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ANNEX

TABLE OF CONTENTS
1.	Introduction
1.1.	Technical scope
1.2.	Geographical scope
1.3.	Content
2.	Description of scope
3.	Essential requirements
3.1.	Compliance with the essential requirements
3.2.	Essential requirements — overview
4.	Characteristics of the subsystem
4.1.	Introduction
4.2.	Functional and technical specifications of the subsystem
4.2.1.	Specifications relating to staff
4.2.1.1.	General requirements
4.2.1.2.	Information exchange between IMs and RUs, including information for staff executing safety-critical tasks
4.2.1.2.1.	Rule Book
4.2.1.2.2.	Route Book
4.2.1.2.3.	Train running information for drivers
4.2.1.2.4.	Informing the driver in real time during train operation
4.2.1.3.	Not used
4.2.1.4.	Not used
4.2.1.5.	Safety-related communications between train crew, other railway undertaking staff and staff authorising train movements
4.2.2.	Specifications relating to trains
4.2.2.1.	Train visibility
4.2.2.1.1.	General requirement
4.2.2.1.2.	Front-end
4.2.2.1.3.	Rear end
4.2.2.1.3.1.	Passenger trains
4.2.2.1.3.2.	Freight trains
4.2.2.2.	Train audibility
4.2.2.2.1.	General requirement
4.2.2.2.2.	Control
4.2.2.3.	Vehicle identification
4.2.2.4.	Safety of passengers and load
4.2.2.4.1.	Safety of load
4.2.2.4.2.	Safety of passengers
4.2.2.5.	Route compatibility and train composition
4.2.2.5.1.	Route compatibility
4.2.2.5.2.	Train composition
4.2.2.6.	Train braking
4.2.2.6.1.	Minimum requirements of the braking system
4.2.2.6.2.	Braking performance and maximum speed allowed
4.2.2.7.	Ensuring that the train is in running order
4.2.2.7.1.	General requirement
4.2.2.7.2.	Pre-departure data
4.2.2.8.	Requirements for signal and lineside marker sighting
4.2.2.9.	Driver Vigilance
4.2.3.	Specifications relating to train operations, including ERTMS based operation
4.2.3.1.	Train planning and timetable
4.2.3.2.	Identification of trains
4.2.3.2.1.	Format of train running number
4.2.3.3.	Train departure
4.2.3.3.1.	Checks and tests before departure
4.2.3.3.2.	Informing the infrastructure manager of the train's operational status
4.2.3.4.	Traffic management
4.2.3.4.1.	General requirements
4.2.3.4.2.	Train reporting
4.2.3.4.2.1.	Data required for train position reporting and predicted hand over time
4.2.3.4.3.	Dangerous goods
4.2.3.4.4.	Operational quality
4.2.3.5.	Data recording
4.2.3.5.1.	Recording of monitoring data outside the train
4.2.3.5.2.	Recording of monitoring data on-board the train
4.2.3.6.	Degraded operation
4.2.3.6.1.	Advice to other users
4.2.3.6.2.	Advice to train drivers
4.2.3.6.3.	Contingency arrangements
4.2.3.7.	Managing an emergency situation
4.2.3.8.	Aid to train crew in the event of an incident or of a major rolling stock malfunction
4.3.	Functional and technical specifications of the interfaces
4.3.1.	Interfaces with the infrastructure TSI (INF TSI)
4.3.2.	Interfaces with the control-command and signalling TSI (CCS TSI)
4.3.3.	Interfaces with the rolling stock TSIs
4.3.3.1.	Interfaces with the locomotives and passenger rolling stock TSI (LOC&PAS TSI)
4.3.3.2.	Interfaces with the freight wagons TSI (WAG TSI)
4.3.4.	Interfaces with the Energy TSI (ENE TSI)
4.3.5.	Interfaces with the Safety in Railway Tunnels TSI (SRT TSI)
4.3.6.	Interfaces with the Noise TSI (NOI TSI)
4.3.7.	Interfaces with the Person with Reduced Mobility TSI (PRM TSI)
4.4.	Operating rules
4.4.1.	European Union railway system operational principles and rules
4.4.2.	National rules
4.4.3.	Acceptable Means of Compliance
4.4.4.	Transition from application of national rules to implementation of this Regulation
4.5.	Maintenance rules
4.6.	Professional competences
4.6.1.	Professional competence
4.6.2.	Language competence
4.6.2.1.	Principles
4.6.2.2.	Level of knowledge
4.6.3.	Initial and ongoing assessment of staff
4.6.3.1.	Basic elements
4.6.3.2.	Analysis and update of training needs
4.6.4.	Auxiliary staff
4.7.	Health and safety conditions
4.7.1.	Introduction
4.7.2.	Medical examinations and psychological assessments
4.7.2.1.	Before appointment
4.7.2.1.1.	Content of the medical examination
4.7.2.1.2.	Psychological assessment
4.7.2.2.	After appointment
4.7.2.2.1.	Frequency of periodic medical examinations
4.7.2.2.2.	Content of the periodic medical examination
4.7.2.2.3.	Additional medical examinations and/or psychological assessments
4.7.3.	Medical requirements
4.7.3.1.	General requirements
4.7.3.2.	Vision requirements
4.7.3.3.	Hearing requirements
4.8.	Additional information on infrastructure and vehicles
4.8.1.	Infrastructure
4.8.2.	Rolling stock
5.	Interoperability constituents
5.1.	Definition
5.2.	List of constituents
6.	Assessment of conformity and/or suitability for use of the constituents and verification of the subsystem
6.1.	Interoperability constituents
6.2.	Operation and traffic management subsystem
6.2.1.	Principles
7.	Implementation
7.1.	General rules for implementation
7.1.1.	Specific transition rules for Appendices A and C
7.2.	Specific cases
7.2.1.	Introduction
7.2.2.	List of specific cases
7.2.2.1.	Permanent specific case (P) Estonia, Latvia, Lithuania, Poland, Hungary and Slovakia
7.2.2.2.	Permanent specific case Ireland and the UK for Northern Ireland
7.2.2.3.	Temporary specific case (T1) Ireland and United Kingdom
7.2.2.4.	Permanent specific case (P) Finland
	Appendix A ERTMS operational principles and rules – version 6
	Appendix B Fundamental operational principles and common operational rules
	Appendix C Safety related communications methodology
	Appendix C1. Oral communication
	Appendix C2. European Instructions
	Appendix D Route compatibility and Route Book
	Appendix D1 Parameters for the vehicle and train compatibility over the route intended for operation
	Appendix D2 Elements the infrastructure manager has to provide to the railway undertaking for the Route Book
	Appendix D3 ERTMS trackside engineering information relevant to operation that the infrastructure manager shall provide to the railway undertaking
	Appendix E Language and communication level
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	Appendix F Elements relevant to professional qualification for the tasks associated with ‘accompanying trains’
	Appendix G Elements relevant to professional qualification for the task of preparing trains
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	Appendix H European Vehicle Number and linked alphabetical marking on the bodywork
	Appendix I List of areas for which national rules may continue to apply according to Article 8 of Directive (EU) 2016/798
	Appendix J Glossary

1.   INTRODUCTION

1.1.    Technical scope

This Technical Specification for Interoperability (‘TSI’) covers the ‘operation and traffic management’ subsystem shown in the list contained in point 1 and defined in point 2.5 of Annex II to Directive (EU) 2016/797.

1.2.    Geographical scope

The geographical scope of this Regulation is the Union's network as specified in section 1 to Annex I of Directive (EU) 2016/797 and excludes the cases referred to in Article 1(3) and 1(4) of Directive (EU) 2016/797.

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1.3.    Content

In accordance with Article 4(3) of Directive (EU) 2016/797, this TSI lays down the essential requirements for the ‘operation and traffic management’ subsystem and establishes the fundamental operating principles and common operating rules to the Union railway system. Furthermore, it establishes the interface requirements between infrastructure managers and railway undertakings.

2.   DESCRIPTION OF SCOPE

This TSI applies to the Union rail system, which includes TSI conform and non-TSI conform vehicles and fixed installations.

This TSI relates to processes and procedures, as well as to physical elements of vehicles and fixed installations that are important for their operational function in the context of this TSI and requirements applicable to staff executing safety-critical tasks.

The railway undertaking and the infrastructure manager shall ensure that all requirements of this TSI become a relevant part of railway undertaking’s and infrastructure manager’s safety management system (‘SMS’) as required by Directive (EU) 2016/798.

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3.   ESSENTIAL REQUIREMENTS

3.1.    Compliance with the essential requirements

In accordance with Article 3 of Directive (EU) 2016/797, the Union rail system, its subsystems and their interoperability constituents shall meet the essential requirements set out in general terms in Annex III to that Directive.

3.2.    Essential requirements — overview

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The following table summarises the correspondence between the essential requirements set out in Annex III to Directive (EU) 2016/797 and this Regulation.

4.   CHARACTERISTICS OF THE SUBSYSTEM

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4.1.    Introduction

In accordance with Directive 2012/34/EU of the European Parliament and of the Council ( 5 ), it is the overall responsibility of the infrastructure manager to provide all the appropriate parameters and characteristics of the infrastructure which shall be used by the railway undertaking to check the compatibility of railway undertaking’s trains to run on infrastructure manager’s network, taking into account the geographic particularities of individual lines and the functional or technical specifications set out in this section.

The fundamental operational principles and common operational rules applicable to the Union rail network are defined in Appendix B.

4.2.    Functional and technical specifications of the subsystem

The functional and technical specifications of the ‘operation and traffic management’ subsystem define the specifications to ensure safe operation, system reliability and availability and operating efficiency of the Union rail system, with focus in particular on specifications relating to:

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4.2.1.    Specifications relating to staff

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4.2.1.1.    General requirements

In its Safety Management Systems (SMS) established in accordance with Annexes I and II to Commission Delegated Regulation (EU) 2018/762 ( 6 ), each RU and IM shall identify its safety-critical tasks and safety-related functions, and the staff responsible for executing them. RUs and IMs shall define and describe in their SMS procedures and requirements to train, assess and monitor the competence of their staff executing safety-critical tasks, except the requirements laid down in the following provisions:

Any qualification acquired based on the procedures and rules defined in the SMS of the RU or IM shall be recorded in the concerned SMS.

The documents providing evidence of training, experience and professional competences shall be delivered to the concerned staff executing safety-critical tasks, upon request.

Such a qualification shall allow the member of staff executing safety-critical tasks to undertake similar tasks for another RU or IM, subject to the identification of additional training needs on geographical and technical specifications and the SMS of the RU or IM in accordance with point 4.6.3.2, and to the satisfactory completion of that training.

4.2.1.2.    Information exchange between IMs and RUs, including information for staff executing safety-critical tasks

IMs and RUs shall plan, prepare and operate trains and instruct staff in accordance with the information contained in Rule Book and Route Book.

Their staff executing safety-critical tasks shall be trained, and train drivers certified, based on the information provided in the Rule Book and the Route Book in accordance with their SMS.

IMs and RUs shall cooperate to exchange information and follow a process for establishing and regularly updating the Rule Book and Route Book as appropriate. Such information shall be applicable for normal, degraded and emergency operations.

The IM, in consultation with the RUs operating on its network, shall define the appropriate procedures for communication in real time and emergency situations in order to ensure that information relevant for operation is provided to the RU and/or the driver as soon as such information is available.

IMs and RUs shall ensure that all infrastructure information and rules relevant for planning, preparing and operating of trains are shared and communicated to staff executing safety-critical tasks in accordance with each staff member’s tasks in all the IMs and RUs respective operating language(s).

IM and RUs may group the Rule Book and Route Book information into support for individual staff and/or individual operations.

IMs and RUs shall supply to each member of their respective staff executing safety-critical tasks, including train drivers, with versions of the Rule Book and the Route Book tailored to the information necessary for their operations. This shall include the interface information where staff executes safety-critical tasks with a direct interface between IM and RU, in particular to ensure safety-related communication between staff authorising the movement of trains and staff onboard trains.

Future developments:

4.2.1.2.1.    Rule Book

The RU and the IM shall be responsible for the compilation of their respective Rule Book as integral part of their SMS to instruct staff executing safety-critical tasks, on operational rules applicable to their role.

The Rule Book is a description of the operational rules and procedures for a network or a part thereof and vehicles operated on that network or its part(s) in normal, degraded operation and emergency situations. It shall be consistent across all the lines over which the RU operates and it shall be consistent across all the lines managed by the IM.

The Rule Book shall cover:

It shall include procedures covering, as a minimum, the following aspects:

It shall have two appendices:

Predefined messages and forms shall at least exist in the ‘operating’ language(s) of infrastructure manager(s).

If the language chosen by the railway undertaking for the Rule Book is not the language in which the appropriate information was originally supplied, it is the responsibility of the railway undertaking to arrange for any necessary translation and/or provide explanatory notes in another language.

4.2.1.2.2.    Route Book

The IM shall establish the infrastructure information covering its network for its own use and for the use of the RUs operating on this network. The IM shall provide each RU with the information for the RUs’ Route Book as defined in Appendix D2, including permanent or temporary restrictions and modifications.

The infrastructure manager shall ensure that the infrastructure information is complete and accurate; the information shall be managed in accordance with Annex II, point 4.4.3 of Delegated Regulation (EU) 2018/762.

The railway undertaking is responsible for the complete and correct compilation of the Route Book, using the information supplied by the infrastructure manager(s), in accordance with Annex I, point 4.4.3 of Delegated Regulation (EU) 2018/762. The railway undertaking shall ensure the Route Book duly describes operational conditions related to line characteristics and vehicle characteristics.

The infrastructure manager shall inform the railway undertaking of any changes to the infrastructure information, whenever such information becomes available and affects train operations, including permanent or temporary restrictions and modifications.

The IM, in consultation with the RUs operating on its network, shall define the appropriate procedures when modification of the Route Book is not transmitted from the IM to RU in the appropriate agreed timing, as defined in the SMS of the IM and reflected in the SMS of the RU; in that case, the IM shall also directly inform the driver.

RU Route Book:

IM Route Book:

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4.2.1.2.3.    Train running information for drivers

When the railway undertaking provides the drivers with their working plan, it shall provide information necessary for the normal running of the train and as a minimum include:

Such train running information must be updated whenever appriopriate prior to departure and shall be based on and supplement the Rule Book and Route Book information. The information shall be provided digitally to the train drivers by 15 December 2026.

4.2.1.2.4.    Informing the driver in real time during train operation

The infrastructure manager shall inform and instruct drivers in real time about last minute changes to operations regarding the line or relevant lineside equipment, in accordance with the communication methodology established between IM and RU in line with Appendix C.

Real time information shall be limited to situation and changes that have not been managed under 4.2.1.2.2 and 4.2.1.2.3 in accordance with IMs and RUs SMS procedures and are directly affecting the driver’s route.

For emergency situations, appropriate alternative means of communication shall be established between the IM and RU in order to ensure that relevant information is made available.

Infrastructure managers and railway undertakings must have a process in place to be able to confirm the suitability of the vehicles and the drivers in respect of route knowledge for real time route deviation.

4.2.1.3.    Not used

4.2.1.4.    Not used

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4.2.1.5.    Safety-related communications between train crew, other railway undertaking staff and staff authorising train movements

The language used for safety-related communication between train crew, other railway undertaking staff (as defined in Appendix G) and the staff authorising train movements is the operating language(s) (as defined in Appendix J) used by the infrastructure manager on the route concerned.

The principles for safety-related communication between train crew and staff responsible for authorising the movement of trains are to be found in Appendix C.

In accordance with Directive 2012/34/EU, the infrastructure manager is responsible for publishing the ‘operating’ language(s) used by its personnel in daily operational use.

Where, however, local practice requires that a second language is also provided for, it is the responsibility of the infrastructure manager to determine the geographic boundaries for its use.

4.2.2.    Specifications relating to trains

4.2.2.1.    Train visibility

4.2.2.1.1.    General requirement

The railway undertaking shall ensure that trains are fitted with means of indicating the front and rear of the train.

4.2.2.1.2.    Front-end

The railway undertaking shall ensure that an approaching train is clearly visible and recognisable as such, by the presence and layout of its lit white front-end lights.

The forward facing front-end of the leading vehicle of a train shall be fitted with three lights in an isosceles triangle, as shown below. These lights shall always be lit when the train is being driven from that end.

The front-end lights shall optimise train detectability (marker lights), provide sufficient visibility for the train driver (head lights) by night and during low light conditions and shall not dazzle the drivers of oncoming trains.

The spacing, the height above rails, the diameter, the intensity of the lights, the dimensions and shape of the emitted beam in both day and night time operation are defined in the ‘rolling stock — locomotives and passenger rolling stock’ TSI (‘LOC&PAS TSI’).

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In order to access lines identified in RINF where permissive driving is used, by the dates mentioned below for the harmonisation of the rear-end signal as per Section 4.2.2.1.3.2, the luminous intensity of vehicle headlamps shall be in accordance with the level defined for the full-beam headlamps in point (5) of Section 4.2.7.1.1 of the Annex to Commission Regulation (EU) 1302/2014 ( 8 ) (‘TSI Loc&Pas’).

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4.2.2.1.3.    Rear end

The railway undertaking shall provide the required means of indicating the rear of a train. The rear end signal shall only be exhibited on the rear of the last vehicle of the train. It shall be displayed as shown below.

4.2.2.1.3.1.   Passenger trains

The rear end signal of a passenger train shall consist of 2 steady red lights at the same height above buffer on the transversal axis.

4.2.2.1.3.2.   Freight trains

The rear end signal of a freight train shall consist of 2 reflective plates at the same height above buffer on the transversal axis. Any train equipped with 2 steady red lights shall also be considered to comply with this obligation.

Reflective plates shall comply with Appendix E to Wagon TSI and have the following shape with white side triangles and red top and bottom triangle:

The plates shall be on the same height above buffer on the transversal axis

Specific cases:

Belgium, France, Italy, Portugal, Spain and UK may continue to apply notified national rules that require freight trains to be equipped with 2 steady red lights as a condition to run on sections of their network, where this is justified by operating practices already in place and/or national rules notified before end of January 2019.

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Cooperation with neighbouring countries:

In the meantime Member States concerned, in particular at the request of the railway undertakings, shall perform an assessment with a view to accept the use of 2 reflective plates in one or more sections of their network if the result of the assessment is positive and define appropriate conditions, which shall be based upon an assessment of the risks and operational requirements. This assessment shall be completed within a maximum period of 6 months after receiving the railway undertaking's request. The acceptance of reflective plates shall be granted, unless the Member State can duly justify the refusal based on the negative result of the assessment.

Member States shall in particular endeavour to permit the use of reflective plates on rail freight corridors, with a view to prioritise the current bottlenecks. These sections and details of any conditions pertaining to them shall be recorded in the RINF. Until the information is encoded in RINF, the infrastructure manager shall ensure the information is communicated to railway undertakings by other appropriate means. The infrastructure manager shall identify the sections of lines on which 2 steady red lights are required in the RINF.

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Phasing out:

The following deadlines shall apply for accepting freight trains equipped with two reflective plates:

Member States concerned by the exceptions under (1) (a) and (b) shall provide, by 1 March 2022 at the latest, the Commission with a detailed action plan and precise targets ensuring the elimination of the requirement for red lights as rear end signals. Every 6 months thereafter, those Member States shall provide the Commission with a report on progress made on the use of reflective plates on their network with the aim of Union-level harmonisation of rear end signals by 1 January 2026. Stakeholders shall provide all necessary input to allow Member States to fulfil their reporting duty.

The Commission shall report to the committee referred to in Article 51 of Directive (EU) 2016/797 on the implementation progress of section 4.2.2.1.

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4.2.2.2.    Train audibility

4.2.2.2.1.    General requirement

The railway undertaking shall ensure that trains are fitted with an audible warning device to indicate the approach of a train.

4.2.2.2.2.    Control

The activation of the audible warning device shall be possible from all driving positions.

4.2.2.3.    Vehicle identification

Each vehicle shall have a number to uniquely identify it from any other rail vehicle. This number shall be prominently displayed at least on each longitudinal side of the vehicle.

It shall also be possible to identify operational restrictions applicable to the vehicle.

Further requirements are specified in Appendix H.

4.2.2.4.    Safety of passengers and load

4.2.2.4.1.    Safety of load

The railway undertaking shall make sure that freight vehicles are safely and securely loaded and remain so throughout the journey.

4.2.2.4.2.    Safety of passengers

The railway undertaking shall ensure that passenger transport is undertaken safely at the departure and during the journey.

4.2.2.5.    Route compatibility and train composition

4.2.2.5.1.    Route compatibility

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4.2.2.5.2.    Train composition

Train composition requirements shall take into account the following elements according to the allocated path:

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The railway undertaking is responsible for ensuring that all vehicles composing the train including their load are technically fit for the journey to be undertaken and remain so throughout the journey.

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The railway undertaking may need to consider additional constraints due to the type of braking regime or traction type on a particular train (see point 4.2.2.6).

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4.2.2.6.    Train braking

The railway undertaking shall set up and implement braking requirements in accordance with points 4.2.2.6.1 and 4.2.2.6.2 and shall manage them within its safety management system.

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4.2.2.6.1.    Minimum requirements of the braking system

All vehicles in a train shall be connected to the continuous automatic braking system as defined in the LOC&PAS and WAG TSIs.

The first and last vehicles (including any traction units) in any train shall have the automatic brake operative.

In the case of a train becoming accidentally divided into two parts, both sets of detached vehicles shall come automatically to a stand as a result of a maximum application of the brake.

4.2.2.6.2.    Braking performance and maximum speed allowed

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4.2.2.7.    Ensuring that the train is in running order

4.2.2.7.1.    General requirement

The railway undertaking shall define the process to ensure that all safety-related on-train equipment is in a fully functional state and that the train is safe to run.

The railway undertaking shall inform the infrastructure manager of any modification to the characteristics of the train affecting its performance or any modification that might affect the ability to accommodate the train in its allocated path.

The infrastructure manager and the railway undertaking shall define and keep up to date conditions and procedures for train running temporarily in degraded mode.

4.2.2.7.2.    Pre-departure data

The railway undertaking shall ensure that the following data required for safe and efficient operation is made available to the infrastructure manager(s) prior to the departure of the train:

The railway undertaking shall advise the infrastructure manager(s) if a train does not occupy its allocated path or is cancelled.

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4.2.2.8.    Requirements for signal and lineside marker sighting

Without prejudice of ERTMS operations defined in Appendix A, the driver shall be able to observe signals and lineside markers. Signals and lineside markers as well as all other types of lineside signs that are safety related shall be observable by the driver whenever applicable.

Therefore, signals, lineside markers, signs and information boards shall be designed and positioned in such a consistent way to facilitate this. Issues that shall be taken into account include (see point 4.3.2 of this regulation for reference to CCS TSI):

Driving cabs shall be designed in such a consistent way that the driver is able to easily see the information displayed to him (see point 4.3.3.1 of this Regulation for reference to Loc&Pas TSI).

4.2.2.9.    Driver Vigilance

The driver’s activity on board shall be monitored to automatically stop the train when a lack of driver’s activity is detected. The requirements related to the means to monitor the driver’s on-board activity are specified in the clause set out in point 4.2.9.3.1 of Loc&Pas TSI.

4.2.3.    Specifications relating to train operations, including ERTMS based operation

Fundamental operational principles and common operational rules set out in Appendix B shall apply in addition to this chapter for train operation in the Union rail system.

The ERTMS operational principles and rules specified in Appendix A of this TSI shall apply where ERTMS is deployed.

4.2.3.1.    Train planning and timetable

In accordance with Directive 2012/34/EU, the infrastructure manager shall advise what data is required when a train path is requested.

Every train has to follow a timetable, agreed between IM and RU under path allocation process; the IM shall ensure the punctual running of trains and shall assist in service performance when scheduling the timetable.

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4.2.3.2.    Identification of trains

Each train shall be identified by a train running number. The train running number is given by the infrastructure manager when allocating a train path and shall be known by the railway undertaking and all infrastructure managers operating the train. The train running number shall be unique per network. Changes of train running number during a train journey should be avoided.

4.2.3.2.1.    Format of train running number

The train running number format is defined in the control-command and signalling TSI (hereinafter referred to as ‘CCS TSI’, Commission Regulation (EU) 2016/919 ( 11 ))

4.2.3.3.    Train departure

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4.2.3.3.1.    Checks and tests before departure

The railway undertaking shall determine the checks and tests to ensure that any departure of train is undertaken safely.

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4.2.3.3.2.    Informing the infrastructure manager of the train's operational status

The railway undertaking shall inform the infrastructure manager when a train is ready for access to the network.

The railway undertaking shall inform the infrastructure manager of any anomaly affecting the train or its operation having possible repercussions on the train's running prior to departure and during the journey.

4.2.3.4.    Traffic management

4.2.3.4.1.    General requirements

Traffic management shall ensure the safe, efficient and punctual operation of the railway, including effective recovery from service disruption.

The infrastructure manager shall determine procedures and means for:

Any additional processes required by the railway undertaking and which affect the interface with the infrastructure manager(s) may be introduced after being agreed with the infrastructure manager.

4.2.3.4.2.    Train reporting

4.2.3.4.2.1.   Data required for train position reporting and predicted hand over time

The infrastructure manager shall:

4.2.3.4.3.    Dangerous goods

The railway undertaking shall define the procedures to perform the transport of dangerous goods.

These procedures shall include:

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4.2.3.4.4.    Operational quality

The infrastructure manager and the railway undertaking shall have processes in place to monitor the efficient operation of all the services concerned.

Monitoring processes shall be designed to analyse data and detect underlying trends, both in terms of human error and system error. The results of this analysis shall be used to generate improvement actions, designed to eliminate or mitigate against events which could compromise the efficient operation of the network.

Where such improvement actions would have network-wide benefits, involving other infrastructure managers and railway undertakings, they shall, subject to commercial confidentiality, be communicated accordingly.

Events that have significantly disrupted operations shall be analysed as soon as possible by the infrastructure manager. Where appropriate, and in particular where one of their staff is concerned, the infrastructure manager shall invite those railway undertaking(s) involved in the event concerned to participate in the analysis. Where the result of such analysis leads to network improvement recommendations designed to eliminate or mitigate against causes of accidents/incidents, these shall be communicated to all relevant infrastructure managers and railway undertakings concerned.

These processes shall be documented and subject to internal audit.

4.2.3.5.    Data recording

Data pertaining to the running of a train shall be recorded and retained for the purposes of:

It shall be possible to match recorded data to:

Data to be recorded for ETCS/GSM-R are those defined in the TSI CCS and that are relevant considering the requirements in this point 4.2.3.5.

The data shall be securely sealed and stored and accessible to authorised bodies including Investigating Bodies in carrying out their role pursuant to Article 22 of Directive (EU) 2016/798.

4.2.3.5.1.    Recording of ►M3  monitoring ◄ data outside the train

As a minimum, the infrastructure manager shall record the following data:

4.2.3.5.2.    Recording of ►M3  monitoring ◄ data on-board the train

As a minimum, the railway undertaking shall record the following data:

Further technical specifications concerning the recording device are set out in the LOC&PAS TSI.

4.2.3.6.    Degraded operation

4.2.3.6.1.    Advice to other users

The infrastructure manager in conjunction with the railway undertaking(s) shall define a process to immediately inform each other of any situation that impedes the safety, performance and/or the availability of the rail network or rolling stock.

4.2.3.6.2.    Advice to train drivers

In any case of degraded operation associated with the infrastructure manager's area of responsibility, the infrastructure manager shall give formal instructions to drivers on what measures to take in order to safely overcome the degradation.

4.2.3.6.3.    Contingency arrangements

The infrastructure manager in conjunction with all the railway undertakings operating over its infrastructure, and neighbouring infrastructure managers as appropriate, shall define, publish and make available appropriate contingency measures and assign responsibilities based on the requirement to reduce any negative impact as a result of degraded operation.

The planning requirements and the response to such events shall be proportional to the nature and potential severity of the degradation.

These measures, which shall as a minimum include plans for recovering the network to ‘normal’ status, may also address:

The infrastructure manager shall establish and keep updated contact information for key infrastructure manager and railway undertaking staff who may be contacted in the event of service disruption leading to degraded operation. This information shall include contact details both during and outside office hours.

The railway undertaking shall submit this information to the infrastructure manager and advise the infrastructure manager of any changes to these contact details.

The infrastructure manager shall advise all the railway undertaking(s) of any changes to its details.

4.2.3.7.    Managing an emergency situation

The infrastructure manager shall, in consultation with:

define, publish and make available appropriate measures to manage emergency situations and restore the line to normal operation.

Such measures shall typically cover:

The railway undertaking shall provide the infrastructure manager with any specific information in respect to these circumstances, especially in respect to the recovery or re-railing of their trains.

Additionally, the railway undertaking shall have processes to inform passengers about on-board emergency and safety procedures.

4.2.3.8.    Aid to train crew in the event of an incident or of a major rolling stock malfunction

The railway undertaking shall define appropriate procedures to assist the train crew in degraded situations in order to avoid or decrease delays caused by technical or other failures of the rolling stock (for example, lines of communication, measures to be taken in case of evacuation of a train).

4.3.    Functional and technical specifications of the interfaces

In the light of the essential requirements set out in Chapter 3 of this Regulation, the functional and technical specifications of the interfaces are as follows:

4.3.1.    Interfaces with the infrastructure TSI (INF TSI)

4.3.2.    Interfaces with the control-command and signalling TSI (CCS TSI)

4.3.3.    Interfaces with the rolling stock TSIs

4.3.3.1.    Interfaces with the locomotives and passenger rolling stock TSI (LOC&PAS TSI)

4.3.3.2.    Interfaces with the freight wagons TSI (WAG TSI)

4.3.4.    Interfaces with the Energy TSI (ENE TSI)

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4.3.5.    Interfaces with the Safety in Railway Tunnels TSI (SRT TSI)

4.3.6.    Interfaces with the Noise TSI (NOI TSI)

4.3.7.    Interfaces with the Regulation (EU) No 1300/2014 ( 16 ), Person with Reduced Mobility TSI (PRM TSI)

4.4.    Operating rules

4.4.1.    European Union railway system operational principles and rules

Operational principles and rules to be applied throughout the European Union railway system are specified in Appendices A (ERTMS operational principles and rules) and B (common operational principles and rules).

4.4.2.    National rules

National rules are not compatible with this TSI, except for Appendix I which lists the areas where no common operational principles and rules exist and which may continue to be subject to national rules. In accordance with Decision (EU) 2017/1474 the Agency in cooperation with the Member State(s) concerned shall cooperate to assess the list of open points with a view to:

4.4.3.    Acceptable Means of Compliance

The Agency may by means of technical opinion define acceptable means of compliance, which shall be presumed to ensure compliance with specific requirements of this Regulation, and ensure safety in accordance with Directive (EU) 2016/798.

The Commission, the Member States or the affected stakeholders may request the Agency to define acceptable means of compliance in accordance with Article 10 of Regulation (EU) 2016/796 of the European Parliament and of the Council of 11 May 2016  ( 17 ). The Agency shall consult Member States and affected stakeholders and present the technical opinion to the committee referred to in Article 51 of Directive (EU) 2016/797 before its adoption.

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▼B

4.4.4.    Transition from application of national rules to implementation of this Regulation

During the transition from the application of national rules to the implementation of this Regulation, railway undertakings and infrastructure managers shall review their safety management systems to ensure the continuation of safe operations. If necessary, they shall update their safety management systems.

In situation of deficiency, the procedure of Article 6 of Directive (EU) 2016/797 shall apply.

4.5.    Maintenance rules

Not applicable

4.6.    Professional competences

4.6.1.    Professional competence

Staff of the railway undertaking and the infrastructure manager shall have attained appropriate professional competence to undertake all necessary safety-critical tasks in normal, degraded and emergency situations. Such competence comprises professional knowledge and the ability to put this knowledge into practice.

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Railway undertakings and Infrastructure managers shall define their own risk-based competence management system within their Safety Management Systems processes, in accordance with Annex I and Annex II to Delegated Regulation (EU) 2018/762.

Appendices F and G defines professional qualification relevant to the competence management system.

▼B

4.6.2.    Language competence

4.6.2.1.    Principles

The infrastructure manager and the railway undertaking are required to ensure that their relevant staff are competent in the use of the communication protocols and principles set out in Appendix C.

Where the operating language used by the infrastructure manager differs from that habitually used by the railway undertaking's staff, such linguistic and communications training shall form a critical part of the railway undertaking's overall competence management system.

Railway undertaking staff whose duties require them to communicate with staff of the infrastructure manager in connection with safety-critical matters, whether in normal, degraded or emergency situations, shall have a sufficient level of knowledge in the operating language of the infrastructure manager.

4.6.2.2.    Level of knowledge

The level of knowledge in the infrastructure manager's operating language shall be sufficient for safety purposes.

The level of knowledge for staff accompanying trains other than train drivers shall be at least level 2 as described in Appendix E.

4.6.3.    Initial and ongoing assessment of staff

4.6.3.1.    Basic elements

Railway undertakings and infrastructure managers are required to define the assessment process for their staff in order to meet the requirements specified in Commission Delegated Regulation (EU) 2018/762 ( 18 ) ►M3  or Commission Regulations (EU) No 1158/2010 and (EU) No 1169/2010  ◄ .

4.6.3.2.    Analysis and update of training needs

Railway undertakings and infrastructure managers shall undertake an analysis of training needs for their relevant staff and define a process for reviewing and updating their individual training needs in order to meet the requirements specified in Delegated Regulation (EU) 2018/762 ►M3  or Regulations (EU) No 1158/2010 and (EU) No 1169/2010 ◄ .

This analysis shall set out both scope and complexity and take into account the risks associated with the operation of trains, traction and rolling stock. The railway undertaking shall define the process by which knowledge of on board staff of the routes worked over is acquired and maintained. This process shall be:

For the tasks associated with ‘accompanying trains’ and ‘preparing trains’, the elements that shall be considered may be found in respectively the appendices F and G. As appropriate, these elements shall be put in place as part of the training for staff.

It is possible that due to the type of operation envisaged by a railway undertaking or the nature of the network being run by an infrastructure manager, some of the elements in the appendices F and G shall not be appropriate. The analysis of training needs shall document those not deemed appropriate and the reasons why.

4.6.4.    Auxiliary staff

The railway undertaking shall make sure that the auxiliary staff (for example, catering and cleaning) not forming part of the train crew is, in addition to their basic instruction, trained to respond to the instructions of the fully trained members of the train crew.

4.7.    Health and safety conditions

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4.7.1.    Introduction

Staff identified in point 4.2.1.1 and executing safety-critical tasks as specified in the SMS of a RU or IM shall have appropriate fitness to ensure that overall operational and safety standards are met.

Railway undertakings and infrastructure managers shall set up and document the process they put in place to meet the medical, psychological and health requirements for their staff within their safety management system in accordance with Delegated Regulation (EU) 2018/762 defining common safety method on SMS.

Medical examinations as specified in point 4.7.2 and 4.7.3 on the individual fitness of staff shall be conducted by a person established as medical doctor or a psychologist qualified to carry out such examinations. The results must be accepted by every IM and RU as proof of fitness of staff or potential staff members.

Such examinations shall allow the member of staff executing safety-critical tasks to undertake similar tasks for another RU or IM, subject to the identification of additional medical, psychological and health requirements in the SMS of the RU or IM and to the satisfactory fitness of staff or potential staff members.

Fitness requirements set in point 4.7.2 and in point 4.7.3 are applicable to:

4.7.1.1.    Alcohol, drugs and psychotropic medication limits

Staff shall not perform safety-critical tasks whilst vigilance is impaired by substances such as alcohol, drugs or psychotropic medication. Therefore, the railway undertaking and the infrastructure manager shall have in place procedures to control the risk that staff attend for work under the influence of such substances, or consume such substances at work.

European or National rules of the Member State where a train service is operated apply with regard to defined limits of the above mentioned substances.

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4.7.2.    Medical examinations and psychological assessments

4.7.2.1.    Before appointment

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4.7.2.1.1.    Content of the medical examination

▼B

Medical examinations shall cover:

4.7.2.1.2.    Psychological assessment

The aim of the psychological assessment is to support the railway undertaking in the appointment and management of staff who have the cognitive, psychomotor, behavioural and personality capabilities to perform their roles safely.

In determining the content of the psychological assessment ►M3  , as a minimum, ◄ the following criteria relevant to the requirements of each safety function shall be taken into account:

If any of those elements is omitted, the respective decision shall be justified and documented by a psychologist.

Applicants shall demonstrate their psychological fitness by passing an examination conducted by, or under the supervision of — to be decided by the Member State — a psychologist or a medical doctor.

4.7.2.2.    After appointment

4.7.2.2.1.    Frequency of periodic medical examinations

At least one systematic medical examination shall be performed:

Increased frequency of examination shall be set by the medical doctor if the state of health of the member of the staff requires so.

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4.7.2.2.2.    Content of the periodic medical examination

▼B

If the worker complies with the criteria required at the examination, which is carried out before practising an occupation, the periodic specialised examinations shall include ►M3  as a minimum ◄ :

4.7.2.2.3.    Additional medical examinations and/or psychological assessments

Besides the periodic medical examination, an additional specific medical examination and/or psychological assessment shall be performed where there is reasonable ground for doubting the medical or psychological fitness of a member of staff or reasonable suspicion of use of drugs or use of alcohol over the limits allowed. This would be the case especially after an incident or accident caused by human error on the part of the individual.

The railway undertaking and the infrastructure manager shall put systems in place to ensure that such additional examinations and assessments are undertaken as appropriate.

4.7.3.    Medical requirements

4.7.3.1.    General requirements

Staff shall not suffer from medical conditions or take medical treatment likely to cause:

The following vision and hearing requirements shall be met:

4.7.3.2.    Vision requirements

4.7.3.3.    Hearing requirements

Sufficient hearing confirmed with tone audiogram, that is:

4.8.    Additional information on infrastructure and vehicles

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4.8.1.    Infrastructure

The requirements for the rail infrastructure related data items with regard to the operation and traffic management subsystem, and which shall be made available to railway undertakings through RINF, are specified in Appendix D.

The infrastructure manager shall inform the railway undertaking of the changes on the infrastructure related data through RINF whenever such information becomes available and affects trains operation. The infrastructure manager is responsible for the accuracy of the data.

Until 15 December 2026, provided the necessary adaptations to RINF Application were implemented by the Agency, the infrastructure manager shall provide these information through other means free of charge as soon as possible and in electronic format to railway undertakings, authorised applicants for path requests and, where applicable, for the applicant referred to in Article 2(22) of Directive (EU) 2016/797.

▼B

4.8.2.    Rolling stock

The following rolling stock related data items shall be available to infrastructure managers:

5.   INTEROPERABILITY CONSTITUENTS

5.1.    Definition

Article 2.7 of Directive (EU) 2016/797 defines the ‘interoperability constituents’.

5.2.    List of constituents

In respect to the operation and traffic management subsystem, there is no interoperability constituent.

6.   ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITUENTS AND VERIFICATION OF THE SUBSYSTEM

6.1.    Interoperability constituents

As this Regulation does not yet specify any interoperability constituents, no assessment arrangements are discussed.

6.2.    Operation and traffic management subsystem

6.2.1.    Principles

The operation and traffic management subsystem is a functional subsystem according to Annex II to Directive (EU) 2016/797.

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In accordance with Articles 9 and 10 of Directive (EU) 2016/798, railway undertakings and infrastructure managers shall demonstrate compliance with the requirements of this Regulation within their safety management system when applying for any new or amended safety certificate or safety authorisation in accordance with Commission Implementing Regulation (EU) 2018/763 ( 19 ).

The common safety methods on safety management system requirements as laid down by Commission Delegated Regulation (EU) 2018/762 require national safety authorities to set up an inspection regime to supervise and monitor compliance with the safety management system in accordance with Commission Delegated Regulation (EU) 2018/761 ( 20 ), including all TSIs. None of the requirements contained within this Regulation require separate assessment by a Notified Body.

▼B

Requirements in this Regulation that refer to structural subsystems and listed in the interfaces (point 4.3) are assessed under the relevant structural TSIs.

7.   IMPLEMENTATION

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7.1.    General rules for implementation

In accordance with Article 9 of Directive (EU) 2016/798 and Article 5b of this Regulation, railway undertakings and infrastructure managers shall ensure compliance with this Regulation under their SMS, established following Delegated Regulation (EU) 2018/762.

7.1.1.    Specific transition rules for Appendices A and C

Infrastructure managers may postpone, in coordination with the railway undertakings operating on their networks and in accordance with Annex II point 5.1.1 of Commission Delegated Regulation (EU) 2018/762, the implementation of Appendix A and Appendix C to 16 December 2025 at the latest. This is subject to the condition that the Agency and the concerned NSA receive not later than 16 June 2024:

RUs shall provide training to drivers and relevant staff to operate trains in accordance with Appendix A and C by 16 December 2025 at the latest or any earlier date defined by the IM.

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7.2.    Specific cases

7.2.1.    Introduction

The following special provisions are permitted in the specific cases below.

These specific cases belong to two categories:

7.2.2.    List of specific cases

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7.2.2.1.    Permanent specific case (P) Estonia, Latvia, Lithuania, Poland, Hungary and Slovakia

For the implementation of point 4.2.2.1.3.2, freight trains which are operated solely on the 1 520 mm gauge network of Estonia, Latvia, Lithuania, Poland, Hungary and Slovakia may use the following train rear end signal.

The reflective disc shall have a diameter of 185 mm with a red circle diameter of 140 mm. Where justified by operating practices, the reflective disc may be replaced with one reflective plate in compliance with Appendix E to TSI WAG.

For the implementation of point 4.2.2.1.3.1, passenger trains which are operated solely on the 1 520 mm gauge network of Estonia, Latvia, Lithuania, Poland, Hungary and Slovakia may use 3 steady red lights as train rear end signal following the scheme:

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

▼B

7.2.2.2.    Permanent specific case Ireland and the UK for Northern Ireland

For the implementation of point 4.2.2.1.3.2, trains which are operated solely on the 1 600  mm track gauge system network of Ireland and Northern Ireland shall use 2 steady red lights as train rear end signal.

7.2.2.3.    Temporary specific case (T1) Ireland and United Kingdom

For the implementation of point 4.2.3.2.1, Ireland and United Kingdom are using alphanumeric number in the existing systems. The MS set out the requirements and time schedule for the transition from alphanumeric train running numbers to numeric train running numbers in the target system.

7.2.2.4.    Permanent specific case (P) Finland

For the implementation of point 4.2.2.1.3.2 and the implementation of common operational rule 5 of Appendix B, Finland is not using any rear end signal device for freight trains. The means to indicate the train rear end signal for freight trains as stated in point 4.2.2.1.3.2 are also accepted in Finland.

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Appendix A

ERTMS operational principles and rules – version 6

1.   INTENTIONALLY BLANK

2.   INTENTIONALLY BLANK

3.   INTRODUCTION

3.1.    Purpose and structure of the document

This Appendix sets out the principles and harmonised rules for the operation of ERTMS.

The structure of each rule is the following:

When this Appendix refers to ETCS level 1 it applies to both applications, with or without trackside signals, unless otherwise stated.

When this Appendix refers to ETCS level 2 it applies to both applications, with or without trackside signals, unless otherwise stated.

The European Instructions referenced in this Appendix are listed under Appendix C2 to this TSI.

All language referring to people applies equally to male and female persons.

Part A is intentionally blank.

Part B contains the different ETCS operational train categories.

Part C contains the list of references to non-harmonised rules. In some situations a procedure is not related to ERTMS and therefore depends on non-harmonised rules.

The description of the technical functions for ETCS and GSM-R is contained in the corresponding system requirements specification.

If information displayed on the DMI does not require an action from the driver this information is not contained in the rules.

SCOPE AND FIELD OF APPLICATION

This Appendix is fully applicable to trains fitted with ETCS On-board units complying with the single set of specifications of Implementing Regulation (EU) 2023/1695 with an operated system version X.Y up to and including 2.2. It is also applicable to On-board units complying with Set of specifications #2 or Set of specifications #3 and largely applicable to ETCS On-board units complying with Set of specifications #1 of Regulation (EU) 2016/919, provided that the DMI used fulfills the specification ERA_ERTMS_015560.

The scope is the following:

Class B systems (even when operated through the ETCS DMI) are out of the scope.

The rules have been developed independently of other control command systems that may be present including where lines are equipped with ETCS level 1 / 2.

When ETCS level 1 or ETCS level 2 are implemented on lines fitted with other control command systems it is necessary to assess the applicability of these rules and if necessary supplement them with non-harmonised rules. This includes those lines fitted with both ETCS level 1 and ETCS level 2.

GSM-R voice radio operational rules are applicable on lines equipped with GSM-R independently of the control command system in use. Conversely, ETCS operational rules are applicable on lines equipped with ETCS independently of the voice radio system in use.

The applicability of the rules further depends on the engineering solutions adopted by the ERTMS trackside subsystem. In this context, some rules may not need to apply if the relevant functions are not implemented trackside (e.g. when track conditions are not transmitted or the level crossing procedure is not implemented); yet when a rule needs to apply, it will always do so in the way described in this Appendix.

All actions involving the driver assume his physical presence in the driver’s cab, unless when required to examine a technical failure of the train at standstill, obtain signaller’s instructions through a fixed lineside phone or when requested by the signaller or non-harmonised rules.

Throughout this Appendix, the ETCS On-board unit is assumed to be powered on if not otherwise stated. The desk of the active driving cab is assumed to be open unless otherwise stated.

An End of Authority (EOA) can be physically identified by means of an ETCS Stop Marker or an ETCS Location Marker. The EOA can also be identified by a lineside signal or other marker board with a stop indication. Under certain conditions, an EOA can also be at the train’s front end.

4.   REFERENCES, TERMS AND ABBREVIATIONS

4.1.    (not used)

4.2.    Terms & abbreviations

5.   PRINCIPLES

5.1.    Principles for ETCS

5.1.1.    CAB-signalling

The driver shall observe the displayed information on the DMI and shall react as required by this Appendix.

The driver may, depending on the trackside implementation, be required to take into account the harmonised marker boards defined in EN 16494:2015 – Railway applications – Requirements for ERTMS Trackside Boards as well as other non-harmonised trackside information.

5.1.2.    Knowledge of operating level

The driver and the signaller shall always operate according to the ETCS rules that are particular to the specific operating ETCS level.

When more than one ETCS level are coexisting, the signaller shall ascertain what ETCS level the concerned train is operating in before issuing any instruction to the driver.

5.1.3.    (not used)

5.1.4.    (not used)

5.1.5.    (not used)

5.1.6.    Authorisation to start a movement in SR

The driver shall be authorised by the signaller to start a movement in SR by means of European Instruction 7, except in case of starting a movement in ETCS level 1 / 2 with trackside signals.

5.1.7.    Speed restrictions in SR

The signaller shall give all speed restrictions lower than the maximum speed for SR to the driver of a train running in SR by means of a European Instruction 1, 2, 5, 6, 7 or 8 except if the driver is informed by a dedicated document/computer medium about these speed limitations.

5.1.8.    Authorisation to pass an EOA

The driver shall only be authorised to pass an EOA by the signaller by means of a European Instruction 1 or 7.

5.1.9.    Train/shunting composition being tripped

After a trip has occurred, the driver shall restart in the initial or opposite direction only if he/she has received authorisation by means of a European Instruction 2 from the signaller.

5.1.10.    ETCS stop marker

The driver shall stop on the approach to an ETCS Stop Marker:

5.1.11.    ETCS location marker

The driver shall stop on the approach to an ETCS Location Marker:

5.2.    (not used)

6.   ETCS OPERATIONAL RULES

6.1.    Putting the ETCS on-board into service

The driver switches the ETCS on-board on.

Levels 0, 1, 2, NTC

6.1.1.    Entering data during start of mission

When requested by the ETCS on-board, the driver shall enter, re-enter or re-validate the driver identification, the train running number, the ETCS level, the radio network identification and the RBC identification and phone number.

In case the following text message is displayed:

‘Radio network registration failed’

the driver shall enter the radio network identification.

6.1.2.    Manual change of data

If a change is required, the driver shall enter/modify and validate:

6.2.    Preparing a movement

The ETCS on-board is in service.

Levels 0, 1, 2, NTC

In ETCS level 2, in case the train is rejected the driver shall apply rule ‘Reacting to unexpected situations when preparing a train movement’ (section 6.40.2).

6.2.1.    The traction unit has to move as a train

The driver shall:

In case an acknowledgement for SR is requested, the driver shall apply rule ‘The traction unit has to move as a train and an acknowledgement for SR is requested’ (section 6.2.4).

In case an acknowledgement for SH is requested in ETCS level 2, the driver shall apply rule ‘Reacting to unexpected situations when preparing a train movement’ (section 6.40.1).

6.2.2.    The traction unit has to move in SH

The driver shall prepare for shunting and apply rule ‘Performing shunting movements in SH’ (section 6.3).

6.2.3.    The traction unit has to move in NL

The driver of the non-leading traction unit shall prepare for tandem movement and apply rule ‘Performing a tandem movement’ (section 6.32).

6.2.4.    The traction unit has to move as a train and an acknowledgement for SR is requested

Levels 1 without trackside signals, 2 without trackside signals

When the following symbol is displayed with a flashing frame:

The driver shall inform the signaller, receive authorisation to start in SR by means of European Instruction 7 and acknowledge.

Before authorising a driver to start in SR, the signaller shall, according to non-harmonised rules:

If the train is located at an ETCS Stop Marker

The signaller shall authorise the driver to pass this ETCS Stop Marker by means of European Instruction 7. This authorisation is valid from this ETCS Stop Marker to the next one. If the conditions allow, the Signaller can authorise the driver to pass this second ETCS Stop Marker as well using the same European Instruction 7. The authorisation is then valid up to the ETCS Stop Marker following the second one in the direction of travel.

The driver shall:

If the train is not located at an ETCS Stop Marker

The signaller shall authorise the driver to start by means of European Instruction 7. This authorisation is valid from the current location of the train to the first ETCS Stop Marker in the direction of travel. If the conditions allow, the signaller can authorise the driver to pass this as well as the next ETCS Stop Marker by means of the same European Instruction 7. This authorisation is then valid up to the ETCS Stop Marker following the last one authorised by the European Instruction 7 to be passed.

The driver shall:

It is possible to provide more than one European Instructions for an equal number of consecutive ETCS Stop Markers to be passed.

If the signaller can establish that the track up to the end of the authorisation to be issued is free then he/she may exempt the driver from running on sight in SR.

Levels 1 with trackside signals, 2 with trackside signals

When the following symbol is displayed with a flashing frame:

The driver shall apply rule ‘Running in SR’ (section 6.14).

6.2.5.    The traction unit has to move in SL

The driver / train preparer shall make sure that all driving desks of any non-leading traction unit, which is electrically connected to and will be remotely controlled from the leading one, are closed and remain so as long as this traction unit is remotely controlled from the leading one.

6.3.    Performing shunting movements in SH

Rolling stock has to be moved in SH.

Levels 1, 2

6.3.1.    Manual entry into SH

The driver shall select ‘Shunting’ according to non-harmonised rules.

6.3.2.    Automatic entry into SH

When the following symbol is displayed with a flashing frame:

the driver shall:

6.3.3.    Running in SH

When the following symbol is displayed:

the driver shall apply non-harmonised rules.

6.3.4.    Maintain SH when changing the cab

When the shunting procedure requires the use of different cabs the driver is allowed to select ‘Maintain Shunting’ before closing the driving desk.

6.3.5.    Exit from SH

When all shunting movements to be performed in SH are finished the driver shall:

6.3.6.    SH not granted

Level 2

When one of the following text messages is displayed:

‘SH refused’

‘SH request failed’

the driver shall inform the signaller about the situation.

The driver and signaller shall apply non-harmonised rules.

6.3.7.    Passing a defined border of a shunting area

When a shunting composition needs to pass a defined border of a shunting area the driver and signaller shall apply non-harmonised rules.

6.4.    Entering train data

Train Data have to be entered or modified.

Levels 0, 1, 2, NTC

6.4.1.    Entering train data during train preparation

The driver / train preparer shall enter/modify and validate all of the following train data if this data is not pre-configured on-board or received from ETCS external sources:

Before confirming train data that are pre-configured on-board or received from ETCS external sources and that are modifiable by the driver, the train preparer shall make sure the train data and the train composition match.

6.4.2.    Manual change of train data

After each modification of the composition of the train and after a technical problem that leads to a change of the train data, the train preparer / driver shall:

6.4.3.    Change of train data by ETCS external sources

When the following text message is displayed on the DMI:

‘Train data changed’

a)    if the change of train data leads to an application of the brake

When at a standstill, the driver shall:

In ETCS level 1, and in ETCS level 2 if no new MA is received, the signaller shall authorise the driver to pass the EOA (rule ‘Authorising the passing of an EOA’ – section 6.39).

b)    in all other cases

The driver shall take into account the modified train data.

6.5.    (not used)

6.6.    (not used)

6.7.    Entering and operating in ETCS level 0

6.7.1.    Announcement

The train is approaching an ETCS level 0 area.

Levels 1, 2, NTC

When a transition to ETCS level 0 is announced by displaying the following symbol:

the driver shall apply non-harmonised rules.

6.7.2.    Acknowledgement

When the following symbol is displayed with a flashing frame:

the driver shall acknowledge.

6.7.3.   Running

The train is running in an ETCS level 0 area.

When the following symbol is displayed:

the driver shall apply non-harmonised rules.

6.8.    Entering and operating in ETCS level 1

6.8.1.    Announcement

The train is approaching an ETCS level 1 area.

Levels 0, 2, NTC

When a transition to ETCS level 1 is announced by displaying the following symbol:

the driver shall prepare to apply rules for ETCS level 1.

6.8.2.    (not used)

6.8.3.    Running

The train is running in an ETCS level 1 area.

When the following symbol is displayed:

the driver shall apply rules according to ETCS level 1.

6.9.   Entering and operating in ETCS level 2

6.9.1.   Announcement

The train is approaching an ETCS level 2 area.

Levels 0, 1, NTC

When a transition to ETCS level 2 is announced by displaying the following symbol:

the driver shall prepare to apply rules for ETCS level 2.

6.9.2.    (not used)

6.9.3.    Running

The train is running in an ETCS level 2 area.

When the following symbol is displayed:

the driver shall apply rules according to ETCS level 2.

When requested by the signaller to manually confirm train integrity on the DMI, the driver shall do so only at standstill and according to RU rules.

6.10.    (not used)

6.11.    Entering and operating in ETCS level NTC

6.11.1.    Announcement

The train is approaching an ETCS level NTC area.

Levels 0, 1, 2

When a transition to ETCS level NTC is announced by displaying a symbol indicating the name of the applicable NTC, as example:

the driver shall apply non-harmonised rules.

A specific symbol for each NTC exists.

6.11.2.    Acknowledgement

When the symbol indicating the applicable NTC is displayed with a flashing frame, as example:

the driver shall acknowledge.

A specific symbol for each NTC exists.

6.11.3.    Running

The train is running in an ETCS level NTC area.

When the symbol indicating the entered NTC is displayed, as example:

the driver shall apply non-harmonised rules.

A specific symbol for each NTC exists.

6.12.    Running in FS

Levels 1, 2

When the following symbol is displayed:

the driver

In ETCS level 1 with trackside signals the driver is authorised to proceed without a new MA when the trackside signal shows a proceed aspect.

If in addition the following text message is displayed:

‘Entering FS’

the driver shall not exceed speed restrictions that apply for the part of the train that is not covered by the FS MA.

6.13.    Running in OS

Levels 1, 2

When the following symbol is displayed with a flashing frame:

the driver shall:

When the following symbol is displayed:

the driver shall:

If in addition the following text message is displayed:

‘Entering OS’

the driver shall not exceed speed restrictions that apply for the part of the train that is not covered by the OS MA.

6.14.   Running in SR

Levels 1, 2

When the following symbol is displayed with a flashing frame:

the driver shall:

When the following symbol is displayed:

the driver shall:

It is possible to provide more than one European Instructions for an equal number of consecutive ETCS Stop Markers to be passed.

6.15.    Running in LS

Levels 1, 2

When the following symbol is displayed with a flashing frame:

the driver shall acknowledge according to non-harmonised rules.

When the following symbol is displayed:

the driver shall apply non-harmonised rules.

6.16.    Running in UN

Level 0

When the following symbol is displayed with a flashing frame:

the driver shall acknowledge according to non-harmonised rules.

When the following symbol is displayed:

the driver shall apply non-harmonised rules.

6.17.    Running in SN

Level NTC

When the following symbol is displayed with a flashing frame:

the driver shall acknowledge according to non-harmonised rules.

When the following symbol is displayed:

the driver shall apply non-harmonised rules.

6.18.    Approaching an EOA with a release speed indication

Levels 1, 2

When the train is approaching an EOA and a release speed is displayed on the DMI, the driver is authorised:

6.19.    Managing a track ahead free request

The train is at a standstill or approaching a trackside signal, or an ETCS Stop Marker / ETCS Location Marker.

Level 2

When the following symbol is displayed:

the driver is allowed to confirm that the track ahead is free if he/she can ascertain that the track section between the head of the train and the next trackside signal, ETCS Stop Marker or ETCS Location Marker is free.

6.20.    Passing a section with lowered pantograph(s)

The train is approaching a section of the line to be passed with lowered pantograph(s).

Levels 1, 2

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered

*

the driver shall lower the pantograph(s), taking into account their position.

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered

*

the driver shall keep the pantograph(s) lowered.

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered

*

the driver is authorised to raise the pantograph(s), taking into account their positions.

6.21.    Changing the electric power supply

The train is approaching a section of the line where the electric power supply must be changed.

Levels 1, 2

When one of the following symbols is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, one of the following marker boards is encountered:

the driver shall change the electric power supply accordingly.

When one of the following symbols is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, one of the following marker boards is encountered:

the driver shall ensure that the power supply has changed accordingly.

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered:

the driver is informed about approaching a line without any traction system.

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered:

the driver is informed about reaching a line without any traction system.

6.22.    Passing a section with main power switch switched off

The train is approaching a section of the line where the main power switch must be switched off.

Levels 1, 2

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered

*

the driver shall switch off the main power switch, taking into account the position of the pantographs, or, if allowed by the Infrastructure Manager, keep the main power switch on and refrain from applying traction.

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered

*

the driver shall keep the main power switch switched off or, if allowed by the Infrastructure Manager, continue to refrain from applying traction.

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered

*

the driver is authorised to switch on the main power switch, taking into account the position of the pantographs, and is allowed to apply traction again.

6.23.    Passing a non-stopping area

The train is approaching a non-stopping area.

Levels 1, 2

When the following symbol is displayed:

the driver is notified of an upcoming area in which he/she shall avoid stopping.

When the following symbol is displayed:

the driver shall avoid stopping.

6.24.    Passing a section with inhibition of magnetic shoe brake

The train is approaching a section of the line where the magnetic shoe brake shall not be used.

Levels 1, 2

When the following symbol is displayed:

the driver shall release the magnetic shoe brake, if applied, except in an emergency.

When the following symbol is displayed:

the driver shall not use the magnetic shoe brake except in an emergency.

6.25.    Passing a section with inhibition of eddy current brake

The train is approaching a section of the line where the eddy current brake shall not be used.

Levels 1, 2

When the following symbol is displayed:

the driver shall release the eddy current brake, if applied, except in an emergency.

When the following symbol is displayed:

the driver shall not use the eddy current brake except in an emergency.

6.26.    Passing a section with inhibition of regenerative brake

The train is approaching a section of the line where the regenerative brake shall not be used.

Levels 1, 2

When the following symbol is displayed:

the driver shall release the regenerative brake, if applied, except in an emergency.

When the following symbol is displayed:

the driver shall not use the regenerative brake except in an emergency.

6.27.    Passing a pressure seal section

The train is approaching a section of the line where the air condition intakes are to be closed.

Levels 1, 2

When the following symbol is displayed:

the driver shall close the air conditioning intakes.

When the following symbol is displayed:

the driver shall keep the air conditioning intakes closed.

When the following symbol is displayed:

the driver is authorised to open the air conditioning intakes.

6.28.    Sounding the audible warning device

Levels 1, 2

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered:

the driver shall apply the audible warning device unless prevented by non-harmonised rules.

6.29.    Changing of adhesion factor

The train is in a section of line where the adhesion factor could be changed.

Levels 1, 2

If the national value allows the driver to select ‘Slippery rail’, he/she may do so when the adhesion conditions are poor or when informed by the signaller. If the driver is not informed by the signaller before selecting ‘Slippery rail’, the driver shall inform the signaller.

When a signaller is informed about poor adhesion conditions, he/she shall activate the ETCS reduced adhesion function, where possible, and if this is not possible he/she shall take measures as prescribed by the IM, until normal operation is restored.

When the following symbol is displayed:

the driver shall apply internal RU rules.

6.30.    Passing a radio hole

The train is in a section of line without radio coverage.

Level 2

When the following symbol is displayed:

the driver may continue on any valid movement authority.

If the driver reaches the end of authority and the symbol is still displayed, the driver shall inform the signaller. The signaller and driver shall apply rule ‘Authorising the passing of an EOA’ (section 6.39).

6.31.    (not used)

6.32.    Performing a tandem movement

A non-leading traction unit is coupled to the leading traction unit (or to a train including the leading traction unit).

Levels 0, 1, 2, NTC

6.32.1.    Entry into NL

The driver of the non-leading traction unit shall select ‘Non-Leading’.

When the following symbol is displayed on the DMI:

the driver of the non-leading traction unit shall confirm to the driver of the leading traction unit that the non-leading traction unit is in NL.

6.32.2.    Performing the tandem movement

Both drivers shall apply internal RU rules.

6.32.3.    Exit from NL

When the train is at a standstill the driver of the non-leading traction unit shall:

6.33.    Revoking an authorisation for ERTMS train movement

The signaller decides to change existing traffic arrangements.

Levels 1, 2

6.33.1.    Measures before making traffic arrangements

6.33.2.    To restart the trains

To restart the trains the signaller shall:

6.34.    Taking measures in the event of an emergency

An emergency situation occurs.

Levels 1, 2

6.34.1.    To protect the trains

When a member of staff discovers an emergency situation, he/she shall apply rule 14 of Appendix B2.

To stop trains in ETCS level 2, the signaller may use the emergency stop order; the emergency stop order shall not be revoked before it is safe for these trains to restart.

The signaller may use European Instruction 3 to keep the stopped trains at standstill if required.

When the following text message is displayed:

‘Emergency stop’

and the train is tripped, the driver shall apply rule ‘Responding to a trip’ (section 6.41).

6.34.2.    To restart the trains

The signaller shall:

To restart trains that have not been tripped and if instructions and/or restrictions are necessary the signaller shall issue a European Instruction(s). In ETCS level 1 with trackside signals the driver shall run on sight up to the next trackside signal.

To restart trains that have been tripped, the signaller and driver shall apply rule ‘Responding to a trip – to restart’ (section 6.41.2).

6.34.3.    To protect and restart shunting movements

The signaller and driver shall apply non-harmonised rules.

6.35.    Stopping in a safe area

The driver needs to stop the train in a safe area.

Levels 1, 2

The driver shall toggle-on the display of the indication of the safe areas where the train can stop.

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered:

and the driver decides to stop at the indicated safe area he/she shall take into account the remaining distance displayed on the DMI or the distance up to the marker board marking the start of the safe area.

When the following symbol is displayed:

or, when running without an MA or if this functionality is not supported by the trackside, the following marker board is encountered:

and the driver decides to stop at the indicated safe area, he/she shall stop the train taking into account its length.

When the following marker board is encountered:

the driver is informed that he/she has reached the end of the safe area.

6.36.    Propelling in RV

A train has to be moved in the reverse direction inside an emergency propelling area.

Levels 1, 2

6.36.1.    Preparing the movement to be performed in RV

When the train is at a standstill and the following symbol is displayed:

the driver shall trigger the transition to RV while informing the signaller if possible and taking into account any further instructions.

6.36.2.    Running in RV

When the following symbol is displayed with a flashing frame:

the driver shall:

6.36.3.    Exceeding the permitted distance in RV

When the following text message is displayed with a flashing frame:

‘RV distance exceeded’,

the driver shall:

6.36.4.    Exit from RV

After the train has completed its propelling and as soon as it is at a standstill the driver shall report to the signaller. If no additional movement in RV is required the driver shall close the driving desk to exit RV.

6.37.    Reacting to unintentional movements

After being at a standstill the train/shunting composition has moved unintentionally and the ETCS on-board has triggered the brake.

Levels 1, 2

When the following text message is displayed:

‘Runaway movement’,

the driver shall secure the train/shunting composition according to internal RU rules and acknowledge the brake application.

6.38.    Managing route unsuitability detected by the on-board system

Levels 1, 2

When any of the following messages is displayed:

‘Route unsuitable – loading gauge’

‘Route unsuitable – traction system’

‘Route unsuitable – axle load category’

a route unsuitability is detected.

The driver shall stop the train using service brake.

The driver shall inform the signaller and follow any instructions given.

6.39.    Authorising the passing of an EOA

It is necessary to authorise a driver to pass an EOA.

Levels 1, 2

Before authorising a driver to pass an EOA by means of European Instruction 1 the signaller shall, according to non-harmonised rules:

If the signaller can establish that the track up to the end of the authorisation to be issued is free then he/she may exempt the driver from running on sight in SR.

It is possible to provide more than one European Instructions for an equal number of consecutive ETCS Stop Markers to be passed.

To pass the EOA, the driver shall:

start the train or continue moving,

not exceed the override EOA speed while this symbol is displayed.

6.40.    Reacting to unexpected situations when preparing a train movement

Level 2

6.40.1.    The traction unit has to move as a train but an acknowledgement for SH is requested

When the following symbol is displayed with a flashing frame:

the driver shall inform the signaller about the situation, then acknowledge and proceed according to the instructions received from the signaller.

6.40.2.    The train is rejected

When the following text message is displayed on the DMI:

‘Train is rejected’

the driver shall inform the signaller about the situation. The driver and signaller shall apply non-harmonised rules.

6.41.    Responding to a trip

A train/shunting composition is tripped.

Levels 1, 2

6.41.1.    Immediate measures

When the following symbol is displayed:

the driver shall assume that there is a potentially dangerous situation and he/she shall perform all actions necessary to avoid or reduce the effect of this situation. This may include moving the train/shunting composition backwards.

When the following symbol is displayed with a flashing frame:

the driver shall acknowledge and apply the brakes.

(a)    In case an immediate backward movement is necessary due to an emergency

When the driver decides or is instructed by the signaller to move the train/shunting composition backwards due to an emergency

and

when the following symbol is displayed:

the driver shall move the train/shunting composition backwards following any instructions given by the signaller.

As soon as the train/shunting composition is at a standstill, the driver shall inform the signaller about the situation.

(b)    In all other cases

When the following symbol is displayed:

the driver shall inform the signaller about the situation and follow any instructions given.

6.41.2.    To restart

(a)    In the initial direction

Before giving authorisation to the driver to proceed after a trip by means of European Instruction 2 the signaller shall, according to non-harmonised rules:

If the signaller can establish that the track up to the end of the authorised movement is free then he/she may exempt the driver from running on sight in SR.

To proceed the driver shall:

If in ETCS level 2, at any step of the procedure, the following text message is displayed:

‘Communication error’,

the driver shall inform the signaller about the situation. The signaller and driver shall apply rule ‘Authorising the passing of an EOA’ (section 6.39). In this case, European Instruction 1 shall be issued by the signaller instead of European Instruction 2.

(b)    In the opposite direction

The signaller shall order the driver to remain at standstill and to perform End of Mission by means of European Instruction 3, and then to restart in the opposite direction by means of European Instruction 7.

The driver shall carry out the End of Mission and then apply rule ‘Putting the ETCS on-board into service’ (section 6.1) and rule ‘Preparing a movement’ (section 6.2). If the driver is not operating from the leading cab, he/she shall apply internal RU rules to ensure safe running.

6.41.3.    No movement required after a trip

In the case of a train/shunting composition not required to be moved after a trip, the signaller shall order the driver to remain at standstill and to perform End of Mission by means of European Instruction 3.

6.41.4.    Trip in SH when passing a defined border of a shunting area

Levels 1, 2

When a shunting composition is tripped when passing a defined border of a shunting area the driver and signaller shall apply non-harmonised rules.

6.42.    Managing an ETCS trackside malfunction

The on-board receives the information of an ETCS trackside equipment malfunction.

Levels 1, 2

When the following text message is displayed:

‘Trackside malfunction’,

the driver shall inform the signaller about the situation.

6.43.    Managing incompatibility between ETCS trackside and ETCS on-board

An incompatibility between ETCS trackside and ETCS on-board is detected by the system and the train is tripped.

Levels 1, 2

When the following text message is displayed:

‘Trackside not compatible’,

the train cannot continue in ETCS.

The driver shall apply rule ‘Responding to a trip’ (section 6.41).

6.44.    Managing a level crossing not protected

The train is approaching a level crossing which is not protected.

Levels 1, 2

6.44.1.    If in FS, OS or LS

When the following symbol is displayed:

the driver shall apply rule 7 of Appendix B2.

6.44.2.    If in SR

When the following text message is displayed:

‘Level crossing not protected’,

the driver shall apply rule 7 of Appendix B2.

6.45.    Managing a balise read error

A balise read error occurs and the brakes are triggered by the ETCS on-board (the train is not tripped).

Levels 1, 2

When the following text message is displayed:

‘Balise read error’,

and the train is not tripped, the driver shall inform the signaller about the situation.

If no new MA is received when the train has come to a standstill, the signaller shall authorise the driver to pass the EOA by applying rule ‘Authorising the passing of an EOA’ (section 6.39).

If the situation is repeated, the driver and signaller shall apply non-harmonised rules.

6.46.    Managing a failed level transition

The transition takes place but no MA valid beyond the transition point is received on-board or the transition does not take place when passing the transition point.

Levels 1, 2

The ETCS level transition point may be marked through the following trackside marker board:

*

6.46.1.    If the train has been tripped

The driver and signaller shall apply rule ‘Responding to a trip’ (section 6.41 ).

After selecting ‘Start’ the driver shall:

In case the ETCS level to be selected is not available on-board, the driver and signaller shall apply rule 15 of Appendix B2.

6.46.2.    If in SR

The driver shall:

6.46.3.    In all other cases

The driver shall:

In case the ETCS level to be selected is not available on-board, the driver and signaller shall apply rule 15 of Appendix B2.

6.47.    Managing absence of RBC information

There is no RBC information received in an area not identified as a radio hole and the brakes are triggered by the ETCS on-board (the train is not tripped).

Level 2

When the following text message is displayed:

‘Communication error’,

the driver shall inform the signaller about the situation when at a standstill.

If no new MA is received when the train has come to a standstill, the signaller shall authorise the driver to pass the EOA by applying rule ‘Authorising the passing of an EOA’ (section 6.39).

6.48.    Managing a radio communication failure

An ETCS radio communication failure occurs.

Levels 0, 1, 2, NTC

When the following symbol is displayed:

the driver shall check the ETCS level, the radio network identification, the RBC identification and phone number, and correct them if necessary (rule ‘Manual change of data’ (section 6.1.2)).

If the radio communication with the RBC still cannot be established, the driver shall inform the signaller about the situation.

(a)    when in ETCS level 2 preparing a movement and the traction unit has to move in SH

The driver and the signaller shall apply non-harmonised rules.

(b)    when in ETCS level 2 preparing a tandem movement

The driver of the non-leading traction unit shall inform the driver of the leading traction unit about the radio communication failure. Both drivers shall apply internal RU rules.

(c)    in all other cases

The signaller shall authorise the driver to pass the EOA by applying rule ‘Authorising the passing of an EOA’ (section 6.39).

6.49.   Managing a failure of self test

Levels 0, 1, 2, NTC

When the information about the failure of an ETCS device is shown to the driver, he/she shall switch off the ETCS on-board and then switch it on again to trigger a new self test. If the same information is shown again, the driver shall attempt to troubleshoot the problem using the applicable technical information. If this attempt fails or is not possible, the driver shall inform the signaller about the situation.

The driver shall request a change of traction unit.

If the traction unit must be moved the driver and signaller shall apply rule 15 of Appendix B2.

6.50.    Managing a failure affecting the on-board radio equipment

Levels 0, 1, 2, NTC

When a failure of the on-board radio equipment is detected the driver shall inform the signaller about the situation.

6.50.1.    During the preparation of the traction unit

Level 2

The driver shall request a change of traction unit.

If the traction unit must be moved, the driver shall inform the signaller, apply RU rules and any instructions given by the signaller.

If the traction unit need not be moved, the driver shall switch off the ETCS on-board.

6.50.2.    While running

Levels 1 with infill function by radio, 2

The driver and signaller shall apply rule 15 of Appendix B2.

6.51.    Managing a failed DMI

The DMI fails.

Levels 0, 1, 2, NTC

When the DMI fails the driver and signaller shall apply rule 15 of Appendix B2, unless another DMI is available on the desk.

6.52.    Managing a system failure

Levels 0, 1, 2, NTC

When the following symbol is displayed:

the driver shall attempt to troubleshoot the problem using the applicable technical information.

If this attempt fails or is not possible, the driver and signaller shall apply rule 15 of Appendix B2.

6.53.    Managing a NTC failure

Levels 0, 1, 2, NTC

When the following text message is displayed:

‘[name of NTC] failed’

the driver shall acknowledge and apply non-harmonised rules.

6.54.    Managing a VBC

Levels 0, 1, 2, NTC

The driver and signaller shall apply non-harmonised rules.

6.55.    Running in AD

The driver switches the ATO on-board on.

Levels 1, 2

6.55.1.    Engaging ATO

When the following symbol is displayed, the driver may engage automated train operation by selecting it:

When ATO is engaged the following symbol is displayed:

Running in ATO

When the following symbol is displayed:

the driver:

6.55.2.    Disengaging ATO

The driver can disengage ATO by either:

Once the ATO disengages, the driver shall observe the icon displaying the current ETCS mode and shall follow the rule applicable for the mode entered.

6.56.    Managing a TIMS failure

Level 2 when train integrity has to be confirmed

When the train preparer / driver of a train scheduled to run or running in an ETCS level 2 area where train integrity has to be confirmed becomes aware that the TIMS has failed, he/she shall apply rule 15 of Appendix B2.

6.57.    Managing an impaired odometer

Levels 1, 2

When the following text message is displayed:

‘odometer impaired’

the driver shall apply rule 15 of Appendix B2.

7.   GSM/R VOICE RADIO OPERATIONAL RULES

7.1.    Selecting the GSM-R mode

The driver needs to change the GSM-R mode.

When the displayed GSM-R mode does not correspond with the task to be performed (train or shunting movement), the driver shall select the correct mode.

7.2.    Entering the functional number

The train preparer / driver is performing the registration.

The train preparer / driver shall enter the functional number:

7.3.    Selecting the GSM-R network at a border crossing

The train is approaching a border crossing.

7.3.1.    Inhibition of automatic network selection

When approaching a section in the vicinity of network borders, the driver shall inhibit the (on-board) automatic network selection function in the cab radio, if activated, when instructed to do so by the Route Book.

7.3.2.    Selection of another GSM-R network

When according to the Route Book or a GSM-R network marker

*

the driver is instructed to select another GSM-R network, he/she shall select the indicated GSM-R network on the cab radio unless the network is selected following an ETCS trackside command. If the driver is engaged in an emergency call, he/she shall not proceed with the manual selection as long as the call is active.

7.4.    Performing a de-registration

The train has to be manually de-registered.

At the end of the train run or when requested by the signaller, the driver shall carry out the de-registration.

7.5.    (not used)

7.6.    Managing a failure of self test

When a text message indicating the failure of the GSM-R Cab Radio self-test is displayed (e.g. ‘Self-test failed’), the driver shall inform the signaller about the situation.

The driver and signaller shall apply rule 8 of Appendix B2.

7.7.    Managing a lack of GSM-R network after the train has entered service

When a text message indicating the lack of GSM-R network is displayed (e.g. ‘No network’, ‘GSM-R signal missing’), the driver and signaller shall apply rule 8.2 of Appendix B2.

7.8.    (not used)

7.9.    Managing a failure of de-registration

If the de-registration is not possible the driver shall inform the signaller about the situation, apply RU rules and follow any instructions given.

7.10.    Taking measures in case the functional number is not available

When a text message indicating that the entered functional number is not available is displayed (e.g. ‘Number not available’), the train preparer / driver shall check the number and try again to register using the correct number.

If the registration fails again, he/she shall inform the signaller about the situation, apply RU rules and follow any instructions given.

7.11.    Taking measures in case the functional number is already used

When a text message indicating that the entered functional number is already in use is displayed (e.g. ‘Number already used’ or ‘Number already allocated’), the train preparer / driver shall check the number and try again to register using the correct number.

If the functional number used was correct, the train preparer / driver shall call that functional number and ask the other party to de-register the current number unless prevented from doing so by non-harmonised rules.

In all other cases, the train preparer / driver shall inform the signaller on the issue and follow any instructions given.

7.12.    Managing a failure when registering the functional number

When it is not possible to register the functional number, the train preparer / driver shall inform the signaller about the situation, apply RU rules and follow any instructions given.

7.13.    GSM-public as primary communication (if this option is available on-board)

7.13.1.    Changing-over from GSM-R to GSM-Public

When instructed through a marker board indicating entry in a GSM network or through instructions on the Route Book, the driver shall select the indicated public GSM network, unless the network is automatically selected.

The driver and signaller shall apply non-harmonised rules.

7.13.2.    Changing-over from GSM-Public to GSM-R

When instructed through a marker board indicating (re-)entry into a GSM-R network or through instructions on the Route Book, the driver shall select the indicated GSM-R network, unless the GSM-R network is automatically selected.

If the GSM-R network is not available, the driver shall apply rule 8.2 Appendix B2.

7.14.    GSM-public as fall-back communication (if this option is available on-board)

7.14.1.    Changing-over from GSM-R to GSM-Public

When the connection to the GSM-R network is lost, the driver shall select an alternate GSM public network if authorised to do so according to instructions previously given by the signaller or provided in the Rule Book and/or Route Book, unless the on-board GSM-R terminal is configured to carry out an automatic network selection.

The driver and signaller shall apply non-harmonised rules.

7.14.2.    Changing-over from GSM-Public to GSM-R

When instructed by the signaller or through instructions in the Rule and/or Route Book, the driver shall manually select the indicated GSM-R network on the cab radio, unless the on-board GSM-R terminal is configured to carry out an automatic network selection.

8.   PART A – INTENTIONALLY BLANK

9.   PART B – LIST OF ETCS OPERATIONAL TRAIN CATEGORIES

The ETCS operational train categories are listed in the table below:

10.   PART C – TABLE OF REFERENCES TO NON-HARMONISED RULES

This Part lists the non-harmonised rules of Appendix A.

The table further defines the entity (IM or RU) that is in charge of laying down any necessary further details for each of those rules in their respective safety management system.

---

Appendix B

Fundamental operational principles and common operational rules

▼B

B1.    Fundamental operational principles

1.	The method of authorising a train movement shall maintain a safe interval between trains.

2.	A train shall only operate over a portion of line if the train composition is compatible with the infrastructure.

3.	Before a train begins or continues its journey, it shall be ensured that passengers, staff and goods are carried safely.

4.	Before a train is allowed to start or continue its movement, it shall have an authority to move and all necessary information to define the conditions of that authority.

5.	A train shall be prevented from proceeding onto a portion of line if it is known or suspected that it would not be safe for the train to pass until measures have been taken to allow the train to continue safely.

6.	A train shall not continue to operate after it has been found to be unsafe in any respect, until measures have been taken to allow the train to continue safely.

B2.    Common operational rules

In case of degraded operation, the contingency arrangements set out in point 4.2.3.6.3 shall also be considered.

1.   SANDING

If the train is equipped with manually activated sanding equipment, the driver shall always be allowed to apply sand but shall avoid it wherever possible:

The exceptions to this are:

2.   DEPARTURE OF THE TRAIN

At the initial station or after a scheduled stop the driver is allowed to depart when the following conditions are fulfilled:

3.   NO AUTHORISATION FOR TRAIN MOVEMENT AT THE EXPECTED TIME

If the driver has not received an authorisation for train movement at the expected time, and has no information as to the reason, the driver shall inform the signaller.

4.   COMPLETE FAILURE OF FRONT END LIGHTS

If the driver is not able to display any front end light:

4.1.    During good visibility

The driver shall inform the signaller about the failure. The train shall proceed at the maximum permitted speed to the nearest location where the front end light may be repaired/replaced or the affected vehicle replaced. When proceeding, the driver shall use the train audible warning device as necessary or as instructed by the signaller.

4.2.    During darkness or poor visibility

The driver shall inform the signaller about the failure. As long as a portable front end light displaying a white light is fitted on the front of the train, the train shall proceed at the maximum allowable speed for that failure to the nearest location where the front end light may be repaired/replaced or the affected vehicle replaced.

If a portable front end light is not available, the train shall not proceed, unless formal instructions are given by the signaller to continue to the nearest suitable location to where the line may be cleared.

When proceeding, the driver shall use the train audible warning device as necessary or as instructed by the signaller.

5.   COMPLETE FAILURE OF A REAR END SIGNAL

6.   FAILURE OF THE AUDIBLE WARNING DEVICE OF A TRAIN

If the audible warning device fails, the driver shall inform the signaller about the failure. The train shall not exceed the permitted speed in the event of the failure of an audible warning device, and shall proceed to the nearest location where the audible warning device may be repaired or the affected vehicle replaced. The driver shall be prepared to stop before passing over any level crossing where the audible warning device is required to be sounded and then proceed over the level crossing only when it is safe to do so. If a multi-tone audible warning device is defective but at least one tone is functioning, the train may proceed normally.

7.   FAILURE OF LEVEL CROSSING

7.1.    Stopping trains passing over a defective level crossing

When a technical failure affecting safety of running trains over a level crossing has been detected and as long as the safe operation has not been restored, the normal passing of trains over the level crossing shall be prevented.

7.2.    Passing trains over the defective level crossing (if authorised)

8.   FAILURE OF VOICE RADIO COMMUNICATION

8.1.    Failure of train radio detected during train preparation

In case of on board radio failure a train shall not be permitted to start a service on lines where a radio is required.

8.2.    Failure of voice radio communication when the train has entered service

All failure types

If the driver becomes aware that the primary voice radio communication is failed, the driver shall inform the signaller as soon as practicable using any available means.

The driver shall then apply the instructions by the signaller concerning the further movement of the train.

On-board Failure

A train with a failed voice radio communication may:

9.   RUNNING ON SIGHT

When a driver has to run on sight, the driver shall:

This does not apply to unexpected obstacle entering the track zone within the stopping distance.

10.   ASSISTANCE TO A FAILED TRAIN

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11.   AUTHORISATION TO PASS AN END OF AUTHORITY

The driver of the train concerned shall have authorisation to pass an EOA.

When giving authorisation, the signaller shall give the driver any instructions concerning the movement. The driver shall apply the instructions and shall not exceed any speed restriction, where one is imposed, until reaching the location where the normal operation may be resumed.

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12.   ANOMALIES IN LINESIDE SIGNALLING

If any of the following anomalies are observed:

The driver shall act according to the most restrictive aspect that could be presented by the signal.

In all cases the driver shall report to the signaller the abnormal signalling aspect when observed.

13.   EMERGENCY CALL

When receiving an emergency call the driver shall assume that there is a dangerous situation and perform all actions necessary in order to avoid or reduce the effect of this situation.

In addition, the driver shall:

Drivers that have been ordered to stop shall not restart without authorisation from the signaller. Other drivers shall continue running on sight until the signaller informs them that running on sight is no longer necessary.

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Anyone who receives an emergency call shall listen, not intervene in the communication that is in progress except to provide elements relevant to the context.

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14.   IMMEDIATE ACTIONS TO PREVENT DANGER TO TRAINS

Any railway undertaking/infrastructure manager staff who becomes aware of a danger to trains shall take immediate action to stop any trains which may be affected, alert the signaller and take any other action as necessary to avoid harm or loss, and in particular:

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15.   FAILURE OF ON-BOARD EQUIPMENT

The railway undertaking shall determine the cases in which a failure of an on-board equipment affects the running of the train.

The railway undertaking shall give the necessary information to the driver and/or train crew of what action to take in the case of on-board failures that affect the running of the train.

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If the driver becomes aware of a failure of any on-board equipment that affects the running of the train, the driver shall:

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If the signaller gives permission for the train to start or continue its mission then the driver shall proceed in accordance with the restrictions placed upon the train.

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If the signaller does not give permission for the train to commence or recommence its mission then the driver shall follow the instructions given by the signaller.

16.   END OF AUTHORITY PASSED WITHOUT PERMISSION

When the train is able to continue, the driver shall inform the signaller. The signaller shall set or check the route for the train to continue its journey and issue all necessary instructions

17.   FAILURE OF TRACKSIDE EQUIPMENT INCLUDING CATENARY

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18.   ENTERING AN OCCUPIED TRACK SECTION WITHIN A STATION

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