Text consolidated by Valstsvalodascentrs (State Language Centre) with amending regulations of:
19 October 2011 [shall come into force from 26 October 2011];
12 June 2012 [shall come into force from 15 June 2012];
28 May 2013 [shall come into force from 8 June 2013];
17 March 2015 [shall come into force from 3April 2015].
If a whole or part of a paragraph has been amended, the date of the amending regulation appears in square brackets at the end of the paragraph. If a whole paragraph or sub-paragraph has been deleted, the date of the deletion appears in square brackets beside the deleted paragraph or sub-paragraph.
Republic of Latvia
Cabinet
Regulation No.1211
Adopted 28 December 2010
Regulations on the Construction, Upgrading, Renewal, Conformity Assessment and Authorisation for Placing in Service of the Rolling Stock
Issued pursuant to
Section 36.1, Paragraph two of the Railway Lawand
Section 7, Paragraph one of the Law on Conformity Assessment
1. General Provisions
1. This Regulation prescribes the essential requirements for rolling stock, the supervisory mechanism for the conformity thereof as well as the procedures for construction, upgrading, renewal, conformity assessment and placing in service of rolling stock.
2. Before starting the operation, the rolling stock shall be authorised for placing in service.
3. Rolling stock may be placed on the Latvian market – alienated or transferred to the use (for a consideration or without) for operation within the rail system if it complies with the requirements of this Regulation. Rolling stock as a vehicle may be used by a natural or legal person - an owner or user of the rolling stock who has the right to use it.
[17 March 2015]
4. This Regulation shall not apply to:
4.1. wagons registered in another European Union Member State intended for use in a railway network with a track gauge of 1520 mm operated in international carriage by rail from and to the non-European Union Member States (hereinafter – third countries) if they are not placed on the Latvian market;
4.2. rolling stock registered in third countries intended for use in a railway network with a track gauge of 1520 mm if it is not placed on the Latvian market and if the owner or user of the rolling stock is a natural or legal person of a third country, as well as the rolling stock is being operated in international carriage by rail from and to third countries. Operation authorisation for such rolling stock shall be granted on the basis of the international agreements entered into regarding technical requirements laid down for the rolling stock, in so far as these agreements comply with the legal acts of the European Union.
[17 March 2015]
5. Prior to commencement of the rolling stock construction or upgrading (modification works providing for modifications in the basic parameters of the rolling stock set out in Annex1 to this Regulation modifying a basic parameter or its function), the manufacturer of the rolling stock, the entity carrying out the upgrade, or the contracting entity ordering the rolling stock construction or upgrading, or their authorised representative shall submit to the State Railway Technical Inspectorate the technical assignment documentation for the respective project and shall receive from the latter a decision on the conditions of applicability of the technical specifications for interoperability in accordance with the procedures laid down in the laws and regulations on interoperability of trans-European rail systems, as well as on the conditions for placing in service of a type, series or make of the rolling stock (hereinafter – type of rolling stock) in accordance with the requirements of this Regulation. Rolling stock upgrading means actions modifying the basic parameters characteristic to a type of rolling stock listed in Part 6 of the Certificate on Authorisation for Placing in Service a Type of Rolling Stock included in Annex2 to this Regulation.
6. Rolling stock constructed or upgraded in accordance with one certificate of conformity for a type of rolling stock issued by a conformity assessment body shall be considered conforming to one type of rolling stock.
7. Construction or upgrading of the rolling stock shall be carried out in accordance with the requirements stipulated in Chapter 2 of this Regulation.
8. Where the respective technical specifications for interoperability include essential requirements for the rolling stock and do not provide for any exemptions, the procedures for conformity assessment laid down in laws and regulations on interoperability of the trans-European rail systems shall be applied when constructing and upgrading the rolling stock conforming with all technical specifications for interoperability (hereinafter – TSI-conform rolling stock).
9. Conformity assessment of the rolling stock, which is not in conformity with all relevant technical specifications for interoperability, including the rolling stock, to which exemptions apply and which is not subject, in part or in full, to the technical specifications for interoperability (hereinafter – non-TSI-conform rolling stock), shall be carried out by a notified body accredited in accordance with the laws and regulations regarding the interoperability of the trans-European rail systems (hereinafter – notified body), the scope of accreditation of which includes conformity assessment of fulfilment of the essential requirements provided for in the technical specifications for interoperability in respect of open access cases and national requirements applicable in special cases and applicable in accordance with the laws and regulations regarding the interoperability of the trans-European rail systems.
10. The notified body shall assess the conformity of all basic parameters of rolling stock, as set out in the technical specifications for interoperability and in Annex1 to this Regulation, to the requirements laid down in the binding laws and regulations, standards and normative and technical documentation referred to in the technical specifications for interoperability and in laws and regulations regarding the interoperability of the trans-European rail systems.
11. Save as otherwise provided for in this Regulation, the notified body shall carry out conformity assessment of the rolling stock in accordance with the modules for the conformity assessment procedures laid down in the technical specifications for interoperability. Where the respective type of rolling stock is not subject to any valid technical specifications for interoperability, the examination of the type of rolling stock shall be carried out for the conformity assessment, accompanied by verification of the rolling stock unit.
12. The State Railway Technical Inspectorate shall authorise for placing in service a type of rolling stock that is a new build or placed on the market for the first time (hereinafter – new), or upgraded, in accordance with the requirements laid down in Chapter3 of this Regulation. The decision to place a type of rolling stock in service shall be drawn up, by filling in and signing the Certificate on Authorisation for Placing in Service a Type of Rolling Stock set out in Annex2 to this Regulation. The decision shall provide for restrictions on the use of the rolling stock (e.g., railway lines to be used and the speeds).
13. The State Railway Technical Inspectorate shall authorise for placing in service a new or upgraded rolling stock unit that conforms to the type of rolling stock, in accordance with the requirements laid down in Chapter4 of this Regulation. The decision to place a rolling stock unit in service shall be drawn up, by filling in and signing the Certificate on Authorisation for Placing in Service a Rolling Stock Unit stipulated in Annex3 to this Regulation.
14. Where the rolling stock is not placed on the Latvian market, for a rolling stock registered in another European Union Member State, the rolling stock type shall be authorised for placing in service in accordance with the requirements laid down in Chapter3 of this Regulation. In such cases, rolling stock units of the respective rolling stock shall not be authorised for placing in service.
15. Renewal of the rolling stock shall be carried out in accordance with the requirements laid down in Chapter5 of this Regulation.
16. The rolling stock complying with the requirements of applicable standards or parts thereof to which references are published in the form of the European Commission communication in the Official Journal of the European Union (hereinafter - the applicable standards), shall be considered as conforming to those essential requirements referred to in this Regulation which are covered by such standards.
[17 March 2015]
16.1 The Ministry of Transport shall inform the national standardisation body regarding applicable standards published in the Official Journal of the European Union which are notified by the European Commission. The national standardisation body shall publish on the official website thereof the list of standards adapted in the status of the national standards of Latvia which may be applied for performance of the requirements of this Regulation.
[17 March 2015]
17. Decisions taken by an official of the State Railway Technical Inspectorate in accordance with this Regulation, except for the case referred to in Paragraph38, may be challenged by submitting an application to the director of the State Railway Technical Inspectorate. A decision of the director of the State Railway Technical Inspectorate may be appealed to a court in accordance with the procedures set out in the Administrative Procedure Law.
2. Construction, Upgrading and Conformity Assessment of the Rolling Stock
18. Construction or upgrading of the rolling stock shall be carried out in accordance with solutions provided for in the technical assignment of the project, in conformity with the technical specifications for interoperability and laws and regulations governing the railway sector, as well as taking into account the decision of the State Railway Technical Inspectorate on the conditions of applicability of the technical specifications for interoperability referred to in Paragraph5 of this Regulation.
19. Prior to commencement of the rolling stock construction or upgrading the manufacturer, the entity carrying out the upgrade, or the contracting entity ordering the rolling stock construction or upgrading, or their authorised representative shall choose the notified body, which carries out the conformity assessment in respect of such construction or upgrading of the rolling stock.
20. The notified body, which has been chosen for the conformity assessment in respect of construction or upgrading of the rolling stock, shall commence its work at the designing stage and shall continue with its work during the entire construction or upgrading stage, up to the placing of the rolling stock in service.
21. The notified body, which has been chosen for the conformity assessment in respect of construction or upgrading of the rolling stock, shall perform it in the following stages:
21.1. designing of construction or upgrading of the rolling stock;
21.2. construction or upgrading of the rolling stock;
21.3. final examination of the rolling stock, prior to its placing in service.
22. The notified body shall assess the conformity of the design and technical documentation for the construction or upgrading of the rolling stock with the requirements of the technical specifications for interoperability and the binding laws and regulations, standards and normative and technical documentation, as well as the conformity of a sample new-build or upgraded rolling stock with the design and technical documentation. Where the rolling stock conforms to the said requirements, the notified body shall issue a certificate of conformity in respect of the type of rolling stock. In the event of non-conformity, the notified body shall refuse to issue the certificate of conformity, giving the reasons for its decision, as well as shall inform the State Railway Technical Inspectorate that such decision has been taken.
22.1 If the conformity of the rolling stock with the requirements of the laws and regulations, standards and normative and technical documentation, which are applied to the fulfilment of the requirements of this Regulation in Latvia, has not been certified in a certificate of conformity in respect of the type of rolling stock issued by the notified body of another European Union Member State, the notified body abovementioned in Paragraph 9 of this Regulation shall certify the conformity of the type of the rolling stock with the infrastructure to be used and the requirements of such laws and regulations, standards and normative and technical documentation in accordance with the procedures laid down in Paragraph 22.3 of this Regulation.
[19 October 2011; 17 March 2015]
22.2 If the rolling stock has been built outside the European Union and the certificate of conformity of the type has been issued by the Conformity Assessment Authority of the Contracting Party State of the Organisation for Co-operation between Railways (OSJD), the notified body abovementioned in Paragraph 9 of this Regulation shall certify the conformity of the type of the rolling stock with the infrastructure to be used and the requirements of the laws and regulations, standards and normative and technical documentation in accordance with the procedures laid down in Paragraph 22.3 of this Regulation, which are applied to the fulfilment of the requirements of this Regulation in Latvia.
[19 October 2011; 17 March 2015]
22.3 An owner or user of the rolling stock who wants to place in service the types of the rolling stock abovementioned in Paragraphs 22.1and 22.2of this Regulation, shall provide the notified body with access to the documentation of the relevant rolling stock in order to be able to determine accurately the origin of the rolling stock and the conformity with the infrastructure to be used and the requirements of the laws and regulations, standards and normative and technical documentation, which are applied to the fulfilment of the requirements of this Regulation in Latvia. The notified body shall perform the assessment on the basis of the documentation available. If the amount of the documentation is not sufficient for the issuance of a certificate, the notified body in agreement with the owner or user of the rolling stock shall examine the type compliant rolling stock unit by using non-destructive test methods.
[19 October 2011; 17 March 2015]
23. When the construction or upgrading of a number of identical rolling stock units is carried out in accordance with one certificate of conformity for the type of rolling stock referred to in Paragraph22 of this Regulation, the notified body shall assess the conformity of each rolling stock unit to the conditions of the certificate of conformity for the type of rolling stock. In such a case, the manufacturer of the rolling stock, the entity carrying out the upgrade, or the contracting entity ordering such rolling stock construction or upgrading shall not request repeatedly the decision referred to in Paragraph 5 of this Regulation from the State Railway Technical Inspectorate.
23.1 If a rolling stock unit has been built in a Contracting Party State of the Organisation for Co-operation between Railways (OSJD) outside the European Union and conforms to the type of the rolling stock assessed in conformity with Paragraph 22.2 of this Regulation, the notified body referred to in Paragraph 9 of this Regulation shall certify the conformity of the rolling stock unit with the type of the rolling stock, checking only the requirements that are assessed in performing the certification referred to in Paragraph 22.3 of this Regulation.
[19 October 2011]
24. Upgrading of the rolling stock shall be accompanied by renewal to the extent necessary to ensure that also the rolling stock subsystems and assemblies not undergoing such upgrading remain operational.
3. Authorisation for Placing in Service of a Type of Rolling Stock
3.1. General Requirements
25. [17 March 2015]
26. The type of rolling stock may be placed in service, where:
26.1. technical documentation (Annex4) has been prepared in respect of the type of rolling stock that describes the structure and the technical characteristics of the respective rolling stock, as well as maintenance and repair programs. The technical documentation shall include a description of all basic parameters of the rolling stock referred to in the technical specifications for interoperability or in Annex 1 to this Regulation;
26.2. the rolling stock complies with the laws and regulations governing the technical operation of railways;
26.3. the rolling stock is compatible with a particular rolling stock design solution;
26.4. the rolling stock is compatible with the energy supply system, control-command and signalling system, track gauge and maximum permitted axle load of the railway infrastructure of the particular place of operation;
26.5. conformity assessment of the type of the rolling stock has been carried out, including checks and tests.
[28 May 2013]
27. The owner, user, manufacturer of the rolling stock, the entity carrying out the upgrade, the contracting entity or their authorised representative (hereinafter – the applicant) shall request the manager of the railway infrastructure to examine compatibility with the infrastructure in which it is incorporated.
[17 March 2015]
27.1 Upon requesting the tests of the rolling stock abovementioned in Paragraph 27 of this Regulation, the applicant shall submit the technical documentation abovementioned in Sub-paragraph 26.1 of this Regulation to the relevant infrastructure manager. The infrastructure manager may request additional information which is necessary for the performance of tests and drawing up of the results.
[17 March 2015]
28. The infrastructure manager, on the basis of the technical documentation submitted and the results of the test run, shall verify the technical compatibility of the type of the rolling stock with the railway infrastructure in which it is incorporated. Within the scope of verification the applicant may perform several test runs upon agreement with the infrastructure manager.
[28 may 2013; 17 March 2015]
28.1 Upon performing a test run, the infrastructure manager shall check the braking modes of the rolling stock, the operation of safety devices and communications, interaction of the rolling parts with the rail track, the implementation of the traction power and motion time, as well as the impact of the rolling stock on track-side equipment of the particular railway infrastructure and compatibility with electricity supply devices of such infrastructure. The infrastructure manager shall record the results of the test run in the report on the test run (Annex 7).
[28 May 2013]
28.2 The infrastructure manager may not perform a test run for a type of freight wagons provided for a rail network of 1520 millimetre track, if the technical documentation of such type contains sufficient information regarding braking modes of the rolling stock, communications operation, interaction with the rail track and other devices of the railway infrastructure.