.2.**Brake performance**U.K.

###### 4.2.4.3.2.1.Service brakeU.K.

The brake performance of a train or a unit is its ability to decelerate. It is the result of the braking power available to                     decelerate the train or unit within defined limits and all factors involved in the conversion and dissipation of energy including                     train resistance.                  

The brake performance of a unit shall be calculated in accordance with one of the following documents:
          -  EN 14531-6:2009, or 
          -  [F5[F1UIC 544-1:2014]]                          

[F5The calculation shall be validated by tests. Brake performance calculation in accordance with UIC 544-1 shall be validated                        as set out in [F1UIC 544-1:2014].]                   

###### 4.2.4.3.2.2.Parking brakeU.K.

A Parking Brake is a brake used to prevent parked rolling stock moving under the specified conditions taking into account                     the place, wind, gradient and rolling stock loading state, until intentionally released.                  

If the unit is equipped with a parking brake, the following requirements shall be met:
          -  the immobilisation shall remain until intentionally released, 
          -  where it is not possible to identify the state of the parking brake directly, an indicator showing the state shall be provided                           on both sides on the outside of the vehicle,                         
          -  [F5[F1the minimum parking brake force], considering no wind, shall be determined by calculations as defined in Clause 6 of EN 14531-6:2009,]                          
          -  [F6the 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.] The parking brake of a unit shall be designed considering a wheel/rail (steel/steel) adhesion factor not higher than 0,12.                         

Textual Amendments

F6Deleted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

###### 4.2.4.3.3.**Thermal capacity**U.K.

The brake equipment shall be able to withstand one emergency brake application without any loss of brake performance due to                     thermal or mechanical effects.                  

[F5The thermal load that the unit is capable of withstanding without any adverse loss of brake performance due to thermal or                        mechanical effects, shall be defined and expressed in terms of speed, axle load, gradient and brake distance.]                   

The demonstration of conformity is described in point 6.2.2.6.

A slope of 21 ‰ at 70 km/h during 40 km may be considered as the reference case for the thermal capacity which results in                     a braking power of 45 kW per wheel during 34 minutes for a nominal wheel diameter of 920 mm and an axle load of 22,5 t.                  

###### 4.2.4.3.4.**Wheel slide protection (WSP)**U.K.

Wheel slide protection (WSP) is a system designed to use the maximum available adhesion by decreasing, holding or increasing                     the brake force to prevent wheel sets from locking and uncontrolled sliding. Thereby the stopping distance shall be optimised.                  

If an electronic WSP-control is used negative effects caused by malfunctions of WSP shall be reduced by suitable system design                     processes and technical configuration.                  

The WSP shall not alter the functional characteristics of the brakes. The vehicle’s air equipment shall be dimensioned such                     that the air consumption of the WSP does not impair the performance of the pneumatic brake. The design process of the WSP                     shall take into account that the WSP has no detrimental effect on the constituent parts of the vehicle (brake gear, wheel                     tread, axle boxes, etc.).                  

[F5The following types of units shall be fitted with WSP:                   
          -  types of units equipped with all types of brake blocks except composite brake blocks, for which the maximum mean utilisation                              of adhesion is greater than 0,12,                          
          -  types of units equipped with disc brakes only and/or with composite brake blocks, for which the maximum mean utilisation of                              adhesion is greater than 0,11.]                          

###### [F34.2.4.3.5.**Friction elements for wheel tread brakes**U.K.

The friction element for wheel tread brakes (i.e. brake block) generates brake forces by friction when engaged with the wheel                        tread.                   

If wheel tread brakes are used the characteristics of the friction element shall contribute reliably to achieving the intended                        brake performance.                   

The demonstration of conformity is described in point 6.1.2.5 of this TSI.]                   

##### 4.2.5.*Environmental conditions*U.K.

The design of the unit, as well as its constituents shall take into account the environmental conditions to which this rolling                     stock will be subjected to.                  

The environmental parameters are described in the clauses below. For each environmental parameter, a nominal range is defined,                     which is the most commonly encountered in Europe, and is the basis for the interoperable unit.                  

For certain environmental parameters ranges other than the nominal one are defined. In that case, a range shall be selected                     for the design of the unit.                  

For the functions identified in the clauses below, design and/or testing provisions taken to ensure that the rolling stock                     is meeting the TSI requirements in this range shall be described in the technical file.                  

Depending on the ranges selected and on provisions taken (described in the technical file), appropriate operating rules could                     be necessary when the unit designed for the nominal range is operated on a particular line where the nominal range is exceeded                     at certain periods of the year.                  

The ranges, if different from the nominal one, to be selected to avoid any restrictive operating rule(s) linked to environmental                     conditions, are specified by the Member States and are listed in Section 7.4.                  

The unit and its constituents shall be designed under consideration of one or several of the following external air temperature                     ranges:                  
          -  T1: – 25 °C to + 40 °C (nominal), 
          -  T2: – 40 °C to + 35 °C, and 
          -  T3: – 25 °C to + 45 °C. 

The unit shall meet the requirements of this TSI without degradation for snow, ice and hail conditions as defined in clause                     4.7 of [F1EN 50125-1:2014], which correspond to the nominal range.                  

Where more severe ‘snow, ice and hail’ conditions than considered in the standard are selected, the unit and its constituents                     shall then be designed to meet TSI requirements considering the combined effect with low temperature according to the temperature                     range chosen.                  

In relation with the temperature range T2 and with the severe conditions for snow, ice and hail, the provisions taken to meet                     TSI requirements in these severe conditions shall be identified and verified, in particular design and/or testing provisions                     considering the following functions:                  
          -  Coupling function restricted to the resiliency of couplings. 
          -  Brake function, including brake equipment. 

The demonstration of conformity is described in point 6.2.2.7.

##### 4.2.6.*System protection*U.K.

###### 4.2.6.1.*Fire safety*U.K.

###### 4.2.6.1.1.**General**U.K.

All significant potential fire sources (high risk components) on the unit shall be identified. The fire safety aspects of                     the unit design shall be aimed at:                  
          -  preventing a fire from occurring, 
          -  limiting the effects if a fire occurs. 

The goods carried on the unit are not part of the unit and do not have to be taken into account in the conformity assessment.

###### 4.2.6.1.2.**Functional and technical specification**U.K.

###### 4.2.6.1.2.1.BarriersU.K.

In order to limit the effects of fire, fire barriers with integrity of at least 15 minutes shall be installed between the                     identified potential fire sources (high risk components) and the carried load.                  

The demonstration of conformity is described in point 6.2.2.8.1.

###### 4.2.6.1.2.2.MaterialsU.K.

All permanent materials used on the unit shall have limited ignitability and flame spread properties, unless:
          -  the material is separated from all potential fire risks on the unit by a fire barrier and the safe application is supported                           by a risk assessment, or                         
          -  the component has a mass < 400 g, and is located within a horizontal distance of ≥ 40 mm and a vertical distance of ≥ 400                           mm to other non-tested components.                         

The demonstration of conformity is described in point 6.2.2.8.2.

###### 4.2.6.1.2.3.CablesU.K.

The selection and installation of electrical cables shall take into account their fire behaviour properties.

The demonstration of conformity is described in point 6.2.2.8.3.

###### 4.2.6.1.2.4.Flammable liquidsU.K.

The unit shall be provided with measures preventing a fire from occurring and spreading due to leakage of flammable liquids                     or gases.                  

The demonstration of conformity is described in point 6.2.2.8.4.

###### 4.2.6.2.*Protection against electrical hazards*U.K.

###### 4.2.6.2.1.**Protective measures against indirect contact (protective bonding)**U.K.

The impedance between vehicle body and the running rail shall be low enough to prevent hazardous voltages between them.

Units shall be bonded in accordance with the provisions as described in clause 6.4 of [F1EN 50153:2014].                  

###### 4.2.6.2.2.**Protective measures against direct contact**U.K.

The electrical installations and equipment of a unit shall be designed so as to protect persons from electric shock.

The unit shall be designed so that direct contact is prevented following the provisions set out in clause 5 of [F1EN 50153:2014].                  

###### 4.2.6.3.*Attachment devices for rear-end signal*U.K.

[F5On all units designed to receive a rear-end signal, two devices at the end of the unit shall provide for the installation                        of two lamps or two reflective plates as set out in Appendix E at the same height above rail and not higher than 2 000 mm. The dimensions and clearance of these attachment devices shall be as described in [F1Figure 11 of EN 16116-2:2013].]                   

#### 4.3.**Functional and technical specification of the interfaces**U.K.

##### 4.3.1.*Interface with the subsystem ‘infrastructure’*U.K.

###### *Table 5*

**Interface with infrastructure subsystem**

##### 4.3.2.*Interface with the subsystem ‘operation and traffic management’*U.K.

###### *Table 6*

**Interface with operation and traffic management subsystem**

##### 4.3.3.*Interface with the subsystem ‘control, command and signalling’*U.K.

###### *Table 7*

**Interface with control, command and signalling subsystem**

#### [F14.4.**Operating rules**U.K.

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

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

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

The documentation related to operation is composed of:                   
          -  a description of operation in normal mode, including the operational characteristics and limitations of the unit (e.g. vehicle                              gauge, maximum design speed, axle loads, brake performance, compatibility with train detection systems, permitted environmental                              conditions, type(s) and operation of track gauge changeover facility(ies) the unit is compatible with),                          
          -  a description of operation in degraded mode (when equipment or functions described in this TSI suffer safety failures) as                              far as can reasonably predicted, together with the related acceptable limits and operating conditions of the unit that could                              be experienced,                          
          -  a safety critical components list: The safety critical components list shall contain the specific operational and operational                              traceability requirements.                          

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

#### [F14.5.**Maintenance rules**U.K.

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

The following documents being part of the technical file as required in Article 15(4) of and as set out in Annex IV to Directive                        (EU) 2016/797 are necessary to undertake maintenance activities on the units:                   
          -  general documentation (point 4.5.1),                          
          -  the maintenance design justification file (point 4.5.2), and                          
          -  the maintenance description file (point 4.5.3).                          

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

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

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

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

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

##### 4.5.1.*General documentation*U.K.

The general documentation comprises of:                   
          -  Drawings and description of the unit and its components.                          
          -  Any legal requirement concerning the maintenance of the unit.                          
          -  Drawing of systems (electrical, pneumatic, hydraulic and control-circuit diagrams).                          
          -  Additional on-board systems (description of the systems including description of functionality, specification of interfaces                              and data processing and protocols).                          
          -  Configuration files for each vehicle (parts list and bill of material) to enable (in particular but not only) traceability                              during maintenance activities.                          

##### 4.5.2.*Maintenance design justification file*U.K.

The maintenance design justification file explains how maintenance activities are defined and designed in order to ensure                        that the rolling stock characteristics will be kept within permissible limits of use during its lifetime. The file shall give                        input data in order to determine the criteria for inspection and the periodicity of maintenance activities. The maintenance                        design justification file consists of:                   
          -  Precedents, principles and methods used to design the maintenance of the unit.                          
          -  Precedents, principles and methods used to identify the safety critical components and their specific operational, servicing,                              maintenance and traceability requirements.                          
          -  Limits of the normal use of the unit (e.g. km/month, climatic limits, foreseen types of loads, etc.).                          
          -  Relevant data used to design the maintenance and origin of these data (return of experience).                          
          -  Tests, investigations and calculations carried out to design the maintenance.                          

##### 4.5.3.*Maintenance description file*U.K.

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 includes the following:                   
          -  Component hierarchy and functional description which sets up the boundaries of the rolling stock by listing all the items                              belonging to the product structure of that rolling stock and using an appropriate number of discrete levels. The lowest item                              of the hierarchy shall be a replaceable component.                          
          -  Parts list which shall contain the technical and functional descriptions of the spare parts (replaceable units). The list                              shall include all parts specified for changing based on condition, which may require a replacement following electrical or                              mechanical malfunction or which will foreseeable require a replacement after an accidental damage. Interoperability constituents                              shall be indicated and referenced to their corresponding declaration of conformity.                          
          -  Safety critical components list: The safety critical components list shall contain the specific servicing, maintenance and                              servicing/maintenance traceability requirements.                          
          -  Limit values for components which are not to be exceeded in service. It is permitted to specify operational restrictions in                              degraded mode (limit value reached).                          
          -  List of reference to the European legal obligations to which components or subsystems are subject.                          
          -  Maintenance plan (8)  i.e. the structured set of tasks to perform the maintenance including the activities, procedures and means. The description                              of this set of tasks includes:                           (a)
Disassembly/assembly instructions drawings necessary for correct assembly/disassembly of replaceable parts.                                  
(b)
Maintenance criteria.                                  
(c)
Checks and tests in particular of safety relevant parts; these include visual inspection and non-destructive tests (where                                       appropriate e.g. to detect deficiencies that may impair safety).                                  
(d)
Tools and materials required to undertake the task.                                  
(e)
Consumables required to undertake the task.                                  
(f)
Personal protective safety provision and equipment.                                  
 
          -  Necessary tests and procedures to be undertaken after each maintenance operation before re-entry into service of rolling stock.]                          

#### 4.6.**Professional competencies**U.K.

The professional competencies of staff required for the operation and maintenance of units are not covered by this TSI.

#### 4.7.**Health and safety conditions**U.K.

[F5The provisions for health and safety of staff required for the operation and maintenance of units are covered by essential                        requirements 1.1.5, 1.3.1, 1.3.2, 2.5.1 and 2.6.1 set out in Annex III to [F1Directive (EU) 2016/797].]                   

In particular, the following points of Section 4.2 specify provisions for health and safety of staff:
          -  point 4.2.2.1.1: End coupling, 
          -  point 4.2.6.1: Fire safety, 
          -  point 4.2.6.2: Protection against electrical hazards. 

If the unit is fitted with a manual coupling system, a free space for shunters during coupling and uncoupling shall be provided.

All protruding parts deemed a hazard to operational staff shall be clearly indicated and/or fitted with protective devices.

The unit shall be equipped with footsteps and handrails except in those cases it is not intended to be operated with staff                     on-board, e.g. for shunting.                  

#### [F54.8.**Parameters to be recorded in the technical file and European register of authorised types of vehicles]**U.K.

The technical file shall contain at least the following parameters:
          -  Type, position and resiliency of the end coupling 
          -  Load due to dynamic traction forces and compressive forces 
          -  Gauge reference profiles to which the unit complies 
          -  Conformity, if any, to target gauge reference profile(s) G1, GA, GB and GC 
          -  Compliance, if any, to gauge lower reference profile(s) [F1GI1 and GI2]                          
          -  Mass per axle (tare and fully laden) 
          -  Position of the axles along the unit and number of axles 
          -  Length of the unit 
          -  Maximum design speed 
          -  Track gauges(s) the unit can be operated on 
          -  Compatibility with train detection systems (track circuits/axle counters/loop equipment) 
          -  Compatibility with hot axle box detection systems 
          -  In-service temperature range of the axle bearings 
          -  Nature of the signal which controls the brake (example: pneumatic main brake pipe, electric brake type XXX, etc.) 
          -  Characteristics of the control line and of its coupling with other units (main brake pipe diameter, section of the electric                           cable etc.)                         
          -  Individual nominal performance of the brake unit, depending on the brake mode, if any (response time, brake force, level of                           adhesion required, etc.)                         
          -  Braking distance or brake weight depending on the brake mode, if any[F7.]                          
          -  [F5Thermal load of the brake components expressed in terms of speed, axle load, gradient and brake distance]                          
          -  Temperature range and severity level of snow/ice/hail conditions 
          -  Brake weight and maximum gradient of the parking brake (if applicable) 
          -  Ability/inability to be hump shunted 
          -  Presence of footsteps and/or handrails. 

Textual Amendments

F7Deleted by Commission Regulation (EU) No 1236/2013 of 2 December 2013 concerning the technical specification for interoperability relating                                 to the subsystem ‘rolling stock — freight wagons’ of the rail system in the European Union and amending Regulation (EU) No                                 321/2013 (Text with EEA relevance).

[F8The rolling stock data that must be recorded in the ‘European register of authorised types of vehicles (ERATV)’ are set out in the Commission Implementing Decision 2011/665/EU of 4 October 2011 on the European register of authorised types of railway vehicles (9) .]                   

Textual Amendments

F8Inserted by Commission Regulation (EU) No 1236/2013 of 2 December 2013 concerning the technical specification for interoperability relating                                 to the subsystem ‘rolling stock — freight wagons’ of the rail system in the European Union and amending Regulation (EU) No                                 321/2013 (Text with EEA relevance).

#### [F94.9.**Route compatibility checks before the use of authorised vehicles**U.K.

The parameters of the subsystem ‘rolling stock — freight wagons’ to be used by the railway undertaking, for the purpose of route compatibility check, are described in Appendix D1 of Commission                        Implementing Regulation (EU) 2019/773] (10)                   

Textual Amendments

F9Inserted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                 1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                 2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                 of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

### 5.INTEROPERABILITY CONSTITUENTSU.K.

#### 5.1.**General**U.K.

Interoperability constituents (ICs), as defined in Article 2(f) of [F1Directive (EU) 2016/797], are listed in Section 5.3 together with:                  
          -  their area of use covering parameters of the subsystem, and 
          -  the reference to corresponding requirements defined in Section 4.2. 

When a requirement is identified in Section 5.3 as being assessed at IC level, an assessment for the same requirement at subsystem                     level is not required.                  

#### [F25.2.**Innovative solutions**U.K.

As stated in Article 10a, innovative solutions may require new specifications and/or new assessment methods. Such specifications                        and assessment methods shall be developed using the process described in point 6.1.3 whenever an innovative solution is envisaged                        for an interoperability constituent.]                   

#### 5.3.**Interoperability constituent specifications**U.K.

##### 5.3.1.*Running gear*U.K.

[F1The running gear shall be designed for all application ranges, the areas of use, as defined by the following parameters:                   
          -  Track gauge]                          
          -  Maximum speed 
          -  Maximum cant deficiency 
          -  Minimum tare of the unit 
          -  Maximum axle load 
          -  Range of distances between bogie pivots or range of wheelbase of ‘two-axle units’ 
          -  Maximum height of centre of gravity of empty unit 
          -  Coefficient of height of centre of gravity of loaded unit 
          -  Minimum torsional stiffness coefficient of car body 
          -  Maximum mass distribution coefficient for empty units with:    Where:  Izz
=

moment of inertia of the car body relative to the vertical axis through the centre of gravity of the car body
  m
=

mass of the car body
  2a*
=

wheelbase
 
          -  Minimum nominal wheel diameter 
          -  Rail inclination. 

The parameters speed and axle load may be considered in combination in order to define the appropriate area of use (e.g. maximum                     speed and tare weight).                  

The running gear shall comply with the requirements expressed in points 4.2.3.5.2 and 4.2.3.6.1. These requirements shall                     be assessed at IC level.                  

##### 5.3.2.*Wheelset*U.K.

[F1For the purpose of this TSI, wheelsets include the main parts ensuring the mechanical interface with the track (wheels and                        connecting elements: e.g. transverse axle, independent wheel axle). Accessories parts (axle bearings, axle boxes and brake                        discs) are assessed at subsystem level.                   

The wheelset shall be assessed and designed for the area of use as defined by:                   
          -  track gauge,]                          
          -  nominal wheel tread diameter, and 
          -  maximum vertical static force. 

A wheelset shall comply with the requirements on geometrical and mechanical parameters defined in point 4.2.3.6.2. These requirements                     shall be assessed at IC level.                  

##### 5.3.3.*Wheel*U.K.

A wheel shall be designed and assessed for an area of use defined by:
          -  nominal tread diameter, 
          -  maximum vertical static force, 
          -  [F1maximum speed,                          
          -  in-service limits, and]                          
          -  maximum braking energy. 

A wheel shall comply with the requirements on geometrical, mechanical and thermo mechanical parameters defined in point 4.2.3.6.3.                     These requirements shall be assessed at IC level.                  

##### 5.3.4.*Axle*U.K.

An axle shall be designed and assessed for an area of use defined by:
          -  maximum vertical static force. 

An axle shall comply with the requirements on mechanical parameters defined in point 4.2.3.6.4. These requirements shall be                     assessed at IC level.                  

##### [F35.3.4a.*Friction element for wheel tread brakes*U.K.

The friction element for wheel tread brakes shall be designed and assessed for an area of use defined by:                   
          -  dynamic friction coefficients and their tolerance bands,                          
          -  minimum static friction coefficient,                          
          -  maximum permitted brake forces applied on the element,                          
          -  suitability for train detection by systems based on track circuits,                          
          -  suitability for severe environmental conditions.                          

A friction element for wheel tread brakes shall comply with the requirements defined in point 4.2.4.3.5. These requirements                        shall be assessed at IC level.]                   

##### [F95.3.4b.*Automatic variable gauge system*U.K.

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,                          
          -  the range of nominal wheel tread diameters,                          
          -  the maximum design speed of the unit, and                          
          -  the types of track gauge changeover facility(ies) the system is designed for, including the nominal speed through the track                              changeover facility(ies) and the maximum axial forces during the automatic gauge changeover process.                          

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

##### 5.3.5.*Rear-end signal*U.K.

The rear-end signal, as described in Appendix E, is an independent IC. There are no requirements in Section 4.2 dealing with                     the rear-end signal. Its assessment by the notified body is not part of the EC verification of the subsystem.                  

### 6.CONFORMITY ASSESSMENT AND EC VERIFICATIONU.K.

#### 6.1.**Interoperability constituent**U.K.

##### 6.1.1.*Modules*U.K.

The conformity assessment of an interoperability constituent shall be performed in accordance with the module(s) described                     in Table 8.                  

###### *Table 8*

**Modules for conformity assessment of interoperability constituents**

These modules are specified in detail in Decision 2010/713/EU.

##### 6.1.2.*Conformity assessment procedures*U.K.

The manufacturer or his authorised representative established within the Union shall choose one of the modules or module combinations                     indicated in Table 9 in accordance with the required constituent.                  

###### *[F2Table 9*

**Modules to be applied for interoperability constituents**

Within the application of the chosen module or module combination the interoperability constituent shall be assessed against                     the requirements mentioned in Section 4.2. If necessary, additional requirements concerning the assessment of particular interoperability                     constituents are given in the following clauses.                  

[F9In case of a specific case applicable to a component defined as interoperability constituent in section 5.3 of this TSI, the                        corresponding requirement can be part of the verification at interoperability constituent level only in the case where the                        component remains compliant to the chapters 4 and 5 of this TSI and where the specific case does not refer to a national rule                        (i.e. additional requirement compatible with the core TSI and fully specified in the TSI).                   

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

###### [F16.1.2.1.*Running gear*U.K.

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

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

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

###### 6.1.2.2.*Wheelset*U.K.

The demonstration of conformity for the mechanical behaviour of the wheelset assembly shall be carried out according to clause                     3.2.1 of EN 13260:2009+A1:2010, which defines limit values for the axial assembly force and the associated verification test.                  

[F1A verification procedure shall exist to ensure at the assembly phase that no defects may detrimentally affect safety due to                        any change in the mechanical characteristics of the fitted parts of the axle. This procedure shall contain the determination                        of the interference values and, in case of press-fitted wheelsets, the corresponding press-fitting diagram.]                   

###### 6.1.2.3.*Wheel*U.K.

###### (a)Forged and rolled wheels: The mechanical characteristics shall be proven following the procedure as specified in clause 7                        of EN 13979-1:2003+A1:2009+A2:2011.U.K.

If the wheel is intended to be used with brake blocks acting on the wheel running surface, the wheel shall be thermo mechanically                     proven by taking into account the maximum braking energy foreseen. A type test, as described in clause 6.2 of EN 13979-1:2003+A1:2009+A2:2011                     shall be performed in order to check that the lateral displacement of the rim during braking and the residual stress are within                     the specified tolerance limits.                  

The decision criteria of residual stresses for forged and rolled wheels are set out in EN 13979-1:2003+A1:2009+A2:2011.

###### (b)Other types of wheels: Other types of wheels are permitted for units in national use. In that case the decision criteria and                        the fatigue stress criteria shall be specified in national rules. Those national rules shall be notified by Member States                        in accordance with Article 17(3) of [F1Directive (EU) 2016/797].U.K.

[F5A verification procedure shall exist to ensure at the production phase that no defects may adversely affect safety due to                        any change in the mechanical characteristics of the wheels. The tensile strength of the material in the wheel, the hardness                        of the rim, the fracture toughness (only for tread-braked wheels), the resistance to impact, the material characteristics                        and the material cleanliness shall be verified. The verification procedure shall specify the batch sampling used for each                        characteristic to be verified.]                   

###### 6.1.2.4.*Axle*U.K.

[F5In addition to the requirement for the assembly above, the demonstration of conformity of the mechanical resistance and fatigue                        characteristics of the axle shall be based on Clauses 4, 5 and 6 of EN13103:2009 + A2:2012.                   

The decision criteria for the permissible stress are specified in Clause 7 of EN EN13103:2009 + A2:2012. A verification procedure                        shall exist to ensure at the production phase that no defects may adversely affect safety due to any change in the mechanical                        characteristics of the axles. The tensile strength of the material in the axle, the resistance to impact, the surface integrity,                        the material characteristics and the material cleanliness shall be verified. The verification procedure shall specify the                        batch sampling used for each characteristic to be verified.]                   

###### [F36.1.2.5.*Friction elements for wheel tread brakes*U.K.

The demonstration of conformity of friction elements for wheel tread brakes shall be carried out by determining the following                        friction element properties in accordance with the European Railway Agency (ERA) technical document [F1ERA/TD/2013-02/INT version 3.0 of 27.11.2015] published on the ERA website (http://www.era.europa.eu):                   
          -  dynamic friction performance (chapter 4);                          
          -  static friction coefficient (chapter 5);                          
          -  mechanical characteristics including properties in respect to shear strength test and flexural strength test (chapter 6).                          

Demonstration of the following suitabilities shall be carried out in accordance with chapters 7 and/or 8 of the ERA technical                        document [F1ERA/TD/2013-02/INT version 3.0 of 27.11.2015] published on the ERA website (http://www.era.europa.eu), if the friction element is intended to be suitable for:                   
          -  train detection by systems based on track circuits; and/or                          
          -  severe environmental conditions.                          

If a manufacturer does not have sufficient return of experience (according with its own judgement) for the proposed design,                        the type validation by in-service experience procedure (module CV) shall be part of the assessment procedure for suitability                        for use. Before commencing in-service tests, a suitable module (CB or CH1) shall be used to certify the design of the interoperability                        constituent.                   

The in-service tests shall be organised on request from the manufacturer, who must obtain agreement from a railway undertaking                        that will contribute to such an assessment.                   

The suitability for train detection by systems based on track circuits for friction elements intended to be used in subsystems                        beyond the scope set out in chapter 7 of the ERA technical document [F1ERA/TD/2013-02/INT version 3.0 of 27.11.2015] published on the ERA website (http://www.era.europa.eu) may be demonstrated using the procedure for innovative solutions                        described in point 6.1.3.                   

The suitability for severe environmental conditions by a dynamometer test for friction elements intended to be used in subsystems                        beyond the scope set out in clause 8.2.1 of the ERA technical document [F1ERA/TD/2013-02/INT version 3.0 of 27.11.2015] published on the ERA website (http://www.era.europa.eu) may be demonstrated using the procedure for innovative solutions                        described in point 6.1.3.]                   

###### [F96.1.2.6.*Automatic variable gauge system*U.K.

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

The validation plan shall be consistent with the safety analysis required in clause 4.2.3.6.6 and shall define the assessment                        needed in all the following different phases:                   
          -  Design review                          
          -  Static tests (bench tests and integration-in-the-wheelset/unit tests)                          
          -  Test on track gauge changeover facility(ies), representative of in-service conditions                          
          -  On-track tests, representative of in-service conditions.                          

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

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

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

##### [F26.1.3.*Innovative solutions*U.K.

If an innovative solution referred to in Article 10a is proposed for an interoperability constituent, the manufacturer or                        his authorised representative established within the Union shall apply the procedure set out in Article 10a.]                   

#### 6.2.**Subsystem**U.K.

##### 6.2.1.*Modules*U.K.

The EC verification of the subsystem ‘Rolling stock — freight wagons’ shall be performed in accordance with the module(s)                     described in Table 10.                  

###### *Table 10*

**Modules for EC verification of subsystems**

These modules are specified in detail in Decision 2010/713/EU.

##### 6.2.2.*EC verification procedures*U.K.

The applicant shall choose one of the following combinations of modules or module for the EC verification of the subsystem:
          -  (SB+SD), or 
          -  (SB+SF), or 
          -  (SH1). 

Within the application of the chosen module or module combination the subsystem shall be assessed against the requirements                     mentioned in Section 4.2. If necessary, additional requirements concerning the assessment of particular constituents are given                     in the following clauses.                  

###### 6.2.2.1.*Strength of unit*U.K.

[F1The 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.]                   

Regarding joints, a recognised verification procedure shall exist to ensure at the production phase that no defect may decrease                     the intended mechanical characteristics of the structure.                  

###### [F16.2.2.2.*Safety against derailment running on twisted track*U.K.

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

###### [F16.2.2.3.*Running dynamic behaviour*U.K.

###### **On-track tests**U.K.

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

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

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

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

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

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

###### 6.2.2.4.*Axle box/bearings*U.K.

The demonstration of conformity for mechanical resistance and fatigue characteristics of the rolling bearing shall be in accordance                     with clause 6 of EN 12082:2007+A1:2010.                  

[F9It is permitted to use other standards for the above demonstration of conformity where the EN standards do not cover the proposed                        technical solution; in that case the notified body shall verify that the alternative standards form part of a technically                        consistent set of standards applicable to the design, construction and testing of the bearings.                   

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

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

###### [F96.2.2.4a.*Automatic variable gauge systems*U.K.

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.]                   

###### 6.2.2.5.*Running gear for manual change of wheelsets*U.K.

###### **Changeover between 1 435 mm and 1 668 mm track gauges**U.K.

[F5The technical solutions described in the following figures of UIC leaflet 430-1:2012 are deemed to be compliant with the requirements                        in point 4.2.3.6.7:                   
          -  for axle units: Figures 9 and 10 of Annex B.4, and Figure 18 of Annex H of UIC leaflet 430-1:2012,                          
          -  [F1for bogie units: Figure 18 of Annex H and Figures 19 and 20 of Annex I of UIC leaflet 430-1:2012.]]                          

###### **Changeover between 1 435 mm and 1 524 mm track gauges**U.K.

The technical solution described in Appendix 7 of UIC leaflet 430-3:1995 is deemed to be compliant with the requirements in                     point 4.2.3.6.7.                  

###### 6.2.2.6.*Thermal capacity*U.K.

Calculations, simulations or tests shall demonstrate that the temperature of the brake block, brake pad or brake disc does                     not exceed their thermal capacity. The following shall be taken into account:                  

concerning the emergency brake application: the critical combination of speed and payload considering straight and level track,                              minimum wind and dry rails;                           

concerning the continuous brake application:
                -  the range up to the maximum braking power, 
                -  the range up to the maximum speed, and 
                -  the corresponding brake application time. 

###### 6.2.2.7.*Environmental conditions*U.K.

Steel materials are deemed to comply with all the ranges indicated in point 4.2.5 if the material properties are determined                     down to – 20 °C.                  

###### 6.2.2.8.*Fire safety*U.K.

###### 6.2.2.8.1.**Barriers**U.K.

Barriers shall be tested in accordance with [F1EN 1363-1:2012]. Steel sheets of at least 2 mm thickness and aluminium sheets of at least 5 mm thickness are deemed to comply with the integrity                     requirements without testing.                  

###### 6.2.2.8.2.**Materials**U.K.

[F1Testing 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,]                          
          -  metals and alloys with inorganic coatings (such as, but not limited to: galvanised coating, anodic coating, chromate film,                           phosphate conversion coating),                         
          -  metals and alloys with an organic coating with a nominal thickness less than 0,3 mm (such as, but not limited to paints, plastic                           coating, asphaltic coating),                         
          -  metals and alloys with a combined inorganic and organic coating of which the nominal thickness of the organic layer is less                           than 0,3 mm,                         
          -  glass, stoneware, ceramic and natural stone products, 
          -  materials that meet the requirements of category C-s3, d2 or higher in accordance with EN 13501-1:2007+A1:2009. 

###### 6.2.2.8.3**Cables**U.K.

The electrical cables shall be selected and installed in accordance with [F1EN 50355:2013] and [F1EN 50343:2014].                  

###### 6.2.2.8.4**Flammable liquids**U.K.

The measures taken shall be in accordance with [F1EN 45545-7:2013].                  

##### [F26.2.3.*Innovative solutions*U.K.

If an innovative solution referred to in Article 10a is proposed for the ‘rolling stock — freight wagons’ subsystem, the applicant shall apply the procedure set out in Article 10a.]                   

#### 6.3.**Subsystem containing components corresponding to interoperability constituents not holding an EC declaration**U.K.

[F5A Notified Body is permitted to issue an EC certificate of verification of a subsystem, even if one or more of the components                        corresponding to interoperability constituents incorporated within the subsystem are not covered by a relevant EC declaration                        of conformity in accordance with this TSI (non-certified ICs), if the constituent was manufactured before the entry into force                        of this TSI and the type of constituent has been:                   
          -  used in a subsystem already approved, and                          
          -  placed in service in at least one Member State before the entry in force of this TSI.]                          

The EC verification of the subsystem shall be carried out by the notified body against the requirements of Chapter 4 by using                     the corresponding requirements concerning assessment in Chapter 6 together with Chapter 7 except for specific cases. For this                     EC verification the modules of the subsystem, set out in point 6.2.2, apply.                  

EC declarations of conformity or suitability for use shall not be drawn up for the components assessed in this manner.

#### 6.4.**Project phases where assessment is required**U.K.

The assessment shall cover the following two phases as identified by ‘X’ in the Table F.1 of Appendix F in this TSI. In particular,                     where a type test is identified the conditions and requirements of Section 4.2 shall be considered.                  

Design and development phase:
                -  Design review and/or design examination 
                -  Type test: test to verify the design, if and as defined in the Section 4.2. 

Production phase:
                -  Routine test to verify the conformity of production. The entity in charge of the assessment of the routine tests is determined                                    according to the assessment module chosen.                                  

Appendix F is structured according to Section 4.2. Where relevant, a reference to the points of Sections 6.1 and 6.2 is given.

#### 6.5.**Constituents holding an EC declaration of conformity**U.K.

Where a constituent has been identified as an IC and held an EC declaration of conformity before the entry into force of this                     TSI, its treatment under this TSI is set out as follows:                  

In the case this constituent is not recognised as an IC in this TSI, neither the certificate nor the declaration are valid                              for the EC verification procedure related to this TSI.                           

[F5The EC certificates of conformity, EC-type examination certificates and EC-design examination certificates of the following                                 ICs shall remain valid under this TSI until their expiry:                            
                -  Wheelset;                                   
                -  Wheel;                                   
                -  Axle.]                                   

### 7.IMPLEMENTATIONU.K.

#### [F17.1.**Authorisation for placing on the market**U.K.

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

This TSI is also applicable on a voluntary basis to:                   
          -  units referred to in section 2.1 point (a) in transport (running) configuration, 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 shall be recognised as such                        by Member States.]                   

##### 7.1.1.*Authorisation for placing in service of a new vehicle in conformity with the previous WAG TSIs* (11) U.K.

See Article 9.

##### [F17.1.2.*Mutual recognition of the first authorisation of placing on the market*U.K.

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                        compatibility of the vehicle with the network being covered by rules (TSIs or national rules), this aspect is also considered                        at the level of the ‘EC’ verification.                   

Therefore, the conditions for having an area of use not limited to particular national networks are specified below as additional                        requirements to be covered in the EC verification of the subsystem rolling stock. These conditions shall be seen as complementary                        to the requirements in Section 4.2 and must be fulfilled in their entirety:                   

The unit must be equipped with forged and rolled wheels assessed according to point 6.1.2.3(a).                            

The compliance/non-compliance with the requirements regarding the axle bearing condition monitoring by line side equipment                                 as set out in point 7.3.2.2.(a) must be recorded in the technical file.                            

The reference profile established for the unit as per point 4.2.3.1 must be allocated to one of the target reference profile(s)                                 G1, GA, GB and GC including those used for the lower part GI1 and GI2.                            

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).                            

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.                            

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.                            

The unit must be marked with all applicable markings in accordance with EN 15877-1:2012, except the marking defined in its                                 clause 4.5.25(b).                            

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***Marking of the parking brake force**U.K.

                            

When an international agreement to which the European Union is party provides for reciprocal legal provisions, units which                                 have been authorised to operate according to said international agreement and comply with all requirements set out in section                                 4.2 and in this point 7.1.2 shall be deemed as authorised for placing on the market in the Member States of the European Union.]                            

#### [F17.2.**General rules for implementation**U.K.

##### 7.2.1.*Substitution of constituents*U.K.

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 corresponding to an IC in Chapter 5.                          
          -  Non-certified ICs: Components which correspond to an IC in Chapter 5 but are not holding a certificate of conformity and which                              are produced before the expiry of the transitional period referred to in Section 6.3.                          

Table 11 shows the possible permutations.                   

###### *Table 11*

**Substitution permutation table**

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

###### 7.2.2.1.*Introduction*U.K.

This point 7.2.2 defines the principles to be applied by the entities managing the change and authorising entities in line                        with the EC verification procedure described in Article 15(9), Article 21(12) and Annex IV of Directive (EU) 2016/797. This                        procedure is further developed in Article 13, 15 and 16 of Commission Implementing Regulation (EU) 2018/545 (12)  and in Commission Decision 2010/713/EC (13) .                   

This point 7.2.2 applies in case of any change(s) to an existing unit or unit type, including renewal or upgrade. It does                        not apply in case of changes:                   
          -  that do not introduce a deviation from the technical files accompanying the EC declarations for verification for the subsystems,                              if any, and                          
          -  that do not have an impact on basic parameters not covered by the EC declaration, if any.                          

The holder of the vehicle type authorisation shall provide, under reasonable conditions, the information necessary for assessing                        the changes to the entity managing the change.                   

###### 7.2.2.2.*Rules to manage changes in both a unit or a unit type*U.K.

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

Without prejudice to clause 7.2.2.3, compliance with the requirements of this TSI or the TSI Noise (Commission Regulation                        (EU) No 1304/2014 (14) , see clause 7.2 of that TSI) shall only be needed for the basic parameters in this TSI which may be affected by the change(s).                   

In accordance with Articles 15 and 16 of Commission Implementing Regulation (EU) 2018/545 and Decision 2010/713/EU and by                        application of modules SB, SD/SF or SH1 for the EC verification, and if relevant in accordance with Article 15(5) of Directive                        (EU) 2016/797, the entity managing the change shall inform a notified body of all changes affecting the conformity of the                        subsystem with requirements of the relevant TSI(s) requiring new checks by a notified body. This information shall be provided                        by the entity managing the change with corresponding references to the technical documentation relating to the existing EC                        type or design examination certificate.                   

Without prejudice of the general safety judgement mandated in article 21(12)(b) of Directive (EU) 2016/797, in case of changes                        requiring reassessment of the safety requirements set out in clauses 4.2.4.2 for the brake system, a new authorization for                        placing on the market will be required unless one of the following conditions are met:                   
          -  The brake system fulfils the conditions of C.9 and C.14 of Appendix C after change or,                          
          -  Both the original and changed brake systems fulfil the safety requirements set out in clause 4.2.4.2.                          

National migration strategies related to the implementation of other TSIs (e.g. TSIs covering fixed installations) shall be                        taken into account when defining to what extent the TSIs covering rolling stock needs to be applied.                   

The basic design characteristics of the rolling stock are defined in Table 11a. Based on these tables and on the safety judgement                        mandated in Article 21(12)(b) of Directive (EU) 2016/797, the changes shall be categorised as follows:                   
          -  15(1)(c) of Commission Implementing Regulation (EU) 2018/545 if they are above the thresholds set out in column 3 and below                              thresholds set out in column 4 unless the safety judgement mandated in Article 21(12)(b) of Directive (EU) 2016/797 requires                              to categorise them as 15(1)(d), 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 in Article 21(12)(b) of Directive (EU) 2016/797 requires to categorise them as 15(1)(d).                          

The determination whether the changes are beyond or above the thresholds mentioned above shall be done in reference to the                        values of the parameters at the time of the last authorisation of the rolling stock or rolling stock type.                   

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

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

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

The replacement of a whole element within a rake of permanently connected elements after a severe damage does not require                        a conformity assessment against this TSI, as long as the element is identical to the one it replaces. Such element must be                        traceable and certified in accordance with any national or international rule, or any code of practice widely acknowledged                        in the railway domain.                   

###### *Table 11a*

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

In order to establish the EC type or design examination certificate, the notified body selected by the entity managing the                        change is permitted to refer to:                   
          -  The original EC type or design examination certificate for parts of the design that are unchanged or those that are changed                              but do not affect the conformity of the subsystem, as far as it is still valid (during 10 years phase B period).                          
          -  Additional EC type or design examination certificate (amending the original certificate) for 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 entity managing the change shall ensure that the technical documentation which is relating to the EC type                        or design examination certificate is updated accordingly.                   

The updated technical documentation, related to the EC type or design examination certificate is referred to in the technical                        file accompanying the EC declaration of verification issued by the entity managing the change for rolling stock declared as                        conformant to the modified type.                   

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

The following rules apply, in addition to clause 7.1.2.2, to existing units with a first authorisation for placing in service                        before 1 January 2015, where the scope of the change has an impact on basic parameters not covered by the EC declaration                   

The compliance with technical requirements of this TSI is deemed established when a basic parameter is improved in the direction                        of the TSI defined performance and the entity managing the change demonstrates that the corresponding essential requirements                        are met and the safety level is maintained and, where reasonably practicable, improved. The entity managing the change shall                        in this case justify the reasons for which the TSI defined performance was not met, taking into account migration strategies                        of other TSIs as stated in section 7.2.2.2. This justification shall be in the technical file, if any, or in the original                        technical documentation of the unit.                   

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

###### *Table 11b*

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

###### 7.2.3.*Rules related to the EC type or design examination certificates*U.K.

###### 7.2.3.1.*Rolling stock subsystem*U.K.

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

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

###### 7.2.3.1.1.**Phase A**U.K.

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

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

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

###### 7.2.3.1.2.**Phase B**U.K.

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

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

The updated technical documentation related to the EC type or design examination certificate is referred to in the technical                        file accompanying the EC declaration of verification issued by the applicant for rolling stock declared as conformant to the                        modified type.                   

###### 7.2.3.2,*Interoperability constituents*U.K.

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

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

#### 7.3.**Specific cases**U.K.

##### 7.3.1.*Introduction*U.K.

[F1The specific cases, as listed in point 7.3.2, are classified as:                   
          -  ‘P’ cases: ‘permanent’ cases.                          
          -  ‘T’ cases: ‘temporary’ cases, where the target system shall be reached by 31 December 2025.                          

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

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

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

##### 7.3.2.*List of specific cases*U.K.

###### 7.3.2.1.*General specific cases*U.K.

Units running between a Member State and a third country with a network with 1 520 mm track gauge: Specific case Finland,                     Poland and Sweden.                  

(‘P’) The application of national technical rules instead of the requirements in this TSI is allowed for third countries rolling                     stock.                  

###### [F97.3.2.1a.*Gauging (point 4.2.3.1)*U.K.

###### **Specific case Ireland and UK for Northern Ireland**U.K.

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

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

###### 7.3.2.2.*Axle bearing condition monitoring (point 4.2.3.4)*U.K.

###### (a)**Specific case Sweden**U.K.

(‘T’) Units intended to operate on the Swedish railway network shall be compliant with the target and prohibitive zones as                     set out in Table 12.                  

The two zones underneath the axle box/journal set out in Table 12 referring to the parameters of the standard EN 15437-1:2009                     shall be free to facilitate vertical monitoring by trackside axle box detection system:                  

###### *Table 12*

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

Units mutually recognised in accordance with point 7.1.2 and units equipped with on-board axle bearing condition monitoring                     equipment are exempted from this specific case.                  

###### F6(b)**Specific case Portugal**U.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

###### 7.3.2.3.*Safety against derailment running on twisted track (point 4.2.3.5.1)*U.K.

###### **Specific case UK for Great Britain**U.K.

(‘P’) The limitations to the use of Method 3 set out in [F1EN 14363:2016 clause 6.1.5.3.1] are not applicable for units that are intended for national use on the UK mainline network only.                  

[F9This specific case does not prevent the access of TSI compliant rolling stock to the national network.]                   

###### 7.3.2.4.*Running dynamic behaviour (point 4.2.3.5.2)*U.K.

###### **[F1Specific case UK for Great Britain**U.K.

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

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

###### **Specific case Ireland and UK for Northern Ireland**U.K.

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

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

###### [F17.3.2.5.*Characteristics of wheelsets, wheels and axles (points 4.2.3.6.2 and 4.3.2.6.3)*U.K.

###### **Specific case UK for Great Britain**U.K.

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

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

###### F67.3.2.6.*Characteristics of wheels (point 4.2.3.6.3)*U.K.

###### F6**Specific case UK for Great Britain**U.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

###### [F17.3.2.6.*Attachment devices for rear end signals (point 4.2.6.3)*U.K.

###### **Specific case Ireland and UK for Northern Ireland**U.K.

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

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

###### [F97.3.2.7.*Rules to manage changes in both rolling stock and rolling stock type (7.2.2.2)*U.K.

###### **Specific case the United Kingdom (Great Britain)**U.K.

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

#### 7.4.**Specific environmental conditions**U.K.

##### *Specific conditions Finland and Sweden*U.K.

For unrestricted access of rolling stock to the Finnish and Swedish network under winter conditions, it shall be demonstrated                     that the rolling stock meets the following requirements:                  
          -  Temperature zone T2 as specified in point 4.2.5 shall be selected. 
          -  Snow, ice and hail severe conditions as specified in point 4.2.5 shall be selected. 

##### *Specific conditions Portugal and Spain*U.K.

For unrestricted access of rolling stock to the Portuguese and Spanish network under summer conditions, temperature zone T3                     as specified in point 4.2.5 shall be selected.                  

#### 7.5.**Freight wagons operating under national, bilateral, multilateral or international agreements**U.K.

See Article 6.

#### [F97.6.**Aspects that have to be considered in the revision process or in other activities of the Agency**U.K.

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

These aspects are identified below.                   

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

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

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

### Appendix A

[F1Not used]                   

### [F5Appendix B

Not used.]                   

### Appendix C

#### **Additional optional conditions**U.K.

The compliance with the following set of conditions C.1 to C.18 is optional. If the applicant selects this option, a notified                     body has to assess the compliance within the EC verification procedure.                  

##### 1.**Manual coupling system**U.K.

The manual coupling system shall comply with the following requirements:
          -  The screw coupling system excluding the draw hook shall comply with the requirements related to freight wagons of EN 15566:2009+A1:2010                           except clause 4.4,                         
          -  The draw hook shall comply with the requirements related to freight wagons of EN 15566:2009+A1:2010 except clause 4.4 and                           except the dimension ‘a’ in Annex A Figure A.1 which shall be treated as informative.                         
          -  The draw hook shall be located at a height between 920 and 1 045 mm above rail level in all loading and wear conditions. 
          -  The centreline of the draw hook shall be located within a range of 0 to 20 mm below the buffing centre. 
          -  [F5[F1The clearance for the draw hook shall be in accordance with clause 6.3.2 of EN 16116-2:2013.]]                          
          -  The buffer shall comply with the requirements related to freight wagons of EN 15551:2009+A1:2010. 
          -  The buffing centre line shall be located at a height between 940 and 1 065 mm above rail level in all loading and wear conditions. 
          -  There shall be no fixed parts within 40 mm of a vertical plane placed at the end of the fully compressed buffers. 
          -  [F5[F1The space for shunting staff operation shall be in accordance with clause 6.2.1 of EN 16116- 2:2013. For manual coupling systems                                 equipped with 550 mm wide buffers the calculation of the free space may be done considering that the coupling gear components                                 are lateral centrally positioned (D = 0 mm as defined in Annex A of EN 16116-2:2013).]]                          
          -  Where a combined automatic and screw coupler is fitted, it is permissible for the auto coupler head to infringe the space                           specified above for shunting staff on the left hand side when it is stowed and the screw coupler is in use. In this case the                           marking in Figure 75 of EN 15877-1:2012 is mandatory.                         

###### Interaction of buffers and draw gearU.K.

          -  The characteristics of the buffers and draw gear shall be designed in order to enable the safe transit of curves in the track                           with a radius of 150 m. Two units with bogies coupled on straight track with touching buffers shall generate compressive forces                           not higher than 250 kN on a 150 m radius curve. There is no requirement specified for two axle units.                         
          -  The distance between the front edge of a draw-hook opening and the front side of the fully extended buffers shall be 355 mm                           + 45/– 20 mm in the new condition as shown in Figure C.1:                          
*Figure C.1*

**Configuration of buffers and draw gear**
 

Units designed for 1 435 mm and 1 520 mm or 1 435 mm and 1 524 mm, or 1 435 mm and 1 668 mm gauge network(s), equipped with                     manual coupling and ‘UIC’ pneumatic brake system, shall be compatible with both,                  
          -  the interface requirements for ‘End Coupling’ mentioned in this Section, and 
          -  specific buffer layouts related to broad gauge networks. 

In order to provide this full compatibility, it is permitted to have a different value of the distance between buffer centrelines,                     1 790 mm (Finland) and 1 850 mm (Portugal and Spain) taking into account clause 6.2.3.1 of EN 15551:2009+A1:2010.                  

##### [F12.**UIC footsteps and handrails**U.K.

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.]                   

##### 3.**Ability to be hump shunted**U.K.

In addition to the requirements of point 4.2.2.2 the unit shall be assessed in accordance with clause 8 of EN 12663-2:2010                     and classified in Category F I in accordance with clause 5.1 of EN 12663-2:2010 with the following exception: for units designed                     to carry motor vehicles or combined transport units without long stroke shock absorbers the Category F-II may be used. The                     requirements concerning the buffing tests in clause 8.2.5.1 of EN 12663-2:2010 apply.                  

##### 4.**Free space under lifting points**U.K.

The unit shall comply with Figure C.2 on the free space under the re-railing places for rerailing:

*Figure C.2*

**Free spaces under rerailing places**

##### 5.**Marking of units**U.K.

[F6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                   
          -  F6. . . . .                          
          -  . . . . .                          
          -  . . . . .                          
          -  . . . . .                          
          -  . . . . .                          
          -  . . . . .                          
          -  . . . . .                          
          -  . . . . .]                          

Units compliant with all requirements set out in Section 4.2, fulfilling all conditions set out in point 7.1.2 and all conditions                     set out in Appendix C may receive the marking ‘GE’.                  

Units compliant with all requirements set out in Section 4.2, fulfilling all conditions in point 7.1.2 and the conditions                     set out in Appendix C but not those set out in Appendix C, Sections 3 and/or 6 and/or 7.b, may receive the marking ‘CW’.                  

If the additional marking is used, it shall be inscribed on the unit as outlined in Figure C.3.

*Figure C.3*

**The additional markings ‘GE’ and ‘CW’**

The letters shall be of the same font type as the TEN marking. The size of the letters shall be at least 100 mm high. The                     outer measures of the frame shall be at least 275 mm wide and 140 mm high, the frame shall be 7 mm thick.                  

The marking shall be located on the right hand side of the area containing the European Vehicle Number and the TEN marking.

##### 6.**G1 gauge**U.K.

The reference contour with which the unit complies with shall be G1 and [F1GI1] determined as defined in point 4.2.3.1.                  

##### 7.**Compatibility with train detection systems**U.K.

###### (a)The unit shall 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).U.K.

###### (b)The distance between two adjacent axles of the unit shall not exceed 17 500 mm.U.K.

##### 8.**Tests concerning longitudinal compressive forces**U.K.

The verification of safe running under longitudinal compressive forces shall be in accordance with [F1EN 15839:2012+A1:2015].                  

##### 9.**UIC brake**U.K.

The brake system shall be compatible with vehicles equipped with UIC approved brake systems. The brake system of a unit is                     compatible with the UIC brake system if it fulfils the following requirements:                  

The unit shall be equipped with a pneumatic brake pipe with an inner diameter of 32 mm.

Brake modes have different brake application and release times and specific brake weight percentage.

Every unit shall be fitted with a brake system having at least brake modes G and P. The brake modes G and P shall be assessed                              in accordance with [F1UIC 540:2014].                           

The minimum braking performance for brake-modes G and P shall be in accordance with Table C.3.

If a unit is equipped with a brake system having in addition further brake modes the assessment procedure as described in                              point 4.2.4.3.2.1 shall be carried out for these additional brake modes. The brake application time of the P brake mode in                              accordance with [F1UIC 540:2014] are also valid for further brake modes.                           

The energy storage has to be designed in such way that after a brake application with the maximum brake cylinder pressure                              and the maximum unit specific brake cylinder stroke at any load state the pressure in the auxiliary reservoir must be at least                              0,3 bar more than the brake cylinder pressure without the addition of any further energy. Details for standardised air reservoirs                              are set out in EN 286-3:1994 (steel) and EN 286-4:1994 (aluminium).                           

The pneumatic energy of the brake system shall not be used for other applications different than those related to braking                              purposes.                           

The distributor and distributor isolating device shall be in accordance with EN 15355:2008+A1:2010. At least one distributor                              shall be installed per 31 m unit length.                           

[F1The pneumatic half coupling and its hose:]                            

The interface of the brake pipe shall be in accordance with EN 15807:2011.

The opening of the automatic air brake coupling head shall face the left when looking at the end of the vehicle.

The opening of the main reservoir coupling head shall face the right when looking at the end of the unit.

The end cocks shall be in accordance with EN 14601:2005+A1:2010.

The brake mode switching device shall be in accordance with UIC 541-1:2010 Appendix E.

[F1Brake block holders shall be in accordance with UIC 542:2015.]                            

[F2If the brake system requires a ‘friction element for wheel tread brakes’ interoperability constituent, the interoperability constituent shall, in addition to the requirements of point 6.1.2.5, comply                                 with UIC leaflet 541-4:2010. The manufacturer of the friction element for wheel tread brakes, or his authorised representative                                 established within the Union, shall in that case obtain the UIC approval.]                            

[F1Slack 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. Additionally, a life test shall be performed to demonstrate                                 the suitability of the slack adjuster for service on the unit 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.]                            

If the unit is equipped with a wheel slide protection system (WSP) it shall be in accordance with EN 15595:2009+A1:2011.

###### *Table C.3*

**Minimum braking performance for brake modes G and P**

##### 10.**Location of parking brake handles**U.K.

If a unit is equipped with a parking brake the location of its operating handle or operating wheel shall be:
          -  on both sides of the unit if it is operated from the ground, or 
          -  on a platform, that can be accessed from both sides of the unit. 

The operation from the ground shall be done by wheel.

##### [F111.**Temperature ranges for air reservoirs, hoses and grease**U.K.

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 shall 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.]                          

##### 12.**Welding**U.K.

[F1Welding 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.]                   

##### 13.**Track gauge**U.K.

The unit shall be compatible with the 1 435 mm track gauge.

##### 14.**Specific brake thermal capacity**U.K.

The brake system shall resist a thermal load equivalent to the suggested reference case in point 4.2.4.3.3.

[F2With regard to the use of wheel tread brake systems, this condition is deemed to be met if the ‘friction element for wheel tread brakes’ interoperability constituent is, in addition to the requirements of point 6.1.2.5, compliant with UIC leaflet 541-4:2010,                        and if the wheel:                   
          -  is assessed in accordance with point 6.1.2.3; and                          
          -  fulfils the conditions of Section 15 of Appendix C.]                          

##### 15.**Specific product properties concerning the wheel**U.K.

The wheels shall be in accordance with EN 13262:2004+A1:2008+A2:2011 and EN 13979-1:2003+A1:2009+A2:2011. The thermal mechanical                     type test required in point 6.1.2.3 shall be carried out in accordance with Table C.4 when the complete brake system is acting                     directly on the wheel tread.                  

###### *Table C.4*

**Conditions for the thermal mechanical type test**

##### 16.**Tow hooks**U.K.

Units shall be provided with tow hooks, each one being fixed to the side of the unit underframe in accordance with clause                     1.4 of UIC 535-2:2006.                  

[F9Alternative 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.]                   

##### 17.**Protective devices on protruding parts**U.K.

To ensure the safety of staff, protruding (e.g. angular or pointed) parts of the unit located up to 2 m above rail level or                     above passageways, working surfaces or tow hooks which are liable to cause accidents, shall be fitted with protective devices                     as described in clause 1.3 of UIC 535-2:2006.                  

##### 18.**Label holders and attachment devices for rear-end signal**U.K.

All units shall be equipped with a label holder in accordance with clause 1 of UIC 575:1995 and at both ends with attachment                     devices as set out in point 4.2.6.3.                  

##### [F919.**Axle bearing condition monitoring**U.K.

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

### [F1Appendix D

#### **Mandatory standards or normative documents referred to in this TSI**U.K.

Standards or documents referred to in the additional optional conditions set out in Appendix C:                   

### Appendix E

#### **Rear-end signal**U.K.

##### 1.**Lamps**U.K.

[F2The colour of tail lamps shall be in accordance with clause 5.5.3 of [F1EN 15153-1:2013+A1:2016].]                   

[F1The tail lamp shall be designed to display a lighting intensity in accordance with table 8 of EN 15153-1:2013+A1:2016.]                   

The lamp shall be suitable to be attached to units complying with the attachment devices and the clearance set out in point                     4.2.6.3. The lamp shall be equipped with:                  
          -  a switch (on/off), 
          -  a warning light which indicates the battery status. 

##### 2.**Reflective plates**U.K.

The reflective plates shall be suitable to be attached to units complying with the attachment devices and the clearance set                     out in point 4.2.6.3. The reflective section of the plates shall be at least 150 by at least 200 mm as illustrated in Figure                     E.1. The side triangles shall be white, the top and the bottom triangles shall be red. The plate shall be retro-reflective                     in accordance with EN 12899-1:2007 Class Ref. 2.                  

*Figure E.1*

**Reflective plate**

### Appendix F

#### **Assessment assigned to the production phases**U.K.

##### *Table F.1*

**Assessment assigned to the production phases**

### Appendix G

#### **List of fully approved composite brake blocks for international transport**U.K.

This Appendix is published on the ERA website (http://www.era.europa.eu).

1

OJ L 191, 18.7.2008, p. 1.                           

2

OJ L 164, 30.4.2004, p. 1.                           

3

OJ L 319, 4.12.2010, p. 1.                           

4

OJ L 344, 8.12.2006, p. 1.                           

5

[F1Directive (EU) 2016/797 of the European Parliament and of the Council of 11 May 2016 on the interoperability of the rail system within the European Union (OJ L 138, 26.5.2016, p. 44).]                            

6

[F1Directive (EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway safety (OJ L 138, 26.5.2016, p. 102).]                            

7

[F1OJ L 121, 3.5.2013, p. 8.]                            

8

[F1The 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).]                            

9

[F8OJ L 264, 8.10.2011, p. 32.]                            

10

[F9Commission Implementing Regulation (EU) 2019/773 of 16 May 2019 on the technical specification for interoperability relating to the operation and traffic management subsystem of the rail                                 system within the European Union and repealing Decision 2012/757/EU (OJ L 139 I, 27.5.2019, p. 5).]                            

11

Commission Decision 2006/861/EC (OJ L 344, 8.12.2006, p.1) and Commission Decision 2006/861/EC amended by Commission Decision 2009/107/EC (OJ L 45, 14.2.2009, p.1).                           

12

[F1Commission Implementing Regulation (EU) 2018/545 of 4 April 2018 establishing practical arrangements for the railway vehicle authorisation and railway vehicle type authorisation process                                 pursuant to Directive (EU) 2016/797 of the European Parliament and of the Council (OJ L 90, 6.4.2018, p. 66).]                            

13

[F1Commission Decision 2010/713/EU of 9 November 2010 on modules for the procedures for assessment of conformity, suitability for use and EC verification to be used in the technical                                 specifications for interoperability adopted under Directive 2008/57/EC of the European Parliament and of the Council (OJ L 319, 4.12.2010, p. 1).]                            

14

[F1Commission Regulation (EU) No 1304/2014 of 26 November 2014 on the technical specification for interoperability relating to the subsystem ‘rolling stock — noise’ amending Decision 2008/232/EC and repealing Decision 2011/229/EU (OJ L 356, 12.12.2014, p. 421).]                            

Textual Amendments

F1Substituted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                    1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                    2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                    of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).

F8Inserted by Commission Regulation (EU) No 1236/2013 of 2 December 2013 concerning the technical specification for interoperability relating                                    to the subsystem ‘rolling stock — freight wagons’ of the rail system in the European Union and amending Regulation (EU) No                                    321/2013 (Text with EEA relevance).

F9Inserted by Commission Implementing Regulation (EU) 2019/776 of 16 May 2019 amending Commission Regulations (EU) No 321/2013, (EU) No                                    1299/2014, (EU) No 1301/2014, (EU) No 1302/2014, (EU) No 1303/2014 and (EU) 2016/919 and Commission Implementing Decision                                    2011/665/EU as regards the alignment with Directive (EU) 2016/797 of the European Parliament and of the Council and the implementation                                    of specific objectives set out in Commission Delegated Decision (EU) 2017/1474 (Text with EEA relevance).