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.)

Image omitted; see official source

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:

Image omitted; see official source

the driver shall close the air conditioning intakes.

When the following symbol is displayed:

Image omitted; see official source

the driver shall keep the air conditioning intakes closed.

When the following symbol is displayed:

Image omitted; see official source

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:

Image omitted; see official source

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

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

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:

• (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

6.33.1.   Measures before making traffic arrangements

• (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.

6.33.2.   To restart the trains

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

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:

• (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).

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:

Image omitted; see official source

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

Image omitted; see official source

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:

Image omitted; see official source

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

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

the driver shall:

• (i) acknowledge;

• (ii) propel the train following any instructions given by the signaller as soon as the following symbol is displayed: Image omitted; see official source

• (iii) not exceed the maximum speed for RV;

• (iv) not exceed the permitted distance to run.

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:

• (i) report to the signaller;

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

• (iii) release the brake.

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:

• (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:

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

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:

• (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.

(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:

Image omitted; see official source

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:

Image omitted; see official source*

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

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:

• (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.

6.46.2.   If in SR

The driver shall:

• (i) stop the train;

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

6.46.3.   In all other cases

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:

Image omitted; see official source

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:

Image omitted; see official source

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:

Image omitted; see official source

When ATO is engaged the following symbol is displayed:

Image omitted; see official source

Running in ATO

When the following symbol is displayed:

Image omitted; see official source

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 Image omitted; see official source is displayed) after notifying any passengers or in the reverse direction (when Image omitted; see official source is displayed, if authorised by the signaller and after notifying any passengers accordingly, until Image omitted; see official source is displayed;

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

6.55.2.   Disengaging ATO

The driver can disengage ATO by either:

• (i) selecting the button associated with this iconImage omitted; see official source

• (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.

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

Image omitted; see official source*

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)

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:

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

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

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

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

• 1. 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.

• 1. 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.

• 1. 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:

• — 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.

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:

• — 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.

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

• (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.

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)

• (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.

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:

• — 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.

9. RUNNING ON SIGHT

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.

10. ASSISTANCE TO A FAILED TRAIN

• (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.

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.

12. ANOMALIES IN LINESIDE SIGNALLING

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.

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:

• — 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.

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:

• (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.

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.

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.

16. END OF AUTHORITY PASSED WITHOUT PERMISSION

• — 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

17. FAILURE OF TRACKSIDE EQUIPMENT INCLUDING CATENARY

• — 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.

18. ENTERING AN OCCUPIED TRACK SECTION WITHIN A STATION

• — 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

1. Scope and Purpose

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.

2. Safety related communications

2.1.   Communication structure

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.

2.2.   Communication methodology

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.

2.3.   Communication content

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).

2.4.   Glossary of Railway Terminology

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.

3. Communication rules

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

3.1.   International Phonetic Alphabet

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

3.2.   Numbers

The Numbers shall be spoken digit by digit:

0 = Zero

1 = One

2 = Two

3 = Three

4 = Four

5 = Five

6 = Six

7 = Seven

8 = Eight

9 = Nine

C2.   European Instructions

1. Introduction

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.

2. Content

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.

3. Delivery of the operational instruction

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.

4. Awareness of the operational instruction

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.

5. Monitoring of processed 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.

6. European 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.

The infrastructure manager and the railway undertaking may add guidance on how to fill in and read the forms of the European Instructions, under the condition that this guidance is not part of the communication procedure.

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7. Communication of an operational instruction

The following terminology shall be used in the communication procedure by all the parties:

Situation	Terminology
Starting the delivery of an operational instruction	‘Prepare procedure … [identification of the procedure]’
Confirming that an operational instruction may be delivered	‘Ready for procedure … [identification of the procedure]’
Cancelling an operational instruction	‘Cancel procedure… [identification of the procedure]’
If the message is subsequently to be resumed, the procedure shall be repeated from the start	‘Error during transmission’
When a transmission error is discovered by the sender, the sender shall request cancellation	‘Error (+ prepare new procedure … [identification of the procedure])’ Or ‘Error (+ I say again)’
Error during read back	‘Error (+ I say again)’
Misunderstanding: if one of the parties does not fully understand a message, the message shall be repeated	‘Say again (+ speak slowly)’

8. Book of European and national instructions

The infrastructure manager is responsible for drawing up the Book of European and national instructions in its operating languages.

All the forms of the national instructions and the European Instructions to be used shall be assembled in a document or a computer medium called the Book of European and national instructions.

This Book shall be used by both the driver and the staff authorising the movement of trains. The Book used by the driver and the Book used by the staff authorising the movement of trains shall be structured and numbered in the same way.

The Book shall comprise two parts.

The first part contains at least the following items:

• — an index of the European Instructions as used by the infrastructure managers,

• — an index of the national operational instructions,

• — a list of situations to which each operational instruction applies,

• — the way of delivering each operational instruction, including whether it is allowed to be written down by the driver while running,

• — the table containing the international phonetic alphabet.

The second part contains, in the operating languages of the infrastructure manager, the forms of:

• — the European Instructions,

• — the national operational instructions.

These shall be collected by the railway undertaking and given to the driver. Railway undertakings operating in more than one infrastructure manager network shall provide to the driver:

• — the generic forms of the European Instructions as defined in point 6 of Appendix C2, or

• — reduced forms of the European Instructions that include at least the fields used by the infrastructure manager(s) on the network(s) of which the railway undertaking will operate.

Appendix D

Route compatibility and Route Book

D1   Parameters for the vehicle and train compatibility over the route intended for operation

Note:

• 1.Following the requirements of 4.2.2.5.1, the railway undertaking may cover route compatibility checks of certain parameters during earlier stages.

• 2.All parameters must be checked at vehicle level: this is indicated by a ‘X’ in the column ‘Vehicle level’. Some parameters needs to be checked when the train composition changes, as defined in the section 4.2.2.5; those parameters are indicated with a ‘X’ under the column ‘Train level’.

• 3.With a view to avoid duplication of testing, in relation to parameters ‘Traffic loads and load carrying capacity of infrastructure’ and ‘Train detection systems’, the infrastructure managers shall provide through RINF parameters 1.1.1.5.1 or 1.1.1.5.2 the list of vehicle types or vehicles compatible with the route for which they have already verified route compatibility, where such information is available.