Commission Implementing Regulation (EU) 2023/1693 of 10 August 2023 amending Implementing Regulation (EU) 2019/773 on the technical specification for interoperability relating to the operation and traffic management subsystem of the rail system within the European Union (Text with EEA relevance)

8.9.2023	EN	Official Journal of the European Union	L 222/1

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Directive (EU) 2016/797 of the European Parliament and of the Council of 11 May 2016 on the interoperability of the rail system within the European Union ¹, and in particular Article 5(11) thereof,

Whereas:

• (1) Commission Implementing Regulation (EU) 2019/773 ² lays down the technical specification for interoperability (TSI) relating to the operation and traffic management subsystem of Union rail system.

• (2) In accordance with Article 3(5), points (b) and (f), of Commission Delegated Decision (EU) 2017/1474 ³ TSIs must be reviewed in order to take into account the developments of the Union railway system and related research and innovation activities, and to update references to standards.

• (3) Having regard to the role railways are expected to play in a decarbonised transport system, as envisaged in the European Green Deal, and in the light of developments in this field, notably in research and innovation, an extensive revision of the current TSIs is required, in particular with a view to digitalising the railways and making rail freight more attractive.

• (4) On 24 January 2020, in accordance with Article 19(1) of Regulation (EU) 2016/796 of the European Parliament and of the Council ⁴, the Commission requested the European Union Agency for Railways (the ‘Agency’) to prepare recommendations implementing a selection of the specific objectives set out in Decision (EU) 2017/1474.

• (5) On 30 June 2022, the Agency issued the recommendation ERA 1175-1218 as regards the TSI relating to the operation and traffic management subsystem of the Union rail system. The Commission analysed the above recommendation and concluded that it is appropriate to amend Implementing Regulation (EU) 2019/773 to achieve greater harmonisation of rail operation in the Union.

• (6) The amendments to Implementing Regulation (EU) 2019/773 aim in particular to (i) incorporate new requirements for a greater harmonisation of the operational rules of the European Rail Traffic Management System (ERTMS), (ii) add new requirements covering ERTMS trackside engineering information relevant to operation that the infrastructure manager is required to provide to railway undertakings, and (iii) introduce a new format for the European Instructions and feedback from the examination of national rules on safety and operation.

• (7) In relation to the Future Railway Mobile Communication System (FRMCS) as successor to GSM-R, as it is not yet fully specified in Commission Implementing Regulation (EU) 2023/1695 ⁵, this Regulation deals with Global System for Mobile Communications – Railway (GSM-R) as the only Railway Mobile Radio (RMR) system.

• (8) Information exchange between infrastructure managers and railway undertakings relating to trains specifications and train operations newly defined in this Regulation should be further implemented in relevant provisions of TAF TSI and TAP TSI.

• (9) In accordance with Article 14(1) of Directive (EU) 2016/797, Member States are to notify national rules made redundant following the revision of technical specifications for interoperability. In view of the amendments proposed, it is appropriate to set a clear deadline for such notification to avoid legal uncertainty.

• (10) In accordance with the procedure laid down in Commission Implementing Regulation (EU) 2018/763 ⁶, the infrastructure managers and the railway undertaking need to ensure compliance with the Annex to Implementing Regulation (EU) 2019/773.

• (11) Implementing Regulation (EU) 2019/773 should therefore be amended accordingly.

• (12) The measures provided for in this Regulation are in accordance with the opinion of the Committee established in accordance with Article 51(1) of Directive (EU) 2016/797,

HAS ADOPTED THIS REGULATION:

Article 1

Implementing Regulation (EU) 2019/773 is amended as follows:

• (1) the following Articles 5a and 5b are inserted:

‘Article 5a

By 28 March 2024, each Member State shall notify to the Commission and the Agency any national rules made redundant by the entry into force of Commission Implementing Regulation (EU) 2023/1693[^ntr*1-L_2023222EN.01000101-E0007], together with a timetable for their withdrawal if not yet done.

Article 5b

By 28 June 2024, railway undertakings and infrastructure managers shall change their safety management system as defined in Article 9 of Directive (EU) 2016/798 in accordance with the requirements laid down in the Annex to this Regulation. Such changes, if limited to those strictly necessary to apply this Regulation, as amended, shall not be considered to be substantial changes to the safety regulatory framework within the meaning of Article 10(15) of Directive (EU) 2016/798.

[^ntr*1-L_2023222EN.01000101-E0007]: Commission Implementing Regulation (EU) 2023/1693 of 10 August 2023 amending Implementing Regulation (EU) 2019/773 on the technical specification for interoperability relating to the operation and traffic management subsystem of the rail (OJ L 222, 8.9.2023, p. 1).’;"

• (2) the Annex to Implementing Regulation (EU) 2019/773 is amended in accordance with the Annex to this Regulation.

Article 2

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

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

Done at Brussels, 10 August 2023.

For the Commission

The President

Ursula VON DER LEYEN

ANNEX

The Annex to Implementing Regulation (EU) 2019/773 is amended as follows:

• (1) point 1.3 is replaced by the following:

‘1.3.   Content

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

• (2) Chapter 2 is replaced by the following:

‘2.   DESCRIPTION OF SCOPE

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

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

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

• (3) point 3.2 is modified as follows:

• (a) the first and the second paragraphs are deleted;

• (b) table line 4.2.1.2 is replaced by:

‘4.2.1.2	Documentation for staff executing safety-critical tasks						X						X					X	X	X’

• (c) table line 4.2.1.2.1 is replaced by:

‘4.2.1.2.1	Rule book						X						X					X		X’

• (d) table lines 4.2.1.2.2.1, 4.2.1.2.2.2 and 4.2.1.2.2.3 are deleted;

• (e) table line 4.2.1.2.3 is replaced by:

‘4.2.1.2.3	Train running information for drivers																	X	X	X’

• (f) table line 4.2.1.2.4 is replaced by:

‘4.2.1.2.4	Informing the driver in real time during train operation																	X	X	X’

• (g) table lines 4.2.1.3 and 4.2.1.4 are deleted;

• (h) table line 4.2.3.1 is replaced by:

‘4.2.3.1	Train planning and timetable		X																X	X’

• (i) table lines 4.2.3.5.1 and 4.2.3.5.2 are replaced by:

‘4.2.3.5.1	Recording of monitoring data outside the train						X												X
4.2.3.5.2	Recording of monitoring data on-board the train						X												X’

• (4) point 4.1 is replaced by the following:

‘4.1.   Introduction

In accordance with Directive 2012/34/EU of the European Parliament and of the Council[^ntr*1-L_2023222EN.01000401-E0001], it is the overall responsibility of the infrastructure manager to provide all the appropriate parameters and characteristics of the infrastructure which shall be used by the railway undertaking to check the compatibility of railway undertaking’s trains to run on infrastructure manager’s network, taking into account the geographic particularities of individual lines and the functional or technical specifications set out in this section.

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

[^ntr*1-L_2023222EN.01000401-E0001]: Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (OJ L 343, 14.12.2012, p. 32).’;"

• (5) point 4.2 is replaced by the following:

‘4.2.   Functional and technical specifications of the subsystem

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

— staff executing safety-critical tasks,

— trains,

— train operations,

— ERTMS based harmonised operation.’;

• (6) point 4.2.1.1 is replaced by the following:

‘4.2.1.1.   General requirements

In its Safety Management Systems (SMS) established in accordance with Annexes I and II to Commission Delegated Regulation (EU) 2018/762[^ntr*2-L_2023222EN.01000401-E0002], each RU and IM shall identify its safety-critical tasks and safety-related functions, and the staff responsible for executing them. RUs and IMs shall define and describe in their SMS procedures and requirements to train, assess and monitor the competence of their staff executing safety-critical tasks, except the requirements laid down in the following provisions:

• (i) training, fitness and certification requirements for train drivers (addressed by Directive 2007/59/EC of the European Parliament and of the Council[^ntr*3-L_2023222EN.01000401-E0003]);

• (ii) elements relevant to professional qualification applicable to staff “accompanying trains” other than the train driver, to which Appendix F of this Annex shall apply;

• (iii) elements relevant to professional qualification applicable to staff “preparing trains” other than the train driver, to which Appendix G of this Annex shall apply.

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

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

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

[^ntr*2-L_2023222EN.01000401-E0002]: Commission Delegated Regulation (EU) 2018/762 of 8 March 2018 establishing common safety methods on safety management system requirements pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council and repealing Commission Regulations (EU) No 1158/2010 and (EU) No 1169/2010 (OJ L 129, 25.5.2018, p. 26)."

[^ntr*3-L_2023222EN.01000401-E0003]: Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community (OJ L 315, 3.12.2007, p. 51).’;"

• (7) point 4.2.1.2 is replaced by the following:

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

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

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

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

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

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

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

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

Future developments:

• 1. 12 months after the Agency has delivered the updates to the RINF Application in accordance with Article 6(1) of Implementing Regulation (EU) 2019/777 as amended by Implementing Regulation (EU) 2023/1694 and the IMs have made the data available through RINF, RUs shall base their Route Books on the information contained in RINF.

• 1. 12 months after point 1, IMs and RUs shall digitalise the Rule Book and the Route Book.

• 1. At the latest by 15 December 2025, the Agency shall deliver a Recommendation on how to harmonise the digitalisation of real time information exchange, based on Appendix C, between members of IMs’ and RUs’ staff.’;

• (8) point 4.2.1.2.1 is replaced by the following:

‘4.2.1.2.1.   Rule Book

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

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

The Rule Book shall cover:

• (a) for the RU:

• (i) the common EU safety and operating rules and procedures in accordance with Appendices A, B, C and D;

• (ii) complemented by the national rules covering areas defined by Appendix I, including the IM’s instructions to the RUs on the operations of its infrastructure and the rules for managing interfaces between the IM and the RUs, all of which need to be communicated to the RUs in accordance with the IM’s SMS interface procedures;

• (iii) RU instructions to the staff executing safety-critical tasks including train driver laid down in its SMS;

• (iv) information relevant to the vehicles and trains operated by the RU; and

• (v) all the lines over which the RU operates;

• (b) for the IM:

• (i) the common EU safety and operating rules and procedures in accordance with Appendices A, B, C and D;

• (ii) complemented by the national rules covering areas defined by Appendix I, including the rules for managing interfaces between the IM and the RUs;

• (iii) IM instructions to the staff executing safety-critical tasks laid down in its SMS;

• (iv) information relevant to the vehicles operated by the IM when applicable and when the IM is not acting as an RU; and

• (v) all the lines managed by the IM.

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

— staff safety and security,

— signalling and control command (class A and class B systems),

— train operation, including degraded mode and related to line characteristics and vehicle characteristics,

— incidents and accidents, including the reporting scheme, incident or accident management plan and the detailed actions to be taken in the event of an accident or an incident,

— degraded and emergency situations,

— for the Rus, traction and rolling stock, including all information relevant to the operation of the rolling stock during normal and degraded mode (such as trains requiring assistance); such documentation shall also focus on the specific interface with the infrastructure manager’s staff in these cases.

It shall have two appendices:

— Appendix 1: Manual of communication procedures in accordance with Appendix C1,

— Appendix 2: Book of European and national instructions in accordance with Appendix C2.

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

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

• (9) point 4.2.1.2.2 is replaced by the following:

‘4.2.1.2.2.   Route Book

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

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

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

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

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

RU Route Book:

Using the information received, the railway undertaking is responsible for the complete and correct compilation of the Route Book, covering the infrastructure on which it operates trains.

The railway undertaking shall ensure that the route information compiled in the Route Book consists in a description of the lines and the associated lineside equipment for the lines over which the driver will operate and relevant to the driving task.

The format of the Route Book shall be prepared in the same manner for all the infrastructures operated on by the trains of an individual railway undertaking.

When informed by the infrastructure manager of changes in the infrastructure information, the railway undertaking shall update the Route Book and communicate the modification in accordance with the procedures defined in their SMS, including instructing their drivers impacted by the change.

IM Route Book:

The IM shall compile in an IM Route Book the infrastructure information to be shared with their staff executing safety-critical tasks and compile it in accordance with its SMS.

The infrastructure manager shall update the IM Route Book, whenever such information becomes available and affects the tasks of its staff executing safety critical tasks, including permanent or temporary restrictions and modifications.’;

• (10) points 4.2.1.2.2.1, 4.2.1.2.2.2 and 4.2.1.2.2.3 are deleted;

• (11) point 4.2.1.2.3 is replaced by the following:

‘4.2.1.2.3.   Train running information for drivers

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

— the train identification,

— the train running days (if necessary),

— the stopping points and the activities associated with them,

— other timing points,

— the arrival/departure/passing times at each of those points.

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

• (12) point 4.2.1.2.4 is replaced by the following:

‘4.2.1.2.4.   Informing the driver in real time during train operation

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

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

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

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

• (13) point 4.2.1.3 and 4.2.1.4 are replaced by ‘Not used’;

• (14) in point 4.2.2.1.2, the fifth paragraph is replaced by the following:

‘In order to access lines identified in RINF where permissive driving is used, by the dates mentioned below for the harmonisation of the rear-end signal as per Section 4.2.2.1.3.2, the luminous intensity of vehicle headlamps shall be in accordance with the level defined for the full-beam headlamps in point (5) of Section 4.2.7.1.1 of the Annex to Commission Regulation (EU) 1302/2014[^ntr*4-L_2023222EN.01000401-E0004] (“TSI Loc&Pas”).

[^ntr*4-L_2023222EN.01000401-E0004]: Commission Regulation (EU) No 1302/2014 of 18 November 2014 concerning a technical specification for interoperability relating to the “rolling stock – locomotives and passenger rolling stock” subsystem of the rail system in the European Union (OJ L 356, 12.12.2014, p. 228).’;"

• (15) in point 4.2.2.1.3.2, the following text is deleted:

‘Reports:

At the latest by 31 December 2020, the concerned Member States shall deliver to the Commission reports on their use of reflective plates, identifying any serious obstacles to the planned elimination of national rules.’;

• (16) point 4.2.2.5.1 is amended as follows:

• (a) point B is replaced by the following:

• ‘(B) The infrastructure manager shall provide the information for route compatibility as defined in Appendix D1 through RINF.

Appendix D1 sets out all the parameters that shall be used in the process of the railway undertaking before the first use of a vehicle or train configuration in order to ensure all vehicles composing a train are compatible with the route(s) the train is planned to operate on including, where appropriate, deviation routes and routes to workshops. Modifications of the route and changes of infrastructure characteristics have to be taken into account. When a parameter of Appendix D1 is harmonised at network(s) level of an area of use, conformity with that parameter may be presumed for any vehicle authorised for that area of use. National rules or additional national requirements for network access in respect of route compatibility are in principle considered incompatible with Appendix D1. The infrastructure manager shall not require additional technical checks for the purpose of route compatibility beyond the list laid down in Appendix D1.

At the latest by 15 December 2026, until RINF allows for hosting the following new parameters:

• a) Specific check for Combined Transport

(i)	1.1.1.1.3.4.	Standard combined transport profile number for swap bodies
(ii)	1.1.1.1.3.9.	Standard combined transport profile number for roller units
(iii)	1.1.1.1.3.8.	Standard combined transport profile number for container
(iv)	1.1.1.1.3.5.	Standard combined transport profile number for semi-trailers
(v)	(CT Line code)

• b) Train detection systems: influencing unit

(i)	1.1.1.3.4.	Train detection systems defined based on frequency bands
(ii)	1.1.1.3.4.2.	Frequency bands for detection
(iii)	1.1.1.3.4.2.1.	Maximum interference current
(iv)	1.1.1.3.4.2.2.	Minimum Input impedance
(v)	1.1.1.3.4.2.3.	Maximum magnetic field

• c) 1.1.1.3.2.11. Safe consist length information from on-board necessary for access to the line and SIL

The infrastructure manager shall provide these information through other means free of charge as soon as possible and in electronic format to railway undertakings, authorised applicants for path requests and, where applicable, for the applicant referred to in Article 2(22) of Directive (EU) 2016/797.

The infrastructure manager shall inform the railway undertaking of the changes on characteristics of the route through RINF whenever such information becomes available and affects trains operation.’;

• (b) the following point (D) is added:

• ‘(D) Specific elements for route compatibility of Combined Transport trains:

• — a Combined Transport train not exceeding the loading gauge of all tracks of the line, and for which the CT code does not exceed the codification of all tracks of the line, shall be considered as a normal transport,

• — a Combined Transport train exceeding the loading gauge, and for which the CT code does not exceed the codification of the line, shall be considered as a transport with specific requirements as referred to in Appendix I. Such requirements shall be universally applicable to all trains in this category and compliance with them shall not need to involve any further authorisation process between the RU and the IM,

• — if the CT code exceeds the codification of the line, or if the line is not codified, a specific authorisation (exceptional transport), based on an evaluation of the operational and technical feasibility, shall be issued by the IM.

Operational procedures applicable to combined transport shall comply with the specifications set out in point 3 of the ERA Technical Document on codification of combined transport (ERA/TD/2023-01/CCT v1.1 21/03/2023 (¹)).

• (¹) ERA/TD/CCT publicly available on ERA website.’;

• (17) point 4.2.2.5.2 is amended as follows:

• (a) point (d) is deleted;

• (b) the following second paragraph is inserted:

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

• (18) point 4.2.2.6 is replaced by the following:

‘4.2.2.6.   Train braking

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

• (19) point 4.2.2.6.2 is amended as follows:

• (a) point (1) is replaced by the following:

• ‘(1) The infrastructure manager shall provide the railway undertaking with all relevant line characteristics for each route through RINF:

• (i) signalling distances (warning, stopping) containing their inherent safety margins, that are provided via the respective locations of “Stopping signal” and “Warning signal”, requested in Appendix D2 via the parameter 1.1.1.3.14.3;

• (ii) gradients;

• (iii) maximum permitted speeds;

• (iv) conditions of use of braking systems possibly affecting the infrastructure such as magnetic, regenerative and eddy current brake.

The infrastructure manager shall ensure that the information provided to the railway undertaking(s) is complete and accurate, and shall inform the railway undertaking of the changes on the line characteristics through RINF whenever such information becomes available and affects trains operation.’;

• (b) point (3) is replaced by the following:

• ‘(3) The railway undertaking shall, in the planning stage, determine the braking regime, the braking capability and corresponding maximum speed of the train taking into account:

• (i) the relevant line characteristics as expressed in point (1) and, if available, the information provided by the infrastructure manager in accordance to point (2); and

• (ii) the rolling stock-related margins derived from reliability and availability of the braking system.

Furthermore, the railway undertaking shall ensure that during operation each train achieves at least the necessary braking performance. In particular the railway undertaking has to set up rules to be used if a train does not reach the necessary braking performance during operation. In this case, the railway undertaking shall immediately inform the infrastructure manager. The infrastructure manager may take appropriate measures to reduce the impact on the overall traffic on its network.’;

• (20) point 4.2.2.8 is modified as follows:

‘4.2.2.8.   Requirements for signal and lineside marker sighting

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

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

• (i) that they are suitably sited so that train head lights allow the driver to read the information;

• (ii) suitability and intensity of lighting, where required to illuminate the information;

• (iii) where retro-reflectivity is employed, the reflective properties of the material used are in compliance with appropriate specifications and the signs are fabricated so that train head lights easily allow the driver to read the information.

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

• (21) point 4.2.2.9 is replaced by the following:

‘4.2.2.9.   Driver Vigilance

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

• (22) point 4.2.3 is replaced by the following:

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

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

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

• (23) point 4.2.3.1 is replaced by the following:

‘4.2.3.1.   Train planning and timetable

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

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

• (24) point 4.2.3.3.1 is replaced by the following:

‘4.2.3.3.1.   Checks and tests before departure

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

• (25) the word ‘supervision’ in the title of points 4.2.3.5.1 and 4.2.3.5.2 is replaced by ‘monitoring’;

• (26) in point 4.2.3.4.3, the second indent is replaced by the following:

• ‘— information to the driver of the presence and position of dangerous goods on the train’;

• (27) in point 4.3.1, the table line ‘Modifications to information contained within the Route Book – Degraded Operation’ is replaced by the following:

‘Route Book	4.2.1.2.2	Operating rules	4.4’
Degraded operation	4.2.3.6	Operating rules	4.4’

• (28) in point 4.3.2, the table is amended as follows:

• (i) the line ‘Driver’s Rule Book Operating rules’ is replaced by the following:

‘Rule Book	4.2.1.2.1	Operating rules (normal and degraded conditions) List of harmonised text indications and messages displayed on the ETCS Driver Machine Interface	4.4 Appendix E’
Operating rules	4.4	Operating rules (normal and degraded conditions) List of harmonised text indications and messages displayed on the ETCS Driver Machine Interface	4.4 Appendix E’
ERTMS trackside engineering information relevant to operation	Appendix D3	Operating rules (normal and degraded conditions) List of harmonised text indications and messages displayed on the ETCS Driver Machine Interface	4.4 Appendix E’

• (ii) the line ‘Requirements for lineside signal and marker sighting’ is replaced by the following:

‘Requirements for lineside signal and marker sighting	4.2.2.8	Track-side control-command and signalling objects	4.2.15 4.2.18’

• (iii) the line ‘Driver’s Rule Book’ is replaced by the following:

‘Rule Book	4.2.1.2.1	Use of sanding equipment On-board flange lubrication Use of composite brake blocks	4.2.10’

• (29) in point 4.3.3.1:

• (a) the line ‘Recording of supervision data on-board the train’ is replaced by the following:

‘Recording of monitoring data on-board the train	4.2.3.5 Appendix I	Recording device	4.2.9.6’

• (b) the line ‘Route Compatibility and Train composition, Minimum elements relevant to professional qualification for the tasks associated with “accompanying trains”’ is replaced by the following:

‘Route Compatibility and Train composition Elements relevant to professional qualification for the tasks associated with “accompanying trains”	4.2.2.5 Appendix F	Operating documentation	4.2.12.4’

• (30) in point 4.3.4, the table is replaced by:

‘Reference this Regulation	‘Reference this Regulation	Reference TSI ENE	Reference TSI ENE	Reference TSI ENE
Parameter	Point	Parameter	Parameter	Point
Route Compatibility and Train composition	4.2.2.5	Maximum train current	Maximum train current	4.2.4.1
Route Book	4.2.1.2.2	Maximum train current	Maximum train current	4.2.4.1
Route Compatibility and Train composition	4.2.2.5	Separation sections	Phase	4.2.15
Route Book	4.2.1.2.2	Separation sections	System	4.2.16
Parameters for the vehicle and train compatibility over the route intended for operation	Appendix D1	Route compatibility checks before the use of authorised vehicles	Route compatibility checks before the use of authorised vehicles	7.3.5’

• (31) in point 4.3.6, the line ‘Train Planning’ is replaced by the following:

‘Train planning and timetable	4.2.3.1	Quieter routes	Appendix D’

• (32) in point 4.4.3, the third and the fourth paragraphs are deleted;

• (33) in point 4.6.1, last paragraph is replaced by the following:

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

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

• (34) in point 4.6.2.2, point (a), the third indent is replaced by the following:

• ‘— complete the forms associated with the use of the Book of European and national Instructions’;

• (35) in points 4.6.3.1 and 4.6.3.2. the following text is deleted:

‘or Commission Regulations (EU) No 1158/2010 (¹⁵) and (EU) No 1169/2010 (¹⁶)

• (¹⁵) Commission Regulation (EU) No 1158/2010 of 9 December 2010 on a common safety method for assessing conformity with the requirements for obtaining railway safety certificates (OJ L 326, 10.12.2010, p. 11).

• (¹⁶) Commission Regulation (EU) No 1169/2010 of 10 December 2010 on a common safety method for assessing conformity with the requirements for obtaining a railway safety authorization (OJ L 327, 11.12.2010, p. 13).’;

• (36) point 4.7.1 is replaced by the following:

‘4.7.1.   Introduction

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

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

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

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

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

— Staff “accompanying trains” other than the train driver,

— Staff undertaking the task of preparing trains,

— Staff undertaking the task of dispatching and authorising the movement of trains.

4.7.1.1.   Alcohol, drugs and psychotropic medication limits

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

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

• (37) the title of point 4.7.2.1.1 is modified as follows:

‘4.7.2.1.1.   Content of the medical examination’;

• (38) the second paragraph of point 4.7.2.1.2 is modified as follows:

‘, as a minimum,’ is deleted;

• (39) the title of point 4.7.2.2.2 is modified as follows:

‘4.7.2.2.2.   Content of the periodic medical examination’;

• (40) the first paragraph of point 4.7.2.2.2 is modified as follows:

‘as a minimum’ is deleted;

• (41) point 4.8.1 is replaced by the following:

‘4.8.1.   Infrastructure

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

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

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

• (42) in point 6.2.1, the second and third paragraphs are replaced by the following:

‘In accordance with Articles 9 and 10 of Directive (EU) 2016/798, railway undertakings and infrastructure managers shall demonstrate compliance with the requirements of this Regulation within their safety management system when applying for any new or amended safety certificate or safety authorisation in accordance with Commission Implementing Regulation (EU) 2018/763[^ntr*5-L_2023222EN.01000401-E0005].

The common safety methods on safety management system requirements as laid down by Commission Delegated Regulation (EU) 2018/762 require national safety authorities to set up an inspection regime to supervise and monitor compliance with the safety management system in accordance with Commission Delegated Regulation (EU) 2018/761[^ntr*6-L_2023222EN.01000401-E0006], including all TSIs. None of the requirements contained within this Regulation require separate assessment by a Notified Body.

[^ntr*5-L_2023222EN.01000401-E0005]: Commission Implementing Regulation (EU) 2018/763 of 9 April 2018 establishing practical arrangements for issuing single safety certificates to railway undertakings pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council, and repealing Commission Regulation (EC) No 653/2007 (OJ L 129, 25.5.2018, p. 49)."

[^ntr*6-L_2023222EN.01000401-E0006]: Commission Delegated Regulation (EU) 2018/761 of 16 February 2018 establishing common safety methods for supervision by national safety authorities after the issue of a single safety certificate or a safety authorisation pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council and repealing Commission Regulation (EU) No 1077/2012 (OJ L 129, 25.5.2018, p. 16).’;"

• (43) point 7.1 is replaced by the following:

‘7.1.   General rules for implementation

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

7.1.1.   Specific transition rules for Appendices A and C

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

• (a) a commitment of implementation issued by the IM’s management;

• (b) an implementation plan of the IM, including training schedules, which sets the delays for the application of the modified operational procedures necessary and, where relevant, the implementation of the respective appropriate IT tools.

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

• (44) point 7.2.2.1 is replaced by the following:

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

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

Image omitted; see official source

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

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

Image omitted; see official source

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

• (45) Appendix A is replaced by the following:

‘Appendix A

ERTMS operational principles and rules – version 6

1. INTENTIONALLY BLANK

1. INTENTIONALLY BLANK

1. 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.

1. REFERENCES, TERMS AND ABBREVIATIONS

4.1.   (not used)

4.2.   Terms & abbreviations

Table 1

Terms*

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 16494/20157 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.

Table 2

Abbreviations*

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”).	* 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”).

1. PRINCIPLES

5.1.   Principles for ETCS

5.1.1.   CAB-signalling

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

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

5.1.2.   Knowledge of operating level

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

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

5.1.3.   (not used)

5.1.4.   (not used)

5.1.5.   (not used)

5.1.6.   Authorisation to start a movement in SR

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

5.1.7.   Speed restrictions in SR

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

5.1.8.   Authorisation to pass an EOA

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

5.1.9.   Train/shunting composition being tripped

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

5.1.10.   ETCS stop marker

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

• (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.

5.1.11.   ETCS location marker

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)

1. ETCS OPERATIONAL RULES

6.1.   Putting the ETCS on-board into service

The driver switches the ETCS on-board on. Levels 0, 1, 2, NTC

6.1.1.   Entering data during start of mission

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

In case the following text message is displayed:

“Radio network registration failed”

the driver shall enter the radio network identification.

6.1.2.   Manual change of data

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

• (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).

6.2.1.   The traction unit has to move as a train

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).

6.2.2.   The traction unit has to move in SH

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

6.2.3.   The traction unit has to move in NL

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

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

Levels 1 without trackside signals, 2 without trackside signals

When the following symbol is displayed with a flashing frame:

Image omitted; see official source

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:

Image omitted; see official source

• (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:

Image omitted; see official source

• (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:

Image omitted; see official source

The driver shall apply rule “Running in SR” (section 6.14).

6.2.5.   The traction unit has to move in SL