Commission Regulation (EU) No 1302/2014 of 18 November 2014 concerning a technical specification for interoperability relating to the ‘rolling stock — locomotives and passenger rolling stock’ subsystem of the rail system in the European Union Text with EEA relevance

Article 1

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

Article 2

The TSI shall apply to the ‘rolling stock’ subsystem as described in  point 2.7 of Annex II to Directive (EU) 2016/797 of the European Parliament and of the Council (¹) which is, or is intended to be, operated on the rail network defined in point 1.2 of the Annex and which falls under one of the following types:

(a) self-propelling thermal or electric trains;

(b) thermal or electric traction units;

(c) passenger carriages;

(d) special vehicles, such as on-track machines (OTMs).

Article 3

The TSI shall not apply to existing rolling stock of the rail system in the Union which is already placed in service on all or part of the network of any Member State on 1 January 2015, except when

(a) it is subject to renewal or upgrading in accordance with Section 7.1.2 of the Annex to this Regulation; or

(b) the area of use is extended in accordance with Article 54(3) of Directive (EU) 2016/797, in which case the provisions in Section 7.1.4 of the Annex to this Regulation shall apply.

Article 4

Within six months of the entry into force of this Regulation, each Member State shall send to the other Member States and the Commission the following information, unless such information has already been sent to them under Commission Decisions 2008/232/EC or 2011/291/EU:

(a) the national rules referred to in paragraph 1;

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

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

Article 5

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

(a) the national rules referred to in paragraph 1;

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

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

Article 6

Article 7

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

Article 9

The declaration of verification of a subsystem referred to in  Articles 13 to 15 of Directive (EU) 2016/797 and/or the declaration of conformity to type of a new vehicle referred to in  Article 24 of Directive (EU) 2016/797 established in accordance with Decision 2008/232/EC or Decision 2011/291/EU shall be considered valid until the Member States decide that the type or design certificate needs to be renewed as stated in those Decisions.

Article 10

Article 11

They shall however continue to apply to:

(a) subsystems authorised in accordance with these Decisions;

(b) cases referred to in Article 9 of this Regulation.

Article 12

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

It shall apply from 1 January 2015. However, an authorisation for placing in service may be granted in accordance with the TSI as set out in the Annex to this Regulation, before 1 January 2015.

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

ANNEX

1. INTRODUCTION

A Technical Specification for Interoperability (TSI) is a specification that covers a subsystem, or part thereof, as defined in Article 2(11) of Directive (EU) 2016/797 of the European Parliament and of the Council (³).

1.1.   Technical Scope

This technical specification for interoperability (TSI) is a specification by which a particular subsystem is addressed in order to meet the essential requirements and ensure the interoperability of the Union's rail system as described in  Article 1 of Directive (EU) 2016/797.

The particular subsystem is the rolling stock of the Union's rail system referred to in  section 2.7 of Annex II to Directive (EU) 2016/797.

This TSI is applicable to rolling stock:

— which is (or is intended to be) operated on the rail network defined in the Section 1.2 ‘Geographical scope’ of this TSI, and

— which is of one of the following types (as defined in  section 2 of Annex I to Directive (EU) 2016/797): — Self-propelling thermal or electric trains, — Thermal or electric traction units, — Passenger carriages, — Mobile railway infrastructure construction and maintenance equipment.

Rolling stock of the types mentioned in  Articles 1(3) and (4) of Directive (EU) 2016/797 are excluded from the scope of this TSI:

— Metros, tram, and other light rail vehicles,

— Vehicles for the operation of local, urban or suburban passenger services on networks that are functionally separate from the rest of the railway system,

— Vehicles exclusively used on privately owned railway infrastructure that exists solely for use by the owner for its own freight operations,

— Vehicles reserved for a strictly local, historical or touristic use.

The detailed definition of the rolling stock in the scope of this TSI is given in Chapter 2.

1.2.   Geographical scope

This TSI applies to the Union rail system.

1.3.   Content of the TSI

In accordance with Article 4(3) of Directive (EU) 2016/797, this TSI covers the ‘rolling stock - Locomotives and passenger rolling stock’ subsystem.

2. ROLLING STOCK SUBSYSTEM AND FUNCTIONS

2.1.   The rolling stock subsystem as part of the Union's rail system

The Union's rail system has been broken down into subsystems as set out in Annex II to Directive (EU) 2016/797.

The Locomotives and passenger rolling stock subsystem has interfaces with other subsystems of the Union rail system. Those interfaces are considered within the frame of an integrated system, compliant with all the relevant TSIs.

In addition to the rolling stock subsystem, other TSIs describe specific aspects of the railway system and concern several subsystems.

The requirements concerning the rolling stock subsystem expressed in the Commission Regulation (EU) No 1300/2014 (⁴) (‘TSI PRM’) and the Commission Regulation (EU) No 1304/2014 (⁵) (‘TSI NOI’) are not repeated in this TSI. They apply to ‘Locomotives and passenger rolling stock’ subsystem in accordance with their respective scope and implementation rules.

2.2.   Definitions related to rolling stock

For the purpose of this TSI, the following definitions apply:

(a) A ‘unit’ is the generic term used to name the rolling stock which is subject to the application of this TSI, and therefore subject to ‘EC’ verification.

(b) A Unit may be composed of several ‘vehicles’, as defined in  point (3) of Article 2 of Directive (EU) 2016/797, Article 2(c); considering the scope of this TSI, the use of the term ‘vehicle’ in this TSI is limited to the rolling stock subsystem as defined in Chapter 1.

(c) A ‘train’ is an operational formation consisting of one or more units.

(d) A ‘passenger train’ is an operational formation accessible to passengers (a train composed of passenger vehicles but not accessible to passengers is not considered as a passenger train).

(e) A ‘fixed formation’ is a train formation that can only be reconfigured within a workshop environment.

(f) A ‘predefined formation(s)’ is a train formation(s) of several units coupled together, which is defined at design stage and can be reconfigured during operation.

(g) ‘Multiple operation’ is an operational formation consisting of more than one unit, including: — trainsets designed in such a way that several of them (of the type under assessment) are capable of being coupled together to operate as a single train controlled from 1 driver's cab; — locomotives designed in such a way that several of them (of the type under assessment) are capable of being included in a single train controlled from one driver's cab.

(h) ‘General operation’: A unit is designed for general operation when the unit is intended to be coupled with other unit(s) in a train formation which is not defined at design stage.

Definitions below are classified in three groups as defined in the section 2 of Annex I to Directive (EU) 2016/797:

(A) Locomotives and passenger rolling stock, including thermal or electric traction units, self-propelling thermal or electric passenger trains, and passenger coaches: (1) Thermal or electric traction units A Locomotive is a traction vehicle (or combination of several vehicles) that is not intended to carry a payload and has the ability to be uncoupled in normal operation from a train and to operate independently. A Shunter is a traction unit designed for use only on shunting yards, stations and depots. Traction in a train can also be provided by a powered vehicle with or without driving cab, which is not intended to be uncoupled during normal operation. Such a vehicle is called a Power Unit (or power car) in general or a Power Head when located at one end of the trainset and fitted with a driving cab. (2) Self-propelling thermal or electric trainsets A Trainset is a fixed formation that can operate as a train; it is by definition not intended to be reconfigured, except within a workshop environment. It is composed of only motored or of motored and non-motored vehicles. An Electric and/or Diesel Multiple Unit is a trainset in which all vehicles are capable of carrying a payload (passengers or luggage/mail or freight). A Railcar is a vehicle that can operate autonomously and is capable of carrying a payload (passengers or luggage/mail or freight). A tram – train is a vehicle designed for combined use on both a light-rail infrastructure and a heavy-rail infrastructure; (3) Passenger coaches and other related cars A Coach is a vehicle without traction in a fixed or variable formation capable of carrying passengers (by extension, requirements specified to apply to coaches in this TSI are deemed to apply also to restaurant cars, sleeping cars, couchettes cars, etc.). A Van is a vehicle without traction capable of carrying payload other than passengers, e.g. luggage or mail, intended to be integrated into a fixed or variable formation which is intended to transport passengers. A Driving Trailer is a vehicle without traction equipped with a driving cab. A coach may be equipped with a driver's cab; such a coach is then named a Driving Coach. A van may be fitted with a driver's cab and as such is known as a Driving Van. A Car carrier is a vehicle without traction capable of carrying passenger motor cars without their passengers and which is intended to be integrated in a passenger train. A Fixed Rake of Coaches is a formation of several coaches ‘semi-permanently’ coupled together, or which can be reconfigured only when it is out of service. A Personnel Carriage is a unit capable of carrying persons but not intended to be used for passenger service.

(B) Freight wagons, including low-deck vehicles designed for the entire network and vehicles designed to carry lorries. Such vehicles are out of the scope of this TSI. They are covered by Commission Regulation (EU) No 321/2013 (⁶) (‘TSI WAG’).

(C) Special vehicles Special vehicles, such as On-Track Machines (OTMs), are categorised in the EVR Commission Implementing Decision (EU) 2018/1614 (⁷). They can be grouped into the following subsets: (i) On track Machines (OTMs) are vehicles specially designed for construction and maintenance of the track and infrastructure. (ii) Infrastructure Inspection Vehicles (IIVs) are vehicles utilised to monitor the condition of the infrastructure. (iii) Environment vehicles are vehicles designed for clearance of the track from environmental conditions such as snow clearance machines. (iv) Emergency vehicles are vehicles designed for a specific emergency use such as evacuation, firefighting, and recovery of trains (including the breakdown cranes). (v) Road-Rail vehicles are self-propelled machines able to move on rails and on the ground. Special vehicles can be used in one or more of the following modes: working mode, travelling mode and running mode, as self-propelled or as hauled vehicles.

2.3.   Rolling stock in the scope of this TSI

The scope of this TSI concerning rolling stock, classified in three groups as defined in the Annex I section 2 of Directive (EU) 2016/797, is detailed as follows:

(A) Locomotives and passenger rolling stock, including thermal or electric traction units, self-propelling thermal or electric passenger trains, and passenger coaches (1) Thermal or electric traction units This type includes traction vehicles that are not capable of carrying a payload, such as thermal or electric locomotives or power units. The concerned traction vehicles are intended for freight or/and passenger transport. Exclusion from the scope: Shunters (as defined in Section 2.2) are not in the scope of this TSI. When they are intended to operate on the Union railway network (movement between shunting yards, stations and depots), article 1.4(b) of Directive (EU) 2016/797 applies. (2) Self-propelling thermal or electric passenger trains This type includes any train in fixed or pre-defined formation, composed of vehicles passenger carrying and/or vehicles not carrying passengers. Thermal or electric traction equipment is installed in some vehicles of the train, and the train is fitted with a driver's cab. Exclusion from the scope: In accordance with Articles 1.3, 1.4(d) and 1.5 of Directive (EU) 2016/797, the following rolling stock is excluded from the scope of the TSI: — Rolling stock intended to operate on local, urban or suburban networks functionally separate from the rest of the railway system. — Rolling stock primarily used on light rail infrastructure but equipped with some heavy rail components necessary to enable transit to be effected on a confined and limited section of heavy rail infrastructure for connectivity purposes only. — Tram – trains. (3) Passenger coaches and other related cars Passenger carriages: This type includes vehicles without traction carrying passengers (coaches, as defined in Section 2.2), and operated in a variable formation with vehicles from the category ‘thermal or electric traction units’ defined above to provide the traction function. Non-passenger carrying vehicles included in a passenger train: This type includes vehicles without traction included in passenger trains (e.g. luggage or postal vans, car carriers, vehicles for service...); they are in the scope of this TSI, as vehicles related to transport of passengers. Personnel (non-passenger) carrying vehicles included in a train not operating passenger services: This type includes vehicles without traction not accessible to the public, used primarily for the transport of personnel (e.g. military escort personnel, firefighters, personnel of the infrastructure manager or railway undertaking) and intended to be integrated in trains that typically are not accessible to the public and not intended for passenger carriage; they are in the scope of this TSI as personnel carriages, and may be authorised for placing on the market not limited to a particular area of use subject to the conditions in point 7.1.1.6.

(B) Freight wagons, including low-deck vehicles designed for the entire network and vehicles designed to carry lorries are not in the scope of this TSI but covered by the TSI WAG even when they are included in a passenger train (the train composition is in this case an operational issue). Vehicles intended to carry road motor vehicles even where persons are on on-board the carried road motor vehicles are not in the scope of this TSI.

(C) Special vehicle Special Vehicles are in the scope of this TSI and shall demonstrate compliance with the requirement of this TSI when in running mode and when: (1) running on its own rail wheels (in running mode self-propelled or hauled), and (2) designed and intended to be detected by a track-based train detection system for traffic management. Specific requirements laid down in chapter 4 and Appendix C for OTMs are also applicable to Infrastructure Inspection Vehicles unless they are designed to be integrated into a fixed passenger train formation; in this case they shall be considered as non-passenger carrying vehicles as defined in point (A) (3). Excluded from the scope of this TSI are road-rail vehicles.

This TSI is applicable to rolling stock which is intended to be operated on networks of track gauge 1 435 mm, or on one of the following nominal track gauges: 1 520 mm, 1 524 mm system, 1 600 mm system and 1 668 mm system.

Considering the integrated railway system composed of several subsystems (in particular fixed installations; see Section 2.1), the maximum design speed of rolling stock is deemed to be lower or equal to 350 km/h.

In case of maximum design speed higher than 350 km/h, this technical specification applies, but has to be complemented for the speed range above 350 km/h (or maximum speed related to a particular parameter, where specified in the relevant point of Section 4.2 up to the maximum design speed, by application of the procedure for innovative solutions described in Article 10.

3. ESSENTIAL REQUIREMENTS

3.1.   Elements of the rolling stock subsystem corresponding to the essential requirements

The following table indicates the essential requirements, as set out and numbered in Annex III of Directive (EU) 2016/797, taken into account by the specifications set out in Chapter 4.

Rolling stock elements corresponding to essential requirements

Note: only those points in point 4.2, which contain requirements, are listed.