Commission Implementing Regulation (EU) 2019/773 of 16 May 2019 on the technical specification for interoperability relating to the operation and traffic management subsystem of the rail system within the European Union and repealing Decision (Text with EEA relevance.)

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

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.

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.

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.

Appendix A

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:

(i) title;

(ii) when necessary, situations in which the rule applies, presented in a frame, including the applicable ETCS levels; sometimes the situation is described for some specific sub-sections of the rules;

(iii) the rule itself.

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:

(i) ETCS level 0 application;

(ii) ETCS level 1 application whether or not trackside signals or infill are present;

(iii) ETCS level 2 application, whether or not trackside signals are present;

(iv) ETCS transitions between level 0, level 1 and level 2 applications;

(v) ETCS level NTC application;

(vi) ETCS transitions to / from level NTC;

(vii) GSM-R.

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

Term	Definition
Acknowledgement	Confirmation given by the driver to a request from the ETCS on-board that he/she has received information he/she needs to take into account.
Applicable speed limit (in SR)	The lowest speed limit of: — maximum speed for SR, — maximum train speed, — timetable / Route Book, — temporary speed restrictions (transmitted by other means than European Instruction 1, 2, 5, 6, 7 or 8), — European Instruction.
Authorisation for ERTMS train movement	Permission for a train to move given by means of: — a trackside signal at proceed aspect, or — an MA, or — a European Instruction: — — to start after preparing a movement, or — to pass EOA, or — to proceed after trip.
Border crossing	Location where trains cross from a railway network in one Member State to a railway network in another Member State.
De-registration	Termination of the temporary relationship between the telephone number and the train running number. This action can be initiated by the user of a GSM-R radio, by automatic systems or by the network authority. The de-registration allows the de-registered train running number to be re-used.
Driver Machine Interface (DMI)	Train device to enable communication between the ETCS on-board and the driver.
Emergency propelling area	Area where propelling movements in RV are allowed.
Emergency stop order	ETCS order braking a train with the maximum brake force until the train is at a standstill.
ETCS Location Marker	Harmonised trackside ETCS marker board defined in EN 16494/2015 () used to identify a potential EOA, e.g. the end of a block section.
ETCS on-board	The part of ETCS installed on a railway vehicle.
ETCS Stop Marker	Harmonised trackside ETCS marker board defined in EN 16494/2015 used to: — identify a potential EOA, and — indicate the location where a driver has to stop the train, if running without an MA.
ETCS operational train category	Set of technical and/or operational characteristics of a train to which a specific ETCS speed profile applies.
Functional number (GSM-R)	Full number used within the functional addressing scheme to identify an end user or a system by function or role rather than by a specific item of radio equipment or user subscription. The functional number can be divided into two parts: — functional addressing (process of addressing a call using a specific number, representing the function a user is performing, rather than a number identifying the GSM-R on-board), — location dependent addressing (process of addressing a particular function – typically a signaller – based on the current location of the user – typically a train).
GSM-R mode	Status of the GSM-R on-board which provides functions for: — train movement, — or movement of a shunting composition.
GSM-R network	Radio network which provides GSM-R functions.
GSM-R network marker	Harmonised trackside GSM-R signal defined in EN 16494/2015 to indicate the network to be selected.
GSM-R on-board	The part of GSM-R installed on a railway vehicle.
Maximum speed for RV	Maximum speed given from the ETCS trackside in RV.
Maximum speed for SR	Maximum speed given from the ETCS trackside in SR.
Movement Authority (MA)	Permission for a train (shunting composition) to move to a specific location with supervision of speed.
Non-stopping area	Area defined by the Infrastructure Manager where it may not be safe or suitable to stop a train.
Override EOA speed	Maximum speed when the override EOA function is active.
Permitted speed	Maximum speed at which a train can run without ETCS warning and/or brake intervention.
Proceed aspect	Any signal aspect which permits the driver to pass the signal.
Propelling	Movement of a train where the driver is not in the leading cab of the leading vehicle.
Radio communication	Exchange of information between the ETCS on-board and the RBC/radio infill unit.
Radio Block Centre (RBC)	ETCS trackside centralised unit controlling ETCS train movements in level 2.
Radio hole	A pre-defined area where it is not possible to establish a reliable radio communication channel.
Registration	Temporary relationship between the telephone number and the train running number.
Release speed	Maximum speed at which a train is allowed to reach the end of its MA.
Revocation of MA	Withdrawal of a previous given Movement Authority.
Route Book	Description of the lines and the associated line-side equipment for the lines over which the driver will operate and relevant to the driving task.
Securing	Measures to be applied to avoid unintentional movement of railway vehicles.
Shunting movement	Way of moving vehicles without train data and controlled by shunting orders.
Tandem	Two or more traction units mechanically and pneumatically but not electrically coupled in the same train, each one requiring its own driver.
Temporary speed restriction	Reduction of the line speed for a limited period of time.
Text message	Information in writing displayed on the Driver Machine Interface.
Train data	Information which describes the characteristics of a train.
Train preparer	Staff in charge of the preparation of a train.
Transition	Controlled change between the different ETCS levels.
Transition point	Point where a transition between ETCS levels takes place.
Trip	Irrevocable application of the emergency brakes by ETCS until the train/shunting composition is at a standstill.
(1) EN 16494/2015 – Railway applications – Requirements for ERTMS Trackside Boards.
Abbreviation
---	---
AD	Automatic Driving mode
ATO	Automated Train Operation
BMM	Big Metal Mass
BTM	Balise Transmission Module
DAS	Driver Advisory System
DMI	Driver Machine Interface
EOA	End Of Authority
ERTMS	European Rail Traffic Management System
ETCS	European Train Control System
FS	Full Supervision mode
G	Goods train braking mode
GSM-R	Global System for Mobile communication – Railway
IM	Infrastructure Manager
LS	Limited Supervision mode
MA	Movement Authority
NL	Non-Leading mode
NTC	National Train Control system
OS	On Sight mode
P	Passenger train braking mode
RBC	Radio Block Centre
REC	Radio Emergency Call
RU	Railway Undertaking
RV	Reversing mode
SH	Shunting mode
SL	Sleeping mode
SN	National System
SR	Staff Responsible mode
STM	Specific Transmission Module
TIMS	Train Integrity Monitoring System
UN	Unfitted mode
VBC	Virtual Balise Cover
*  For a complete list of ERTMS terms and abbreviations refer to Subset 023 ‘Glossary of Terms and Abbreviations’ under Appendix A of Implementing Regulation (EU) 2023/1695 (‘TSI CCS’).

5. PRINCIPLES

5.1.   Principles for ETCS

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.

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.

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.

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.

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

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.

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

(i) indicating the EOA of the current MA, or

(ii) when running without an MA unless he/she has received a specific authorisation from the signaller by means of European Instruction 1 or 7.

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

(i) indicating the EOA of the current MA, or

(ii) when running without an MA if he/she has received a specific order from the signaller.

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

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.

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

(i) the train running number;

(ii) the driver identification while at standstill or, if allowed by national value, while running;

(iii) the ETCS level, the radio network identification and the RBC identification and phone number while at standstill.

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).

The driver shall:

(i) apply rule ‘Entering train data during train preparation’ (section 6.4.1);

(ii) select ‘Start’.

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).

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

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

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:

(i) check if all the conditions for the route are met;

(ii) check all restrictions and/or instructions that are necessary and include them in European Instruction 7;

(iii) check for temporary speed restrictions to be included in European Instruction 7.

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:

(i) receive European Instruction 7 from the signaller;

(ii) check the applicable speed limit;

(iii) use, unless instructed not to do so, the override function for each of the ETCS Stop Markers to be passed and wait for the following symbol:

(iv) start the train;

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

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:

(i) receive European Instruction 7 from the signaller;

(ii) check the applicable speed limit;

(iii) start the train;

(iv) when approaching an ETCS Stop Marker and if authorised by the European Instruction 7 to pass it, use, unless instructed not to do so, the override function and wait for the following symbol:

(v) start the train or continue moving;

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

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).

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

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

When the following symbol is displayed with a flashing frame:

the driver shall:

(i) first ensure he/she has the correct information concerning the movement he/she is to perform;

(ii) then acknowledge.

When the following symbol is displayed:

the driver shall apply non-harmonised rules.

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

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

(i) select ‘Exit Shunting’;

(ii) ensure that no traction unit remains in the ‘Maintain Shunting’ status.

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.

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

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:

(i) ETCS operational train category;

(ii) train length;

(iii) brake percentage;

(iv) maximum train speed;

(v) axle load category;

(vi) train fitted with airtight system;

(vii) loading gauge;

(viii) additional data for the available STMs;

(ix) specific data for ATO, if requested.

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.

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:

(i) determine the new train data;

(ii) enter the new train data;

(iii) validate the new train data.

When the following text message is displayed on the DMI:

‘Train data changed’

When at a standstill, the driver shall:

(i) acknowledge the brake application;

(ii) modify and/or validate the train data if requested by the on-board system;

(iii) take into account the modified train data.

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).

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

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.

When the following symbol is displayed with a flashing frame:

the driver shall acknowledge.

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

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.

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

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.

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

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.

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.

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

(i) shall not exceed the permitted speed;

(ii) may, if DAS information is available on-board: — follow the target advice speed when displayed on the DMI, — coast when is displayed, — respect the stopping points if indicated, — request a stopping point to be skipped if instructed and this option is available on the DMI, — operate the doors when invited to do so by relevant DMI indications.

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:

(i) acknowledge;

(ii) start or continue applying rule 9 of Appendix B2.

When the following symbol is displayed:

the driver shall:

(i) apply rule 9 of Appendix B2 as long as this symbol is displayed;

(ii) not exceed the permitted speed.

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:

(i) first receive an authorisation for ERTMS train movement;

(ii) check the applicable speed limit;

(iii) then acknowledge.

When the following symbol is displayed:

the driver shall:

(i) run on sight, unless a European Instruction 1, 2 or 7 exempts him from running on sight in SR;

(ii) not exceed the applicable speed limit;

(iii) in ETCS level 1 without trackside signals and in ETCS level 2 without trackside signals, when approaching the next ETCS Stop Marker inform the signaller and apply rule ‘Authorising the passing of an EOA’ (section 6.39) unless already authorized to pass this ETCS Stop Marker by means of a European Instruction.

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:

(i) to approach a signal, an ETCS Stop Marker, an ETCS Location Marker or a buffer stop which is a short distance behind the EOA indicated on the DMI without exceeding the release speed;

(ii) in ETCS level 1 with trackside signals to proceed without exceeding the release speed when the trackside signal shows a proceed aspect.

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.

*For the exact dimensions and layout of the marker boards, EN 16494/2015 needs to be used.

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.

*For the exact dimensions and layout of the marker boards, EN 16494:2015 needs to be used.

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

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.

Both drivers shall apply internal RU rules.

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

(i) apply the brakes;

(ii) confirm to the driver of the leading traction unit that the non-leading traction unit is no longer in NL.

6.33.   Revoking an authorisation for ERTMS train movement

The signaller decides to change existing traffic arrangements.

Levels 1, 2

(a) In case the co-operative shortening of the MA is possible If possible in ETCS level 2 the signaller shall revoke an MA by the use of the co-operative shortening of MA.

(b) In all other cases In all other cases, the signaller shall apply non-harmonised rules to stop the train if it is not already at standstill. Once the train is at a standstill and before making traffic arrangements, the signaller shall order the driver to remain at a standstill by means of European Instruction 3 or other available means and to delete any MA remaining on-board if required.

To restart the trains the signaller shall:

(i) issue an authorisation for ERTMS train movement;

(ii) revoke European Instruction 3 if one has been issued.

6.34.   Taking measures in the event of an emergency

An emergency situation occurs.

Levels 1, 2

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).

The signaller shall:

(i) decide if it is possible to authorise train movement;

(ii) decide if instructions and/or restrictions for train movement are necessary;

(iii) revoke the emergency stop order if one has been issued;

(iv) revoke European Instruction 3 if one has been issued;

(v) give authorisation to the drivers to restart.

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).

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

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.

When the following symbol is displayed with a flashing frame:

the driver shall:

(i) acknowledge;

(ii) propel the train following any instructions given by the signaller as soon as the following symbol is displayed:

(iii) not exceed the maximum speed for RV;

(iv) not exceed the permitted distance to run.

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

‘RV distance exceeded’,

the driver shall:

(i) report to the signaller;

(ii) acknowledge at a standstill if the permitted distance in RV has not been extended;

(iii) release the brake.

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:

(i) check if all the conditions for the route are met;

(ii) check all restrictions and/or instructions that are necessary and include them in European Instruction 1;

(iii) check for temporary speed restrictions to be included in European Instruction 1.

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:

(iv) receive European Instruction 1 from the signaller for this EOA;

(v) check the applicable speed limit;

(vi) use the override function; and

(vii) when the following symbol is displayed:

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

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.

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

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.

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.

When the following symbol is displayed:

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

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:

(i) check if all the conditions for the route are met;

(ii) check all restrictions and/or instructions that are necessary and include them in European Instruction 2;

(iii) check for temporary speed restrictions to be included in European Instruction 2.

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:

(i) receive European Instruction 2 with all additional instructions given by the signaller;

(ii) according to the task to be performed select ‘Start’ or ‘Shunting’ and follow the instructions given in European Instruction 2;

(iii) restart the train/shunting movement.

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.

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.

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.

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

When the following symbol is displayed:

the driver shall apply rule 7 of Appendix B2.

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:

*

*For the exact dimensions and layout of the marker board, EN 16494:2015 needs to be used.

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

After selecting ‘Start’ the driver shall:

(i) check the correct ETCS level to be selected;

(ii) change the ETCS level (rule ‘Manual change of data’ (section 6.1.2)), and then restart the train.

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

The driver shall:

(i) stop the train;

(ii) apply the following rule ‘In all other cases’ (section 6.46.3).

The driver shall:

(i) inform the signaller about the situation;

(ii) when at a standstill, check the correct ETCS level to be selected;

(iii) change the ETCS level (rule ‘Manual change of data’ (section 6.1.2)), and then restart the train.

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.

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

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.

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.

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.

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

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:

(i) shall activate ‘skip stopping point’ when required by the timetable or if instructed to do so;

(ii) after coming to a standstill at an operational stopping point, may manually move the train to correct its position, in the forward direction (when is displayed) after notifying any passengers or in the reverse direction (when is displayed, if authorised by the signaller and after notifying any passengers accordingly, until is displayed;

(iii) shall operate door opening/closing if invited to do so by the respective DMI indications.

The driver can disengage ATO by either:

(i) selecting the button associated with this icon

(ii) applying the brake;

(iii) switching off the ATO;

(iv) selecting Override.

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:

(i) as early as possible before the initial departure,

(ii) every time the functional number changes.

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

The train is approaching a border crossing.

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.

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.

*For the exact dimensions and layout of the marker board, EN 16494:2015 needs to be used.

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.

(i) If the call is successful and the other party de-registers the number in question, the train preparer / driver shall re-start the functional number registration procedure.

(ii) If there is no response to the call, the train preparer / driver shall initiate forced de-registration of the specific functional number.

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)

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.

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)

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.

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:

Label	Type of train	Type of brake	Cant deficiency
PASS 1	passenger train	P	80
PASS 2	130
PASS 3	150
TILT 1	tilting passenger train	165
TILT 2	180
TILT 3	210
TILT 4	225
TILT 5	245
TILT 6	275
TILT 7	300
FP 1	freight train	80
FP 2	100
FP 3	130
FP 4	150
FG 1	G	80
FG 2	100
FG 3	130
FG 4	150

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.

Reference	Subject	In charge
5.1.1	Driver’s observance of the line in cab-signalling	RU
6.2.4 6.39 6.41.2	Checking route conditions	IM
6.2.4 6.39 6.41.2	Checking necessary restrictions and/or instructions for running in SR	IM
6.2.4 6.39 6.41.2	Checking speed restrictions lower than the maximum speed for SR	IM
6.3.1	Manual entry into SH	RU
6.3.3	Running in SH	IM
6.3.6	SH refused by the RBC/SH request failed	IM
6.3.7	Passing a defined border of a shunting area	IM
6.7.1	Announcement of an ETCS level 0 transition	IM
6.7.3	Running in ETCS level 0	IM
6.11.1	Announcement of an ETCS level NTC transition	IM
6.11.3	Running in ETCS level NTC	IM
6.15	Acknowledgement of LS	IM
6.15	Running in LS	IM
6.16	Acknowledgement of UN	IM
6.16	Running in UN	IM
6.17	Acknowledgement of SN	IM
6.17	Running in SN	IM
6.28	Sounding the audible warning device	IM
6.33.1	Revoking an authorisation for ERTMS train movement	IM
6.34.3	Protecting and restarting shunting movements	IM
6.40.2	The train is rejected when preparing a movement	IM
6.41.4	Trip in SH	IM
6.45	Managing a balise read error	IM
6.48 a)	Managing a radio communication failure when SH is requested	IM
6.53	Managing a NTC failure	IM
6.54	Managing a VBC	IM
7.11	Taking measures in case the functional number is already used	IM
7.13.1	Changing-over from GSM-R to GSM-Public	IM
7.14.1	Changing-over from GSM-R to GSM-Public	IM

Appendix B

Fundamental operational principles and common operational rules

B1.   Fundamental operational principles

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.

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:

— in the area of points and crossings,

— during braking at speeds less than 20 km/h,

— when at standstill.

The exceptions to this are:

— if there is a risk of SPAD (Signal Passed At Danger), or other serious incident and the application of sand would assist adhesion,

— when starting away,

— when required to test the sanding equipment on the traction unit.

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

— after the driver has received an authorisation for train movement;

— after train service conditions are fulfilled;

— when it is time to depart, except when allowed to start before the scheduled 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.

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

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.

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.

(1) If the signaller becomes aware of the complete failure of the train rear end signal, the signaller shall make arrangements to stop the train in an appropriate location and inform the driver.

(2) The driver shall then check the completeness of the train and if necessary repair/replace the train rear end signal.

(3) The driver shall report to the signaller that the train is ready to proceed. Otherwise, if the repair is not possible, the train may not proceed, unless special arrangements are made between signaller and driver.

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.

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.

(1) Where the nature of the failure permits train movements to continue, the driver of each train shall be authorised to continue and to pass over the level crossing.

(2) After being instructed to pass over the level crossing with a failure, the driver shall pass the level crossing as instructed. If the level crossing becomes obstructed the driver shall take all possible measures necessary to stop.

(3) When approaching the level crossing, the driver shall use the audible warning device when necessary or when formal instructions have been given by the signaller. If the level crossing is clear, the driver shall proceed and accelerate the train as soon as the front of the train has passed clear the level crossing.

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

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.

A train with a failed voice radio communication may:

— continue its service if another means of communication is provided between the train driver and the signaller; or

— proceed to the nearest location where the radio may be repaired or the affected vehicle replaced if another means of voice communication is not provided between the driver and the signaller.

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

— Proceed with caution, controlling the speed having regard to the visibility of the line ahead, so that it is possible within the free visible part to stop short of any vehicle, stop aspect or obstacle on the infrastructure; and

— Not exceed the maximum speed for running on sight.

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

(1) If a train is stopped by failure, the driver shall immediately inform the signaller about the failure and the circumstances of the failure.

(2) When an assisting train is needed, the driver and signaller shall agree at least all of the following: — the type of assisting train needed — if a specific direction is required (front or rear) — the location of the failed train. After the driver has asked for assistance, the train shall not be moved even if the defect is rectified until: — the assisting train has arrived, or — the driver and signaller have agreed alternative arrangements.

(3) The signaller shall not allow the assisting train to enter the section occupied by the failed train unless confirmation has been received that the failed train shall not be moved. When the assisting train is ready to enter the section occupied by the failed train, the signaller shall inform the driver of the assisting train at least the following: — the location of the failed train — the location where the failed train is to be taken to

(4) The driver of the combined train shall make sure that: — the assisting train is coupled to the failed train, and — the brake performance of the train is checked, the automatic brake, if compatible, is connected and a brake test has been carried out.

(5) When the combined train is ready to continue, the driver in control shall contact the signaller and inform the signaller of any restrictions and move the train in accordance with any instructions given by the signaller.

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.

If any of the following anomalies are observed:

— no signal aspect is shown where there should be one;

— an irregular aspect is shown at the signal;

— an irregular signal aspect sequence is received on the approach to the signal;

— the aspect of the signal is not clearly visible.

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.

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:

— immediately reduce the speed of the train to the appropriate speed for running on sight; and

— run on sight unless otherwise instructed by the signaller; and

— obey the instructions given by the signaller.

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.

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.

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:

(1) Any driver made aware of a danger to their train shall stop as soon as it is safe to do so and alert the signaller immediately to the danger using the emergency call.

(2) Any signaller made aware of a danger shall alert all drivers as appropriate through an emergency call or using any other available means.

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.

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

— inform the signaller of the situation, the location and the restrictions on the train should the train be allowed to continue its mission,

— not commence or recommence the mission until permission to do so has been granted by the signaller.

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.

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.

— If the driver becomes aware that the train has passed an end of authority without permission, the driver shall stop the train immediately.

— If the train is stopped by ATP/TPS, the driver shall take action to support the emergency brake.

— The driver shall inform the signaller.

— If the signaller becomes aware that a train has passed an end of authority without permission, then the signaller shall take any necessary action to stop the train immediately.

— The driver and signaller shall take any necessary action to protect all movements.

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

— The infrastructure manager shall determine whether the failure of trackside equipment (including catenary) affects the safe and/or effective operation of trains.

— The infrastructure manager shall provide the necessary instructions to the driver of what action to take in the case of such a failure as referenced in this Regulation in point 4.2.1.2.2.3.

— If the driver becomes aware of a failure of any trackside equipment (including catenary) that affects the safe and/or effective operation of trains, the driver shall inform the signaller of the situation as soon as possible and follow the instructions given by the signaller.

— In case of an unplanned entry into an occupied track section, the signaller shall, before authorising the entry to the occupied track section, ensure that the involved drivers are informed of the circumstances.

— In all cases when a train has to enter an occupied track section, the signaller shall, before authorising the entry to the occupied track section, obtain confirmation that the occupying train or vehicles will not move towards the train entering the occupied track section.

Appendix C

Safety related communications methodology

C1.   Oral communication

This Appendix sets out the rules for safety-related communications, between train crew, mainly the train driver, and signaller, in particular to define its structure, methodology and content. Safety related communication has priority over all other communication.

The transmission of safety-related messages shall be short and clear and, as far as possible, without abbreviation. In order to ensure a message is understood and the necessary action may be undertaken, whoever is giving the message shall cover at least the following points:

— indicate their exact location.

— state the function they are carrying out and information on the action that is needed.

Drivers shall identify themselves by the train running number and the location.

Signallers shall identify themselves by the control area or the location of the signal box.

Whoever is giving the message shall:

— check that the message is received and repeated back as required. As emergency messages are intended to give urgent operational instructions that are directly linked with the safety of the railway, the repetition of these messages may be omitted.

— if necessary, correct a mistake that has been made in the message.

— if necessary, let the person know how they may be contacted.

For communication between signallers and drivers it is the signallers' responsibility to ensure that they are talking to the driver within their control area. This is critical when communication is taking place in areas where communications boundaries overlap. This principle shall apply even after an interruption during transmission.

The following messages shall be used for identification by the different parties:

— by the signaller: Train … [running number] this is … [control area/location of the signal box]

— by the driver: this is train … [running number] at … [location]

Terminology shall be used in the communication procedure by all the parties:

Situation	Terminology
Term transferring the opportunity to speak to the opposite party	‘Over’
Term confirming that the sent message has been received	‘Received’
Term used to have the message repeated in the event of poor reception or misunderstanding	‘Say again’
Term used to ascertain whether a read-back message exactly matches the sent message	‘Correct’
Term used to indicate that a read-back message does not match the sent message	‘Error (+ I say again)’
Term used to keep the other party waiting when there is a temporary break in the communication and the connection is not broken	‘Wait’
Term used to tell the other party that the communication might be broken but should be resumed later on	‘I call again’
Term used to indicate that the message has ended	‘Out’

Standard terminology shall be used in the communication procedure by all the parties without translation:

Situation	Standard terminology
Term used to indicate that there is an emergency situation	‘Mayday, mayday, mayday’

This term shall not be translated and does not have to be used in case emergency call functionality is available on the train (e.g. GSM-R).

When relevant, the railway undertaking shall produce a glossary of railway terminology for each network over which its trains operate. It shall supply the terms in regular use in the language chosen by the railway undertaking and in the ‘operating’ language of the infrastructure manager(s) whose infrastructure the railway undertaking operates on, based on the terminology used by the respective infrastructure manager.

In order that safety-related communication is correctly understood, whatever the means of communication used, the following rules shall be used:

The International Phonetic Alphabet shall be used:

— to identify letters of the alphabet;

— to spell words and location names that are difficult to say, or may be misunderstood;

— when quoting the identity of signals or points.

A Alpha B Bravo C Charlie D Delta E Echo F Foxtrot	G Golf H Hotel I India J Juliet K Kilo	L Lima M Mike N November O Oscar P Papa	Q Quebec R Romeo S Sierra T Tango U Uniform	V Victor W Whisky X X-ray Y Yankee Z Zulu

The Numbers shall be spoken digit by digit:

C2.   European Instructions

Railway undertakings and infrastructure managers shall use European Instructions in the communication procedure in the following cases:

(1) Authorisation to pass an End of Authority;

(2) Authorisation to proceed after trip;

(3) Obligation to remain at standstill;

(4) Revocation of an instruction;

(5) Obligation to run with speed restriction;

(6) Obligation to run on sight;

(7) Authorisation to start after preparing a movement;

(8) Authorisation to pass defective level crossing(s);

(9) Obligation to run with power supply restriction;

(10-20) RESERVED

The numbers 1 to 20 are reserved for European Instructions.

The use of the European Instructions numbers 1-4 and 7 is mandatory for ETCS, in accordance with the rules of Appendix A.

Whenever the signaller needs to issue an operational instruction for which a European Instruction exists, the signaller shall use this European Instruction. If an operational instruction related to a class B system requires more information than the European Instructions, a national instruction may be used instead. In such a case, the infrastructure manager may set out these requirements in its national instructions.

If numbered, the national instructions drawn up by the individual infrastructure managers shall start from 21 onwards.

The national instructions shall contain at least the same content as that for a European Instruction.

An operational instruction shall state the following as a minimum:

— from where it was issued (location of signaller),

— at what date it was issued (not for verbal instruction),

— to which train/ shunting composition it refers,

— clear, precise, unambiguous instructions,

— unique identification provided by the signaller.

In addition, depending on the circumstances, an operational instruction might also state:

— at what time it was issued,

— where that train/ shunting composition is located, at which location it applies,

— ID of train driver;

— ID of issuer;

— verification (signature or electronic confirmation) that the instruction has been received.

Any operational instruction that has been issued to be written down may only be revoked by a European instruction n^o4 explicitly referring to the unique identification of the instruction to be revoked.

By way of derogation, a European Instruction 3 can also be revoked by a European Instruction 1, 2 or 7 without requiring a dedicated European Instruction 4.

An operational instruction includes information delivered digitally, verbally, physically on paper or as verbal instructions to be written down by the train driver or by other safe methods of communication with the same level of information.

In principle when it is necessary for an operational instruction to be written down by the train driver, the train shall be at standstill. The railway undertaking and the concerned infrastructure manager may jointly undertake a risk assessment which could, as a result, define the conditions under which it is safe to deviate from this principle.

An operational instruction shall be delivered as close as practicable to the affected area.

An operational instruction takes precedence over the related indications provided by trackside signals and/or the DMI. When a permitted speed or a release speed lower than the maximum speed prescribed in the operational instruction is applicable, the lowest speed shall be applied.

An operational instruction shall only be issued by the signaller when the train running number has been identified and, if necessary, the location of the train/ shunting composition. Before applying the operational instruction, the train driver shall check that this operational instruction refers to her/his train/ shunting composition and her/his current or identified location.

The railway undertaking has to define a procedure to ensure that the train driver is aware of an operational instruction until the train has reached the location where it has to be processed.

When the operational instruction does not need to be performed immediately after its delivery, it shall be possible for the train driver to retrieve the operational instruction.

As part of the compliance with Regulation (EU) 2018/762 and Directive (EU) 2016/798, the infrastructure manager and railway undertaking shall monitor the processes of delivery and use of the operational instructions.

Each tick box, field of information and option for input in a field contained in a European Instruction shall be given its own alphabetical or numerical identifier. Numbered identifiers that are part of more than one European Instruction shall be given an identifier starting with ‘x’ instead of the number of the European Instruction. This ‘x’ may only be replaced by the number of the European Instruction when transmitting this instruction digitally.

While the content and the identifiers must be used and the alphabetical and numerical order of the identifiers must be respected, the format itself shall be indicative.

If a specific tick box, field or option for input in a field is not to be used in a Member State or on the network of an infrastructure manager, there is no obligation to display this tick box, field or option for input in a field in the European Instruction.

No tick box, field or option for input in a field shall be added.

The scope of each individual field cannot extend beyond the scope of application of the European Instruction to which it belongs.