2006/920/EC: Commission Decision of 11 August 2006 concerning the technical specification of interoperability relating to the subsystem Traffic Operation and Management of the trans-European conventional rail system (notified under document number C(2006) 3593)   (Text with EEA relevance)
Date: 2006-08-11
Institutions: European Commission
Subjects: intra-EU transport, rail transport, technical standard, trans-European network, transport infrastructure, transport safety

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II

(Acts whose publication is not obligatory)

COMMISSION

COMMISSION DECISION

of 11 August 2006

concerning the technical specification of interoperability relating to the subsystem ‘Traffic Operation
and Management’ of the trans-European conventional rail system

(notified under document number C(2006) 3593)

(Text with EEA relevance)

(2006/920/EC)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Commu-
nity,

Having regard to Directive 2001/16/EC of 19 March 2001 of the
European Parliament and of the Council on the interoperability
of the conventional rail system (1), and in particular Article 6(1)
thereof,

Whereas:

(1)

(2)

(3)

(4)

In accordance with Article 2(c) of Directive 2001/16/EC,
the trans-European conventional rail system is subdivided
into structural and functional subsystems.

the Directive, the
In accordance with Article 23(1) of
subsystem ‘Traffic Operation and Management’ needs to be
covered by a technical specification for interoperability
(TSI).

The first step in establishing a TSI is to have a draft TSI
drawn up by the European Association for Railway
Interoperability (AEIF), which was appointed as the joint
representative body.

The AEIF has been given a mandate to draw up a draft TSI
for the ‘Traffic Operation and Management’ subsystem in
accordance with Article 6(1) of Directive 2001/16/EC. The
basic parameters provided for
this
in Article 6(4) of
Directive were discussed as part of the attached TSI.

(5)

(6)

(7)

The draft TSI was accompanied by an introductory report
containing a cost-benefit analysis as provided for
in
Article 6(5) of the Directive.

The draft TSIs have been examined by the Committee set
up by Council Directive 96/48/EC 0f 23 July 1996 on the
interoperability of
the trans-European high-speed rail
system (2) and referred to in Article 21 of Directive 2001/
16/EC, in the light of the introductory report.

In its current version the TSI does not fully deal with all
aspects of interoperability; the items which are not dealt
with are classified as ‘Open Points’ in Annex U of the TSI.
Given that the verification of interoperability has to be
established by reference to the requirements of the TSIs, in
accordance with Article 16(2) of Directive 2001/16/EC, it is
necessary, during the transition period between the
publication of this Decision and the full implementation
of the attached TSI, to lay down the conditions to be
complied with in addition to those explicitly referred to in
the TSI attached. To this end, Member States are to inform
the other Member States and the Commission of
the
relevant national
rules in use for achieving
interoperability and meeting the essential requirements of
Directive 2001/16/EC as well as of the bodies it appoints
the procedure for the assessment of
for carrying out
conformity or suitability for use as well as the checking
procedure in use for verifying the interoperability of
subsystems within the meaning of Article 16(2) of Directive
2001/16/EC. The Commission should carry out an analysis
of the information forwarded by the Member States and,
where appropriate, should discuss with the Committee the
need for the adoption of any further measures.

technical

(1) OJ L 110, 20.4.2001, p. 1. Directive as amended by Directive 2004/
50/EC (OJ L 164, 30.4.2004, p. 114, corrected by OJ L 220,
21.6.2004, p. 40).

(2) OJ L 235, 17.9.1996, p. 6. Directive as last amended by Directive

2004/50/EC.

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(8)

(9)

The TSI in question should not demand the use of specific
technologies or technical solutions except where this is
strictly necessary for the interoperability of
the trans-
European conventional rail system.

shall be applicable to the traffic operation and
The TSI
management subsystem as defined in Annex II section 2.4 to
Directive 2001/16/EC.

The TSI is based on best available expert knowledge at the
time of preparation of the relevant draft. Developments in
technology, operational, safety or social requirements may
make it necessary to amend or supplement this TSI. Where
applicable, a review or updating procedure should be
initiated in accordance with Article 6(3) of Directive 2001/
16/EC.

1. With regard to those issues classified as ‘Open points’ set out
in Annex U of the TSI, the conditions to be complied with for
the verification of the interoperability pursuant to Article 16(2)
of Directive 2001/16/EC shall be those applicable technical rules
in use in the Member State which authorise the placing in service
of the subsystem covered by this Decision.

Article 2

(10) To encourage innovation and in order to take into account
the experience acquired, the attached TSI should be subject
to a periodical revision at regular intervals.

2.
Each Member State shall notify to the other Member States
and to the Commission within six months of the notification of
this Decision:

(11) Where innovative solutions are proposed the manufacturer
or the contracting entity shall state the deviation from the
relevant section of the TSI. The European Rail Agency will
finalise the appropriate functional and interface specifica-
tions of the solution and develop the assessment methods.

(a)

the list of
paragraph 1;

the applicable technical rules mentioned in

(b)

the conformity assessment and checking procedures to be
applied with regard to the application of these rules;

(12)

Implementation of the attached TSI and conformity with
the relevant sections of the TSI must be determined in
accordance with an implementation plan that shall be
drawn up by each Member State for the lines for which it is
responsible. The Commission should carry out an analysis
of the information forwarded by the Member States and,
where appropriate, should discuss with the Committee the
need for the adoption of any further measures.

(13) Rail

traffic currently operates under existing national,
bilateral, multinational or international agreements. It is
important that those agreements do not hinder current and
future progress towards interoperability. To this end, it is
necessary that the Commission examine those agreements
in order to determine whether the TSI presented in this
Decision needs to be revised accordingly.

(14) The provisions of this Decision are in conformity with the
opinion of the Committee set up by Article 21 of Directive
96/48/EC,

HAS ADOPTED THIS DECISION:

Article 1

(c)

the bodies it appoints for carrying out those conformity-
assessment and checking procedures.

Article 3

Member States shall notify the following types of agreement to
the Commission within six months of the entry into force of the
attached TSI:

(a)

(b)

(c)

national, bilateral or multilateral agreements between
Member States and railway undertaking(s) or infrastructure
manager(s), agreed on either a permanent or a temporary
basis and required due to the very specific or local nature of
the intended train service;

bilateral or multilateral agreements between railway under-
infrastructure manager(s) or Member State(s)
taking(s),
which deliver
regional
interoperability;

significant

levels of

local or

international agreements between one or more Member
State(s) and at least one third country, or between railway
undertaking(s) or infrastructure manager(s) of Member
States and at least one railway undertaking or infrastructure
manager of a third country, which deliver significant levels
of local or regional interoperability.

A Technical Specification for Interoperability (TSI) relating to the
the trans-
‘traffic operation and management’ subsystem of
European conventional system referred to in Article 6(1) of
Directive 2001/16/EC is hereby adopted by the Commission.

Article 4

The TSI shall be as set out in the Annex to this Decision.

Member States shall establish a national implementation plan of
the TSI in accordance with the criteria specified in Chapter 7 of
the Annex.

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forward this implementation plan to the other
They shall
Member States and the Commission not later than one year after
the date on which this Decision becomes applicable.

This Decision is addressed to the Member States.

Article 6

Article 5

Done at Brussels, 11 August 2006.

This Decision shall become applicable six months after the date
of its notification.

For the Commission
Jacques BARROT
Vice-President

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ANNEX

TECHNICAL SPECIFICATION FOR INTEROPERABILITY

SUBSYSTEM: OPERATION AND TRAFFIC MANAGEMENT

INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Technical scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Geographical scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DEFINITION OF SUBSYSTEM/SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Staff and trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Operating principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Applicability to existing vehicles and infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Link Between This TSI and Directive 2004/49/EC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ESSENTIAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Compliance with the essential requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Essential requirements — overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Specific aspects in relation to these requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reliability and availability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Health . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Environmental protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Technical compatibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Aspects relating specifically to the Traffic Operation and Management subsystem . . . . . . .

Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reliability and availability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Technical compatibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CHARACTERISTICS OF THE SUB-SYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Functional and technical specifications of the sub-system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Specifications relating to staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

General requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Documentation for drivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.

1.1.

1.2.

2.

2.1.

2.2.

2.2.1.

2.2.2.

2.2.3.

2.3.

3.

3.1.

3.2.

3.3.

3.3.1.

3.3.2.

3.3.3.

3.3.4.

3.3.5.

3.4.

3.4.1.

3.4.2.

3.4.3.

4.

4.1.

4.2.

4.2.1.

4.2.1.1.

4.2.1.2.

4.2.1.2.1.

Rule Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1.2.2.

Description of the line and the relevant lineside equipment associated with the lines worked over

4.2.1.2.2.1.

Preparation of the Route Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1.2.2.2.

Modified elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10

10

10

10

10

11

11

12

12

12

12

12

12

13

13

13

13

14

14

15

15

15

16

16

16

16

17

17

17

17

18

18

19

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4.2.1.2.2.3.

Informing the driver in real time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1.2.3.

Timetables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1.2.4.

Rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1.3.

Documentation for Railway Undertaking staff other than drivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.1.4.

Documentation for Infrastructure Manager’s staff authorising train movements . . . . . . . . . . . . . . . . .

4.2.1.5.

Safety-related communications between traincrew, other Railway Undertaking staff and staff
authorising train movements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.

Specifications relating to trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.1.

Train visibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.1.1.

General requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.1.2.

Front end . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.1.3.

Rear end . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.2.

Train audibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.2.1.

General requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.2.2.

Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.3.

Vehicle identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.4.

Freight vehicle loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.4.1.

Weight distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.4.2.

Axle loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.4.3.

Load securing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.4.4.

Kinematic envelope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.4.5.

Load covering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.5.

Train composition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.

Train braking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.1.

Minimum requirements of the braking system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.6.2.

Brake performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.7.

Ensuring that the train is in running order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.7.1.

General requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.2.7.2.

Data required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.

Specifications relating to train operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.1.

Train planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.2.

Identification of trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.3.

Train departure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.3.1.

Checks and tests before departure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.3.2.

Informing the Infrastructure Manager of the train's operational status . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.4.

Traffic management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19

19

20

20

20

20

20

20

20

20

21

21

21

21

21

21

21

21

21

21

21

21

22

22

22

23

23

23

23

23

23

23

23

23

23

L 359/6

EN

Official Journal of the European Union

18.12.2006

4.2.3.4.1.

General requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.4.2.

Train reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.4.2.1.

Data required for train position reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.4.2.2.

Predicted hand over time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.4.3.

Dangerous goods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.4.4.

Operational quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.5.

Data recording . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.5.1.

Recording of supervision data outside the train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.5.2.

Recording of supervision data on-board the train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.6.

Degraded operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.6.1.

Advice to other users . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.6.2.

Advice to train drivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.6.3.

Contingency arrangements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.7.

Managing an emergency situation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2.3.8.

Aid to traincrew in the event of an incident or of a major rolling stock malfunction . . . . . . . . . . .

4.3.

4.3.1.

4.3.2.

Functional and technical specifications of the interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Interfaces with the Infrastructure TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Interfaces with the Control/Command and Signalling TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.1.

Recording of supervision data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.2.

Driver vigilance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.3.

ERTMS/ETCS and ERTMS/GSM-R operating rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.4.

Signal and lineside marker sighting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.5.

Train braking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.6.

Use of sanding. Minimum elements relevant to professional qualifications for the task of driving a
train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.2.7.

Data recording and hot axle box detection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.

Interfaces with the Rolling Stock TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.1.

Vehicle identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.2.

Braking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.3.

Requirements for passenger vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.4.

Train visibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.4.1.

On the leading vehicle of a train facing in the direction of travel

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.4.2.

On the rear end . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.5.

Train audibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.6.

Signal sighting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.7.

Driver vigilance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.8.

Train composition and annex B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23

24

24

24

24

25

25

25

26

26

26

26

26

27

27

27

27

27

27

27

28

28

28

28

28

28

28

28

28

29

29

29

29

30

30

30

18.12.2006

EN

Official Journal of the European Union

L 359/7

4.3.3.9.

Freight Vehicle loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.10.

Ensuring that the train is in running order and Dangerous goods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.11.

Train composition, annexes H and L . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.12.

Contingency arrangements and Managing an emergency situation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.3.13.

Data recording . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.4.

Interfaces with the TSI Telematic Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.4.1.

Identification of trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.4.2.

Train composition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.4.3.

Train departure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.4.4.

Train running . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.3.4.5.

Vehicle identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.4.

4.5.

4.6.

Operating rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Maintenance rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Professional qualifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.1.

Professional competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.1.1.

Professional knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.1.2.

Ability to put this knowledge into practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.2.

Linguistic competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.2.1.

Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.2.2.

Level of knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.

Initial and ongoing assessment of staff

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.1.

Basic elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.2.

Analysis of training needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.2.1.

Development of the analysis of training needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.2.2.

Updating the analysis of training needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.2.3.

Specific elements for traincrew and auxiliary staff

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.2.3.1.

Route knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.2.3.2.

Knowledge of rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.6.3.2.3.3.

Auxiliary staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.

4.7.1.

4.7.2.

4.7.3.

Health and safety conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Criteria for approval of occupational doctors and medical organisations . . . . . . . . . . . . . . . . . . . . . . . .

Criteria for approval of psychologists involved in psychological assessment and psychological
assessment requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.3.1.

Certification of psychologists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.3.2.

Content and interpretation of psychological assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.3.3.

Selection of assessment tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

30

30

30

30

30

31

31

31

31

31

31

31

31

31

31

32

32

32

32

32

33

33

33

33

34

34

34

34

34

34

34

35

35

35

35

35

L 359/8

EN

Official Journal of the European Union

18.12.2006

4.7.4.

Medical examinations and psychological assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.4.1.

Before appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.4.1.1.

Minimum content of the medical examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.4.1.2.

Psychological assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.4.2.

After appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.4.2.1.

Periodicity of periodic medical examinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.4.2.2.

Minimum content of the periodic medical examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.4.2.3.

Additional medical examinations and/or psychological assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.5.

Medical requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.5.1.

General requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.5.2.

Vision requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.5.3.

Hearing requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.5.4.

Pregnancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.6.

Specific requirements regarding the task of driving a train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.6.1.

Periodicity of periodic medical examinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.6.2.

Additional content of medical examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.6.3..

Additional vision requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.6.4.

Additional hearing and speaking requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.6.5.

Anthropometrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.7.6.6.

Trauma Counselling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.8.

4.8.1.

4.8.2.

5.

5.1.

5.2.

5.3.

6.

6.1.

6.2.

6.2.1.

6.2.2.

6.2.3..

Infrastructure and Rolling stock registers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

INTEROPERABILITY CONSTITUENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

List of constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Constituents' performances and specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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

Interoperability constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Traffic Operation and Management Subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rules and procedures documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Assessment procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.3.1.

Decision by the Competent Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6.2.3.2.

If an assessment is required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

35

35

35

35

36

36

36

36

37

37

37

37

38

38

38

38

38

38

38

38

38

39

39

39

39

39

39

39

39

39

39

40

40

40

40

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6.2.4.

System performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7.

7.1.

7.2.

7.3.

7.3.1.

7.3.2.

IMPLEMENTATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Implementation guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Specific cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

List of specific cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX A1

ERTMS/ETCS OPERATING RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX A2

ERTMS/GSM-R OPERATING RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX B

OTHER RULES ENABLING A COHERENT OPERATION OF NEW STRUCTURAL SUBSYSTEMS

ANNEX C

SAFETY RELATED COMMUNICATIONS METHODOLOGY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX D

INFORMATION TO WHICH THE RAILWAY UNDERTAKING MUST HAVE ACCESS IN
CONNECTION WITH THE ROUTE(S) OVER WHICH HE INTENDS TO OPERATE . . . . . . . . . . . . .

ANNEX E

LANGUAGE AND COMMUNICATION LEVEL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX F

TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM ASSESSMENT GUIDELINES . . . . . . . .

ANNEX G

INFORMATIVE AND NOT MANDATORY LIST OF ELEMENTS TO BE VERIFIED FOR EACH
BASIC PARAMETER . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX H

MINIMUM ELEMENTS RELEVANT TO PROFESSIONAL QUALIFICATION FOR THE TASK OF
DRIVING A TRAIN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX I

NOT USED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

40

40

40

42

42

42

42

43

72

73

74

85

90

91

93

97

99

ANNEX J

:MINIMUM ELEMENTS RELEVANT TO PROFESSIONAL QUALIFICATION FOR THE TASKS
ASSOCIATED WITH ‘ACCOMPANYING TRAINS’ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

100

ANNEX K

NOT USED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

101

ANNEX L

MINIMUM ELEMENTS RELEVANT TO PROFESSIONAL QUALIFICATION FOR THE TASK OF
PREPARING TRAINS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

102

ANNEX M

NOT USED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

103

ANNEX N

IMPLEMENTATION GUIDELINES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

104

ANNEX O

NOT USED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

108

ANNEX P

VEHICLE IDENTIFICATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

109

ANNEX Q

NOT USED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

153

ANNEX R

TRAIN IDENTIFICATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

153

ANNEX S

TRAIN VISIBILITY — REAR END . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

154

ANNEX T

BRAKE PERFORMANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

154

ANNEX U

LIST OF OPEN POINTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

155

ANNEX V

PREPARATION AND UPDATING RULES DOCUMENTATION FOR DRIVERS . . . . . . . . . . . . . . . . . .

156

GLOSSARY

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

157

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TECHNICAL SPECIFICATION FOR INTEROPERABILITY

TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM

1.

1.1.

INTRODUCTION

TECHNICAL SCOPE

This TSI concerns the Traffic Operation and Management subsystem shown in the list contained in point 1 of Annex II to
Directive 2001/16/EC.

Further information on this subsystem is provided in Chapter 2.

1.2.

GEOGRAPHICAL SCOPE

The geographical scope of this TSI is the trans-European conventional rail system as described in Annex I to Directive 2001/
16/EC.

Content of this TSI

In accordance with Article 5(3) of Directive 2001/16/EC, this TSI:

(a)

indicates its intended scope of the Traffic Operation and Management subsystem — Chapter 2;

(b)

(c)

(d)

(e)

(f)

(g)

lays down essential requirements for each subsystem concerned and its interfaces vis-à-vis other subsystems —
Chapter 3;

establishes the functional and technical specifications to be met by the target subsystem and its interfaces vis-à-vis
other subsystems. If necessary, these specifications may vary according to the use of the subsystem, for example
according to the categories of line, hub and/or rolling stock provided for in Annex I to the Directive — Chapter 4;

determines the interoperability constituents and interfaces covered by European specifications, including European
standards, which are necessary to achieve interoperability within the trans-European conventional rail system —
Chapter 5;

states, in each case under consideration, the procedures for the assessment of conformity or suitability for use. This
includes in particular the modules defined in Decision 93/465/EEC or, where appropriate, the specific procedures to
be used to assess either the conformity or the suitability for use of interoperability constituents and ‘EC’ verification of
subsystems. Where there are documents which can be used as references to assist the implementation of this TSI, these
are listed — Chapter 6;

indicates the strategy for implementing the TSI. In particular, it is necessary to specify the stages to be completed and
the elements that can be applied in order to make a gradual transition from the existing situation to the final situation
in which compliance with the TSI must be the norm — Chapter 7;

indicates, for the staff concerned, the professional qualifications and health and safety conditions at work required for
the operation and maintenance of the subsystem concerned, as well as for the implementation of the TSI —
Chapter 4.

Moreover, in accordance with Article 5(5), provision may be made for specific cases for each TSI; these are indicated in
Chapter 7.

This TSI also comprises, in Chapter 4, the operating and maintenance rules specific to the scope indicated in Subsections 1.1
and 1.2 above.

2.

2.1.

DEFINITION OF SUBSYSTEM/SCOPE

SUBSYSTEM

The Traffic Operation and Management subsystem is defined by annex II to Directive 2001/16/EC, section 2.4.

It includes in particular:

— ‘The procedures and related equipment enabling a coherent operation of the different structural subsystems, both
during normal and degraded operation, including in particular train driving, traffic planning and management.

— The professional qualifications which may be required for carrying out cross-border services’

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2.2.

SCOPE

The scope of this TSI applies to the Traffic Operation and Management subsystem of Infrastructure Managers and Railway
Undertakings related to the operation of trains on the conventional rail TEN lines.

The specifications laid down in the TSI on Traffic Operation and Management may be used as a reference document for the
operation of trains even if they are not covered by the scope of this TSI.

2.2.1.

STAFF AND TRAINS

Subsections 4.6 & 4.7 apply to those staff undertaking the safety critical tasks of driving a train and accompanying a train,
when this involves crossing a border(s) between states and working beyond any location(s) designated as the ‘frontier’ in the
Network Statement of an Infrastructure Manager and included in his safety authorisation.

A staff member will not be considered as crossing a border if the activity only involves working as far as any ‘frontier’
locations as described above.

For those staff undertaking the safety critical tasks of despatching trains and authorising train movements, mutual
recognition of professional qualifications and health and safety conditions between Member States will apply.

For those staff undertaking the safety critical tasks associated with the last preparation of a train before it is scheduled to
cross a border(s) and work beyond any ‘frontier’ location(s) as described above, Subsection 4.6 will apply with mutual
recognition between Member States of health and safety conditions. A train will not be considered to be a cross border
service, if all the vehicles of the train crossing the state border cross it only to the ‘frontier’ location(s) as described above.

This can be summarised in the tables below:

Staff involved with the working of trains that will cross-state borders and proceed beyond the frontier location.

Task

Professional Qualifications

Medical Requirements

Driving a Train and Accompanying a
Train

4.6

Authorising Train movements

Mutual recognition

Train Preparation

Train Despatch

4.6

Mutual recognition

4.7

Mutual recognition

Mutual recognition

Mutual recognition

Staff working trains that do not cross state borders or do so as far as frontier locations

Task

Professional Qualifications

Medical Requirements

Driving a Train and Accompanying a
Train

Authorising Train movements

Train Preparation

Train Despatch

Mutual recognition

Mutual recognition

Mutual recognition

Mutual recognition

Mutual recognition

Mutual recognition

Mutual recognition

Mutual recognition

In reading these tables it must be noted that the communications principles described in Chapter 4.2.1 are a mandatory
requirement.

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2.2.2.

OPERATING PRINCIPLES

The existing European differences in infrastructure layout and concepts, which are at least partly responsible for existing
differences in rules and procedures, can often only be overcome as a result of huge investment.

Consequently, the general objective of the present version of this TSI, which is the first one after the entry into force of
Directive 2001/16/EC, is not to create a single European rulebook for conventional rail traffic operation and management.
However, the rules and procedures enabling a coherent operation of the new structural subsystems intended to be used in
the TEN, and in particular those that are linked directly to the operation of a new train control and signalling system, must
be identical where identical situations exist.

Initially, this TSI has only covered those elements (as set out in Chapter 4) of the conventional rail ‘Traffic Operation and
Management’
interfaces between Railway Undertakings and
Infrastructure Managers or where there is a particular benefit to interoperability. In doing this, due consideration was
given to the requirements of Directive 2004/49/EC (the Railway Safety Directive),

subsystem, where principally there are operational

Subsequently, it is intended that detailed operating rules for the European Railway Traffic Management System (ERTMS) be
specified in Annex (A1 for ERTMS/ETCS, A2 for ERTMS/GSMR) to this TSI when they become available. At present, the
attached annex A1 is only informative and not mandatory, because the rules are not yet finalised.

2.2.3.

APPLICABILITY TO EXISTING VEHICLES AND INFRASTRUCTURE

While the majority of the requirements contained in this TSI relate to processes and procedures, a number also relate to
physical elements, trains and vehicles which are important for operation.

The design criteria for these elements are described in the TSIs covering other subsystems such as rolling stock. In the
context of the OPE TSI it is their operational function that is considered.

In such cases, it is recognised that modifying existing rolling stock/infrastructure facilities to meet the full requirements of
this TSI may not be cost effective. The requirements concerned need therefore, only be applied to new elements or when the
element is upgraded or renewed and requires new authorisation for placing into service within the meaning of Directive
2001/16/EC Article 14.3.

2.3.

LINK BETWEEN THIS TSI AND DIRECTIVE 2004/49/EC

Although this TSI is developed under the Interoperability Directive 2001/16/EC, it addresses requirements closely related to
the operational procedures and processes required from an Infrastructure Manager or Railway Undertaking when applying
for a safety certificate under the Safety Directive 2004/49/EC

3.

3.1.

ESSENTIAL REQUIREMENTS

COMPLIANCE WITH THE ESSENTIAL REQUIREMENTS

In accordance with Article 4(1) of Directive 2001/16/EC, the trans-European conventional rail system, its subsystems and
their interoperability constituents must meet the essential requirements set out in general terms in Annex III to the Directive.

3.2.

ESSENTIAL REQUIREMENTS — OVERVIEW

The essential requirements cover:

— safety,

— reliability and availability,

— health,

— environmental protection,

— technical compatibility.

According to Directive 2001/16/EC, the essential requirements may be generally applicable to the whole trans-European
conventional rail system or be specific to each subsystem and its constituents.

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3.3.

SPECIFIC ASPECTS IN RELATION TO THESE REQUIREMENTS

The relevance of the general requirements to the Traffic Operation and Management subsystem is determined in the
following clauses.

3.3.1.

SAFETY

In accordance with Annex III of Directive 2001/16/EC, the safety-related essential requirements that apply to the Traffic
Operation and Management subsystem are the following:

Essential requirement 1.1.1 of Annex III to Directive 2001/16/EC:

‘The design, construction or assembly, maintenance and monitoring of safety-critical components and, more particularly, of
the components involved in train movements must be such as to guarantee safety at the level corresponding to the aims laid
down for the network, including those for specific degraded situations.’

As far as the Traffic Operation and Management subsystem is concerned, this essential requirement is addressed by the
specification of Subsection ‘train visibility’ (sub sections 4.2.2.1 and 4.3) and ‘train audibility’ in sub sections 4.2.2.2 and 4.3.

Essential requirement 1.1.2 of Annex III to Directive 2001/16/EC:

‘The parameters involved in the wheel/rail contact must meet the stability requirements needed in order to guarantee safe
movement at the maximum authorised speed.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

Essential requirement 1.1.3 of Annex III to Directive 2001/16/EC:

‘The components used must withstand any normal or exceptional stresses that have been specified during their period in
service. The safety repercussions of any accidental failures must be limited by appropriate means.’

As far as the Traffic Operation and Management subsystem is concerned, this essential requirement is addressed by the
specification of Subsection ‘train visibility’ (sub sections 4.2.2.1 and 4.3).

Essential requirement 1.1.4 of Annex III to Directive 2001/16/EC:

‘The design of fixed installations and rolling stock and the choice of the materials used must be aimed at limiting the
generation, propagation and effects of fire and smoke in the event of a fire.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

Essential requirement 1.1.5 of Annex III to Directive 2001/16/EC:

‘Any devices intended to be handled by users must be so designed as not to impair the safe operation of the devices or the
health and safety of users if used foreseeably in a manner not in accordance with the posted instructions.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

3.3.2.

RELIABILITY AND AVAILABILITY

Essential requirement 1.2 of Annex III to Directive 2001/16/EC

‘The monitoring and maintenance of fixed or movable components that are involved in train movements must be organised,
carried out and quantified in such a manner as to maintain their operation under the intended conditions.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

3.3.3.

HEALTH

Essential requirement 1.3.1 of Annex III to Directive 2001/16/EC:

‘Materials likely, by virtue of the way they are used, to constitute a health hazard to those having access to them must not be
used in trains and railway infrastructure.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

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Essential requirement 1.3.2 of Annex III to Directive 2001/16/EC:

‘Those materials must be selected, deployed and used in such a way as to restrict the emission of harmful and dangerous
fumes or gases, particularly in the event of fire.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

3.3.4.

ENVIRONMENTAL PROTECTION

Essential requirement 1.4.1 of Annex III to Directive 2001/16/EC:

‘The environmental impact of establishment and operation of the trans-European conventional rail system must be assessed
and taken into account at the design stage of the system in accordance with the Community provisions in force.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

Essential requirement 1.4.2 of Annex III to Directive 2001/16/EC:

‘The materials used in the trains and infrastructure must prevent the emission of fumes or gases which are harmful and
dangerous to the environment, particularly in the event of fire.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

Essential requirement 1.4.3 of Annex III to Directive 2001/16/EC:

‘The rolling stock and energy-supply systems must be designed and manufactured in such a way as to be electromagnetically
compatible with the installations, equipment and public or private networks with which they might interfere.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

Essential requirement 1.4.4 of Annex III to Directive 2001/16/EC:

‘Operation of the trans-European conventional rail system must respect existing regulations on noise pollution.’

Whilst this is principally an Essential Requirement dealt with by the Noise TSI, the Traffic Operation and Management
subsystem specifies certain elements in Subsections 4.2.2.2 and 4.3 in respect to ‘train audibility’.

Essential requirement 1.4.5 of Annex III to Directive 2001/16/EC:

‘Operation of the trans-European conventional rail system must not give rise to an inadmissible level of ground vibrations
for the activities and areas close to the infrastructure and in a normal state of maintenance.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

3.3.5.

TECHNICAL COMPATIBILITY

Essential requirement 1.5 of Annex III to Directive 2001/16/EC

‘The technical characteristics of the infrastructure and fixed installations must be compatible with each other and with those
of the trains to be used on the trans-European conventional rail system.

If compliance with these characteristics proves difficult on certain sections of the network, temporary solutions, which
ensure compatibility in the future, may be implemented.’

This essential requirement is not relevant to the Traffic Operation and Management subsystem.

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3.4.

ASPECTS RELATING SPECIFICALLY TO THE TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM

3.4.1.

SAFETY

Essential requirement 2.6.1 of Annex III to Directive 2001/16/EC:

‘Alignment of the network operating rules and the qualifications of drivers and on-board staff and of the staff in the control
centres must be such as to ensure safe operation, bearing in mind the different requirements of cross-border and domestic
services.

The maintenance operations and intervals, the training and qualifications of the maintenance and control centre staff and
the quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to
ensure a high level of safety.’

The essential requirement is addressed by the following Subsections of this specification:

— Vehicle identification (Subsection 4.2.2.3)

— Train braking (Subsection 4.2.2.6)

— Train composition (Subsection 4.2.2.5)

— Freight vehicle loading (Subsection 4.2.2.4)

— Ensuring that the train is in running order (Subsection 4.2.2.7)

— Train visibility (Subsections 4.2.2.1 and 4.3)

— Train audibility (Subsections 4.2.2.2 and 4.3)

— Train departure (Subsection 4.2.3.3)

— Traffic management (Subsection 4.2.3.4)

— Signal sighting and vigilance device (Subsection 4.3)

— Safety related communication (Subsections 4.2.1.5 and 4.6)

— Documentation for drivers (Subsection 4.2.1.2)

— Documentation for Railway Undertaking staff other than drivers (Subsection 4.2.1.3)

— Documentation for Infrastructure Manager’s staff authorising train movements (Subsection 4.2.1.4)

— Degraded operation (Subsection 4.2.3.6)

— Managing an emergency situation (Subsection 4.2.3.7)

— ERTMS operating rules (Subsection 4.4)

— Professional qualifications (Subsection 4.6)

— Health and safety conditions (Subsection 4.7)

3.4.2.

RELIABILITY AND AVAILABILITY

Essential requirement 2.6.2 of Annex III to Directive 2001/16/EC:

‘The maintenance operations and periods, the training and qualifications of the maintenance and control centre staff and the
quality assurance system set up by the operators concerned in the control and maintenance centres must be such as to
ensure a high level of system reliability and availability.’

The essential requirement is ensured by the following Subsections of this specification:

— Train composition (Subsection 4.2.2.5)

— Ensuring that the train is in running order (Subsection 4.2.2.7)

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— Traffic Management (Subsection 4.2.3.4)

— Safety Related communication (Subsection 4.2.1.5)

— Degraded operation (Subsection 4.2.3.6)

— Managing an emergency situation (Subsection 4.2.3.7)

— Professional qualifications (Subsection 4.6)

— Health and safety conditions (Subsection 4.7)

3.4.3.

TECHNICAL COMPATIBILITY

Essential requirement 2.6.3 of Annex III to Directive 2001/16/EC:

‘Alignment of the network operating rules and the qualifications of drivers, on-board staff and traffic managers must be such
as to ensure operating efficiency on the trans-European conventional rail system, bearing in mind the different requirements
of cross-border and domestic services.’

The essential requirement is addressed by the following Subsections of this specification:

— Vehicle identification (Subsection 4.2.2.3)

— Train Braking (Subsection 4.2.2.6)

— Train composition (Subsection 4.2.2.5)

— Freight vehicle loading (Subsection 4.2.2.4)

— Safety Related communication (Subsection 4.2.1.5)

— Degraded operation (Subsection 4.2.3.6)

— Managing an emergency situation (Subsection 4.2.3.7)

4.

4.1.

CHARACTERISTICS OF THE SUB-SYSTEM

INTRODUCTION

The trans-European conventional rail system (TEN), to which Directive 2001/16/EC applies and of which the Traffic
Operation and Management subsystem is a part,
is an integrated system whose consistency must be verified. This
consistency must be checked in particular with regard to the specifications of the subsystem, its interfaces vis-à-vis the
system with which it is integrated, as well as the operating rules.

Taking into account all the relevant essential requirements, the Traffic Operation and Management subsystem, as described
in Subsection 2.2, covers only the elements specified in the following section.

In conformity with Directive 2001/14/EC, it is the overall responsibility of the Infrastructure Manager to provide all the
appropriate requirements which must be met by trains permitted to run on his network, taking into account the geographic
particularities of individual lines and the functional or technical specifications set out below.

4.2.

FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE SUB-SYSTEM

The functional and technical specifications of the Traffic Operation and Management subsystem comprise of the following:

— specifications relating to staff

— specifications relating to trains

— specifications relating to train operations

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4.2.1.

SPECIFICATIONS RELATING TO STAFF

4.2.1.1.

General requirements

This section deals with the staff who contributes to the operation of the subsystem by performing safety critical tasks
involving a direct interface between a Railway Undertaking and an Infrastructure Manager.

— Railway Undertaking staff:

— undertaking the task of driving trains (referred to throughout this document as ‘driver’) and forming part of the

‘train crew’,

— undertaking tasks on-board (other than driving) and forming part of the ‘train crew’,

— undertaking the task of preparing trains.

— Infrastructure Manager’s staff undertaking the task of authorising the movement of trains

The areas covered are:

— Documentation

— Communication

and, in the scope specified in section 2.2 of this TSI:

— Qualifications (see Subsection 4.6 and Annexes H, J and L)

— Health and Safety conditions (see Subsection 4.7)

4.2.1.2.

Documentation for drivers

The Railway Undertaking operating the train must supply the driver with all the necessary information required to carry out
his duties.

This information must take into account the necessary elements for operation in normal, degraded and emergency
situations for the routes to be worked over and the rolling stock used on those routes.

4.2.1.2.1.

Rule Book

All the necessary procedures for the driver must be included in a document or a computer medium called the ‘Driver’s Rule
Book’.

The ‘Driver's Rule Book’ must state the requirements for all the routes worked and the rolling stock used on those routes
according to the situations of normal operation, degraded operation and in emergency situations which the driver may
encounter.

The ‘Driver’s Rule Book’ must cover two distinct aspects:

— one which describes the set of common rules and procedures valid across the TEN (taking into account the contents of

Annexes A, B and C)

— another which sets out any necessary rules and procedures specific to each Infrastructure Manager

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

— Staff Safety and Security

— Signalling and Control Command

— Train Operation including degraded mode

— Traction and Rolling Stock

— Incidents and accidents

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The Railway Undertaking is responsible for compiling this document.

The Railway Undertaking must present the Driver's Rule Book in the same format for the entire infrastructure over which
their drivers will work.

It shall have two appendices:

— appendix 1: Manual of communication procedures;

— appendix 2: Book of Forms

The Railway Undertaking must write the driver’s rule book in either the language of one of the Member States or the
‘operating’ language of one of the Infrastructure Manager(s) to which the rules will apply. This will not apply for messages
and forms which must remain in the ‘operating’ language of Infrastructure Manager(s).

The process for preparing and updating the Driver's Rule Book shall include the following steps:

— the Infrastructure Manager (or the organisation responsible for the preparation of the operating rules) must provide
the Railway Undertaking with the appropriate information in the Infrastructure Manager’s‘operating’ language,

— the Railway Undertaking must draw up the initial or updated document;

— if the language chosen by the Railway Undertaking for the Driver’s 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.

In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Infrastructure Manager’s Safety Management System
must contain a validation process to ensure that the content of the documentation provided to the Railway Undertaking(s) is
complete and accurate.

In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Railway Undertaking’s Safety Management System
must contain a validation process to ensure the content of the Rule Book is complete and accurate.

Annex V outlines this process in flowchart format and provides an overview to the process.

4.2.1.2.2. Description of the line and the relevant lineside equipment associated with the lines worked over

Drivers must be provided with a description of the lines and the associated lineside equipment for the lines over which they
will operate and relevant to the driving task. Such information must be set out in a single document called the ‘Route Book’
(which can either be a traditional document or computer based).

The following is a list of information which must as a minimum, be provided:

— the general operating characteristics

— indication of rising and falling gradients

— detailed line diagram

4.2.1.2.2.1. Preparation of the Route Book

The Route Book must be prepared in either a language of one of the Member States chosen by the Railway Undertaking or
the ‘operating’ language used by the Infrastructure Manager.

The following information must be included (this list is not exhaustive):

— the general operating characteristics:

— type of signalling and corresponding running regime (double track, reversible working, left or right hand

running, etc.)

— type of power supply

— type of ground-train radio equipment.

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— indication of rising and falling gradients:

— gradient values and their precise location

— detailed line diagram:

— names of stations on the line and key locations and their location;

— tunnels, including location, name, length, specific information such as the existence of walkways and points of

safe egress as well as the location of safe places where evacuation of passengers can take place

— essential locations such as neutral sections

— permissible speed limits for each track, including, if necessary, differential speeds relating to certain types of

train,

— the name of the organisation responsible for traffic management control and the name(s) of the traffic

management control areas;

— the names and areas of control of traffic management centres such as signal boxes;

— identification of the radio channels to be used ;

The format of the Route Book must be prepared in the same manner for all the infrastructures worked over by the trains of
an individual Railway Undertaking.

The Railway Undertaking is responsible for the preparation of the Route Book using the information supplied by the
Infrastructure Manager(s).

In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Infrastructure Manager’s Safety Management System
must contain a validation process to ensure that the content of the documentation provided to the Railway Undertaking(s) is
complete and accurate.

In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Railway Undertaking’s Safety Management System
must contain a validation process to ensure the content of the Route Book is complete and accurate.

4.2.1.2.2.2. Modified elements

The Infrastructure Manager must advise any elements modified either permanently or temporarily to the Railway
Undertaking. These changes must be grouped by the Railway Undertaking into a dedicated document or computer medium
whose format must be the same for all the infrastructures worked over by the trains of an individual Railway Undertaking.

In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Infrastructure Manager’s Safety Management System
must contain a validation process to ensure that the content of the documentation provided to the Railway Undertaking(s) is
complete and accurate.

In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Railway Undertaking’s Safety Management System
must contain a validation process to ensure the content of the document of modified elements is complete and accurate.

4.2.1.2.2.3.

Informing the driver in real time

The procedure for advising drivers in real time about all modifications to safety arrangements on the route must be defined
by the Infrastructure Manager concerned (the process must be unique where ERTMS/ETCS is in use).

4.2.1.2.3.

Timetables

The provision of train schedule information facilitates the punctual running of trains and assists in service performance.

The Railway Undertaking must provide drivers with the 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

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— other timing points;

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

Such train running information, which must be based on information supplied by the Infrastructure Manager, may be
provided either electronically or in a paper format.

Presentation to the driver must be consistent across all the lines over which the Railway Undertaking operates.

4.2.1.2.4.

Rolling stock

The Railway Undertaking must provide the driver with all information relevant to the working of the rolling stock during
degraded situations (such as trains requiring assistance). Such documentation must also focus on the specific interface with
the Infrastructure Manager’s staff in these cases.

4.2.1.3.

Documentation for Railway Undertaking staff other than drivers

The Railway Undertaking must provide all members of his staff (whether on train or otherwise) who undertake safety critical
tasks involving a direct interface with the staff, equipment or systems of the Infrastructure Manager with the rules,
procedures, rolling stock and route specific information it deems appropriate to such tasks. Such information shall be
applicable in both normal and degraded operation.

For staff on-board trains, the structure, format, content and process for preparation and updating of such information must
be based on the specification set out in Subsection 4.2.1.2 of this TSI.

4.2.1.4.

Documentation for Infrastructure Manager’s staff authorising train movements

All the information necessary to ensure safety-related communication between staff authorising the movement of trains and
train crews must be set out in:

— documents describing the Communications Principles (annex C);

— the document entitled Forms Book.

The Infrastructure Manager must draw up these documents in his ‘operating’ language.

4.2.1.5.

Safety-related communications between traincrew, other Railway Undertaking staff and staff authorising train
movements

The language used for safety-related communication between traincrew, other Railway Undertaking staff (as defined in
Annex L) and the staff authorising train movements shall be the ‘operating’ language (see glossary) used by the Infrastructure
Manager on the route concerned.

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

In conformity with Directive 2001/14/EC, the Infrastructure Manager is responsible for publishing the ‘operating language’
used by his personnel in daily operational use.

Where however,
Infrastructure Manager to determine the geographic boundaries for its use.

local practice requires that a second language is also provided for,

it is the responsibility of the

4.2.2.

SPECIFICATIONS RELATING TO TRAINS

4.2.2.1.

Train visibility

4.2.2.1.1. General requirement

The Railway Undertaking must ensure that trains are fitted with means of indicating the front and rear of the train.

4.2.2.1.2.

Front end

The Railway Undertaking must ensure that an approaching train is clearly visible and recognisable as such, by the presence
and layout of its lit white front-end lights. This is to enable it to be distinguished as an approaching train from nearby road
vehicles or other moving objects.

The detailed specification can be found in Subsection 4.3.3.4.1.

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4.2.2.1.3.

Rear end

These requirements are specified in Annex S.

4.2.2.2.

Train audibility

4.2.2.2.1. General requirement

The Railway Undertaking must ensure that trains are fitted with an audible warning device to indicate the approach of a
train.

4.2.2.2.2.

Control

The ability to sound the audible warning device must be possible from all driving positions.

4.2.2.3.

Vehicle identification

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

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

Further requirements are specified in Annex P.

4.2.2.4.

Freight vehicle loading

The Railway Undertaking must ensure that vehicles are safely and securely loaded and remain so throughout the journey,
taking into account the following:

4.2.2.4.1. Weight distribution

Vehicles must be loaded so as to evenly distribute the weight of the load over all the axles. Where, due to the size or shape of
a particular load, this is not possible the Railway Undertaking must apply special conditions of travel to the load for the
entire journey.

4.2.2.4.2. Axle loading

The Railway Undertaking must ensure that vehicles are not loaded beyond their axle load limit. They must also ensure that
vehicles are not loaded beyond the axle load limit of any part of the planned route (unless the Infrastructure Manager(s)
concerned have authorised the movement).

4.2.2.4.3.

Load securing

Railway Undertakings must ensure that loads and any unused load securing equipment on or in vehicles are secured in a safe
manner to prevent unnecessary movement during the journey.

4.2.2.4.4. Kinematic envelope

The kinematic gauge of each vehicle (inclusive of any load) in the train must be within the maximum permissible for the
section of route.

4.2.2.4.5.

Load covering

RUs must ensure that any materials used to provide a cover for a load on a vehicle are safely attached either to the vehicle or
to the load. These coverings must be made of materials that are suitable to cover the load in question taking in to account
the forces that are liable to be experienced during the journey

4.2.2.5.

Train composition

The Railway Undertaking must define the rules and procedures to be followed by his staff so as to ensure that the train is in
compliance with the allocated path.

Train Composition requirements must take into account the following elements:

— the vehicles

— all vehicles in the train must be in compliance with all the requirements applicable on the routes over which the

train will run;

— all vehicles on the train must be fit to run at the maximum speed at which the train is scheduled to run;

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— all vehicles on the train must be currently within their specified maintenance interval and will remain so for the

duration (in terms of both time and distance) of the journey being undertaken;

— the train

— the combination of vehicles forming a train must comply with the technical constraints of the route concerned

and be within the maximum length permissible for forwarding and receiving terminals.

— the Railway Undertaking is responsible for ensuring that the train is technically fit for the journey to be

undertaken and remains so throughout the journey

— the weight and axle load

— the weight of the train must be within the maximum permissible for the section of route, the strength of the
couplings, the traction power and other relevant characteristics of the train. Axle load limitations must be
respected.

— the maximum speed of the train

— the maximum speed at which the train can run must take into account any restrictions on the route(s)

concerned, braking performance, axle load and vehicle type.

— the kinematic envelope

— the kinematic gauge of each vehicle (inclusive of any load) in the train must be within the maximum permissible

for the section of route

Additional constraints may be required or imposed due to the type of braking regime or traction type on a particular train.

The train composition must be described in an harmonsied train composition document (see Annex U)

4.2.2.6.

Train braking

4.2.2.6.1. Minimum requirements of the braking system

All vehicles in a train must be connected to the continuous automatic braking system as defined in the RST TSI.

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

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

4.2.2.6.2.

Brake performance

The Infrastructure Manager must decide whether to:

— provide the Railway Undertaking with the information necessary for calculating the required braking performance for
the route(s) concerned, including information on the braking systems which can be accepted, and on the conditions of
their use, or

— alternatively provide the actual performance required.

The Railway Undertaking is responsible for ensuring that the train has sufficient braking performance by providing braking
rules for its staff to follow.

The information required by the Railway Undertaking to calculate the braking performance enabling their trains to stop and
remain stopped must take into account the geography of all the routes involved, the allocated pathway and the development
of ERTMS/ETCS.

Further requirements are specified in Annex T.

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4.2.2.7.

Ensuring that the train is in running order

4.2.2.7.1.

General requirement

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

The Railway Undertaking must inform the Infrastructure Manager of any modification to the characteristics of the train
affecting its performance or any modification that might affect the ability to accommodate the train in its allocated path.

The Infrastructure Manager and the Railway Undertaking must define and keep up to date conditions and procedures for
train running in degraded mode.

4.2.2.7.2. Data required

The data required for safe and efficient operation and the process by which this data must be forwarded must comprise:

— the train identification

— the identity of the Railway Undertaking responsible for the train

— the actual length of the train

— if a train carries passengers or animals when it is not scheduled to do so

— any operational restrictions with an indication of the vehicle(s) concerned (gauge, speed restrictions, etc.)

— information the Infrastructure Manager resuired for the transport of dangerous goods

The Railway Undertaking must define a process in order to ensure that this data is made available to the Infrastructure
Manager(s) prior to the departure of the train.

The Railway Undertaking must define a process for advising the Infrastructure Manager(s) if a train will not occupy its
allocated path or is cancelled.

4.2.3.

SPECIFICATIONS RELATING TO TRAIN OPERATIONS

4.2.3.1.

Train planning

The Infrastructure Manager must advise what data is required when a train path is requested. Further aspects of this element
are set out in Directive 2001/14/EC.

4.2.3.2.

Identification of trains

An unambiguous identification for all trains must exist.

These requirements are specified in Annex R.

4.2.3.3.

Train departure

4.2.3.3.1.

Checks and tests before departure

The Railway Undertaking must, in accordance with the requirements set out in the third paragraph of Subsection 4.1 of this
TSI, define the checks and tests (especially in relation to brakes) that must be undertaken before departure.

4.2.3.3.2.

Informing the Infrastructure Manager of the train's operational status

The Railway Undertaking must inform the Infrastructure Manager of any anomaly affecting the train or its operation having
possible repercussions on the train's running prior to departure and during the journey.

4.2.3.4.

Traffic management

4.2.3.4.1. General requirements

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

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The Infrastructure Manager must determine procedures and means for:

— the real time management of trains,

— operational measures to maintain the highest possible performance of the infrastructure in case of delays or incidents,

whether actual or anticipated, and

— the provision of information to the Railway Undertaking(s) in such cases.

Any additional processes required by the Railway Undertaking and which affect the interface with the Infrastructure
Manager(s) can be introduced after being agreed with the Infrastructure Manager.

4.2.3.4.2.

Train reporting

4.2.3.4.2.1. Data required for train position reporting

The Infrastructure Manager must:

— provide a means of real time recording of the times at which trains depart from, arrive at or pass appropriate pre-

defined reporting points on their networks and the delta-time value;

— provide the specific data required in relation to train position reporting. Such information must include:

— Train identification

— Identity of reporting point

— Line on which the train is running

— Scheduled time at reporting point

— Actual time at reporting point (and whether depart, arrive or pass — separate arrival and departure times must

be provided in respect of intermediate reporting points at which the train calls)

— Number of minutes early or late at the reporting point

— Initial explanation of any single delay exceeding 10 minutes or as otherwise required by the performance

monitoring regime

— Indication that a report for a train is overdue and the number of minutes by which it is overdue

— Former train identification(s), if any

— Train cancelled for a whole or a part of its journey.

4.2.3.4.2.2. Predicted hand over time

The Infrastructure Manager must have a process, which enables an indication of the estimated number of minutes of
deviation from the scheduled time a train is scheduled to be handed over from one Infrastructure Manager to another.

This must include information on service disruption (description and location of problem).

4.2.3.4.3. Dangerous goods

The Railway Undertaking must define the procedures to supervise the transport of dangerous goods.

These procedures must include:

— existing European standards as specified in EC directive 96/49 for identifying dangerous goods on board a train

— advice to the driver of the presence and position of dangerous goods on the train

— information the Infrastructure Manager requires for transport of dangerous goods

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— determination of, in conjunction with the Infrastructure Manager, lines of communication and planning of specific

measures in case of emergency situations involving the goods

4.2.3.4.4. Operational quality

The Infrastructure Manager and the Railway Undertaking shall have processes in place to monitor the efficient operation of
the all the services concerned.

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

Where such improvement actions would have network-wide benefits, involving other Infrastructure Managers and Railway
Undertakings, then, subject to commercial confidentiality, they shall be communicated accordingly.

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

These processes shall be documented and subject to internal audit.

4.2.3.5.

Data recording

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

— Supporting systematic safety monitoring as a means of preventing incidents and accidents.

— Identifying driver, train and infrastructure performance in the period leading up to and (if appropriate) immediately
after an incident or accident, to enable the identification of causes related to train driving or train equipment, and
supporting the case for new or changed measures to prevent recurrence.

— To record information relating to the performance of both the locomotive/traction unit and the person driving,

including working time.

It must be possible to match recorded data to:

— the date and time of the recording

— the precise geographic location of the event being recorded (distance in kilometres from a recognisable location)

— the train identification

— the identity of the driver

Requirements with regard to storage, periodic evaluation of and access to this data are specified in relevant national laws of
the Member State:

— in which the Railway Undertaking is licensed (with regard to on-board recorded data), or

— of the Member State in which the infrastructure is located (with regard to data recorded outside the train).

4.2.3.5.1.

Recording of supervision data outside the train

As a minimum, the Infrastructure Manager must record the following data:

— the failure of lineside equipment associated with the movement of trains (signalling, points etc.);

— the detection of an overheating axle bearing;

— communication between the train driver and Infrastructure Manager’s staff authorising train movements.

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4.2.3.5.2. Recording of supervision data on-board the train

As a minimum, the Railway Undertaking must record the following data:

— the passing of signals at danger or ‘end of movement authority’ without authority

— application of the emergency brake

— speed at which the train is running

— any isolation or overriding of the on-board train control (signalling) systems

— operation of the audible warning device (horn)

— operation of door controls (release, closure)

— detection by on-board hot axle box detectors, if fitted

— identity of the cab for which data is being recorded to be checked

— data in order to record working time.

4.2.3.6.

Degraded operation

4.2.3.6.1. Advice to other users

The Infrastructure Manager in conjunction with Railway Undertaking(s) must define a process to immediately inform each
other of any situation that impedes the safety, performance and/or the availability of the rail network or rolling stock.

4.2.3.6.2. Advice to train drivers

In any case of degraded operation associated with the Infrastructure Manager’s area of responsibility, the Infrastructure
Manager must give formal instructions to drivers on what measures to take in order to safely overcome the degradation.

4.2.3.6.3.

Contingency arrangements

The Infrastructure Manager in conjunction with all the Railway Undertakings operating over his infrastructure, and
neighbouring Infrastructure Managers as appropriate, must define, publish and make available appropriate contingency
measures and assign responsibilities based on the requirement to reduce any negative impact as a result of degraded
operation.

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

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

— rolling stock failures (for example, those which could result in substantial traffic disruption, the procedures for

rescuing failed trains);

— infrastructure failures (for example, when there has been a failure of the electric power or the conditions under which

trains may be diverted from the booked route);

— extreme weather conditions

The Infrastructure Manager must establish and keep updated contact information for key Infrastructure Manager and
Railway Undertaking staff who may be contacted in the event of service disruption leading to degraded operation. This
information must include contact details both during and outside office hours.

The Railway Undertaking must submit this information to the Infrastructure Manager and advise the Infrastructure Manager
of any changes to these contact details.

The Infrastructure Manager must advise all the Railway Undertaking(s) of any changes to his details.

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4.2.3.7.

Managing an emergency situation

The Infrastructure Manager must, in consultation with:

— all Railway Undertakings operating over his infrastructure, or

— where appropriate, representative bodies of Railway Undertakings operating over his infrastructure, and

— neighbouring Infrastructure Managers, as appropriate, as well as

— local authorities and

— representative bodies at either local or national level as appropriate, of the emergency services including fire fighting

and rescue

and in conformity with Directive 2004/49/EC, define, publish and make available appropriate measures to manage
emergency situations and restore the line to normal operation.

Such measures shall typically cover:

— collisions,

— fires on train,

— evacuation of trains,

— accidents in tunnels,

— incidents involving dangerous goods

— derailments

The Railway Undertaking must provide the Infrastructure Manager with any specific information in respect to these
circumstances, especially in respect to the recovery or re-railing of their trains. (See also clause 4.2.7.1 Emergency measures
in the Conventional Rail Freight Wagon TSI).

Additionally, the Railway Undertaking must have processes to inform passengers about onboard emergency and safety
procedures.”

4.2.3.8.

Aid to traincrew in the event of an incident or of a major rolling stock malfunction

The Railway Undertaking must define appropriate procedures to assist the train crew in degraded situations in order to
avoid or decrease delays caused by technical or other failures of the rolling stock (e.g. lines of communication, measures to
be taken in case of evacuation of a train).

4.3.

FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE INTERFACES

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

4.3.1.

INTERFACES WITH THE INFRASTRUCTURE TSI

RESERVED

4.3.2.

INTERFACES WITH THE CONTROL/COMMAND AND SIGNALLING TSI

4.3.2.1.

Recording of supervision data

The Traffic Operation and Management subsystem determines the operational requirements for the recording of supervision
data (see Subsection 4.2.3.5 of this TSI) with which the Control/Command subsystem (see section 4.2.15 of the CR CCS TSI)
must comply.

4.3.2.2.

Driver vigilance

A means of monitoring the reactions of the driver, intervening to bring the train to a stand if the driver does not react
within a time to be specified and where the infrastructure supports the facility, automatically reporting this to the
controlling signalling centre. There is an interface between this operational requirement and Subsection 4.2.2 in the CR CCS
TSI associated with ERTMS.

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4.3.2.3.

ERTMS/ETCS and ERTMS/GSM-R operating rules

Annex A (A1 and A2) of this TSI is an interface with the ERTMS/ETCS FRS and SRS, the ERTMS/GSM-R FRS and SRS
detailed in annex A of the CR CCS TSI. There is also an interface with the ETCS Driver/Machine/Interface (DMI)
specifications (section 4.2.13 of the CR CCS TSI) and the EIRENE DMI specifications (section 4.2.14 of the CR CCS TSI).
There is an interface between annex A1 of this TSI and subsection 4.2.2 of the CR CCS TSI in respect to isolation of On-
Board ETCS functionality.

4.3.2.4.

Signal and lineside marker sighting

The driver must be able to observe signals and lineside markers, and they must be observable by the driver from his normal
driving position. The same applies for other types of lineside signs if they are safety related.

Lineside markers, signs and information boards must be designed in such a consistent way to facilitate this. Issues that must
be taken into account include:

— that they are suitably sited so that train headlights allow the driver to read the information,

— suitability and intensity of lighting, where required to illuminate the information,

— 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 headlights easily allow the driver to read the information.

There is an interface with subsection 4.2.16 of the CR CCS TSI in respect to driver’s external field of view. There will also be
a new item in a future version of Annex A of the CR CCS TSI in respect to lineside markers on ETCS-fitted lines.

4.3.2.5.

Train braking

An interface exists between subsection 4.2.2.6.2 of this TSI and subsection 4.3.1.5 (Guaranteed train braking performance
and characteristics) of the CR CCS TSI.

4.3.2.6.

Use of sanding. Minimum elements relevant to professional qualifications for the task of driving a train

An interface exists between annex H (and Annex B(C1)) of this TSI on one hand, and subsection 4.2.11 (compatibility with
track-side Train Detection Systems) and § 4.1 of appendix 1 of Annex A (as quoted in subsection 4.3.1.10) of the CR CCS
TSI on the other hand, in respect to the use of sanding.

4.3.2.7.

Data recording and hot axle box detection

An interface exists between subsection 4.2.3.5 of this TSI on one hand, and subsection 4.2.2 (On-board ETCS functionality),
indexes 5, 7 and 55 in annex A, and subsection 4.2.10 (HABD (Hot Axle Box Detector)) of the CR CCS TSI on the other
hand. There will be a future interface with annex B of the OPE TSI, when the CR CCS open point is resolved.

4.3.3.

INTERFACES WITH THE ROLLING STOCK TSI

4.3.3.1.

Vehicle identification

An interface exists between Subsection 4.2.2.3 of this OPE TSI and Annex B of the Freight Wagons RST TSI.

Such an interface will also exist with other CR RST TSIs when they are created.

4.3.3.2.

Braking

An interface exists between Subsection 4.2.2.6.1 of this OPE TSI, subsection 4.2.4 and Annex B of the Freight Wagons RST
TSI.

Such an interface will also exist with other CR RST TSIs when they are created.

4.3.3.3.

Requirements for passenger vehicles

It should be noted that an interface will exist, in respect to the following, with other CR RST TSIs when they are created.

— Compatibility between passenger vehicles and platforms at scheduled passenger stops must be sufficient in order to

ensure safe access and egress.

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— Passengers must not be able to open body-side doors intended for their use until the train is at a standstill and the

doors have been released by a member of the train crew.

— Door release must be separate for each side of the train. The integrity of door closure and blocking on passenger trains

must be permanently indicated.

— Activation of the door release must prevent traction power being applied.

— All vehicles carrying passengers must be equipped with exits that facilitate emergency egress.

— Vehicles intended for passenger use must have either a passenger activated alarm or emergency brake fitted. In the
event of this being triggered, the driver must be immediately alerted but be able to retain control of the train.

4.3.3.4.

Train visibility

The Traffic Operation and Management subsystem determines that the basic requirements for train visibility, which the
Rolling Stock subsystem must define, are shown in the following clauses.

4.3.3.4.1. On the leading vehicle of a train facing in the direction of travel

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

The front lights must optimise train detectability (e.g. to track workers and those using public crossings), provide sufficient
visibility for the train driver (illumination of the line ahead, lineside information markers/boards, etc) by night and during
low light conditions and must not dazzle the drivers of oncoming trains.

The spacing, the height above rails, the diameter, the intensity of the lights, the dimensions and shape of the emitted beam in
both day and night time operation must be standardised.

There will be an interface with future versions of the RST TSI when it deals with driving cabs and Subsection 4.2.2.1.2 of
this TSI.

4.3.3.4.2. On the rear end

An interface between subsection 4.2.2.1.3 of this TSI and subsection 4.2.7.4 and annex BB of the CR RST (Freight Wagons)
will exist, if the open point in annex S of the OPE TSI is concluded by specifying a rear signal that requires a bracket.

4.3.3.5.

Train audibility

The Traffic Operation and Management subsystem determines that the basic requirements for train audibility with which the
Rolling Stock subsystem must comply is that a train must be able to provide an audible warning of its presence.

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The sounds emitted by this warning device, the frequency and intensity of these sounds and the method of activation by the
driver must be standardised.

There will be an interface with future versions of the RST TSI when it deals with driving cabs and Subsection 4.2.2.2 of this
TSI.

4.3.3.6.

Signal sighting

The driver must be able to observe signals, and signals must be observable by the driver. The same applies for line side signs
if they are safety related.

Driving cabs must be designed in such a consistent way that the driver is able to easily see the information displayed to him
from his usual driving position.

There will be an interface between subsection 4.3.2.4 of this TSI and a future version of the RST TSI when it deals with
driving cabs.

4.3.3.7.

Driver vigilance

A means of monitoring the reactions of the driver, intervening to bring the train to a stand if the driver does not react
within a time to be specified and where the infrastructure supports the facility, automatically reporting this to the
controlling signalling centre.

There will be an interface with future versions of the RST TSI when it deals with driving cabs.

4.3.3.8.

Train composition and annex B

There is an interface between subsection 4.2.2.5 of this TSI and subsection 4.2.2.1.2.2 (draw gear) of the CR RST (Freight
Wagons) TSI in respect to the maximum permissible weight of the train. There might be a future interface between annex B
of this TSI and subsection 4.2.2.1.2.1 (buffers) of the CR RST (Freight Wagons) TSI in respect to shunting speed.

4.3.3.9.

Freight Vehicle loading

There is an interface between subsection 4. 2.2.4 of this TSI and subsection 4.2.2.3.5 (securing of freight) and annex YY of
the CR RST (Freight Wagons) TSI.

4.3.3.10.

Ensuring that the train is in running order and Dangerous goods

There is an interface between subsections 4.2.2.7 and 4.2.3.4.3 of this TSI and subsection 4.2.2.6 (Dangerous goods) of the
CR RST (Freight Wagons) TSI.

4.3.3.11.

Train composition, annexes H and L

There is an interface between subsection 4.2.2.5 and Annexes H and L of this TSI and subsection 4.2.3.5. (Longitudinal
compressive forces) of the CR RST (Freight Wagons) TSI in respect to driving trains, train handling and distribution of
vehicles in the train.

There will be an interface with future versions of the RST TSI when it deals with traction units and passenger vehicles.

4.3.3.12.

Contingency arrangements and Managing an emergency situation

There is an interface between subsection 4.2.3.6.3 of
this TSI and subsection 4.2.6.1.2 (functional and technical
specifications in respect to environmental conditions) of the CR RST (Freight Wagons) TSI, in respect to extreme climatic
conditions.

There is also an interface between subsections 4.2.3.6 and 4.2.3.7 of this TSI and subsection 4.2.7.1 (Emergency measures)
and 4.2.7.2 (Fire safety) of the CR RST (Freight Wagons) TSI.

There will be an interface with future versions of the RST TSI when it deals with traction units and passenger vehicles.

4.3.3.13.

Data recording

There will be an interface between subsection 4.2.3.5.2 (Recording of supervision data on-board the train) of this CR OPE
TSI and future versions of the CR RST TSI when it deals with traction units and coaches with driving cabs.

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There is an interface between subsection 4.2.3.5.1 (Recording of supervision data outside the train) of this CR OPE TSI and
subsection 4.2.3.3.2 (Hot axle box detection) of the CR Freight Wagons RST TSI. There will be also an interface between the
same subsection of this CR OPE TSI and future versions of the CR RST TSI when it deals with traction units and coaches
about axle box detection by track-side equipment.

4.3.4.

INTERFACES WITH THE TSI TELEMATIC APPLICATIONS

4.3.4.1.

Identification of trains

A means of providing an unambiguous identification for all trains operating on the TEN remains to be specified (see
subsection 4.2.3.2 and Annex R). There is an interface in this aspect with the Telematics Applications for freight TSI in
Subsection 4.2.2. There will also be an interface with the Telematics Applications for passengers TSI when it is created.

4.3.4.2.

Train composition

Subsections 4.2.2.5 and 4.2.2.7.2 of this TSI have an interface in respect to train formation data with Subsection 4.2.3.2 of
the Telematics Applications for freight TSI. There will also be an interface with the Telematics Applications for passengers
TSI when it is created.

4.3.4.3.

Train departure

Subsection 4.2.3.3 of this TSI has an interface in respect to train departure information with Subsection 4.2.3 of the
Telematics Applications for freight TSI. There will also be an interface with the Telematics Applications for passengers TSI
when it is created.

4.3.4.4.

Train running

Subsection 4.2.3.4 of this TSI has an interface in respect to train running data with Subsections 4.2.4, 4.2.5 and 4.2.6 of the
Telematics Applications for freight TSI. There will also be an interface with the Telematics Applications for passengers TSI
when it is created.

4.3.4.5.

Vehicle identification

An interface exists between Subsection 4.2.2.3 of this OPE TSI and Subsection 4.2.11.3 ‘The Rolling Stock Reference
Databases’ and annex A index 1 (‘Data definitions and messages’ § 1.18 ‘Native element: WagonIdent’) of the Telematics
Applications for freight TSI. There will also be an interface with the Telematics Applications for passengers TSI when it is
created.

4.4.

OPERATING RULES

The rules and procedures enabling coherent operation of new and different structural subsystems intended to be used in the
TEN, and in particular those that are linked directly to the operation of a new train control and signalling system, must be
identical where identical situations exist.

To this end, the operating rules for the European Rail Traffic Management System (ERTMS/ETCS) are specified in Annex A1.
Those for the ERTMS/GSM-R radio system will be specified in Annex A2.

Other operating rules, which are able to be standardised across the TEN, will be specified in Annex B.

As these rules are designed to be applied across the entire TEN, it is important that there is complete consistency. The only
organisation able to make modifications to these rules shall be the entity responsible for the upkeep of Annexes A, B and C
to this TSI.

4.5.

MAINTENANCE RULES

Not applicable

4.6.

PROFESSIONAL QUALIFICATIONS

In accordance with Subsection 2.2.1 of this TSI, this section deals with professional and linguistic competency and the
assessment process required for staff to attain this competency.

4.6.1.

PROFESSIONAL COMPETENCY

Staff (including contractors) of the Railway Undertaking and the Infrastructure Manager must have attained appropriate
professional competency to undertake all necessary safety-related duties in normal, degraded and emergency situations.

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Such competency comprises professional knowledge and the ability to put this knowledge into practice.

Minimum elements relevant to professional qualification for individual tasks can be found in annexes H, J and L.

4.6.1.1.

Professional knowledge

Taking these annexes into account and dependant on the duties of the individual staff member concerned, the knowledge
required will comprise the following:

— general railway operation with particular emphasis on safety-critical activity:

— principles of operation of their organisation’s safety management system;

— the roles and responsibilities of the key players involved in interoperable operations;

— appreciation of hazards, especially in relation to the risks involving railway operation and electric traction

supply

— appropriate knowledge of safety-related tasks in respect to procedures and interfaces for:

— lines and lineside equipment;

— rolling stock;

— the environment.

4.6.1.2.

Ability to put this knowledge into practice

The ability to apply this knowledge in routine, degraded and emergency situations will require staff to be fully acquainted
with:

— the method and principles for applying these rules and procedures

— the process for the use of lineside equipment and rolling stock, as well as any specific safety-related equipment

— the principles of the safety management system to avoid the introduction of any undue risk to people and process

as well as a general ability to adapt to the different circumstances an individual may encounter.

In conformity with Annex III clause 2 of Directive 2004/49/EC, Railway Undertakings and Infrastructure Managers are
required to establish a competence management system to ensure that the individual competency of their staff involved is
assessed and maintained. Additionally, training must be provided, as necessary, to ensure that knowledge and skills are kept
current, especially in relation to weaknesses or deficiencies in system or individual performance.

4.6.2.

LINGUISTIC COMPETENCY

4.6.2.1.

Principles

The Infrastructure Manager and the Railway Undertaking are required to ensure that their relevant personnel are competent
in the use of the communication protocols and principles set out in this TSI.

Where the ‘operating’
Undertaking’s personnel, such linguistic and communications training must
Undertaking’s overall competency management system.

language used by the Infrastructure Manager differs from that habitually used by the Railway
the Railway

form a critical part of

Railway Undertaking staff whose duties require them to communicate with staff of the Infrastructure Manager in connection
with safety critical matters, whether in routine, degraded or emergency situations, must have a sufficient level of knowledge
in the ‘operating’ language of the Infrastructure Manager.

4.6.2.2.

Level of knowledge

The level of knowledge in the Infrastructure Manager’s language must be sufficient for safety purposes:

— As a minimum this must comprise of the driver being able to:

— send and understand all the messages specified in annex C to the present TSI;

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— effectively communicate in routine, degraded and emergency situations;

— complete the forms associated with the use of the Book of Forms

— Other members of the train crew whose duties require them to communicate with the Infrastructure Manager on
safety critical matters, must as a minimum, be able to send and understand information describing the train and its
operational status.

Guidance on the appropriate levels of competency is defined in Annex E. The level of knowledge for drivers shall be at least
level 3. The level of knowledge for staff accompanying trains shall be at least level 2.

4.6.3.

INITIAL AND ONGOING ASSESSMENT OF STAFF

4.6.3.1.

Basic elements

In conformity with Annex III clause 2 of Directive 2004/49/EC, Railway Undertakings and Infrastructure Managers are
required to define the assessment process for their staff.

It is recommended that account be taken of each of the following:

A

Selection of personnel

— evaluation of individual experience and competence

— evaluation of individual competence in the use of any required foreign language(s) or the aptitude to learn them

B

Initial professional training

— analysis of training needs;

— training resources

— training of the trainers

C

Initial assessment

— basic conditions (minimum age for drivers,…);

— assessment programme, including practical demonstration;

— qualification of the trainers.

— deliver a certificate of competency.

D

Competency retention

— principles for retention of competency

— in particular, for those staff undertaking the task of driving a train, re-assessment of competence shall be

undertaken at least on an annual basis

— methods to be followed

— formalisation of the competency retention process.

— assessment process.

E

Refresher training

— principles for ongoing training (including language)

4.6.3.2.

Analysis of training needs

4.6.3.2.1. Development of the analysis of training needs

The Railway Undertaking and the Infrastructure Manager must undertake an analysis of training needs for their relevant
staff.

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This analysis must set out both scope and complexity and take into account the risks associated with the operation of trains
on the TEN, especially in relation to human capabilities and limitations (human factors) which may come about as a result
of:

— differences in operating practices between Infrastructure Managers and the risks associated with changing between

these;

— the differences between tasks, operating procedures and communication protocols;

— any difference in the ‘operating’ language used by the Infrastructure Manager’s personnel;

— local operating instructions which may include special procedures or particular equipment to be applied in certain

cases, for example a specific tunnel.

Guidance on the elements that should be considered can be found in the annexes referred to in Subsection 4.6.1 above. As
appropriate, elements of the training for staff must be put in places which take these into account.

It is possible that due to the type of operation envisaged by a Railway Undertaking or the nature of the network being run
by an Infrastructure Manager, some of the elements in these annexes will not be appropriate. The analysis of training needs
must document those not deemed appropriate and the reasons why.

4.6.3.2.2. Updating the analysis of training needs

The Railway Undertaking and the Infrastructure Manager must define a process for reviewing and updating their individual
training needs, taking into account issues such as previous audits, system feedback and known changes to rules and
procedures, infrastructure and technology.

4.6.3.2.3.

Specific elements for traincrew and auxiliary staff

4.6.3.2.3.1. Route knowledge

The Railway Undertaking must define the process by which knowledge of train crew of the routes worked over is acquired
and maintained. This process must be:

— based upon the route information provided by the Infrastructure Manager and

— in accordance with the process described in Subsection 4.2.1 of this TSI.

Drivers must learn these routes through both theoretical and practical elements.

4.6.3.2.3.2. Knowledge of rolling stock

The Railway Undertaking must define the process for the acquisition and retention of traction and rolling stock knowledge
by its train crew.

4.6.3.2.3.3. Auxiliary staff

The Railway Undertaking shall make sure that the auxiliary staff (e.g. catering and cleaning) not forming part of the
‘traincrew’ is, in addition to their basic instruction, trained to respond to the instructions of the fully trained members of the
‘traincrew’

4.7.

HEALTH AND SAFETY CONDITIONS

4.7.1.

INTRODUCTION

Staff specified in Subsection 4.2.1 as staff performing safety critical tasks in accordance with Subsection 2.2 of this TSI must
have appropriate fitness to ensure that overall operational and safety standards are met.

In conformity with Directive 2004/49/EC, Railway Undertakings and Infrastructure Managers must 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.

Medical examinations as specified in Subsection 4.7.4 and any associated decisions on the individual fitness of staff must be
conducted by a recognised occupational doctor.

Staff must not perform safety critical work whilst vigilance is impaired by substances such as alcohol, drugs or psychotropic
medication. Therefore, the Railway Undertaking and the Infrastructure Manager must 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.

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

4.7.2.

CRITERIA FOR APPROVAL OF OCCUPATIONAL DOCTORS AND MEDICAL ORGANISATIONS (1)

Railway Undertakings and Infrastructure Managers must select occupational doctors and organisations involved in medical
examinations in accordance with the national rules and practices of the country in which the Railway Undertaking or
Infrastructure Manager is licensed or registered.

Occupational doctors performing medical examinations as specified in Subsection 4.7.4 must have the following:

— Expertise in occupational medicine

— Knowledge of the hazards of the work concerned and of the railway environment;

— An understanding of how measures intended to eliminate or reduce the risks from those hazards could be affected by

lack of medical fitness.

The occupational doctor complying with these criteria may seek external medical or paramedical assistance to support his or
her medical consultation and assessment, e. g. ophthalmologists.

4.7.3.

CRITERIA FOR APPROVAL OF PSYCHOLOGISTS INVOLVED IN PSYCHOLOGICAL ASSESSMENT AND PSYCHOLOGI-
CAL ASSESSMENT REQUIREMENTS

4.7.3.1.

Certification of psychologists

The psychologist must have the relevant university qualification and be certified and recognised as competent according to
national rules and practices of the country in which the Railway Undertaking or Infrastructure Manager is licensed or
registered.

4.7.3.2.

Content and interpretation of psychological assessment

The content and the procedure for interpretation of the psychological assessment must be determined by a person certified
according to section 4.7.3.1, taking account of the railway work and environment.

4.7.3.3.

Selection of assessment tools

The assessment must only include assessment tools that are based on psychological-scientific principles.

4.7.4.

MEDICAL EXAMINATIONS AND PSYCHOLOGICAL ASSESSMENTS

4.7.4.1.

Before appointment:

4.7.4.1.1. Minimum content of the medical examination

Medical examinations must cover:

— General medical examination;

— Examinations of sensory functions (vision, hearing, colour perception);

— Urine or blood analysis for the detection of diabetes mellitus and other conditions as indicated by the clinical

examination;

— Screening for drugs of abuse.

4.7.4.1.2.

Psychological assessment

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

In determining the content of the psychological assessment the psychologist must, as a minimum, take the following criteria
into account relevant to the requirements of each safety function:

— Cognitive:

— Attention and concentration

(1)

Section 4.7.2 is a recommendation

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— Memory

— Perceptive capability

— Reasoning

— Communication

— Psychomotor:

— Speed of reaction

— Gestured co-ordination

— Behavioural and personality

— Emotional self control

— Behavioural reliability

— Autonomy

— Conscientiousness

If the psychologist omits any of the above, the respective decision must be justified and documented.

4.7.4.2.

After appointment

4.7.4.2.1.

Periodicity of periodic medical examinations

At least one systematic medical examination must be performed:

— Every 5 years for staff aged up to 40;

— Every 3 years for staff aged between 41 and 62;

— Every year for staff aged over 62.

Increased periodicity of examination must be set by the occupational doctor if the state of health of the member of the staff
requires so.

4.7.4.2.2. Minimum content of the periodic medical examination

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

— General medical examination;

— Examination of sensory functions (vision, hearing, colour perception);

— Urine or blood analysis for the detection of diabetes mellitus and other conditions as indicated by the clinical

examination;

— Screening for drugs of abuse where clinically indicated.

4.7.4.2.3. Additional medical examinations and/or psychological assessments

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

The employer must request a medical examination after any sickness absence exceeding 30 days. In suitable cases such an
examination can be limited to an assessment by the occupational doctor based on available medical information indicating
that the employee’s fitness for work has not been affected.

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The Railway Undertaking and the Infrastructure Manager must put systems in place to ensure that such additional
examinations and assessments are undertaken as appropriate.

4.7.5.

MEDICAL REQUIREMENTS

4.7.5.1.

General requirements

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

— Sudden loss of consciousness;

— Impairment of awareness or concentration;

— Sudden incapacity;

— Impairment of balance or co-ordination;

— Significant limitation of mobility.

The following vision and hearing requirements must be met:

4.7.5.2.

Vision requirements

— Aided or unaided distance visual acuity: 0,8 (right eye + left eye — measured separately); Minimum of 0,3 for the

worse eye.

— Maximum corrective lenses: hypermetropia + 5/myopia — 8. The recognised occupational doctor (as defined in
Subsection 4.7.2) may allow values outside this range in exceptional cases and after having sought the opinion of an
eye specialist.

— Intermediate and near vision: sufficient whether aided or unaided.

— Contact lenses are allowed.

— Normal colour vision: using a recognised test, such as the Ishihara, completed by another recognised test if required.

— Vision field: normal (absence of any abnormality affecting the task to be performed)

— Vision for both eyes: present

— Binocular vision: present

— Contrast sensitivity: good

— Absence of progressive eye disease

— Lens implants, keratotomies and keratectomies are allowed only on condition that they are checked on a yearly basis

or according to a periodicity set by the occupational doctor.

4.7.5.3.

Hearing requirements

Sufficient hearing confirmed with tone audiogram, that is:

— Hearing good enough to keep a phone conversation going and be able to hear alert tones and radio messages.

— The following values given for information should be taken as guidelines:

— The hearing deficiency must not be higher than 40 dB at 500 and 1 000 Hz;

— The hearing deficiency must not be higher than 45 dB at 2 000 Hz for the ear with the worst air conduction of sound.

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4.7.5.4.

Pregnancy

Pregnancy must be considered a temporary cause for exclusion as regards drivers in the event of poor tolerance or
pathological condition. The employer must ensure that the legal provisions protecting pregnant workers are applied.

4.7.6.

SPECIFIC REQUIREMENTS REGARDING THE TASK OF DRIVING A TRAIN

4.7.6.1.

Periodicity of periodic medical examinations

In respect to staff undertaking the task of driving a train, Subsection 4.7.4.2.1 of this TSI is modified as follows:

At least one systematic medical examination must be performed:

— Every 3 years for staff aged up to 60;

— Every year for staff aged over 60.

4.7.6.2.

Additional content of medical examination

Regarding the task of train driving the medical examination before appointment as well as each periodic medical
examination concerning staff aged 40 and older must additionally involve monitoring by ECG at rest.

4.7.6.3.

Additional vision requirements

— Aided or unaided distance visual acuity 1,0 (binocularly); at least 0,5 for the worse eye.

— Coloured contact lenses and photochromatic lenses are not allowed. UV filter lenses are allowed.

4.7.6.4.

Additional hearing and speaking requirements

— No anomaly of the vestibular system.

— No chronic speech disorder (given the necessity to exchange messages loudly and clearly).

— Hearing requirements as set out in Subsection 4.7.5.3 must be achieved without the use of hearing aids. Subject to

medical opinion, the use of hearing aids is allowed in special cases.

4.7.6.5.

Anthropometrics

The anthropometric measures of staff must be suitable for the safe use of the rolling stock. Drivers must not be required or
allowed to operate particular types of rolling stock if their height, weight or other physical characteristics would make this
unsafe.

4.7.6.6.

Trauma Counselling

Staff who, while performing the task of driving a train, are affected by traumatising accidents causing death or serious
injuries of persons, shall be subject to appropriate care by the employer.

4.8.

INFRASTRUCTURE AND ROLLING STOCK REGISTERS

In accordance with Article 24(1) of Directive 2001/16/EC, ‘the Member States shall ensure that registers of infrastructure and
of rolling stock are published and updated annually. Those registers shall indicate the main feature of each subsystem or part
subsystem involved and their correlation with the features laid down by the applicable TSIs. To that end, each TSI shall
indicate precisely which information must be included in the registers of infrastructure and of rolling stock.’

Due to the annual update and publication of these registers they are not suitable for the particular requirements of the
‘Traffic Operations and Management’ subsystem. Therefore this TSI specifies nothing in respect of these registers.

However, there is an operational requirement for certain infrastructure related data items to be made available to a Railway
Undertaking and conversely for certain rolling stock related items to be made available to an Infrastructure Manager. In both
cases the data concerned must be complete and accurate.

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4.8.1.

INFRASTRUCTURE

The requirements for the conventional rail infrastructure related data items with regard to the Traffic Operation and
Management subsystem, and which must be made available to railway undertakings, are specified in Annex D. The
Infrastructure Manager is responsible for the correctness of the data.

4.8.2.

ROLLING STOCK

The following rolling stock related data items must be available to infrastructure managers. The keeper (vehicle owner) is
responsible for the correctness of the data:

— whether the vehicle is constructed from materials which can be hazardous in case of accidents or fire (e.g. asbestos)

— length over buffers

5.

5.1.

INTEROPERABILITY CONSTITUENTS

DEFINITION

According to Article 2(d) of Directive 2001/16/EC:

Interoperability constituents are ‘any elementary component, group of components, subassembly or complete assembly of
equipment incorporated or intended to be incorporated into a subsystem upon which the interoperability of the trans-
European conventional rail system depends directly or indirectly. The concept of a constituent covers both tangible objects
and intangible objects such as software’.

An interoperability constituent is:

— a product which can be placed on the market before integration and use in the subsystem; in this respect, it must be

possible to verify its conformity independently of the subsystem into which it will be incorporated,

— or an intangible object such as software or a process, organisation, procedure, etc. which has a function in the
subsystem and the conformity of which must be verified to ensure that the essential requirements are met.

5.2.

LIST OF CONSTITUENTS

The interoperability constituents are covered by the relevant provisions of Directive 2001/16/EC. In respect to the Traffic
Operation and Management Subsystem, there are, at present, no interoperability constituents.

5.3.

CONSTITUENTS' PERFORMANCES AND SPECIFICATIONS

Once a solution for indicating the rear end of the train has been established, it is possible that this will become an
interoperability constituent. It might then be the case that an additional annex will be required to define the luminosity,
retro-reflectivity and attachment arrangements. There may also be some additional interfaces with the RST TSIs in a future
version.

6.

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

6.1.

INTEROPERABILITY CONSTITUENTS

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

If however interoperability constituents are subsequently defined and therefore able to be assessed by a Notified Body, the
relevant assessment procedure(s) may then be added to a revised version.

6.2.

TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM

6.2.1.

PRINCIPLES

The Traffic Operation and Management subsystem is a structural subsystem according to annex II to Directive 2001/16/EC.

However, the individual elements are closely aligned with the operational procedures and processes required from an
Infrastructure Manager or Railway Undertaking for the granting of a safety authorisation/certificate under the terms of the

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Directive 2004/49/EC. The Railwy Undertakings and Infrastructure Managers shall demonstrate compliance with the
requirements of this TSI. They can do this by using the Safety Manangement System as described in Directive 2004/49/EC. It
should be noted that at present none of the elements contained within this TSI require separate assessment by a Notified
Body.

The relevant Competent Authority shall carry out an assessment of any new or amended operational procedures and
processes, prior to implementation, before granting a new or revised safety authorisation/certificate. This assessment shall be
a part of the process for granting the safety certificate/authorisation. Where the scope of this SMS will impact on another
Member State(s), co-ordination with that Member State in respect to assessment should be ensured.

Subject to satisfactory completion of the assessment process described below, the Competent Authority shall authorise the
Infrastructure Manager or Railway Undertaking to implement
its Traffic Operation and
Management System in conjunction with the granting of the Safety Authorisation or Safety Certificate required by
Articles 10 and 11 of Directive 2004/49/EC.

the relevant elements of

Wherever an Infrastructure Manager or Railway Undertaking introduces new/upgraded/renewed operational process(es) (or
materially changes existing ones) covered by the requirements of this TSI, then they shall draw up a commitment indicating
that such process(es) is(are) in compliance with the Traffic Operation and Management TSI (or a part of it in the transitional
period — see Chapter 7).

6.2.2.

RULES AND PROCEDURES DOCUMENTATION

In respect to the assessment of the documentation described in Subsection 4.2.1 of this TSI, assurance that the process for
preparing the documentation provided by both Infrastructure Manager and Railway Undertaking is sufficient in terms of
completeness and accuracy, is the responsibility of the Competent Authority .

6.2.3.

ASSESSMENT PROCEDURE

6.2.3.1.

Decision by the Competent Authority

In conjunction with Annex G, the Infrastructure Manager and the Railway Undertaking shall submit a description of any
proposed new or amended operational process(es).

In respect to those items shown as being under Part A of the Safety Certificate/Authorisation as defined by Directive 2004/
49/EC, these shall be presented to the Competent Authority of the Member State in which the company is established.

In respect to items shown as being under Part B of the Safety Certificate/Authorisation as defined by Directive 2004/49/EC,
these shall be presented to the Competent Authority of each Member State concerned.

This shall be provided in sufficient detail to allow the Competent Authority(ies) to make a judgement as to whether a formal
assessment will be required.

6.2.3.2.

If an assessment is required

Where the Competent Authority(ies) decides that such an assessment is required, then this shall be carried out as part of the
assessment leading to granting/renewal of the safety certificate/authorisation in conformity with Directive 2004/49/EC.

The assessment procedures shall be in compliance with the Common Safety Method to be established for assessment and
certification/authorisation of Safety Management Systems required by Articles 10 and 11 of Directive 2004/49/EC.

Some guidelines as to how this assessment could be conducted are contained in Annex F.

6.2.4.

SYSTEM PERFORMANCE

Article 14 paragraph 2 of Directive 2001/16/EC requires Member States to check at regular intervals that interoperability
subsystems are being operated and maintained in accordance with the essential requirements. In respect to the Traffic
Operation and Management subsystem, such checks will be conducted in conformity with Directive 2004/49/EC.

7.

7.1.

IMPLEMENTATION

PRINCIPLES

Implementation of this TSI and conformity with the relevant sections of this TSI must be determined in accordance with an
implementation plan that shall be drawn up by each Member State for the lines for which they are responsible.

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This plan must take into account:

— the specific human factors issues associated with operating any given line;

— the individual operating and safety elements of each line involved; and

— whether implementation of the element(s) under consideration is to be:

— for all trains on the line, or not,

— only for certain lines,

— applicable on all TEN lines,

— applicable to all trains running on TEN lines

— the relationship with implementation with the other subsystems (CCS, RST, TAF, …);

At this time any specific exceptions that may be applicable should be taken into account and documented as part of the
plan.

The implementation plan must take into account the various levels of potential for implementation from whenever:

— a Railway Undertaking or Infrastructure Manager commences operations, or

— a renewal or upgrade to the existing operational systems of a Railway Undertaking or Infrastructure Manager is

introduced, or

— new or upgraded infrastructure, energy, rolling stock or command control & signalling subsystems, requiring a

corresponding set of operating procedures, are put into service.

Where upgrades to existing operational systems affect both Infrastructure Manager(s) and Railway Undertaking(s), the
Member State is responsible for ensuring that such projects are assessed and placed into service coincidentally.

It is commonly understood that the full implementation of all elements of this TSI cannot be complete until the hardware
(infrastructure, control and command, etc.) that is to be operated has been harmonised. The guidelines set out in this chapter
must therefore only be seen as an interim phase supporting migration to the target system.

In conformity with Articles 10 and 11 of Directive 2004/49/EC, the certification/authorisation is required to be renewed
every 5 years. Once this TSI has been put into force and as part of the review process leading to this certification/
authorisation renewal, the Railway Undertaking and the Infrastructure Manager must be able to demonstrate that they have
taken the contents of this TSI into account and provide justification for any elements of it with which they do not yet
comply.

Whilst full compliance with the target system described in this TSI is clearly the ultimate position, migration may be done in
stages through the development of national or international, bilateral or multilateral agreements. Such agreements, which
may be drawn up by and between a combination of IM — IM, IM — RU, RU — RU, shall always involve input from the
Safety Authorities concerned.

Where existing agreements contain requirements related to traffic operation and management, then Member States shall
notify the Commission, within 6 months after the entry into force of this TSI, of the following agreements:

(a).

national, bilateral or multilateral agreements between Member States and Railway Undertaking(s) or Infrastructure
Manager(s), agreed on either a permanent or a temporary basis and required due to the very specific or local nature of
the intended train service;

(b).

bilateral or multilateral agreements between Railway Undertaking(s), Infrastructure Manager(s) or Member State(s)
which deliver significant levels of local or regional interoperability;

(c).

international agreements between one or more Member State(s) and at least one third country, or between Railway
Undertaking(s) or Infrastructure Manager(s) of Member States and at least one Railway Undertaking or Infrastructure
Manager of a third country, which deliver significant levels of local or regional interoperability.

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The compatibility of these agreements with EU legislation, including their non-discriminatory character and, in particular,
this TSI, will be assessed and the Commission will take the necessary measures such as the revision of this TSI to include
possible specific cases or transitional measures.

The RIV, RIC and PPW Agreements and COTIF instruments shall not be notified, because they are known.

Renewal of such agreements shall be possible, but only in the interests of continued through working arrangements and
only when no other alternatives exist. Any modification of existing agreements or any future agreement shall take into
account EU legislation and, in particular, this TSI. Member States shall notify the Commission of such modifications or new
agreements. The same procedure as shown above shall then apply.

7.2.

IMPLEMENTATION GUIDELINES

The table shown in Annex N, which is informative and not mandatory, has been prepared as a guide to what the Member
State could identify as the trigger for implementation of each of the elements in Chapter 4.

There are three distinct elements to implementation:

— Confirmation that any existing systems and processes comply with the requirements of this TSI

— Adaptation of any existing systems and processes to comply with the requirements of this TSI

— New systems and processes arising from implementation of other sub-systems

— New/upgraded conventional lines (INS/ENE)

— New or upgraded ETCS signalling installations, GSM-R radio installations, Hot Axle Box Detectors, … (CCS)

— New rolling stock (RST)

— Telematics applications for traffic management (TAF)

7.3.

SPECIFIC CASES

7.3.1.

INTRODUCTION

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

These specific cases belong to two categories:

— the provisions apply either permanently (case ‘P’), or temporarily (case ‘T’).

— In temporary cases, it is recommended that the Member States concerned should conform with the relevant subsystem
either by 2010 (case ‘T1’), an objective set out in Decision No 1692/96/EC of the European Parliament and of the
Council of 23 July 1996 on Community guidelines for the development of the trans-European transport network, or
by 2020 (case ‘T2’).

7.3.2.

LIST OF SPECIFIC CASES

Temporary Specific Case (T2) Ireland

For the implementation of Annex P of this TSI in the Republic of Ireland, vehicles which are used solely in domestic traffic
may be exempted from carrying the standard 12-digit number. This may apply also for cross-border traffic between
Northern Ireland and the Republic of Ireland.

Temporary Specific Case (T2) UK

For the implementation of Annex P of this TSI in the United Kingdom, passenger coaches and locomotives which are used
solely in domestic traffic may be exempted from carrying the standard 12-digit number. This may apply also for cross-
border traffic between Northern Ireland and the Republic of Ireland.

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ANNEX A1:

ERTMS/ETCS OPERATING RULES

This Annex contains the draft rules for ERTMS/ETCS. These are included here to provide a broad outline to the structure and
scope of these rules. In particular, the rules concerning ETCS level 2 shall be consolidated after field tests. The completed set
of rules will have also to be adapted to the updated baseline of the FRS and SRS contained in the CR CCS TSI and intended
to be introduced by the end of 2005.

1.

INTRODUCTION

This document is a compilation of ERTMS rules for the operation of lines equipped with level 1, or level 2 lines
without any underlying system.

2.

GLOSSARY

Reserved

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3.

3.1.

DOCUMENTS

WRITTEN ORDERS AND TEXT MESSAGES

The different written orders to be used according to the rules are the following.

The information contained in these written orders is mandatory, the presentation is informative.

3.1.1.

ERTMS WRITTEN ORDER 01

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3.1.2.

ERTMS WRITTEN ORDER 02

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3.1.3.

ERTMS WRITTEN ORDER 03

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3.1.4.

ERTMS WRITTEN ORDER 04

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3.1.5

ERTMS WRITTEN ORDER 05

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3.1.6.

ERTMS WRITTEN ORDER 06

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3.1.7.

ERTMS TEXT MESSAGES

Fixed message to be displayed

Flashing mes-
sage

References

Ack UN

Ack OS

Ack SH

Ack SR

Ack RV

Ack STM …

Ack train trip

Ack transition to level. . . . . . . . . .

Communication session termi-
nated

No radio connection with RBC

Route unsuitable

SF because of x

SH refused

SH granted not received

x

x

x

x

x

x

x

x

SRS: 4.6.3, 4.7.2, 5.4.3.7.3

SRS: 4.6.3, 4.7.2, 5.9.1.2, 5.9.2.3, 5.9.2.4, 5.9.3.2, 5.9.3.4,
5.9.3.5, 5.9.3.6

SRS: 4.4.8.1.9, 4.6.3, 5.7.1.4, 5.7.2.3, 5.7.2.4, 5.7.3.2,
5.7.3.3, 5.7.3.4, 5.7.3.5

SRS: 4.7.2

SRS: 5.13.1.4

SRS: 4.4.16, 4.4.17

SRS: 3.14.1, 4.4.13.1.4, 4.4.14.1.1, 4.6.3, 4.7.2, 5.11.1.1

SRS: 4.7.2, 5.10.4.1, 5.10.4.3, 5.10.4.4

SRS: 3.5.5, 5.15.4

SRS: 3.5.3.7

SRS 3.12.2.4

SRS: 4.4.5

SRS 5.6.3, 4.7.2

SRS 5.6.4.1.1

Transition to level. . . . . . . . . . . . . .

SRS: 4.7.2, 5.10.4.1, 5.10.4.3, 5.10.4.4

Waiting for SH

SRS: 5.6.3, 4.7.2

Text message to be confirmed:

Fixed message to be displayed

Flashing mes-
sage

References

Failure of LTM

Failure of Euroradio

SRS:

SRS:

3.2.

SITUATIONS — RULES

Intentionally blank.

4.

ERTMS TRAIN CATEGORIES

4.1.

SCOPE AND PURPOSE

This document defines the ERTMS Train categories.

4.2.

DEFINITION

The ERTMS category of train depends on the kind of rolling stock and on the environment characteristics. It is
individuated by a 2 letters symbol.

The symbols are the following:

— BT for basic train,

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— AT for active tilting train,

— PT for passive tilting train,

— CW for cross wind sensitive train.

An ERTMS train is defined:

— by one symbol only referring to the rolling stock,

— or by the combination of one of the symbols referring to the rolling stock with the symbol of environment

characteristics.

5.

5.1.

PREPARING A TRAIN AS A TANDEM MOVEMENT

SITUATIONS

Intentionally blank.

5.2.

RULES

Intentionally blank.

6.

6.1.

AWAKENING ON AN AWAKENING TRACK

SITUATIONS

The driver is about to start a mission and the traction unit is in SB.

6.2.

RULES

When requested by the onboard system, the driver shall:

— enter, re-enter or re-validate the Driver ID and the train running number,

— select the corresponding ERTMS/ETCS level according to national rules.

6.2.1.

THE TRACTION UNIT HAS TO MOVE AS A TRAIN

The driver shall:

— enter the train data (rule ‘Entering data’),

— select ‘Start’.

6.2.1.1.

In level 0

The system requests an acknowledgement for UN.

The following message is displayed on the DMI:

‘Ack UN’.

The driver shall react according to the indication displayed on the DMI (rule ‘Reacting in function of DMI/
signalling system instruction’).

6.2.1.2.

In level 1

The system requests an acknowledgement for SR.

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The following message is displayed on the DMI:

‘Ack SR’.

The driver shall react according to the indication displayed on the DMI (rule ‘Reacting in function of DMI/
signalling system instruction’).

6.2.1.3.

In level 2

Intentionally blank.

6.2.1.4.

In level STM

The system requests an acknowledgement for STM.

The following message is displayed on the DMI:

‘Ack STM…’.

The driver shall apply national rules.

6.2.2.

THE TRACTION UNIT HAS TO MOVE IN SH

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

6.2.3.

THE TRACTION UNIT HAS TO MOVE IN NL

The driver shall prepare for tandem movement (rule ‘Preparing a train as a tandem movement’).

7.

7.1.

ENDING A TRAIN AS A TANDEM MOVEMENT

SITUATIONS

Intentionally blank.

7.2.

RULES

Intentionally blank.

8.

8.1.

PERFORMING SHUNTING MOVEMENTS IN SH

SITUATIONS

Rolling stock has to be moved in SH.

8.2.

RULES

8.2.1.

MANUAL ENTRY INTO SH

Before authorising the driver to select SH, the signalman shall:

— check that all conditions are fulfilled for shunting according to national rules,

— give the driver all necessary information about movements to be done.

The driver selects SH only when he has received the permission from the signalman.

The driver shall select SH only at standstill.

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In Level 2, the message is displayed on the DMI:

‘Waiting for SH’.

8.2.1.1.

Permission for shunting is granted.

The onboard system switches to SH.

The driver shall react according to the indication displayed on the DMI (rule ‘Reacting in function of DMI/
signalling system instruction’) and apply national rules.

8.2.1.2.

Permission for shunting is refused or no answer to shunting request is received in level 2

When the message is displayed on the DMI:

‘SH refused’,

or

‘SH granted not received’,

or

‘Communication session terminated’,

the driver shall contact the signalman.

The driver and the signalman shall apply national rules.

8.2.2.

AUTOMATIC ENTRY INTO SH

The driver shall acknowledge the message:

‘Ack SH’.

The driver shall react according to the indication displayed on the DMI (rule ‘Reacting in function of DMI/
signalling system instruction’) and apply national rules.

8.2.3.

EXIT FROM SH

When the shunting movement is at standstill and all shunting movements performed in SH are finished, the
driver shall exit SH and inform the signalman.

9.

9.1.

ENTERING DATA

SITUATIONS

Data entry is necessary to prepare a train for service:

— when awakening,

— after each case the data have to be modified; these modifications can result of, for example:

— a modification of the train according to the organisation documents of transportation,

— a failure affecting the rolling stock characteristics,

— assistance given to a train.

9.2.

RULES

Before the initial departure, the train preparer shall check the conformity of the train to its ERTMS category and
the driver shall verify that train data is available.

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Before the initial departure the driver shall check the availability of the train data and take knowledge of the data.
The same applies when changing the driver.

9.2.1.

ENTERING DATA

A.

General case

To perform the mission the train preparer shall enter and/or confirm the following sets of data:

— train data,

— additional data.

Train data refer to rolling stock characteristics and include:

— train running number,

— maximum train speed,

— ERTMS train category,

— train length,

— deceleration data,

— power supply,

— loading gauge,

— axle load,

— train fitted with airtight system,

— list of STM available.

Additional data refer to other parameters that may be needed to perform the mission and include:

— Driver ID,

— ERTMS/ETCS Level,

— RBC identification/telephone number,

— adhesion factor,

— and, if required by the journey, the STM to be activated including additional STM data.

B.

Case of tandem movement

(to be completed)

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9.2.1.1.

Trainset

In case of a trainset, before confirming default data, the train preparer shall ascertain that technical conditions of
rolling stock allow the use of already stored data.

For a trainset, the train preparer has to check the status of the equipment of rolling stock that can have an impact
on train data:

— after the preparation of the train in the departure station,

— after each case the composition of the train is modified (in a station or elsewhere),

— after a technical problem that leads to modify the data.

If there are no specific restrictions, the train preparer shall validate each data displayed on the DMI.

If there are specific restrictions, the train preparer shall:

— determine the new data according to a technical document,

— correct this data,

— validate the new data.

9.2.1.2. Other trains

To enter train data, the train preparer shall use the train data form.

9.2.2.

CHANGES OF DATA

If a change in the data is required during the journey, the driver shall take into account the new data.

If the adhesion factor has to be changed national rules apply.

9.2.2.1.

Trainset

The driver shall:

— determine the new data according to a technical document,

— check the conformity of the train to its ERTMS category,

— correct this data,

— validate the new data.

He shall do the same for each data to be changed if necessary.

9.2.2.2. Other trains

The train preparer shall modify the train data form or shall produce a new one each time the characteristics of the
train are modified. If there is no train preparer the driver shall update the train data form.

To enter new train data, the driver shall:

— use the new train data form,

— correct the data,

— validate the new data.

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10.

DEPARTURE OF THE TRAIN

10.1.

SITUATIONS

The train is about to start at the initial station or after a scheduled stop.

10.2.

RULES

The driver is allowed to depart after:

— he has received an authorisation for train movement,

— train service conditions are fulfilled according to national rules.

The driver shall react according to the indication displayed on the DMI (rule ‘Reacting in function of DMI/
signalling system instruction’).

The driver shall inform the signalman if at the departure time the train has not received an authorisation for train
movement.

11.

REACTING IN FUNCTION OF DMI/SIGNALLING SYSTEM INSTRUCTION

11.1.

PRESENTATION OF THE DMI

The different situations are presented in each paragraph of section 2, depending on DMI information.

11.1.1.

VISUAL INDICATIONS

(This is an example of the visual indications).

11.1.2.

AUDIBLE INDICATIONS

Audible information is considered as complementary information.

The audible information is given to draw the attention of the driver to new information visually presented on the
DMI.

Elementary sounds:

Short low

Long high

o

#

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11.2.

RULES

11.2.1.

PRECEDENCE OF DMI INDICATIONS/WRITTEN ORDERS

The driver shall obey the indications provided on the DMI. These indications take precedence over all relevant
trackside indications except any indications of danger as specified in national rules.

Written orders take precedence over all indications provided by the DMI except when a lower permitted speed or
a lower release speed is displayed.

11.2.2.

DMI INDICATIONS

When the following icon/
text message is displayed

Transition to level…

Ack transition to
level…
(flashing)

Ack STM
(flashing)

Ack UN
(flashing)

(light grey)

Ack OS
(flashing)

(light grey)

Name

level 0

level 1

level 2

UN

FS

OS

Supported by
sound

Situa-
tion

The driver shall:

— apply national rules.

— apply level 1 rules.

— apply level 2 rules.

— start applying level . . . . rules at the

transition point.

— acknowledge the text message,
— in level 0 and in level STM apply

national rules.

— acknowledge the text message,
— apply national rules.

— acknowledge the text message.

— apply national rules.

— not overpass
mitted speed,

the indicated per-

— respect the indicated target speed in

the predicted distance.

— acknowledge the text message,
— and start or continue running on

sight.

— start or continue running on sight
as long as the OS icon is displayed,
— not exceed the maximum speed for

OS,

— in level 1 check the aspect of the
trackside signal, proceed in front of
a proceed aspect and continue
running on sight.

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When the following icon/
text message is displayed

Name

Supported by
sound

Situa-
tion

The driver shall:

Ack SR
(flashing)

SR

(light grey)

— first:

— in level 1 receive permission

for train movement,

— in level 2 receive from the

signalman:
— the permission to start
in SR or to overpass an
EOA by means of the
ERTMS Written Order
01 or,

— the permission to pro-
ceed after train trip by
means of
the ERTMS
Written Order 02,

— check the lowest speed limit of:
— timetable/route book,
— written order,
— maximum speed for SR,
— then acknowledge the text message,
— and prepare for departure (rule

‘Departure of the train’).

— run on sight, unless a written order
says that running on sight is not
necessary,

— not exceed the lowest speed limit of:
— timetable/route book,
— written order,
— maximum speed for SR,
— in level 1 check the aspect of the

trackside signal:
a)

b)

stop the train in front of a
stop aspect,
proceed in front of a proceed
aspect and continue running
on sight,

Ack SH
(flashing)

(light grey)

Ack train trip
(flashing)

Ack RV

— in level 2 stop at the next marker
board, contact the signalman and
follow his instructions if the train
reaches this point in SR.

— first be sure to have knowledge

about the movement to perform,

— then acknowledge the text message.

SH

— apply national shunting rules.

— take measures in response of a train
in

‘Taking measures

trip (rule
response of train trip’).

RV

— acknowledge the text message.

— start the emergency propelling,
— not exceed the maximum speed for

RV,

— and respect the target distance.

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When the following icon/
text message is displayed

Name

Supported by
sound

Situa-
tion

The driver shall:

Lower panto-
graphs

— lower the pantographs.

(orange)

(yellow)

(yellow)+ Indication of
current system as text
message e.g. ‘1 500 V
=’

(grey)

(yellow)

(yellow)

Raise panto-
graphs

— notice that he is authorised to raise

the pantographs .

Raise panto-
graphs with
voltage indi-
cation

— notice that he is authorised to raise
the pantographs after the current
been
system announced
selected.

has

Neutral sec-
tion

— switch off the main power switch.

Neutral sec-
tion

— keep the main power

switched off.

switch

Non stop-
ping control

— avoid to stop.

11.2.3.

BRAKE INTERVENTION IN CASE OF OVERPASSING A SPEED LIMIT

11.2.3.1. Situation

ETCS is braking because the train has exceeded the speed limit.

If the intervention can be released, the symbol will start to flash at the moment the intervention could safely be
stopped.

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11.2.3.2. Rules

When the following picture is displayed

Supported by sound

The driver is allowed to:

1.

The train exceeds the speed limit

(intermittent)

in this example:

— Current speed: 140 km/h,

— Permitted speed: 110 km/h,

Service brake has been triggered.

2.

The current speed is equal or below the
permitted speed

— release the brake once the
current
train speed has
become lower than the
permitted speed.

in this example:

— Current speed: 104 km/h,

— Permitted speed: 105 km/h,

Service brake icon starts flashing.

11.2.4.

RELEASE SPEED

11.2.4.1. Situation

The train is approaching the EOA and a release speed is displayed on the DMI.

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11.2.4.2. Rules

When the following picture is displayed

Supported by sound

The driver:

— shall not overpass

the
permitted

indicated
speed,

— shall decrease the speed
following the indication
on the DMI,

— in level 1 shall check the
the trackside

aspect of
signal:
a)

b)

a

stop the train in
front of
stop
aspect,
without
proceed
the
overpassing
indicated
release
speed in front of a
proceed aspect,

— In level 2 is authorised to
overpass the EOA to stop
in front of a marker
board or a buffer stop.

in this example:
— Actual speed: 20 km/h;
— Permitted speed: 50 km/h;
— Release speed: 26 km/h.

in this example:
— Actual speed: 19 km/h;
— Permitted speed: 26 km/h;
— Brake curve to target position: 9 km/h;
— Release speed: 26 km/h.

12.

GENERAL PRINCIPLES FOR LEVEL 1

12.1.

SCOPE AND PURPOSE

This document refers to general principles and rules to be applied in all situations of level 1 and specifically
required by that level (not in common with other levels).

12.2.

PRINCIPLES

The driver shall know:

— side of track side signals to be observed,

— stop aspects of track side signals that he is not allowed to overpass,

— proceed aspects of track side signals that he is allowed to overpass. A list of proceed aspects shall
distinguish signals that can be overpassed without restrictions from signals that can be overpassed with
specific restrictions, according to national rules.

13.

RUNNING ON SIGHT

13.1.

SITUATIONS

The driver has to run on sight from an operational point of view, whatever is the technical mode.

13.2.

RULES

When a driver has to run on sight, he is obliged:

— to proceed with caution, controlling his speed, taking into account the line visible in advance, such that it is

possible to stop short of any train, EOA, stop signal or obstacle,

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— not to exceed the maximum speed for running on sight.

14.

MANAGING FAILURES OF THE ONBOARD SYSTEM

14.1.

SITUATIONS

A failure affecting the onboard system is detected.

14.2.

RULES

14.2.1.

FAILURE AFFECTING THE LOOP TRANSMISSION MODULE (LTM)

The driver observes the text message on the DMI:

‘failure of LTM’.

He shall contact the signalman; driver and signalman shall apply national rules.

14.2.2.

FAILURE AFFECTING THE BALISE TRANSMISSION MODULE (BTM)

The driver shall isolate the onboard system and inform the signalman; driver and signalman shall apply national
rules.

14.2.3.

FAILURE AFFECTING THE EURORADIO

The driver observes the text message on the DMI:

‘failure of Euroradio’.

a)

During the preparation of the traction unit

In level 2 the driver shall ask to change the traction unit.

— If the traction unit has to be moved, the signalman shall authorise the driver to overpass the EOA

(rule ‘Authorised Overpassing an EOA’).

— If the traction unit has not to be moved, the driver shall switch off the onboard system.

In all other levels the driver shall inform the signalman; driver and signalman shall apply national rules.

b) While running

In level 1 with infill function by radio the driver shall inform the signalman. Driver and signalman shall
apply national rules.

In level 2 the driver shall take measures in case of lack of radio communication (rule ‘Managing lack of
radio communication’).

14.2.4.

FAILURE AFFECTING THE DMI

a)

During the preparation of the traction unit

The driver shall ask to change the traction unit.

If the traction unit has to be moved, the driver shall inform the signalman; driver and signalman shall apply
national rules.

If the traction unit has not to be moved, the driver shall switch off the onboard system.

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b) While running

When DMI data can not be displayed the driver shall stop the train and inform the signalman; driver and
signalman shall apply national rules.

14.2.5.

OTHER FAILURES

The driver observes the text message on the DMI:

‘SF because of x’.

a)

During the preparation of the traction unit

The driver shall ask to change the traction unit.

If the traction unit has to be moved, the driver shall isolate the onboard system and inform the signalman;
driver and signalman shall apply national rules.

If the traction unit has not to be moved, the driver shall switch off the onboard system.

b) While running

After coming to standstill the driver shall isolate the onboard system and inform the signalman; driver and
signalman shall apply national rules.

15.

AWAKENING OUTSIDE AN AWAKENING TRACK

15.1.

SITUATIONS

The driver has to awake the train and the traction unit is in SB.

15.2.

RULES

When requested by the onboard system, the driver shall:

— enter, re-enter or re-validate the Driver ID and the train running number,

— select the corresponding ERTMS/ETCS level according to national rules,

— enter, re-enter or re-validate the RBC-ID and/or telephone number according to national rules.

15.2.1.

THE TRACTION UNIT HAS TO MOVE AS A TRAIN

The driver shall:

— enter the train data (rule ‘Entering data’),

— select ‘Start’.

15.2.1.1.

In level 0

The system requests an acknowledgement for UN.

The following message is displayed on the DMI:

‘Ack UN’.

The driver shall react according to the indication displayed on the DMI (rule ‘Reacting in function of DMI/
signalling system instruction’).

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15.2.1.2.

In level 1

The system requests an acknowledgement for SR.

The following message is displayed on the DMI:

‘Ack SR’.

The driver shall react according to the indication displayed on the DMI (rule‘Reacting in function of DMI/
signalling system instruction’).

15.2.1.3.

In level 2

When the following message is displayed on the DMI:

‘No radio connection with the RBC’,

the driver shall check the RBC ID and telephone number and correct them if necessary.

a)

The radio communication has been established

a1)

The system issues an MA:

The driver shall react according to the indication displayed on the DMI (rule ‘Reacting in function of
DMI/signalling system instruction’).

a2)

The system requests an acknowledgement for SR:

The following message is displayed on the DMI:

‘Ack SR’.

Before acknowledging the message the driver shall:

— receive the permission to start in SR from the signalman by means of the ERTMS Written

Order 01,

— check that the written order refers to his train and its current location.

Before to authorise a driver to start in SR, the signalman shall get the following assurances for the
part of the track from the marker board to be overpassed to the next one:

— check if all the conditions for the route are met according to national rules,

— check for speed limitations lower than the maximum speed for SR and include them in the

ERTMS Written Order 01,

— check if other restrictions and/or instructions are necessary and include them in the ERTMS

Written Order 01.

The signalman shall issue the ERTMS Written Order 01.

The driver shall react according to the indication displayed on the DMI (rule ‘Reacting in function of
DMI/signalling system instruction’).

When the train is not close to the first marker board that the train will reach, the driver shall stop in
front of this marker board to ascertain that the written order refers to it.

b)

The radio communication has not been established.

If the communication with the RBC can not be re-established and the train has to be moved, the signalman
shall authorise the driver to overpass the EOA (rule‘Authorised Overpassing an EOA’). In this particular
case the signalman is not allowed to exempt the driver from running on sight in SR.

15.2.1.4.

In level STM

The system requests an acknowledgement for STM…

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The following message is displayed on the DMI:

‘Ack STM…’.

The driver shall apply national rules.

15.2.2.

THE TRACTION UNIT HAS TO MOVE IN SH

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

15.2.3.

THE TRACTION UNIT HAS TO MOVE IN NL

The driver shall prepare for tandem movement (rule ‘Preparing a train as a tandem movement’).

16.

PREPARING A TRAIN AS A TANDEM MOVEMENT FOR ASSISTANCE

16.1.

SITUATIONS

The non leading engine and the train are already coupled and the onboard ERTMS-ETCS equipment of the non
leading engine is ready to switch to SB.

16.2.

RULES

Intentionally blank.

17.

ENDING A TRAIN AFTER ASSISTANCE

17.1.

SITUATIONS

A slave traction unit has to be removed from the train.

17.2.

RULES

Intentionally blank.

18.

OVERPASSING A TRANSITION POINT IN DEGRADED SITUATIONS FROM LEVEL 1 TO LEVEL 2
AND FROM LEVEL 2 TO LEVEL 1

18.1.

SITUATIONS

The radio communication can not be established when entering a level 2 area.

A transition does not take place when overpassing the transition point.

18.2.

RULES

18.2.1.

THE RADIO COMMUNICATION CAN NOT BE ESTABLISHED

When the following message is displayed on the DMI:

‘No radio connection with the RBC’,

the driver shall check the RBC ID and telephone number and correct them if necessary.

If the communication with the RBC can not be established and the train has to be moved, the signalman shall
authorise the driver to overpass the EOA (rule ‘Authorised Overpassing an EOA’).

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18.2.2.

THE TRANSITION DOES NOT TAKE PLACE WHEN OVERPASSING THE TRANSITION POINT

18.2.2.1.

If the train has been tripped

The driver and the signalman shall take measures in response of a train trip (rule ‘Taking measures in response of
train trip’).

When at standstill the driver shall:

— check the correct level to select,

— change the level,

— restart according to the indications displayed on the DMI (rule ‘Reacting in function of DMI/signalling

system instruction’).

18.2.2.2.

If in SR

The driver shall:

— stop the train,

— apply 2.2.3.

18.2.2.3.

In all other cases

The driver shall:

— inform the signalman,

— when at standstill check the correct level to select,

— change the level,

— restart according to the indications displayed on the DMI (rule ‘Reacting in function of DMI/signalling

system instruction’).

19.

MANAGING UNPLANNED TEMPORARY SPEED RESTRICTIONS

19.1.

SITUATIONS

An unplanned temporary speed restriction has to be managed.

19.2.

RULES

When the signalman receives information that an unplanned temporary speed restriction is necessary, he shall:

— stop trains already in the section concerned,

— prevent other trains from entering this section.

Before setting a route for a train to run in the concerned section, the signalman shall give the driver the
unplanned temporary speed restriction:

— for tripped trains, signalman and driver shall take measures in response of a train trip (rule ‘Taking

measures in response of train trip’), including the obligation to run under restrictions,

— for the other trains, the signalman shall give the obligation to run under restrictions to the drivers by

means of the ERTMS Written Order 05.

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The driver shall respect the temporary speed restriction until the rear end of the train has overpassed the end of
the speed restriction.

The signalman shall apply these measures until the temporary speed restriction is managed by ERTMS.

20.

AUTHORISED OVERPASSING AN EOA

20.1.

SITUATIONS

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

20.2.

RULES

If a driver has not received an authorisation for train movement in due time he shall contact the signalman if he
has no information about the reason.

Until receiving permission from the signalman the driver shall not use the override function.

Before to authorise a driver to overpass an EOA by means of the ERTMS Written Order 01 the signalman shall:

— check if all the conditions for the route are met according to national rules,

— when he can establish according to national rules that the track is free exempt the driver from running on
sight adding in the part ‘Additional Instructions’ the following words: ‘is exempted from running on sight’
in SR,

— check for speed limitations lower than the maximum speed for SR and include them in the ERTMS Written

Order 01,

— check if other restrictions and/or instructions are necessary and include them in the ERTMS Written Order

01.

To overpass the EOA, the driver shall:

— receive ERTMS Written Order 01 from the signalman,

— check that the written order refers to his train and to its current location,

— check the lowest speed limit of:

— timetable/route book,

— list of temporary speed restrictions,

— written order,

— maximum speed for SR,

— use the override function and follow the instructions given in the ERTMS Written Order 01,

— restart according to the indications displayed on the DMI (rule ‘Reacting in function of DMI/signalling

system instruction’).

21.

MANAGING LACK OF RADIO COMMUNICATION

21.1.

SITUATIONS

Radio communication is lost in an area not identified as a radio hole.

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21.2.

RULES

When the following icon is displayed on the DMI:

(red)

the driver shall report to the signalman.

If the train has to be moved, the signalman shall authorise the driver to overpass the EOA (rule ‘Authorised
Overpassing an EOA’).

22.

TAKING MEASURES IN THE EVENT OF AN EMERGENCY SITUATION

22.1.

SITUATIONS

An emergency situation occurs.

22.2.

RULES

22.2.1.

TO PROTECT THE TRAINS

When a driver discovers an emergency situation he shall perform all actions necessary to avoid or reduce the
effect of the situation and inform the signalman as soon as possible.

The driver shall apply national rules.

When a signalman is informed of an emergency situation he shall immediately protect endangered trains:

— in level 1, by applying national rules,

— in level 2, by transmitting the emergency stop order; the emergency stop order shall not be revoked before

the trains are ready to restart.

The signalman shall stop and warn all other trains in front of the danger area.

The signalman shall inform all concerned drivers as soon as possible.

22.2.2.

TO RESTART THE TRAINS

According to national rules, the signalman shall decide:

— when it is possible to authorise train movement,

— if instructions and/or restrictions for train movement are necessary.

To restart trains that have been tripped, signalman and driver shall take measures in response of a train trip (rule
‘Taking measures in response of train trip’). For trains in level 2 the emergency stop order has to be revoked.

The signalman shall include necessary instructions and/or restrictions for train movement according to national
rules:

— for tripped trains in ERTMS Written Order 02,

— for other trains in ERTMS Written Order 05,

In particular, he can ask the driver to examine a part of the line.

The driver shall obey the written order and report his findings if requested when he has cleared the affected area.

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22.2.3.

TO PROTECT AND RESTART SHUNTING MOVEMENTS

The signalman and the driver shall apply national rules.

23.

REVOKING AN AUTHORISATION FOR TRAIN MOVEMENT

23.1.

SITUATIONS

The signalman decides to make new traffic arrangements.

23.2.

RULES

23.2.1.

IN LEVEL 1

To revoke an authorisation for train movement, the signalman shall apply national rules.

When national rules stipulate that a train has to be at standstill before making traffic arrangements, the
signalman shall order the driver to remain at standstill by means of the ERTMS Written Order 03.

To restart the signalman shall authorise the driver by means of ERTMS Written Order 04.

The driver shall run on sight until the next trackside signal.

23.2.2.

IN LEVEL 2

If possible the signalman shall revoke an MA by the use of the co-operative shortening of MA.

In all other cases, the signalman shall apply national rules.

When national rules stipulate that a train has to be at standstill before making traffic arrangements, the
signalman shall order the driver to remain at standstill by means of the ERTMS Written Order 03.

To restart the signalman shall authorise the driver by means of ERTMS Written Order 04.

24.

TAKING MEASURES IN RESPONSE OF TRAIN TRIP

24.1.

SITUATIONS

A train or a shunting movement is tripped.

24.2.

RULES

When a trip occurs the driver shall assume that there is a dangerous situation and he shall perform all actions
necessary to avoid or reduce the effect of this situation. This may include to move the train backwards according
to national rules.

To move the train backwards, the driver shall acknowledge the text message ‘ACK TRAIN TRIP’ and release the
emergency brake.

After moving the train backwards as soon as it is at standstill, the driver shall contact the signalman and inform
him about the situation.

In all other cases, when at standstill the driver observes the text message on the DMI:

‘Ack train trip’,

he shall acknowledge the train trip and contact the signalman.

The driver shall not restart after a trip has occurred without the permission from the signalman.

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Before giving permission to the driver to proceed after train trip by means of ERTMS Written Order 02 the
signalman shall:

— check if all the conditions for the route are met according to national rules,

— when he can establish according to national rules that the track is free exempt the driver from running on
sight adding in the part ‘Additional Instructions’ the following words: ‘is exempted from running on sight’
in SR,

— check for speed limitations lower than the maximum speed for SR and include them in the ERTMS Written

Order 02,

— check if other restrictions and/or instructions are necessary and include them in the ERTMS Written Order

02.

To proceed the driver shall:

— receive the ERTMS Written Order 02 with all additional instructions given by the signalman,

— check that the written order refers to his train/shunting movement and to its current location,

— according to the mission select start or SH, and follow the instructions given in the ERTMS Written Order

02,

— restart according to the indications displayed on the DMI (rule ‘Reacting in function of DMI/signalling

system instruction’).

25.

MANAGING ROUTE UNSUITABILITY

25.1.

SITUATIONS

An incompatibility between the characteristics of the rolling stock and the characteristics of the line is detected.

25.2.

RULES

When the driver observes the text message on the DMI:

‘Route unsuitable’,

he shall:

— stop the train and inform the signalman about the indication of route unsuitability,

— check if the values are in accordance with the train characteristics, and correct them, if necessary.

Until receiving permission from the signalman the driver shall not override the route unsuitability.

25.2.1.

THE REASON FOR THE UNSUITABILITY CAN BE REMOVED

If allowed by national rules the signalman shall authorise the driver to override the route unsuitability by means
of the ERTMS Written Order 06 with all necessary additional instructions.

The driver shall override the route unsuitability, when he has received the ERTMS Written Order 06 from the
signalman.

25.2.2.

THE REASON FOR THE UNSUITABILITY CAN NOT BE REMOVED

The signalman and the driver shall apply national rules.

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26.

26.1.

ENTER AN OCCUPIED TRACK SECTION WITHIN A STATION

SITUATIONS

It is necessary to enter a station in a track section that is occupied for the purposes of:

— platform sharing,

— coupling of trains.

26.2.

RULES

When a train shall enter an occupied track, the signalman shall:

— ensure that the first train is at standstill, and in level 2 that the movement authority of the first train has

been revoked (rule ‘Revoking an authorisation for train movement’),

— set the route for the train that has to enter the occupied track.

The driver of the train that has to enter the occupied track shall react according to the indications displayed on
the DMI (rule ‘Reacting in function of DMI/signalling system instruction’) and follow the instructions received.

In case of an unplanned movement, before setting the route, the signalman shall inform the drivers of both trains
involved of the circumstances according to national rules.

27.

27.1.

EMERGENCY PROPELLING

SITUATIONS

An emergency situation requires to move the train in the opposite direction in an emergency propelling area.

27.2

RULES

When the train has to be propelled in emergency according to national rules the driver shall:

— acknowledge the following text message:

‘Ack RV’,

— propel the train in emergency.

After the train has completed its emergency propelling and as soon as it is at standstill the driver shall report to
the signalman.

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ANNEX A2

ERTMS/GSM-R OPERATING RULES

These rules will explain the principles of how operating staff will be expected to operate the equipment associated with
GSM-R.

This aspect is still an open point and will be specified in a future version of this TSI.

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OTHER RULES ENABLING A COHERENT OPERATION OF NEW STRUCTURAL SUBSYSTEMS:

ANNEX B

(see section 4.4)

This Annex will evolve over a period of time and will be subject to regular review and update.

Typical content of this Annex will be rules and procedures, which are to be applied in an identical way across the entire TEN and the
conventional network in particular and which are not today covered in Chapter 4 of this TSI. It is also likely that some elements of
Chapter 4 and associated annexes will also be integrated into this Annex.

A.

General

B.

Staff Safety and Security

C.

Operational interface with signalling and command and control equipment

Reserved

Reserved

C1

Sanding

The application of sand is an effective way of improving the adhesion of wheels to the rail, to aid braking and starting
away especially in conditions of inclement weather.

A build-up of sand on the railhead can however, cause a number of problems, especially in connection with the
activation of track circuits and the effective operation of points and crossings.

The driver must always be able to apply sand but this must be avoided wherever possible:

— in the area of points and crossings

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

These restrictions are nevertheless not applicable if there is a risk of SPAD (Signal Passed at Danger), or other serious
incident and the application of sand would assist adhesion.

— when at a standstill. The exception to this is when starting away and when required to test the sanding
equipment on the traction unit. (Testing should normally be undertaken in areas specifically designated in the
Infrastructure Register).

C2 Activation of Hot Axle Box Detectors

Reserved

D.

Train Movements

D1 Normal conditions

D2 Degraded conditions

Reserved

Reserved

E.

Anomalies, incidents and accidents

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ANNEX C

SAFETY RELATED COMMUNICATIONS METHODOLOGY

Introduction

The purpose of
the rules for safety-related ground-to-mobile and mobile-to-ground
communications applicable to information transmitted or exchanged for safety critical situations on the interoperable
network and in particular to:

this document

is to set out

— define the nature and structure of the safety-related messages;

— define the methodology for voice transmission of those messages.

This annex is to serve as the basis:

— to enable the Infrastructure Manager to draw up the messages and Books of Forms. These elements shall be addressed

to the Railway Undertaking at the same time as the rules and regulations are made available;

— for the Infrastructure Manager and the Railway Undertaking to draw up the documents for their staff (Books of
Forms), instructions for staff authorising train movements and Appendix 1 to the Driver’s Rule Book ‘Manual of
communication procedures’.

The extent to which forms are used and their structure may vary. For some risks the use of forms will be appropriate, whilst
for others it will not be appropriate.

In the context of a given risk, the Infrastructure Manager shall, acting in compliance with Article 9(3) of Directive 2004/49/
EC, decide whether the use of a form is appropriate. A form should only be used if the value of its safety and performance
benefits exceeds that of any safety and performance disbenefits.

The Infrastructure Managers must structure his communications protocol in a formalised way and in line with the following
3 categories:

— urgent (emergency) verbal messages;

— written orders;

— additional performance messages;

To support the disciplined approach to transmission of these messages a Communications Methodology has been
developed.

1.

COMMUNICATIONS METHODOLOGY

1.1.

ELEMENTS AND PRINCIPLES OF THE METHODOLOGY

1.1.1.

STANDARD TERMINOLOGY TO BE USED IN THE PROCEDURES

1.1.1.1.

Speech transmission procedure

Term transferring the opportunity to speak to the opposite party:

over

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1.1.1.2. Message receiving procedure

— upon receiving a direct message

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 (+ speak slowly)

— upon reception of a message that has been read-back

Terms used to ascertain whether a read-back message exactly matches the sent message:

correct

or not:

error (+ I say again)

1.1.1.3. Communications breaking procedure

— if the message has ended:

out

— if break is temporary and does not break the connection

Term used to keep the other party waiting:

wait

— if break is temporary but the connection is broken

Term used to tell the other party that the communication is going to be broken but will be resumed later
on:

I call again

1.1.1.4. Cancelling a written order

Term used to cancel the written order procedure underway:

cancel procedure…..

If the message is then to subsequently be resumed, the procedure shall be repeated from the start.

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1.1.2.

PRINCIPLES TO BE APPLIED IN THE EVENT OF ERROR OR MISUNDERSTANDING

To permit the correction of possible errors during communication, the following rules shall be applied:

1.1.2.1.

Errors

— error during transmission

When a transmission error is discovered by the sender himself, the sender must request cancellation by
sending the following procedure message:

error (+ prepare new form …)

or:

error + I say again

and then send the initial message again.

— error during read-back

When the sender discovers an error whilst the message is being read back to him, the sender shall send the
following procedure messages:

error + I say again

and send the initial message again.

1.1.2.2. Misunderstanding

If one of the parties misunderstands a message he must ask the other party to repeat the message by using the
following text:

say again (+speak slowly)

1.1.3.

WORD, NUMBER, TIME, DISTANCE, SPEED AND DATE SPELLING CODE

To aid in understanding and expressing messages in different situations, each term must be pronounced slowly
and correctly by spelling out any words or names and figures likely to be misunderstood. Examples would be the
identifying codes for signals or points.

The following spelling rules shall apply:

1.1.3.1.

Spelling out of words and letter groups

The International Phonetic Alphabet shall be used.

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

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Example:

Points A B = points alpha-bravo.

Signal Number KX 835 = signal Kilo X-Ray eight three five.

The Infrastructure Manager may add further letters, along with a phonetic pronunciation for each letter added, if
required by the alphabet of the Infrastructure Manager’s operating language(s).

The Railway Undertaking may add further indications about pronunciation, as it deems necessary.

1.1.3.2.

Expression of numbers

Numbers shall be spoken digit by digit.

0

1

2

3

4

Zero

One

Two

Three

Four

5

6

7

8

9

Example: train 2 183 = train two-one-eight-three.

Decimals shall be expressed by the word ‘point’.

Example: 12,50 = one-two-point-five-zero

1.1.3.3.

Expression of time

The time shall be given in local time, in plain language.

Example: 10:52 hours = ten fifty-two.

Five

Six

Seven

Eight

Nine

Whilst this is the principle, it would also be acceptable, whenever necessary, for the time to be spelled out digit by
digit (one zero five two hours).

1.1.3.4.

Expression of distances and speeds

Distances shall be expressed in kilometres and speeds in kilometres per hour.

Miles may be used if that unit is used on the infrastructure concerned.

1.1.3.5.

Expression of dates

Dates shall be expressed in the usual manner.

Example: 10 December

1.2.

COMMUNICATIONS STRUCTURE

The voice transmission of safety-related messages shall in principle comprise 2 phases as follows:

— identification and request for instructions;

— transmission of the message itself and termination of the transmission.

The first phase may be cut back or entirely skipped for top priority safety messages.

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1.2.1.

RULES FOR IDENTIFICATION AND REQUESTS FOR INSTRUCTION

To enable the parties to identify one another, define the operational situation and transmit procedural
instructions, the following rules shall apply:

1.2.1.1.

Identification

It is very important that before each communication, other than very urgent top priority safety messages, the
persons who are going to communicate identify themselves. Not only is this a polite thing to do it, more
importantly, provides a confidence that the person authorising train movements is in communication with the
driver of the correct train and the driver knows he is speaking with the correct signalling or control centre. This is
especially critical when communication is taking place in areas where communications boundaries overlap.

This principle shall apply even after an interruption during transmission.

The following messages shall be used for this purpose by the different parties.

— by the staff authorising train movements:

train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(number)

this is . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Signals

(name)

— by the driver:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Signals

(name)

this is train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(number)

It should be noted that the identification may be followed by an additional information message giving the staff
authoring train movements enough details of the situation to determine precisely the procedure that the driver
may subsequently be required to follow.

1.2.1.2. Request for instructions

Every application of a procedure supported by a written order must be preceded by a request for instructions.

The following terms shall be used to request instructions:

prepare procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1.2.2.

RULES FOR TRANSMISSION OF WRITTEN ORDERS AND VERBAL MESSAGES

1.2.2.1. Top priority safety messages

Due to their urgent and imperative nature, these messages:

— may be sent or received while running;

— may skip the identification part;

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— shall be repeated;

— shall, as soon as possible, be followed by further information.

1.2.2.2. Written Orders

In order to reliably send or receive (at a standstill) the procedural messages contained in the Book or Forms, the
following rules shall be followed:

1.2.2.2.1. Message sending

The form may be completed prior to transmitting the message so that the full text of the message can be sent in
one single transmission.

1.2.2.2.2. Message receiving

The receiver of the message must fill in the form contained in the Book of Forms based upon the information
given by the sender.

1.2.2.2.3. Read-back

All the predetermined railway messages in the Book of Forms shall be required to be read back. The read-back
shall include the message shown in the grey field on the Forms, the ‘report back’ section and any additional or
complementary information.

1.2.2.2.4. Acknowledgement of correct read-back

Every read-back message shall be followed by an acknowledgement of conformity or non-conformity given by the
sender of the message.

correct

or

error + I say again

followed by a repeat sending of the initial message

1.2.2.2.5. Acknowledgement

Every message received shall be acknowledged positively or negatively as follows:

received

or

negative, say again (+ speak slowly)

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1.2.2.2.6. Traceability and verification

A unique identification or authorisation number shall accompany all messages initiated from the ground:

— if the message concerns an action for which the driver requires a specific authorisation (e.g. passing a signal

at danger,…):

authorisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(number)

— in all other cases (e.g. proceeding with caution,…):

message . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(number)

1.2.2.2.7. Reporting Back

Every message comprising a request to ‘report back’ shall be followed by a ‘report’.

1.2.2.3. Additional messages

Additional messages

— shall be preceded by the identification procedure;

— shall be short and precise (limited wherever possible to information to be communicated and where it

applies);

— shall be read back and followed by an acknowledgement of correct read-back, or not

— may be followed by a request for instructions or a request for further information.

1.2.2.4.

Information messages with a variable non-predetermined content

Information messages with a variable content shall be:

— preceded by the identification procedure;

— prepared before sending;

— read back and followed by an acknowledgement of correct read-back, or not.

2.

PROCEDURAL MESSAGES

2.1.

NATURE OF THE MESSAGES

Procedural messages are used to send operational instructions associated with appropriate situations represented
in the Driver's Rule Book.

They comprise the text of the message itself, corresponding to a situation, and a number identifying the message.

If the message requires the recipient to report back, the text of the report is also given.

These messages use predetermined wording prescribed by the Infrastructure Manager in his ‘operating language’
and they are presented in the form of pre-prepared forms in either paper format or in computer medium.

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2.2.

FORMS

Forms are a formalised medium for communicating procedural messages. These messages are generally those
associated with degraded working conditions. Typical examples would be the authority for a driver to pass a signal
or an ‘end of movement authority’, the requirement to run at reduced speed in a particular area, or to examine the
line. There may well be other circumstances that will require the used of such messages.

Their purpose is to:

— provide a common working document used in real-time by the staff authorising train movements and by

the drivers;

— provide the driver (especially when working in an unfamiliar or rare environment) with a reminder of the

procedure he will required to follow

— enable traceability of communications.

In order to identify the forms, a unique code word or number relating to the procedure should be developed. This
could be based on the potential frequency that a form would be used. If, of all the forms being developed, the
likelihood is that the one most often used is the one for passing a signal or EOA at danger, then this one could be
numbered 001 and so on.

2.3.

BOOK OF FORMS

Having identified all the forms to be used, the whole set must be collected into a document or a computer
medium called the Book of Forms.

It is a joint document that will be used by the driver and the staff authorising the movement of trains when they
communicate with each other. It is important therefore that the book used by the driver and the one used by the
staff authorising the movement of trains are constructed and numbered in the same manner.

The Infrastructure Manager is responsible for drawing up the Book of Forms and the forms themselves in his
‘operating language’.

The Railway Undertaking may add translations of the forms and associated information contained in the Book of
Forms, if he thinks that would help his drivers both during training and in real-time situations.

The language to be used when transmitting the messages shall always be the ‘operating language’ of the
Infrastructure Manager.

The Book of Forms shall comprise two parts.

The first part contains the following items:

— a reminder about the utilisation of the Book of Forms;

— an index of ground-originated Procedure Forms;

— an index of driver-originated Procedure Forms, where appropriate;

— the list of situations cross-referencing to which procedure form is to be used;

— a glossary giving the situations to which each procedure form applies;

— the code for spelling out messages (phonetic alphabet etc.).

The second part contains the Procedure Forms themselves.

Several examples of each form should be included in the Book of Forms and it is suggested that dividers should be
used to separate the sections.

The Railway Undertaking may include explanatory text relevant to each form and the situations covered, in the
drivers’ Book of Forms.

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3.

ADDITIONAL MESSAGES

Additional messages are information messages used either:

— by the driver to inform the staff authorising train movements or

— by the staff authorising train movements to advise the driver

of situations of a rare nature and for which therefore a pre-determined form is considered unnecessary, or related
to train running or to the technical condition of the train or the infrastructure.

To make it easier to describe the situations and construct the information messages, message guidelines, a glossary
of railway terminology, a descriptive diagram of the rolling stock being employed and a descriptive statement of
the infrastructure equipment (track, traction supply, etc.) might be beneficial.

3.1.

GUIDELINE STRUCTURE FOR MESSAGES

These messages may be structured along the following lines:

Stage in the communication flow

Message element

Reason for passing the informa-
tion





for information

for action

Observation

Position
— along the line

— in respect to my train

Nature
— object
— person

State
— static

— moving

Location with respect to the tracks

 There is
I saw

I had

I hit











at
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(station name)
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(characteristic point)

at mile post/kilometre point

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(number)
power car . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (number)

trailer car . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (number)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(see glossary)

standing on

lying on


fallen on
 walking
running

towards


These messages may be followed by a request for instructions.

The elements of the messages are provided in both the language chosen by the Railway Undertaking and in the
operating language(s) of the Infrastructure Managers concerned.

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3.2.

GLOSSARY OF RAILWAY TERMINOLOGY

The Railway Undertaking shall produce a glossary of railway terminology for each network over which his 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 is worked over.

The glossary shall be composed of two parts:

— a listing of terms by subject matter;

— a listing of the terms in alphabetical order.

3.3.

DESCRIPTIVE DIAGRAM OF THE ROLLING STOCK

If the Railway Undertaking feels it would benefit his operation a descriptive diagram of the rolling stock used shall
be prepared. It should list the names of the various components that may be the subject of communications with
the different Infrastructure Managers concerned. It should include the common names for the standard terms in
the language chosen by the Railway Undertaking and in the ‘operating’ language of the Infrastructure Manager(s)
whose infrastructure is worked over.

3.4.

DESCRIPTIVE STATEMENT OF THE CHARACTERISTICS OF THE INFRASTRUCTURE EQUIPMENT (TRACK,
TRACTION SUPPLY, ETC.)

If the Railway Undertaking feels it would benefit his operation a descriptive statement of the characteristics of the
infrastructure equipment (track, traction supply, etc.) on the route worked over shall be prepared. This shall show
the names of the various components that may be the subject of communications with the Infrastructure Manager
(s) concerned. It should include the common names for the standard terms in the language chosen by the Railway
Undertaking and in the ‘operating’ language of the Infrastructure Manager(s) whose infrastructure is worked over.

4.

TYPE AND STRUCTURE OF VERBAL MESSAGES

4.1.

EMERGENCY MESSAGES

Emergency messages are intended to give urgent operational instructions that are directly linked with the safety of
the railway.

To avoid any risk of misunderstanding, messages must always be repeated once.

Classified according to need, the main messages which can be sent are indicated hereafter.

The Infrastructure Manager may, in addition, define other emergency messages according to the needs of his
operation.

Emergency messages may be followed by a Written Order (see Subsection 2).

The type of
text that goes to form Emergency messages must be included in Appendix 1 ‘Manual of
communications procedures’ to the Driver’s Rule Book and in the documentation issued to staff authorising train
movements.

4.2.

MESSAGES SENT EITHER BY THE GROUND OR THE DRIVER

— Need to stop all trains:

The need to stop all trains must be transmitted by means of an acoustic signal; if this is not available the
following phrase must be used:

Emergency, stop all trains

Information on location or area is, if necessary, specified in the message.

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In addition, this message is to be quickly complemented, if possible, by the reason, the location of the
emergency and the train's identification:

Obstruction
Or Fire
Or . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(other reason)
on line . . . . . . . . . . . . . . . . . . . at. . . . . . . . . . . . . . . . . . . .

(name)

(km)

Driver of train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(number)

— Need to stop a particular train:

Train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (on line/track)

(number)
Emergency stop

(name/number)

In this circumstance the name or number of the line or track on which the train is running may be used to
complement this message.

4.3.

MESSAGES ISSUED BY THE DRIVER

— Need to cut the traction power supply:

Emergency current isolation

This message is to be quickly complemented, if possible, by the reason, the location of the emergency and
the train's identification:

At . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(km)
on . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . line/track
(name/number)
between . . . . . . . . . . . . . . . . . . . . . . . . . . . . and . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(station)

(station)

Reason . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Driver of train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(number)

In this circumstance the name or number of the line or track on which the train is running may be used to
complement this message.

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ANNEX D

INFORMATION TO WHICH THE RAILWAY UNDERTAKING MUST HAVE ACCESS IN CONNECTION WITH
THE ROUTE(S) OVER WHICH HE INTENDS TO OPERATE

PART 1. GENERIC INFORMATION REGARDING THE INFRASTRUCTURE MANAGER

1.1.

Name (s)/Identity of Infrastructure Manager(s)

1.2.

Country (or Countries)

1.3.

Brief description

1.4.

List of general operational rules and regulations (and how to obtain them)

PART 2. MAPS AND DIAGRAMS

2.1.

Geographic map

2.1.1.

Routes

2.1.2.

Principal locations (stations, yards, junctions, freight terminals)

2.2.

Line diagram

Information to be included on diagrams, supplemented as necessary by text. Where a separate station/yard/depot
diagram is provided then information on line diagram may be simplified

2.2.1.

Indication of distance

2.2.2.

Identification of running lines, loops, sidings and catch/trap points

2.2.3. Connections between running lines

2.2.4.

Principal locations (stations, yards, junctions, freight terminals)

2.2.5.

Location and meanings of all fixed signals

2.3

Station/Yard/Depot diagrams (N.B. applies only to locations available to interoperable traffic)

Information to be identified on location specific diagrams, supplemented as necessary by text

2.3.1. Name of location

2.3.2.

Location identity code

2.3.3.

Type of location (passenger terminal, freight terminal, yard, depot)

2.3.4.

Location and meanings of all fixed signals

2.3.5.

Identification and plan of tracks, including catch/trap points

2.3.6.

Identification of platforms

2.3.7.

Length of platforms

2.3.8. Height of platforms

2.3.9.

Identification of sidings

2.3.10.

Length of sidings

2.3.11. Availability of shore electric supply

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2.3.12. Distance between the edge of the platform and the centre of the track, parallel to the running surface

2.3.13.

(For passenger stations) Availability of access for disabled persons

PART 3.

SPECIFIC LINE SEGMENT INFORMATION

3.1.

General Characteristics

3.1.1.

Country

3.1.2.

Line segment identification code: national code

3.1.3.

Line segment extremity 1

3.1.4.

Line segment extremity 2

3.1.5.

Times of opening for traffic (times, days, special arrangements for holidays)

3.1.6.

Lineside indications of distance (frequency, appearance and positioning)

3.1.7.

Type of traffic (mixed, passenger, freight, …)

3.1.8. Maximum permissible speed(s)

3.1.9. Any other information which is necessary for safety reasons

3.1.10.

Specific local operational requirements (including any special staff qualifications)

3.1.11.

Special restrictions for dangerous goods

3.1.12.

Special loading restrictions

3.1.13. Model of temporary works notice (and way to obtain it)

3.1.14.

Indication that Line segment is congested (art. 22 of Directive 2001/14/EC)

3.2.

Specific Technical Characteristics

3.2.1.

EC verification for Infrastructure TSI

3.2.2. Date of putting into service as an interoperable line

3.2.3.

List of possible specific cases

3.2.4.

List of possible specific derogations

3.2.5.

Track gauge

3.2.6.

Structure gauge

3.2.7. Maximum axle load

3.2.8. Maximum load per linear metre

3.2.9.

Transversal track forces

3.2.10.

Longitudinal track forces

3.2.11. Minimum radius of curvature

3.2.12. Gradient percentage

3.2.13. Gradient location

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3.2.14.

For brake system that does not use wheel-rail adhesion, accepted braking effort

3.2.15. Bridges

3.2.16. Viaducts

3.2.17. Tunnels

3.2.18. Comments

3.3

Energy subsystem

3.3.1.

EC verification for Energy TSI

3.3.2. Date of putting into service as an interoperable line

3.3.3.

List of possible specific cases

3.3.4.

List of possible specific derogations

3.3.5.

Type of power supply system (e.g. none, overhead, 3rd rail)

3.3.6.

Power supply system frequency (e.g. AC, DC)

3.3.7. Minimum voltage

3.3.8. Maximum voltage

3.3.9. Restriction related to power consumption of specific electric traction unit(s)

3.3.10. Restriction related to the position of Multiple Traction unit(s)s to comply with contact line separation (position of

pantograph)

3.3.11. How to obtain electrical isolation

3.3.12. Contact wire height

3.3.13.

Permissible contact wire gradient in relation to the track and the variation of the gradient

3.3.14. Type of pantographs approved

3.3.15. Minimum static force

3.3.16. Maximum static force

3.3.17.

Location of neutral sections

3.3.18.

Information on operation

3.3.19.

Lowering of pantographs

3.3.20. Conditions applying with regard to regenerative braking

3.3.21. Maximum allowable train current

3.4.

Control-Command and Signalling subsystem

3.4.1.

EC verification for CCS TSI

3.4.2. Date of putting into service as an interoperable line

3.4.3.

List of possible specific cases

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3.4.4.

List of possible specific derogations

ERTMS/ETCS

3.4.5.

Level of application

3.4.6. Optional functions installed lineside

3.4.7. Optional functions required on board

3.4.8.

Software version number

3.4.9.

Placing-in-service date of this version

ERTMS/GSM-R radio

3.4.10. Optional functions as specified in FRS

3.4.11 Version number

3.4.12.

Placing-in-service date of this version

For ERTM/ETCS level 1 with infill function

3.4.13. Technical implementation required for rolling stock

Class B train protection, control and warning system(s)

3.4.14. National rules for operating class B systems (+ way to obtain them)

Line system

3.4.15. Responsible Member State

3.4.16.

System name

3.4.17.

Software Version number

3.4.18.

Placing-in-service date of this version

3.4.19.

End of period of validity

3.4.20. Need for more than one system active simultaneously

3.4.21. On-board system

Class B radio system

3.4.22. Responsible Member State

3.4.23.

System name

3.4.24. Version number

3.4.25.

Placing-in-service date of this version

3.4.26.

End of period of validity

3.4.27.

Special conditions to switch over between different class B train protection, control and warning systems

3.4.28.

Special technical conditions required to switch over between ERTMS/ETCS and Class B Systems

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3.4.29.

Special conditions to switch over between different radio systems

Technical degraded modes of:

3.4.30.

ERTM/ETCS

3.4.31. Class B train protection, control and warning system

3.4.32.

ERTM/GSM-R

3.4.33. Class B radio system

3.4.34.

Line side signalling

Speed restrictions related to braking performance

3.4.35.

ERTM/ETCS

3.4.36. Class B train protection, control and warning systems

National rules for functioning Class B system

3.4.37. National rules linked to braking performance

3.4.38. Other national rules, e.g. : data corresponding with UIC leaflet 512 (8th edition of 1.1.79 and 2 Amendments)

EMC Susceptibility of infrastructure-side Control-command and signalling

3.4.39. Requirement to be specified according to European Standards

3.4.40.

Permissibility to use Eddy-current brake

3.4.41.

Permissibility to use magnetic brake

3.4.42. Requirements for technical solutions concerning implemented derogations

3.5.

Traffic Operation and Management Subsystem

3.5.1.

EC verification for OPE TSI

3.5.2. Date of putting into service as an interoperable line

3.5.3.

List of possible specific cases

3.5.4.

List of possible specific derogations

3.5.5.

Language used for safety critical communications with infrastructure manager staff

3.5.6.

Special climatic conditions and associated arrangements

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ANNEX E

LANGUAGE AND COMMUNICATION LEVEL

The oral qualification in a language can be subdivided into five levels:

Level

Description

— Can adapt the way he/she speaks to any interlocutor
— Can put forward an opinion
— can negotiate
— can persuade
— can give advice

— can cope with totally unforeseen situations
— can make assumptions
— can express an argued opinion

— can cope with practical situations involving an unforeseen element
— can describe
— can keep a simple conversation going

— can cope with simple practical situations
— can ask questions
— can answer questions

— can talk using memorised sentences

5

4

3

2

1

This annex is a provisional position. A more detailed piece of work is being prepared and will be available for a future
revision of this TSI.

There are also plans to incorporate a tool to be used when assessing the level of competence of an individual. This will be
made available in a future version of this TSI.

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Official Journal of the European Union

L 359/91

TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM ASSESSMENT GUIDELINES

ANNEX F:

(The use of the expression ‘Member State’ when taken in the context of this module means the Member State or other body appointed by
them, undertaking the assessment).

1.

This annex sets out guidelines to facilitate assessments by Member States to confirm that the operational process(es)
proposed:

— complies with this TSI and demonstrates that the essential requirements (1) of Directive 2001/16/EC (and any

amendments included in Directive 2004/50/EC) have been met,

— complies with the other regulations as appropriate, including Directive 2004/49/EC,

and may be placed into service

2.

The Infrastructure Manager or Railway Undertaking concerned must supply the Member State with appropriate
documentation (as described in clause 3 below) describing the new or amended operations process(es).

The documentation supplied about the conception and development of the new or amended operational process(es)
must be sufficiently detailed so as to enable the Member State to understand the rationale behind the proposal.
Additionally, where subsystems are being upgraded or renewed, the submission must also include feedback of
operational experience.

The documentation may be supplied in either paper or computer medium format (or a combination of both). The
Member State may request further copies if needed for carrying out the assessment.

3.

Details of assessment

3.1. The documentation describing the operational process(es) concerned should contain at least the following elements:

— a general description of

the Infrastructure Manager's or Railway Undertaking's operations organisation
(overview of the management/supervision and functionality), together with a detail of the conditions and the
framework within which the operations process(es) to be assessed shall be used and operated;

— details of all relevant operational processes required to be carried out (typically procedures,

instructions,

computer programs, etc.);

— a description of how the operations process(es) concerned shall be implemented, used and controlled, including

an analysis of any specific equipment to be used;

— details of the people who will be affected by the operational process(es), the training and/or briefing that will

take place and any assessment of risk to personal exposure to which the people might be subjected;

— a procedure for how subsequent amendments and updates to the operations process(es) will be managed
(NOTE: this does not included any future major changes or new process(es) — in this case, a new submission
under these guidelines would be applicable);

— diagram showing how necessary feedback information (and all other information relating to the operation)
flows into, out of and around the Infrastructure Manager's or Railway Undertaking's operations organisation to
support the relevant operation processes;

— descriptions, explanations and all the records necessary for understanding the conception and development of
the new or amended operations process(es) concerned (NOTE: for Safety Critical processes, this should include
an assessment of the risks associated with implementing the new/amended process(es));

— demonstration of compliance between of the operation process(es) concerned with the requirements of the TSI;

The following elements should also be supplied, where relevant:

— a list of the specifications or European standards, against which the relevant operation processes of the

subsystem have been validated and the evidence of this conformity;

(1) The essential requirements are reflected in the technical parameters, interfaces and performance requirements set out in Chapter 4 of the

TSI.

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— evidence of conformity with other regulations deriving from the treaty (including certificates);

— specific conditions or restrictions of relevant operation processes

3.2. The Member State shall:

— identify the relevant provisions of the TSI, with which operations process(es) concerned must comply;

— check that the documentation supplied is complete and in accordance with clause 3.1;

— examine the documentation supplied and evaluate whether:

— the operations process(es) concerned comply with the relevant requirements of the TSI;

— the conception and development of the new or revised operations process(es) (including any assessment

of risks) are robust and have been managed in a controlled manner;

— the arrangements for implementation and subsequent use/control of the operations process(es) will ensure

continued compliance with the relevant TSI requirements

— document (in an assessment report, see Clause 4 below) its findings with regards to compliance of the

operations process(es) with the TSI provisions.

4.

The assessment report shall include at least the following information:

— details of the Infrastructure Manager/Railway Undertaking concerned,

— description of operations process(es) that have been assessed, including details of any specific procedures,

instructions, computer programs concerned;

— description of those elements relating to the control and use of the operations process(es) concerned, including

monitoring, feedback and adjustment,

— any subsidiary inspection and audit reports drawn up in connection with the assessment

— confirmation that the operations process(es) concerned and their conditions of implementation will ensure
including any

compliance with the appropriate requirements stated in the relevant sections of the TSI,
reservations remaining at the conclusion of the assessment.

— A statement of any conditions and limits (including any appropriate restrictions to address any reservations) for

implementing the relevant operations process(es),

— name and address of the Member State involved in the assessment and date of the completion of the report.

If the Infrastructure Manager/Railway Undertaking is denied authorisation/certification to implement the relevant operation
processes on the basis of the assessment report, the Member State must provide detailed reasons for such denial in
accordance with Directive2004/49/EC.

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Official Journal of the European Union

L 359/93

INFORMATIVE AND NOT MANDATORY LIST OF ELEMENTS TO BE VERIFIED FOR EACH BASIC
PARAMETER

ANNEX G

This Annex is at an early stage of development and requires further work; it is included as a working draft.

In association with the certification and authorisation processes described in Articles 10 and 11 of Directive 2004/49/EC,
this annex outlines the following supporting information:

— A — an item that is of an organisational or principals nature and should be included in the Safety Management

System

— B — an item that is a detailed procedure or operational process in support of the organisational principals in the SMS

and which is only applicable within the Member State

Parameters to be assessed

Elements to be verified for each parameter

TSI reference

Documentation for
Drivers

Process for compilation of Driver's Rule Book
(including language translation [where appro-
priate] and validation process)

4.2.1.2.1

Process for IM to provide RU with appropriate
information

4.2.1.2.1

Content of Driver's Rule Book includes
this TSI and
minimum requirements of
specific procedures required by IM

Process for compilation of Driver's Route
Book (and validation process)

Content of Driver's Route Book includes
minimum requirements of this TSI

Process for IM to advise RU of changes to
operational rules/information

Process for grouping changes into a dedicated
document

Process for advising drivers in real time of
changes

Process
schedule information

for providing drivers with train

Process for providing drivers with rolling
stock information

Process for compilation of
location-specific
rules and procedures (including validation
process) ground staff

Process
between IM and RU staff

for

safety-related communication

Process for ensuring that staff apply the
operational communication methodology as
specified in annex C of this TSI

Process for ensuring front end illumination of
trains complies with the requirements of this
TSI

Process for ensuring rear end indication of
trains complies with the requirements of this
TSI

Process
complies with the requirements of this TSI

for ensuring audibility of

trains

4.2.1.2.1

4.2.1.2.2.1

4.2.1.2.2.1

4.2.1.2.2.2

4.2.1.2.2.2

4.2.1.2.2.3

4.2.1.2.3

4.2.1.2.4

4.2.1.3

4.2.1.4

4.2.1.5,
4.6.1.3.1

4.2.2.1.2,
4.3.3.4.1

4.2.2.1.3

4.2.2.2,
4.3.3.5

Documentation for
IM's staff authorising
train movements

Safety-related
communication
between RU and IM
staff

Train Visibility

Train Audibility

Applicable to

IM

X

X

X

X

X

RU

X

X

X

X

X

X

X

X

X

X

X

X

A/B

A

A

B

A

B

A

A

A

A

A

B

A

A

A

A

A

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Parameters to be assessed

Elements to be verified for each parameter

TSI reference

Applicable to

RU

IM

A/B

Vehicle Identification

Process
Annex P of this TSI

to demonstrate compliance with

Freight vehicle loading

Compilation of Loading Rules to be applied
by RU staff.

Train composition

Process for compilation of Train Composition
Rules (including validation process)

Content of Train Composition Rules includes
minimum requirements specified in this TSI

4.2.2.3

4.2.2.4

4.2.2.5

4.2.2.5

Braking requirements

Process for ensuring provision of route related
information required for brake performance
calculations or provision of
actual
performance required

the

4.2.2.6.2

Process for calculation or provision of brake
performance required (‘Braking Rules’)

4.2.2.6.2,
4.3.2.1

Responsibility to
ensure that the train is
in running order

Definition of
safety-related on-train
equipment required to ensure train safe to run

the

4.2.2.7.1

Process for ensuring that any modification to
the characteristics of the train affecting its
performance are identified, and that
this
information is provided to IM

Process to ensure that train running informa-
tion is made available to IM prior
to
departure

Train Planning

Process of ensuring RU provides required data
to IM when requesting a train path

Identification of Trains

Process for assigning unique and unambig-
uous train identification numbers

4.2.2.7.1

4.2.2.7.2

4.2.3.1

4.2.3.2

Departure Procedures

Definition of pre-departure checks and tests

4.2.3.3.1

Process for reporting factors that could affect
train running

4.2.3.3.2

Traffic Management

Provision of means of recording real time
including minimum data
information,
required by this TSI

4.2.3.4.1

Definition of procedures for control and
supervision of traffic operation

4.2.3.4.2.1

Process of ensuring management of changes
in line conditions and train characteristics

4.2.3.4.2

Process for indication of estimated time a
train is to be handed over from IM to IM

4.2.3.4.2.2

Dangerous Goods

Process of ensuring supervision of dangerous
goods, including minimum requirements of
this TSI

4.2.3.4.3

Operational Quality

Process to monitor efficient operation of all
concerned services and communicate trends
to all relevant IMs and RUs

4.2.3.4.4

X

X

X

X

X

X

X

X

X

X

X

X

A

A

A

B

A

B

B

A

A

A

A

B

A

B

B

B

B

A

B

B

X

X

X

X

X

X

X

X

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Parameters to be assessed

Elements to be verified for each parameter

TSI reference

Data Recording

List of data to be recorded outside the train
includes minimum list of items required by
this TSI

4.2.3.5.1

Applicable to

RU

IM

X

List of data to be recorded inside the train
includes minimum list of items required by
this TSI

4.2.3.5.2,
4.3.2.3

Degraded Operation

Process for informing other users of distur-
bances likely to cause disruption of services

4.2.3.6.2

Definition of instructions to be given from IM
to train drivers in times of service disruption

4.2.3.6.3

appropriate measures

Definitions of
to
address service disruption scenarios identi-
fied, including minimum requirements listed
in this TSI

4.2.3.6.4

Managing an
Emergency Situation

Process to define and publish contingency
measures to manage emergency services

4.2.3.7

Process for provision of emergency and safety
instructions for passengers

4.2.3.7

Aid to traincrew in the
event of major
incident

Process
situations in order to avoid delays

to assist

traincrew in degraded

Professional and
Linguistic Competency

Process for assessing professional knowledge
according to minimum requirements of this
TSI

Definition of qualification management sys-
tem to ensure staff's ability to put knowledge
into practice according to minimum require-
ments of this TSI

Process for assessing linguistic ability to meet
minimum requirements of this TSI

4.2.3.8

4.6.1.1

4.6.1.2

4.6.2

Definition of the assessment process for train
crew, including:
Basic qualifications, procedures and languages
Route knowledge
Rolling stock knowledge
Special qualification (e.g. long tunnels)

4.6.3.1,
4.6.3.2.3

Definition of a training and competency
needs analysis for staff with safety-critical
duties,
into account minimum
to take
requirements of this TSI

4.6.3.2

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

A/B

A

A

A

A

B

B

A

A

A

A

A

A

A

A

A

A

A

A

A

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Parameters to be assessed

Elements to be verified for each parameter

TSI reference

Health and Safety
Conditions

Process for ensuring medical fitness of staff,
including controls of affects of drugs and
alcohol on operational performance

4.7.1

Determination of criteria for:
Approval of occupational doctors and med-
ical organisations
Approval of psychologists
Medical and psychological examination

4.7.2, 4.7.3,
4.7.4

Determination of medical
including
— General health
— Vision
— Hearing
— Pregnancy (drivers)

requirements,

4.7.5

Applicable to

RU

X

X

X

IM

X

X

X

Special requirements for drivers:
— Vision
— Hearing/speaking requirements
— anthropometrics

4.7.6

X

A/B

A

A

A

A

A

A

A

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Official Journal of the European Union

L 359/97

MINIMUM ELEMENTS RELEVANT TO PROFESSIONAL QUALIFICATION FOR THE TASK OF DRIVING A
TRAIN

ANNEX H

1.

General requirements

— This Annex, which must be read in conjunction with Subsection 4.6 and 4.7, is a list of the elements that are deemed

to be relevant to the task of driving a train on the TEN.

It should be noted that whilst this document is as complete as it can be in terms of a generally applicable list, there will
be additional items, of a local/national nature, that will also need to be considered.

— The expression ‘professional qualification’, when taken within the context of this TSI, refers to those elements that are
important to ensuring that operational staff are trained and able to understand and discharge the elements of the task.

— Rules and procedures apply to the task being performed and to the person carrying out the task. These tasks may be
carried out by any authorised qualified person irrespective of any name, job title or grade used in rules or procedures
or by the individual company.

— Any authorised qualified person must carry out all rules and procedures related to the task being performed..

2.

Professional knowledge

Any authorisation requires a successfully passed initial examination and provisions for ongoing assessment and training as
described in Subsection 4.6.

2.1. General professional knowledge

— General principles of safety management within the railway system, relevant to the task, including interfaces with

other subsystems

— General conditions relevant to the safety of passengers and/or cargo and persons on or about the railway track

— Conditions of health and safety at work

— General principles of security of the railway system

— Personal safety including when leaving the driving cab on the running line

— General principles of safe train loading (freight operators)

— Train composition (as required by the company)

— Knowledge of electrical principles in respect to rolling stock and the infrastructure.

2.2. Knowledge of operational procedures and safety systems applied to the infrastructure to be used

— Operational procedures and safety rules

— Control command and signalling system including related cab signalling indications

— Regulations for train driving in normal, degraded and emergency conditions

— Communications principles and formalised messaging procedure including use of communication equipment

— The different roles and responsibilities of persons involved in the operation process

— Documents and other information related to the task including additional advice on current conditions e.g. regarding

speed limits or temporary signalling received before departure

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2.3. Knowledge of rolling stock

— Traction unit equipment relevant to the driving task:

— Constituent parts and their purpose

— Communication and emergency equipment

— Control devices and indicators placed at the disposal of the driver and which concern traction, braking and

traffic safety related elements

— Vehicle equipment relevant to the driving task:

— Constituent parts and their purpose

— Control devices and indicators placed at the disposal of the driver which concern braking and traffic safety

related elements

— Meaning of markings on the inside and outside of vehicles and the symbols used for the transportation on

dangerous goods

3.

Route knowledge

Route knowledge comprises the specific knowledge and/or experience of the individual characteristics of a route that a
driver needs to have before being permitted to drive a train over it on his own responsibility. It comprises the knowledge
that is needed in addition to information given by signals and documents such as timetables and other on board documents
and in addition to knowledge of operations and safety rules applying to the route and as specified in clause 2.2 of this
Annex.

Route knowledge covers in particular:

— The conditions of operation such as: signalling and control and communications

— Knowledge of the location of signals, steep gradients, and level crossings

— Points of transition between different operating systems or power supplies

— The type of traction power supply on the line concerned including location of neutral sections

— Local operating and emergency arrangements

— Stations and stopping points

— Local installations (depots, sidings,...) as required by the company .

4.

Ability to put the knowledge into practise

The staff undertaking train driving duties must be capable of carrying out the following tasks (as appropriate to the
company's activities)

4.1. Prepare for duty

— Identify the characteristics of the work to be done including any corresponding documents

— Ensure that documents and necessary equipment are complete

— Verify any requirements set out in the on board documents

4.2. Prior to departure, perform the required tests, checks and verifications on the traction unit

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Official Journal of the European Union

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4.3. Take part in checking the operation of the brakes on the train

— Check before departure, based on the relevant documents, if the available brake performance complies with what is

required for the train and the route it is to travel over.

— Contribute to the brake tests as required by relevant operation rules and verify the correct working of the brake system

4.4. Drive the train respecting the appropriate safety regulations, driving rules and timetable

— Start movement of the train only if all requirements provided — especially train data — in the relevant rules are met.

— Observation of track side signals and in-cab devices, understanding them immediately and correctly and react

accordingly while running the train.

— Take into account the speed limit of the train in relation to the type of train, the characteristics of the line, the traction

unit and any information the driver is provided with before departure

4.5. Act and report in accordance with the applicable rules in case of irregularities or defects either of lineside installations or rolling

stock

4.6. Apply measures relating to operational incidents and accidents, particularly those relating to train protection and to fire or

dangerous goods

— Initiate all appropriate measures to protect passengers and other persons that could be endangered. Provide necessary

information and take part in the evacuation of passengers as required

— Inform the Infrastructure Manager as appropriate.

— Communication with on-board staff (as required by the Railway Undertaking).

— Apply the special rules related to the transport of dangerous goods.

4.7. Determine the conditions to continue to run after incidents affecting the rolling stock

— Decide dependent on the operational procedures and on the basis of personal examination or external advice, if the

train is able to continue to run and what kind of conditions must be observed.

— Communicate to the Infrastructure Manager as required by the operational rules

4.8. Park the train and, once stationary, take all required measures to ensure the train remains stationary

4.9. Communicate with the Infrastructure Manager's staff on the ground

4.10. Report any unusual occurrences concerning the operation of the train, the conditions of the infrastructure etc.

— If required this report must be made in writing, in the language chosen by the Railway Undertaking.

ANNEX I

NOT USED

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MINIMUM ELEMENTS RELEVANT TO PROFESSIONAL QUALIFICATION FOR THE TASKS ASSOCIATED
WITH ‘ACCOMPANYING TRAINS’

ANNEX J

1.

General requirements

— This Annex, which must be read in conjunction with Subsection 4.6 and 4.7, is a list of the elements that are

deemed to be relevant to the task of accompanying a train on the TEN.

It should be noted that whilst this document is as complete as it can be in terms of a generally applicable list,
there will be additional items, of a local/national nature, that will also need to be considered.

— The expression ‘professional qualification’, when taken within the context of this TSI, refers to those elements
that are important to ensuring that operational staff are trained and able to understand and discharge the
elements of the task.

— Rules and procedures apply to the task being performed and to the person carrying out the task. These tasks
may be carried out by any authorised qualified person irrespective of any name, job title or grade used in rules
or procedures or by the individual company.

— Any authorised qualified person must carry out all rules and procedures related to the task being performed.

2.

Professional knowledge

Any authorisation requires a successfully passed initial examination and provisions for ongoing assessment and
training as described in Subsection 4.6.

2.1. General professional knowledge

— General principles of safety management within the railway system, relevant to the task, including interfaces

with other subsystems

— General conditions relevant to the safety of passengers and/or cargo and persons on or about the railway track

— Conditions of health and safety at work

— General principles of security of the railway system

— Personal safety including when leaving the train on the running line

2.2. Knowledge of operational procedures and safety systems applied to the infrastructure to be used

— Operational procedures and safety rules

— Control command and signalling system

— Communications principles and formalised messaging procedure including use of communication equipment

2.3. Knowledge of rolling stock

— Passenger vehicle interior equipment:

— Repairing minor defects within the passenger areas of rolling stock, as required by the Railway Undertaking

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2.4. Knowledge of the route

— Operational arrangements (such as the method of train despatch) at individual locations (signalling, station

equipment etc.)

— Stations at which passengers may alight or join

— Local operating and emergency arrangements specific to the line(s) of route

3.

Ability to put the knowledge into practise

— Checks before departure, including brake tests and correct closure of the doors.

— Departure processes

— Communication with passengers especially in relation to circumstances involving passenger safety.

— Degraded operations

— Assess the potential of a defect within the passenger areas and react according to rules and procedures

— Protection and warning measures as required by the rules and regulations or in assistance to the driver

— Train evacuation and passenger safety especially if they are required to be on or near the line.

— Communicate with the Infrastructure Manager's staff when assisting the driver or during an evacuation incident.

— Report any unusual occurrences concerning the operation of the train, the condition of the rolling stock and the
safety of passengers. If required these reports must be made in writing, in the language chosen by the Railway
Undertaking.

ANNEX K

NOT USED

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MINIMUM ELEMENTS RELEVANT TO PROFESSIONAL QUALIFICATION FOR THE TASK OF PREPARING
TRAINS

ANNEX L

1.

General requirements

— This Annex, which must be read in conjunction with Subsection 4.6, is a list of the elements that are deemed to

be relevant to the task of preparing a train on the TEN.

It should be noted that whilst this document is as complete as it can be in terms of a generally applicable list,
there will be additional items, of a local/national nature, that will also need to be considered.

— The expression ‘professional qualification’, when taken within the context of this TSI, refers to those elements
that are important to ensuring that operational staff are trained and able to understand and discharge the
elements of the task.

— Rules and procedures apply to the task being performed and to the person carrying out the task. These tasks
may be carried out by any authorised qualified person irrespective of any name, job title or grade used in rules
or procedures or by the individual company.

— Any authorised qualified person must carry out all rules and procedures related to the task being performed.

2.

Professional knowledge

Any authorisation requires a successfully passed initial examination and provisions for ongoing assessment and
training as described in Subsection 4.6.

2.1 General professional knowledge

— General principles of safety management within the railway system, relevant to the task, including interfaces

with other subsystems

— General conditions relevant to the safety of passengers and/or cargo including the carriage of dangerous goods

and exceptional loads

— Conditions of health and safety at work

— General principles of security of the railway system

— Personal safety when on or in the vicinity of rail lines

— Communications principles and formalised messaging procedure including use of communication equipment

2.2 Knowledge of operational procedures and safety systems applied to the infrastructure to be used

— Working of trains in normal, degraded and emergency conditions

— Operational procedures at individual locations (signalling, station/depot/yard equipment) and safety rules

— Local operating arrangements

2.3 Knowledge of train equipment

— Purpose and use of wagon and vehicle equipment

— Identification of and arranging for technical inspections.

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3.

Ability to put the knowledge into practise

— Application of train composition rules, train braking rules, train loading rules etc. to ensure the train is in

running order

— Understanding of marking and labels on vehicles

— Process for determining and making train data available

— Communication with train crew

— Communication with staff responsible for controlling the movement of trains

— Degraded operations especially as it affects the preparation of trains

— Protection and warning measures as required by the rules and regulations or local arrangements at the location

in question

— Actions to be taken in respect to incidents involving the carriage of dangerous goods (where relevant)

ANNEX M

NOT USED

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ANNEX N

IMPLEMENTATION GUIDELINES

The table below is informative and lists clauses from Chapter 4 and identifies a likely trigger for each of them.

Chapter 4 section

Work required by IM/RU to comply with
requirements

Typical Trigger

4.2.1.2.1
Rule Book

RU — Production/revision of a document
or a computer medium containing neces-
sary operational procedures for working
over IM's network

Change to network operational instructions

4.2.1.2.2.1
Preparation of
Book

the Route

RU — Production/revision of a document
or a computer medium containing a
description of the lines over which they
will operate

to network infrastructure

Change
(e.g.
junction re-modelling, re-signalling) result-
ing in amended route information

4.2.1.2.2.2
Modified Elements

RU — Definition/revision of procedure(s)
whereby a document or computer medium
is provided to drivers to inform them of
any [route] elements modified

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

4.2.1.2.2.3
Informing the driver in real
time

IM — Definition/revision of procedure(s)
for advising drivers in real time about all
modifications to [route] safety arrange-
ments

Change to IM's or RU's organisational
structure, resulting in amended roles and
responsibilities

4.2.1.2.3
Timetables

RU — Definition/revision of procedure(s)
for providing drivers with timetable infor-
mation, in paper or electronic format

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

4.2.1.2.4
Rolling Stock

RU — Production/revision of a document
or a computer medium containing neces-
sary operational procedures associated with
working of rolling stock during degraded
situations.

4.2.1.3
Documentation for RU staff
other than drivers

RU — Production/revision of a document
or a computer medium containing neces-
sary operational procedures for staff other
than drivers working on or over
IM's
network

Implementation of new (electronic) traffic
management system

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Implementation of new/modified rolling
stock

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Change to network infrastructure resulting
in amended route information or introduc-
tion of new/modified rolling stock

4.2.1.4
Documentation for IM staff
authorising train movements

IM — Production/revision of a document
or a computer medium containing network
operational procedures, including commu-
nications principles and the Book of Forms

Change to network operational arrange-
ments as a result of an identified improve-
ment action (e.g. inquiry recommendation)

4.2.1.5
Safety-related
communica-
tion between RU and IM
staff

IM/RU — Document/computer mediums
referred to in 4.2.1.2.1, 4.2.1.3 & 4.2.1.4 to
include operational communication meth-
odology as specified in annex C of the TSI

Change to network infrastructure resulting
in amended operational arrangements

In conjunction with 4.2.1.2.1, 4.2.1.3 &
4.2.1.4

4.2.2.1.2
Train Visibility (Front End)

RU — Definition/revision of procedure(s)
for drivers and/or other operational staff to
ensure correct front end illumination

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Implementation of new/modified rolling
stock

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Work required by IM/RU to comply with
requirements

Typical Trigger

4.2.2.1.3
Train Visibility (Rear End)

RU — Definition/revision of procedure(s)
for drivers and/or other operational staff to
ensure correct rear end identification

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Implementation of new/modified rolling
stock

4.2.2.4
Freight vehicle loading

RU — Production/revision of a document
or a computer medium containing Loading
Rules to be applied by RU staff.

Change to RU's operational safety manage-
ment system, as a result of new/modified
rolling stock or traffic flows

4.2.2.5
Train composition

RU — Definition/revision of procedure(s)
to ensure that the trains is in compliance
with the allocated path

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Change to network operational rules affect-
ing train composition

New/altered infrastructure,
signalling or
implementation of new (electronic) traffic
management system

4.2.2.6.1
Minimum requirements of
the braking system

RU — Definition/revision of procedure(s)
for operational staff to ensure that vehicles
in train comply with braking requirements

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

4.2.2.6.2
Brake performance

IM — Definition/revision of procedure(s)
for supplying RU's with braking perfor-
mance information

Change to IM's operational safety manage-
ment system, resulting in amended roles
and responsibilities

RU — Production/revision of a document
or a computer medium containing braking
to follow, taking into
rules for its staff
account geography of route(s), allocated
pathway and development of ERTMS/ETCS

4.2.2.7.1
Ensuring that the train is in
(General
order
running
Requirements)

RU — Definition/revision of procedure(s)
for operational staff to ensure that vehicles
are in running order, including advising IM
of changes that may affect running perfor-
mance and running in degraded mode.

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Change to network operational rules affect-
ing braking rules

New/altered infrastructure,
signalling or
implementation of new (electronic) traffic
management system

Implementation of new/modified rolling
stock

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

4.2.2.7.2
Data required

RU — Definition/revision of procedure(s)
to ensure that train running information is
made available to IM prior to departure

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Implementation of new (electronic) traffic
management system

4.2.3.2
Identification of Trains

IM — Definition/revision of procedure(s)
for assigning unique and unambiguous
train identification numbers

Change to IM's or RU's train planning
system, resulting in amended roles and
responsibilities

4.2.3.3.1
Checks & tests before depar-
ture

RU — Definition/revision of checks and
tests
that must be undertaken before
departure

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Implementation of new (electronic) traffic
management system

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Chapter 4 section

Work required by IM/RU to comply with
requirements

Typical Trigger

4.2.3.3.2
Informing
operational status

IM of

train's

RU- Definition/revision of procedure(s) for
reporting rolling stock-related factors that
could affect train running

Change to IM's or RU's operational safety
management system, resulting in amended
roles and responsibilities

Implementation of new (electronic) traffic
management system

4.2.3.4.1
Traffic Management General
Requirements

IM — Definition/revision of procedure(s)
for control and supervision of
traffic
operation,
including interface with any
additional processes required by RU's

Change to IM's or RU's operational safety
management system, resulting in amended
roles and responsibilities

Implementation of new (electronic) traffic
management system

4.2.3.4.2
Train Reporting

IM — Definition/revision of procedure(s)
for train position reporting, including real
time recording of arrivals/departures and
predicted hand over times to other IM's.

Change to IM's traffic management system,
resulting in amended roles and responsi-
bilities

4.2.3.4.3
Dangerous Goods

4.2.3.4.4
Operational Quality

Implementation of new (electronic) traffic
management system

RU — Definition/revision of procedure(s)
for supervising the transport of dangerous
goods, including provision of information
required by IM.

Change to IM's or RU's operational safety
management system, resulting in amended
roles and responsibilities

procedures,
IM/RU — Documented
describing internal processes for monitor-
ing and review of operational performance
and identifying improvement actions to
improve network efficiency.

Change to IM's or RU's traffic management
system, resulting in amended roles and
responsibilities

Implementation of new (electronic) traffic
including perfor-
management
mance monitoring

system,

4.2.3.5.1
Recording of
data outside the train

Supervision

IM — Definition/revision of procedure(s)
for recording the required data, and storage
and access arrangements

Change to IM's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Change to network infrastructure resulting
in new/amended monitoring equipment

4.2.3.5.2
Recording of
data on-board the train

Supervision

RU — Definition/revision of procedure(s)
for recording the required data, and storage
and access arrangements

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

Implementation of new/modified rolling
stock (locomotives, multiple units)

4.2.3.6.1
Degraded Operation —
Advice to other users

IM/RU — Definition/revision of procedure
(s) for informing each other of situations
likely to impede safety, performance or
availability of network

Change to IM's or RU's traffic management
system, resulting in amended roles and
responsibilities

Implementation of new (electronic) traffic
management system

4.2.3.6.2
Advice to train drivers

IM — Definition/revision of instructions to
drivers to deal with degraded situation

Change to IM's or RU's traffic management
system, resulting in amended roles and
responsibilities

4.2.3.6.3
Contingency arrangements

IM — Definition/revision of procedure(s)
for dealing with degraded operation,
including rolling stock and infrastructure
failures (contingency arrangements)

Change to IM's or RU's traffic management
system, resulting in amended roles and
responsibilities

Change to network infrastructure or intro-
duction of new/modified rolling stock

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Chapter 4 section

Work required by IM/RU to comply with
requirements

Typical Trigger

4.2.3.7
Managing
Situation

an

Emergency

IM/RU — Definition/revision of procedure
(s) detailing contingency measures
for
dealing with emergency situations

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

4.2.3.8
Aid to traincrew for rolling
stock incident/malfunction

RU — Definition/revision of procedure(s)
for traincrew to deal with technical or other
failure of rolling stock

Change to RU's traffic management system,
resulting in amended roles and responsi-
bilities

Introduction of new/modified rolling stock

4.4
Operating Rules

IM/RU — Definition of rules and proce-
dures to be used with ETCS and GSM-R
and/or HABD

Introduction of ETCS signalling system and/
or GSM-R radio system and/or HABD

4.6.1.1
Professional Knowledge

IM/RU — Definition of Process for asses-
sing professional knowledge

Change to IM/RU's operational safety man-
agement system, resulting in amended roles
and responsibilities

4.6.1.2
Ability to put this knowledge
into practice

IM/RU — Definition/revision of compe-
tence management system to ensure staff's
ability to put knowledge into practice

Change to IM/RU's operational safety man-
agement system, resulting in amended roles
and responsibilities

4.6.2.2
Linguistic level of knowledge

IM/RU — Definition/revision of procedure
(s) for assessing linguistic ability

Change to IM/RU's operational safety man-
agement system, resulting in amended roles
and responsibilities

4.6.3.1
Assessment of Staff — Basic
Elements

IM/RU — Definition/revision of assessment
process(es) staff including :
— Experience/qualifications
— Language
— Competency retention

Change to IM/RU's operational safety man-
agement system, resulting in amended roles
and responsibilities

4.6.3.2
Analysis of Training Needs

IM/RU — Definition/revision of the pro-
cess for undertaking and updating analysis
of training needs for staff

Change to IM/RU's operational safety man-
agement system, resulting in amended roles
and responsibilities

4.6.3.2.3
Specific elements for train-
crew

RU — Definition/revision of the process
for train crew acquisition and retention of:
— Route knowledge
— Rolling stock knowledge

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

4.7.1
Health and Safety Conditions
Introduction

for ensuring medical

IM/RU — Definition/revision of procedure
(s)
fitness of staff,
including controls of affects of drugs and
alcohol on operational performance

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

4.7.2-4.7.4
Criteria for approval of occu-
pational
doctors, medical
organisations, psychologists
& examinations

IM/RU — Determination/revision of cri-
teria for:
— Approval of occupational doctors

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

and medical organisations
— Approval of psychologists
— Medical and psychological examina-

tion

Change to national rules and practices for
approval of medical practitioners
and
recognition of organisations

4.7.5
Medical requirements

IM/RU — Determination/revision of med-
ical requirements, including
— General health
— Vision
— Hearing
— Pregnancy

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

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Chapter 4 section

Work required by IM/RU to comply with
requirements

Typical Trigger

4.7.6
Specific
Requirements
regarding the task of driving
a train

IM/RU — Determination/revision of spe-
cific driver medical requirements,
includ-
ing:
— ECG Monitoring (40+ year old)
— Vision
— Hearing/speaking requirements
— Anthropometrics

Change to RU's operational safety manage-
ment system, resulting in amended roles
and responsibilities

ANNEX O

NOT USED

18.12.2006

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Official Journal of the European Union

L 359/109

ANNEX P

VEHICLE IDENTIFICATION

General remarks:

1.

This annex describes the number and linked marking applied in a visible manner on the vehicle to identify it uniquely
in operation. It does not describe other numbers or markings eventually engraved or fixed in a permanent manner on
the chassis or the main components of the vehicle during its construction.

2.

The conformity of the number and linked marking with the indications described in this annex is not mandatory for:

— vehicles that are only used on networks to which this TSI does not apply;

— heritage vehicles, in a historical guise;

— vehicles that are not normally used or transported on the networks to which this TSI applies.

Nevertheless, these vehicles must receive a temporary number permitting their operation.

3.

This annex is subject to changes due to the future evolution of RIC and future implementation of the TAF TSI and TAP
TSI.

Standard number and linked abbreviations

Each railway vehicle receives a number consisting of 12 figures (called standard number) with the following structure:

Types of rolling stock

Type of vehicle and
indication of the
interoperability
[2 figures]

Country in which
the vehicle is regis-
tered
[2 figures]

Technical charac-
teristics
[4 figures]

Serial number
[3 figures]

Self-checking digit
[1 figure]

00 to 09
10 to 19
20 to 29
30 to 39
40 to 49
80 to 89
[details in
annex P.6]

50 to 59
60 to 69
70 to 79
[details in
annex P.7]

90 to 99
[details in
annex P.8]

Wagons

Hauled passenger
vehicles

Tractive rolling
stock

Special vehicles

0000 to 9999
[details in
annex P.9]

001 to 999

01 to 99
[details in
annex P.4]

0000 to 9999
[details in
annex P.10]

001 to 999

0 to 9
[details in
annex P.3]

0000001 to 8999999
[the meaning of these figures is defined by
the Member States, eventually by bilat-
eral or multilateral agreement]

9000 to 9999
[details in
annex P.11]

001 to 999

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In a given country, the 7 digits of technical characteristics and serial number are sufficient to identify uniquely a vehicle
inside each group of wagons, hauled passenger vehicles, tractive rolling stock (1) and special vehicles (2).

Alphabetical markings complete the number:

a)

b)

c)

d)

markings linked to the interoperability ability (details in annex P.5);

abbreviation of the country in which the vehicle is registered (details in annex P.4);

keeper's (3) abbreviation (details in annex P.1);

abbreviation of the technical characteristics (details in annex P.13 for the hauled passenger vehicles, annex P.12 for the
wagons, annex P.14 for the special vehicles).

Technical characteristics, codes and abbreviations are managed by one or more bodies (hereafter designed as ‘central body’)
to be proposed by ERA (European Railway Agency) as a result of activity No 15 of its work programme 2005.

Allocation of number

The rules for the management of the numbers will be proposed by the ERA as part of the activity No15 of its work
programme 2005.

(1)
(2)

For tractive rolling stock, the number has to be unique in a given country with 6 digits.
For special vehicles, the number has to be unique in a given country with the first digit and the 5 last digits of the technical characteristics
and serial number.

(3) A vehicle keeper is the person, who being the owner or having the right to dispose of it, exploits a vehicle economically in a permanent

manner as a means of transport and is registered as such in the Rolling Stock Register.

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Official Journal of the European Union

L 359/111

ANNEX P.1

KEEPER'S ABBREVIATION MARKING

Definition of the Vehicle Keeper Marking (VKM)

A Vehicle Keeper Marking (VKM) is an alphanumeric code, consisting of 2 to 5 letters (1). A VKM is inscribed on each rail
vehicle, near the vehicle number. The VKM denominates the Vehicle Keeper as registered in the Rolling Stock Register.

A VKM is unique in all countries covered by this TSI and all countries that enter into an agreement that involves the
application of the system of vehicle numbering and vehicle keeper marking as described in this TSI.

Format of the Vehicle Keeper Marking

The VKM is representation of the full name or abbreviation of the vehicle keeper, if possible in a recognisable manner. All 26
letters of the Latina alphabet may be used. The letters in the VKM are written in capitals. Letters that do not stand for first
letters of words in the keeper's name may be written in lower case. For checking uniqueness, the written name will be
ignored.

Letters may contain diacritical signs (2). Diacritical signs used by these letters are ignored for checking uniqueness.

For vehicles of keepers that reside in a country that does not use the Latin alphabet, a translation of the VKM in its own
alphabet may be applied behind the VKM separated from it by a slash-sign (‘/’). This translated VKM is disregarded for data-
processing purposes.

Exemptions for using a Vehicle Keeper Marking

Member States may decide to apply the following exemptions.

A VKM is not required for the vehicles whose numbering system does not follow the present annex (cf. general remark, point
2). Nevertheless, adequate information about the identity of the vehicle keeper has to be provided to the organisations
involved in their operation over networks to which this TSI applies.

When the full name and address information is inscribed on the vehicle, a VKM is not required for:

— vehicles of keepers with such a limited vehicle fleet that this does not warrant the use of a VKM;

— specialised vehicles for infrastructure maintenance.

A VKM is not required for locomotives, multiple units and passenger vehicles used in national traffic only, when:

— they carry their keeper's logo and that logo contains the same and well recognisable letters as the VKM;

— they carry a well recognisable logo that has been accepted by the competent national authority as an adequate

equivalent for the VKM.

When a company logo is applied in addition to the application of a VKM, only the VKM is valid and the logo is disregarded.

Provisions about allocation of Vehicle Keeper Markings

A vehicle keeper can be issued more than one VKM, in case:

— the vehicle keeper has a formal name in more than one language;

— a vehicle keeper has good cause to distinguish between separate vehicle fleets within his organisation.

For NMBS/SNCB, the use of an encircled single letter B can be continued

(1)
(2) Diacritical marks are ‘accent-signs’, such as in À, Ç, Ö, Č, Ž, Å etc. Special letters such as Ø and Æ will be represented by a single letter; in

tests for uniqueness Ø is treated as O and Æ as A.

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A single VKM can be issued for a group of companies:

— that belong to single corporate structure that has appointed and mandated one organisation within this structure to

handle all issues on behalf of all others;

— that has mandated a separate, single legal entity for handling all issues on their behalf, in which event the legal entity is

the keeper.

Register of Vehicle Keeper Markings and procedure for allocation

The register of VKM is public and updated on a real time basis.

An application for a VKM is filed with the applicant's competent national authority and forwarded to the central body. A
VKM can be used only after publication by the central body.

The holder of a VKM must inform the competent national authority when he ends the use of a VKM, and the competent
national authority will forward the information to the central body. A VKM will then be revoked once the keeper has proved
that the marking has been changed on all vehicles concerned. It will not be reissued for 10 years, unless it is reissued to the
original holder or at his request to another holder.

A VKM can be transferred to another holder, which is the legal successor to the original holder. A VKM stays valid when the
holder changes his name to a name that does not bear resemblance to the VKM.

The first list of VKM will be drafted using existing railway company abbreviations.

The VKM will be applied to all new build vehicles after entry into force of the relevant TSIs. Existing vehicles will have until
end 2014 to comply with VKM marking.

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Official Journal of the European Union

L 359/113

INSCRIPTION OF THE NUMBER AND LINKED ALPHABETICAL MARKING ON THE BODYWORK

ANNEX P.2

General arrangements for external markings

The capital letters and figures making up the marking inscriptions shall be at least 80 mm in height, in a sans serif font type
of correspondence quality. A smaller height may only be used where there is no option but to place the marking on the sole
bars.

The marking is put not higher than 2 metres above rail level.

Wagons

The marking shall be inscribed on the wagon bodywork in the following manner:

TEN
D-RFC

23
80
7369 553-4
Zcs

TEN
D-DB

31
80
0691 235-2
Tanoos

TEN
NL-ACTS

33
84
4796 100-8
Slpss

43
87
F
4273 361-3
Laeks

(In this case without VKM,
full
name and address information is
inscribed on the vehicle)

For wagons whose bodywork does not offer a large enough area for this type of arrangement, particularly in the case of fIat
wagons, the marking shall be arranged as follows:

01
TEN

87

3320 644-7

F-SNCF

Ks

When one or more index letters of national significance are inscribed on a wagon, this national marking must be shown
after the international letter marking and separated from it by a hyphen.

Coaches and hauled passenger stock

The number shall be applied to each sidewall of the vehicle in the following manner:

F-SNCF

61 87 20 - 72 021 - 7

B10 tu

The marking of the country in which the vehicle is registered and of the technical characteristics are printed directly in front
of, behind or under the twelve digits of the vehicle number.

In case of coaches with driver's cabin, the number is also written inside the cabin.

Locomotives, power cars and special vehicles

The standard 12-digit number must be marked on each sidewall of the tractive stock used in international service in the
following manner:

91 88 0001323-0

The standard 12-digit number is also written inside each cabin of the tractive rolling stock.

The keeper can add, in letters of larger size than the standard number, an own number marking (consisting generally of
digits of the serial number supplemented by alphabetical coding) useful in operations. The place where the own number is
marked is left to the choice of the keeper.

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Examples

SP 42037

ES 64 F4 — 099
92 51 0042037-9 94 80 0189 999 — 6 91 88 0001323-0

88 — 1323

473011

92 87 473011-0 94 79 2 642 185-5

These rules may be altered in bilateral agreements for vehicles existing when the TSI comes into force and assigned to a
specific service and where there is no risk of confusion between different stocks operating on the rail networks concerned.
The exemption is valid for a period decided upon by the competent national authorities.

The national authority can prescribe that the alphabetic country code and the VKM be recorded additional to the 12 digit
vehicle number.

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Official Journal of the European Union

L 359/115

RULES FOR THE DETERMINATION OF THE CHECK-DIGIT (DIGIT 12)

ANNEX P.3

The check-digit is determined in the following manner:

— the digits in the even positions of the basic number (counting from the right) are taken at their own decimal value;

— the digits in the odd positions of the basic number (counting from the right) are multiplied by 2;

— the sum formed by the digits in even position and by all the digits which constitute the partial products obtained from

the odd positions is then established;

— the units digit of this sum is retained;

— the complement required to bring the units digit to 10 forms the check-digit; should this units digit be nought, then

the check-digit will also be nought.

Examples

1.

Let the basic number be
Multiplication factor

3
2

6

3
1

3

8
2

16

4
1

4

4
2

8

7
1

7

9
2

18

6
1

6

1
2

2

0
1

0

0
2

0

Sum: 6 + 3 + 1 + 6 + 4 + 8 + 7 + 1 + 8 + 6 + 2 + 0 + 0 = 52

The units digit of this sum is 2.

The check-digit number will therefore be 8 and the basic number thus becomes the registration number 33 84 4796
100 - 8.

2.

Let the basic number be
Multiplication factor

3
2

6

1
1

1

5
2

10

1
1

1

3
2

6

3
1

3

2
2

4

0
1

0

1
2

2

9
1

9

8
2

16

Sum: 6 + 1 + 1 + 0 + 1 + 6 + 3 + 4 + 0 + 2 + 9 + 1 + 6 = 40

The units digit of this sum is 0.

The check-digit number will therefore be 0 and the basic number thus becomes the registration number 31 51 3320
198 - 0.

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CODING OF THE COUNTRIES IN WHICH THE VEHICLES ARE REGISTERED (DIGITS 3-4 AND
ABBREVIATION)

ANNEX P.4

‘Information relating to third countries given for information purposes only.’

Countries

Alphabetical country
code (1)

Numerical country code

Companies concerned by the square
brackets in annexes P.6 and P.7 (2)

Albania

Algeria

Armenia

Austria

Azerbaijan

Belarus

Belgium

Bosnia-Herzegovina

Bulgaria

China

Croatia

Cuba

Cyprus

Czech Republic

Denmark

Egypt

Estonia

Finland

France

Georgia

Germany

Greece

Hungary

Iran

Iraq

Ireland

Israel

Italy

AL

DZ

AM (3)

A

AZ

BY

B

BIH

BG

RC

HR

CU (3)

CY

CZ

DK

ET

EST

FIN

F

GE

D

GR

H

IR

IRQ (3)

IRL

IL

I

41

92

58

81

57

21

88

44

50

52

33

78

40

54

86

90

26

10

87

28

80

73

55

96

99

60

95

83

HSh

SNTF

ARM

ÖBB

AZ

BC

SNCB/NMBS

ŽRS

ŽFBH

BDZ, SRIC

KZD

HŽ

FC

ČD

DSB, BS

ENR

EVR

VR, RHK

SNCF, RFF

GR

DB, AAE (4)

CH

MÁV, GySEV/ROeEE (4)

RAI

IRR

CIE

IR

FS, FNME (4)

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Countries

Alphabetical country
code (1)

Numerical country code

Companies concerned by the square
brackets in annexes P.6 and P.7 (2)

Japan

Kazakhstan

Kyrgyzstan

Latvia

Lebanon

Liechtenstein

Lithuania

Luxembourg

Macedonia (Former Yugoslav
Republic of)

Malta

Moldova

Monaco

Mongolia

Morocco

Netherlands

North Korea

Norway

Poland

Portugal

Romania

Russia

Serbia-Montenegro

Slovakia

Slovenia

South Korea

Spain

Sweden

Switzerland

Syria

Tajikistan

Tunisia

Turkey

J

KZ

KS

LV

RL

LIE (3)

LT

L

MK

M

MD (3)

MC

MGL

MA

NL

PRK (3)

N

PL

P

RO

RUS

SCG

SK

SLO

ROK

E

S

CH

SYR

TJ

TN

TR

42

27

59

25

98

24

82

65

23

31

93

84

30

76

51

94

53

20

72

56

79

61

71

74

85

97

66

91

75

EJRC

KZH

KRG

LDZ

CEL

LG

CFL

CFARYM (MŽ)

CFM

MTZ

ONCFM

NS

ZC

NSB, JBV

PKP

CP, REFER

CFR

RZD

JŽ

ŽSSK, ŽSR

SŽ

KNR

RENFE

GC, BV

SBB/CFF/FFS, BLS (4)

CFS

TZD

SNCFT

TCDD

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Countries

Alphabetical country
code (1)

Numerical country code

Companies concerned by the square
brackets in annexes P.6 and P.7 (2)

Turkmenistan

Ukraine

United Kingdom

Uzbekistan

Vietnam

TM

UA

GB

UZ

VN (3)

67

22

70

29

32

TRK

UZ

BR

UTI

DSVN

(1) According to the alphabetical coding system described in Appendix 4 to the 1949 convention and Article 45(4) of the 1968 convention

on road traffic.

(2) Companies who, at the time of coming into force, were members of UIC or OSJD and used the described country code as company code.
(3) Codes to be confirmed.
(4) Until the evolutions indicated in point 3 of the general remarks come into force, these companies can use the codes 43 (GySEV/ROeEE),

63 (BLS), 64 (FNME), 68 (AAE). The period of updating will then be defined together with the concerned Member States.

18.12.2006

EN

Official Journal of the European Union

L 359/119

ALPHABETICAL MARKING OF THE INTEROPERABILITY CAPABILITY

ANNEX P.5

Vehicle which complies with Rolling Stock TSI

TEN:
RIV: Wagon, which complies with the RIV regulations at the date of their abolishment
PPW: Wagon which complies with PPW agreement (inside OJSD States)
RIC:

Coach which complies/complied with RIC regulations

The alphabetical marking of the interoperability capability concerning special vehicles is described in annex P.14.

ANNEX P.6

INTEROPERABILITY CODES USED FOR WAGONS (DIGITS 1-2).

2nd digit

1st digit

0

1

2

3

4

5

6

7

8

9

2nd digit

1st digit

Gauge

fixed or vari-
able

fixed

variable

fixed

variable

fixed

variable

fixed

variable

fixed or variable

Gauge

Spare

with axles
with bogies Wagons used
by industry

TSI and/or COTIF wagons (b)
[of which keeper is a railway
undertaking listed in annex P.4

Not to be used pending further decision

PPW wagons
(variable gauge)

Spare

Service wagons

TSI and/or COTIF wagon (b)
[of which keeper is a railway
undertaking listed in
annex P.4]
PPW wagons

Others wagons
[of which keeper is a railways
undertaking listed in
annex P.4]

TSI and/or COTIF wagons (b) b
PPW wagons

Others TSI and/or COTIF
wagons (b)
PPW wagons

PPW wagons
(fixed gauge)

Others wagons

Others wagons

Wagons with
special number-
ing for technical
characteristics

with axles (c)

with bogies
(c)

Domestic traf-
fic or inter-
national traffic
by special
agreement

International
traffic by
special agree-
ment

Domestic
traffic

International
traffic by
special agree-
ment

Domestic
traffic

International
traffic by
special agree-
ment

Domestic
traffic

International
traffic by
special agree-
ment

Domestic
traffic

Domestic traffic
or international
traffic by special
agreement

Traffic

with axles

with bogies

with axles

with bogies

0

1

2

3

4

8

0

1

2

3

4

8

TSI (a)
and/or
COTIF (b)
and/or
PPW

Non TSI
and non
COTIF (b)
and non PPW

with axles

with bogies

with axles (c)

with bogies
(c)

Traffic

1st digit

2nd digit

0

1

2

3

4

5

6

7

8

9

1st digit

2nd digit

(a) Compliance at least with Rolling Stock TSI.
(b)
(c)

Including vehicles, which according to existing regulations carry these digits at the time of coming into force of these new regulations.
Fixed or variable gauge.

L

3
5
9
/
1
2
0

E
N

O

f
f
i
c
i
a
l

J
o
u
r
n
a
l

o
f

t
h
e

E
u
r
o
p
e
a
n

U
n
o
n

i

.

1
8
1
2
2
0
0
6

.

INTERNATIONAL TRAFFIC ABILITY CODES USED FOR HAULED PASSENGER VEHICLES (DIGITS 1-2)

ANNEX P.7

Warning:

The conditions between square brackets are transitional and will be deleted with the evolutions of RIC (see general remarks, point 3).

Domestic traffic

TSI (a) and/or RIC/COTIF (b) and/or PPW

Domestic traffic or
international traffic
by special agree-
ment

TSI (a) and/or RIC/
COTIF (b)

2nd digit

1st digit

0

1

2

3

4

5

6

7

PPW

8

9

Fixed-gauge non
air-conditioned
vehicles (includ-
ing car-carrying
wagons)
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

air-

Fixed-gauge
conditioned
vehicles
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

air-condi-

Gauge-adjustable
(1435/1520)
non
tioned vehicles
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

Gauge-adjustable
(1435/1520) air-
conditioned
vehicles
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

Reserved

Reserved

5

6

7

for

Vehicles
domestic traffic
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

Service
vehicles
not run in rev-
enue-earning ser-
vice

pressure-

Air-conditioned
and
tight vehicles
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

(a) Compliance at least with future TSI on hauled passenger vehicles.
(b) Compliance with RIC or COTIF according to the regulation in force.

Reserved

Service
vehicles
not run in rev-
enue-earning ser-
vice
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

air-

Pressure-tight
fixed-gauge
conditioned
vehicles
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

Gauge-adjustable
(1435/1672) non
air-conditioned
vehicles
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

Gauge-adjustable
(1435/1672) air-
conditioned
vehicles
[of which keeper is
a RIC railways
undertaking listed
in annex P.4]

Vehicles
with
special number-
ing for technical
characteristics

Fixed-gauge
vehicles

Car-carrying
wagons

Gauge-adjustable
vehicles

Fixed-gauge
vehicles

Gauge-adjustable
(1435/1520)
vehicles
with
change of bogies

Gauge-adjustable
(1435/1520) vehi-
cles with gauge-
adjustable axles

Reserved

Other vehicles

Reserved

Reserved

Reserved

Reserved

.

1
8
1
2
2
0
0
6

.

E
N

O

f
f
i
c
i
a
l

J
o
u
r
n
a
l

o
f

t
h
e

E
u
r
o
p
e
a
n

U
n
o
n

i

L

3
5
9
/
1
2
1

L 359/122

EN

Official Journal of the European Union

18.12.2006

ANNEX P.8

TYPES OF TRACTIVE STOCK (DIGITS 1-2)

The first digit is ‘9’.

The second digit is defined by each Member State. It can for example fit with the self-checking digit if this digit is also
calculated with the serial number.

If the second digit describes the type of tractive stock, following coding is mandatory:

Code

General vehicle type

0

1

2

3

4

5

6

7

8

9

Miscellaneous

Electric locomotive

Diesel locomotive

Electric multiple-unit set (high speed) [power car or trailer]

Electric multiple-unit set (except high speed) [power car or trailer]

Diesel multiple-unit set [power car or trailer]

Specialised trailer

Electric shunting engine

Diesel shunting engine

Maintenance vehicle

STANDARD NUMERICAL MARKING OF WAGONS (DIGITS 5 TO 7)

ANNEX P.9

This annex indicates in tables the numerical marking in 4 figures associated to the main technical characteristics of the
wagon.

This Annex is distributed on a separate medium (electronic file).

CODES FOR THE TECHNICAL CHARACTERISTICS OF THE HAULED PASSENGER STOCK (DIGITS 5-6)

ANNEX P.10

Reserved

Vehicles with 1st class seats

Vehicles with 2nd class seats

Vehicles with 1st or 1st/2nd
class seats

1st or 1st/2nd class couchette
cars

2nd class couchette cars

Reserved

Sleeping cars

Vehicles of special design and
vans

6th digit
5th digit

0

1

2

3

4

5

6

7

8

9

0

Reserved

1

Reserved

10 side-corridor compartments
or equivalent open-saloon
space with centre aisle

≥ 11 side-corridor compart-
ments or equivalent open-sal-
oon space with centre aisle

2

Reserved

Reserved

10 side-corridor compartments
or equivalent open-saloon
space with centre aisle

11 side-corridor compartments
or equivalent open-saloon
space with centre aisle

≥ 12 side-corridor compart-
ments or equivalent open-sal-
oon space with centre aisle

10 side-corridor compartments
or equivalent open-saloon
space with centre aisle

11 side-corridor compartments
or equivalent open-saloon
space with centre aisle

≥ 12 side-corridor compart-
ments or equivalent open-sal-
oon space with centre aisle

10 1st/2nd class compartments

Reserved

Reserved

10 compartments

11 compartments

≥ 12 compartments

Reserved

Reserved

Reserved

10 compartments

11 compartments

12 compartments

Driving trailer with seats, all
classes, with or without lug-
gage compartment, with driv-
ing cab for reversible working

Vehicles with 1st or 1st/2nd class
seats with luggage or mail
compartment

Vehicles with 2nd class seats
with luggage or mail compart-
ment

Mail vans

Luggage vans with mail com-
partment

Luggage vans

3

Reserved

Reserved

4

Reserved

Two or three axles

Three axles

Two axles

Reserved

Reserved

Reserved

Reserved

Reserved

Reserved

Two or three axles

≤ 9 1st/2nd class compartments

Reserved

Reserved

Reserved

Vehicles with seats, all classes
with specially-fitted areas, e.g.
children's play area

Luggage vans and two or three-
axle 2nd class vehicles with
seats, with luggage or mail
compartment

Side-corridor luggage vans,
with or without compartment
under customs seal

Note:

Fractions of a compartment are not considered. The equivalent accommodation in open saloon cars with centre aisle is obtained by dividing the number of available seats by 6, 8 or 10 depending on the construction of the vehicle.

.

1
8
1
2
2
0
0
6

.

E
N

O

f
f
i
c
i
a
l

J
o
u
r
n
a
l

o
f

t
h
e

E
u
r
o
p
e
a
n

U
n
o
n

i

L

3
5
9
/
1
2
3

CODES FOR THE TECHNICAL CHARACTERISTICS OF THE HAULED PASSENGER STOCK (DIGITS 5-6)

Reserved

Vehicles with 1st class seats

Vehicles with 2nd class seats

Vehicles with 1st or 1st/2nd
class seats

1st or 1st/2nd class couchette
cars

2nd class couchette cars

Reserved

Sleeping cars

Vehicles of special design and
vans

6th digit
5th digit

0

1

2

3

4

5

6

7

8

9

5

Reserved

Reserved

6

Reserved

7

Reserved

8

Reserved

9

Reserved

Double-deck coaches

≥ 7 side-corridor compart-
ments or equivalent open-sal-
oon space with centre aisle

8 side-corridor compartments
or equivalent open-saloon
space with centre aisle

9 side-corridor compartments
or equivalent open-saloon
space with centre aisle

Only for OSJD, double-deck
coaches

Double-deck coaches

Reserved

Reserved

Double-deck coaches

Reserved

Reserved

Reserved

Reserved

> 12 compartments

Coaches with seats and couch-
ette cars, all classes, with bar or
buffet area

Reserved

Reserved

Reserved

Reserved

Reserved

Reserved

Reserved

Reserved

Double-deck driving coach
with seats, all classes, with or
without luggage compartment,
with driving cab for reversible
working

Dining cars or coaches with bar
or buffet area, with luggage
compartment

≥ 8 side-corridor compart-
ments or equivalent open-sal-
oon space with centre aisle

9 side-corridor compartments
or equivalent open-saloon
space with centre aisle

≥ 8 side-corridor compart-
ments or equivalent open-sal-
oon space with centre aisle

9 side-corridor compartments
or equivalent open-saloon
space with centre aisle

Reserved

Reserved

Reserved

Reserved

Dining cars

≤ 9 1st class compartments

≤ 9 compartments

Reserved

Reserved

Other special coaches (confer-
ence, disco, bar, cinema, video,
ambulance coaches)

Two or three-axle luggage vans
with mail compartment

Reserved

Two or three-axle car-carrying
wagons

Car-carrying wagons

Service vehicles

Note:

Fractions of a compartment are not considered. The equivalent accommodation in open saloon cars with centre aisle is obtained by dividing the number of available seats by 6, 8 or 10 depending on the construction of the vehicle.

L

3
5
9
/
1
2
4

E
N

O

f
f
i
c
i
a
l

J
o
u
r
n
a
l

o
f

t
h
e

E
u
r
o
p
e
a
n

U
n
o
n

i

.

1
8
1
2
2
0
0
6

.

CODES FOR THE GENERAL CHARACTERISTICS OF HAULED PASSENGER STOCK (DIGITS 7-8)

.

1
8
1
2
2
0
0
6

.

Energy supply

8th digit

Maximum speed

7th digit

0

1

2

3

4

5

6

7

8

9

< 120 km/h

121 to 140 km/h

0

1

2

3

4

5

6

All tensions (*)

Reserved

3 000 V~
+ 3 000 V=

1 000 V~ (*)

Reserved

1 500 V~

Other tensions
than 1 000 V,
1 500 V,
3 000 V

1 500 V~
+ 1 500 V=

3 000 V=

Reserved

All tensions (*)
+ Steam (1)

1 000 V~
+ Steam (1)

1 000 V~
+ Steam (1)

1 000 V~
+ Steam (1)

1 000 V~
+ Steam (1)

1 000 V~
+ Steam (1)

Reserved

1 500 V~
+ 1 500 V=
+ Steam (1)

3 000 V=
+ Steam (1)

3 000 V=
+ Steam (1)

Steam (1)

Steam (1)

3 000 V~
+ 3 000 V=
+ Steam (1)

Steam (1)

3 000 V~
+ 3 000 V=
+ Steam (1)

Steam (1)

3 000 V~
+ 3 000 V=
1 500 V~
+ Steam (1)

1 500 V~
+ Steam (1)

1 500 V~
+ Steam (1)

A (1)

All tensions

Reserved

1 000 V~
+ 3 000 V=

1 000 V~ (*) (1) 1 000 V~ (*) (1)

1 000 V~

1 000 V~
+ 1 500 V~
+ 1 500 V=

1 500 V~
+ 1 500 V=

3 000 V=

3 000 V=

All tensions (*)
+ Steam (1)

All tensions
+ Steam (1)

All tensions
+ Steam (1)

1 000 V~ (*) (1)
+ Steam (1)

1 500 V~
+ 1 500 V=

1 000 V~
+ Steam (1)

3 000 V~
+ 3 000 V=

1 500 V~
+ 1 500 V=
+ Steam (1)

3 000 V=
+ Steam (1)

Reserved

All tensions (*)
+ Steam (1)

All tensions
+ Steam (1)

All tensions
+ Steam (1)

1 000 V~
+ Steam (1)

Reserved

1 500 V~
+ Steam (1)

Other tensions
than 1 000 V,
1 500 V,
3 000 V

1 500 V~
+ 1 500 V=
+ Steam (1)

Reserved

Reserved

Steam (1)

Reserved

3 000 V~
+ 3 000 V=

Reserved

3 000 V~
+ 3 000 V=

Reserved

Steam (1)

Reserved

Reserved

A (1)

E
N

O

f
f
i
c
i
a
l

J
o
u
r
n
a
l

o
f

t
h
e

E
u
r
o
p
e
a
n

U
n
o
n

i

L

3
5
9
/
1
2
5

Energy supply

8th digit

Maximum speed

7th digit

141 to 160 km/h

> 160 km/h

7

8

9

0

1

2

3

4

5

6

7

8

9

All tensions (*)

All tensions

1 500 V~ (1)
+ 3 000 V= (1)
All tensions (2)

1 000 V~ (*)

1 500 V~
+ 1 500 V=

1 000 V~

1 500 V~

All tensions (*)
+ Steam (1)

All tensions
+ Steam (1)

3 000 V~
+ 3 000 V=

Reserved

All tensions (*)
+ Steam (1)

1 000 V~
+ Steam (1)

3 000 V~
+ 3 000 V=

1 500 V~
+ 1 500 V=

Other tensions
than 1 000 V,
1 500 V,
3 000 V

All tensions (*)
+ Steam (1)

3 000 V=

3 000 V=

All tensions (*)
(2)

All tensions

All tensions
+ Steam (1)

1 000 V~
+ 1 500 V~

1 000 V~

1 000 V~

Reserved

1 500 V~
+ 1 500 V=

3 000 V=

A (1)
G (2)

A (1)
G (2)

(1)
(2)
All tensions
(*)
A
G
Steam

Only for domestic traffic vehicles
Only for vehicles able to international traffic
Single phase alternating current 1 000 V 51 to 15 Hz, single phase alternating current 1 500 V 50 Hz, direct current 1 500 V, direct current 3 000 V. Can include single phase alternating current 3 000 V 50 Hz
For certain vehicles with 1 000V single phase alternating current, only one frequency, either 16 2/3 or 50 Hz, is permitted
Autonomous heating, without train bus electricity supply line
Vehicles with train bus electricity supply line for all voltages, but requiring a generator van to supply air-conditioning
Steam heating only. If tensions are written, the code is also available for vehicles without steam heating.

L

3
5
9
/
1
2
6

E
N

O

f
f
i
c
i
a
l

J
o
u
r
n
a
l

o
f

t
h
e

E
u
r
o
p
e
a
n

U
n
o
n

i

.

1
8
1
2
2
0
0
6

.

18.12.2006

EN

Official Journal of the European Union

L 359/127

CODES FOR THE TECHNICAL CHARACTERISTICS OF THE SPECIAL VEHICLES (DIGIT 6 TO 8)

ANNEX P.11

Authorised speed for special vehicles (digit 6)

Self-propelled travelling speed

≥ 100 km/h

< 100 km/h

0 km/h

Can be put into a
train

Classification

V ≥ 100 km/h

V < 100 km/h
and/or
restrictions (a)

Cannot be put into a train

Self-propelled

1

Non self-
propelled

Self-propelled

Non self-
propelled

Self-propelled

Non self-
propelled

Self-propelled rail/road vehicle
than can be put into a train (b)

Self-propelled rail/road vehicle
than cannot be put into a train (b)

Non self-propelled rail/road vehicle (b)

2

4

6

8

9

3

5

7

0

(a)
(b)

By restriction is meant a special position in a train (e.g. at the rear), an obligatory protection wagon, etc.
Special conditions concerning inclusion in a train must be complied with.

Type and sub-type of special vehicle (digits 7-8)

7th digit

8th digit

Vehicles/machines

7th digit

8th digit

Vehicles/machines

1
Infrastructure
and
superstruc-
ture

1

2

3

4

5

6

7

8

9

0

Track laying and renewal train

Switches and crossing laying equipment

Track rehabilitation train

Ballast cleaning machine

Earthworks machine

2
Track

Rail-mounted crane (excl. rerailing)

Other or general

1

2

3

4

5

6

7

8

9

0

High capacity plain track tamping machine

Other plain track tamping machines

Tamping machine with stabilisation

Tamping machine for switches and cross-
ings

Ballast plough

Stabilisation machine

Grinding and welding machine

Multi-purpose machine

Track inspection car

Other

L 359/128

EN

Official Journal of the European Union

18.12.2006

7th digit

8th digit

Vehicles/machines

7th digit

8th digit

Vehicles/machines

3
Overhead
line

4
Structures

5
Loading,
unloading
and various
transport

1

2

3

4

5

6

7

8

9

0

1

2

3

4

5

6

7

8

9

0

1

2

3

4

5

6

7

8

9

0

Multi-purpose machine

Rolling and unrolling machine

Mast installation machine

Drum carrier machine

Overhead line tensioning machine

Machine with elevating work platform and
machine with scaffold

6
Measuring

Cleaning train

Greasing train

Overhead line inspection car

Other

Deck laying machine

Bridge inspection platform

Tunnel inspection platform

Gas purification machine

Ventilation machine

Machine with elevating work platform or
with scaffold

7
Emergency

Tunnel lighting machine

Other

Rail loading/unloading and transport
machine

Loading/unloading and transport machine
for ballast, gravel, etc.

Sleeper loading/unloading and transport
machine

8
Traction,
transport,
energy, etc.

Loading/unloading and transport machine
for switchgear, etc.

Loading/unloading and transport machine
for other materials

Other

1

2

3

4

5

6

7

8

9

0

1

2

3

4

5

6

7

8

9

0

1

2

3

4

5

6

7

8

9

0

Earthworks recording car

Track recording car

Overhead line recording car

Gauge recording car

Signalling recording car

Telecommunications recording car

Other

Emergency crane

Emergency haulage car

Emergency tunnel train

Emergency car

Fire car

Sanitary vehicle

Equipment car

Other

Tractive units

Transport car (excl. 59)

Power car

Track car/powered car

Concreting train

Other

18.12.2006

EN

Official Journal of the European Union

L 359/129

7th digit

8th digit

Vehicles/machines

7th digit

8th digit

Vehicles/machines

9
Environment

1

2

3

4

5

6

7

8

9

0

Self-propelled snow plough

Hauled snow plough

Snow broom

De-icing machine

Weed-killing machine

Rail cleaning machine

Other

0
Rail/road

1

2

3

4

5

6

7

8

9

0

Category 1 rail/road machine

Category 2 rail/road machine

Category 3 rail/road machine

Category 4 rail/road machine

Other

L 359/130

EN

Official Journal of the European Union

18.12.2006

LETTER MARKING FOR WAGONS EXCLUDING ARTICULATED AND MULTIPLE WAGONS

DEFINITION OF THE CATEGORY AND INDEX LETTERS

ANNEX P.12

1.

Important notes

In the attached tables:

— the information given in meters refers to the inside length of the wagons (lu);

— the information given in tonnes (tu) corresponds to the highest load limit shown in the loading table for the

wagon in question, this limit being determined in accordance with the procedures laid down.

2.

Index letters with an international value common to all categories

q
qq
s
ss

pipe for electric heating which can be supplied by all accepted currents
pipe and installation for electric heating which can be supplied by all accepted currents
wagons authorised to run under ‘s’ conditions (see annex B of Rolling Stock TSI)
wagons authorised to run under ‘ss’ conditions (see annex B of Rolling Stock TSI)

3.

Index letters with an national value

t, u, v, w, x, y, z

The value of these letters is defined by each Member State.

CATEGORY LETTER: E — OPEN HIGH-SIDED WAGON

Reference wagon

Index letters

of ordinary type,
with side and end tipping, with flat floor
with 2 axles: lu ≥ 7,70 m; 25 t ≤ tu ≤ 30 t
with 4 axles: lu ≥ 12 m; 50 t ≤ tu ≤ 60 t
with 6 axles or more: lu ≥ 12 m; 60t ≤ tu ≤ 75 t

a
aa
c

k

kk

l
ll

m

mm

n

o
p

with 4 axles
with 6 axles or more
with floor traps (a)
with 2 axles: tu < 20 t
with 4 axles: tu < 40 t
with 6 axles or more: tu < 50 t
with 2 axles: 20 t ≤ tu < 25 t
with 4 axles: 40 t ≤ tu < 50 t
with 6 axles or more: 50 t ≤ tu < 60 t
without side tipping
without floor traps (b)
with 2 axles: lu < 7,70 m
with 4 axles or more: lu < 12 m
with 4 axles or more: lu >12 m (b)
with 2 axles: tu > 30 t
with 4 axles: tu > 60 t
with 6 axles or more: tu > 75 t
without end tipping
with station for brakeman (b)

(a)

This concept only applies to open high-sided wagons with a flat floor, and provided with a device enabling them to be used, either as
ordinary wagons with a flat bottom, or for gravity unloading of certain goods by suitable positioning of the traps.

(b) Only applicable to wagons with gauge of 1 520 mm.

18.12.2006

EN

Official Journal of the European Union

L 359/131

Reference wagon

Index letters

CATEGORY LETTER: F — OPEN HIGH-SIDED WAGON

Of special type
with 2 axles: 25 t ≤ tu ≤ 30 t
with 3 axles: 25 t ≤ tu ≤ 40 t
with 4 axles: 50 t ≤ tu ≤ 60 t
with 6 axles or more: 60 t ≤ tu ≤ 75 t

with 4 axles

with 6 axles or more

high capacity with axles (volume > 45 m3)

with controlled gravity unloading, on both sides, alternately, at the top (a)

with controlled gravity unloading, on both sides, alternately, at the bottom (a)

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

with 2 or 3 axles: tu < 20 t
with 4 axles: tu < 40 t
with 6 axles or more: tu < 50 t

with 2 or 3 axles: 20 t ≤ tu < 25 t
with 4 axles: 40 t ≤ tu < 50t
with 6 axles or more: 50 t ≤ tu < 60 t

with bulk gravity unloading, on both sides, simultaneously, at the top (a)

with bulk gravity unloading, on both sides, simultaneously, at the bottom (a)

with 2 axles: tu > 30 t
with 3 axles or more: tu >40 t
with 4 axles: tu > 60 t
with 6 axles or more: tu > 75 t

with axial bulk gravity unloading, at the top (a)

with axial bulk gravity unloading, at the bottom (a)

with axial controlled gravity unloading, at the top (a)

with axial controlled gravity unloading, at the bottom (a)

a

aa

b

c

cc

f

ff

fff

k

kk

l

ll

n

o

oo

p

pp

(a) Wagons with gravity unloading in category F are open wagons, which do not have a flat floor and have no tipping facility either at the

ppp

with station for brakeman (b)

end or the side.

(b) Only applicable to wagons with gauge of 1 520 mm.
The method of unloading these wagons is defined by a combination of the following characteristics:
Arrangement of the unloading apertures:
— axial:
— bilateral:

Apertures situated above the centre of the track
Apertures on either side of the track, outside the rails
(For these wagons, unloading is:
— simultaneous, if complete emptying of the wagon requires the apertures to be open on both sides,
— alternate, if complete emptying of the wagon can take place by opening the apertures on one side only)
The lower edge of the discharge through (without taking into account mobile devices which may extend this through) is
situated at least 0,700 m above the rail, and allows for the use of a conveyor belt to take away the goods
The position of the lower edge of the discharge through does not allow for the use of a conveyor belt to take away the
goods

Once the apertures are open for unloading, they cannot be closed again until the wagon is empty
At any time during unloading, the flow of the goods can be regulated or even stopped

— top:

— bottom:

Rate of unloading:
— bulk:
— controlled:

L 359/132

EN

Official Journal of the European Union

18.12.2006

CATEGORY LETTER: G — COVERED WAGON

Reference wagon

Index letters

a

aa

b

Of ordinary type
with at least 8 ventilation apertures
with 2 axles: 9 m ≤ lu < 12 m; 25 t ≤ tu ≤ 30 t
with 4 axles: 15 m ≤ lu < 18 m; 50 t ≤ tu ≤ 60 t
with 6 axles or more: 15 m ≤ lu < 18 m; 60 t ≤ tu ≤ 75 t

with 4 axles

with 6 axles or more

high capacity:
— with 2 axles: lu ≥12 m and payload capacity ≥ 70 m3
— with 4 axles or more: lu ≥ 18 m

bb

with 4 axles: lu > 18 m (a)

g

h

k

kk

l

ll

m

n

o

p

for grain

for fruits and vegetables (b)

with 2 axles: tu < 20 t
with 4 axles: tu < 40t
with 6 axles or more: tu < 50 t

with 2 axles: 20 t ≤ tu < 25 t
with 4 axles: 40 t ≤ tu < 50 t
with 6 axles or more: 50 t ≤ tu < 60 t

with less than 8 ventilation apertures

with enlarged doors apertures (a)

with 2 axles: lu < 9 m
with 4 axles or more: lu < 15 m

with 2 axles: tu > 30 t
with 4 axles: tu > 60 t
with 6 axles or more: tu > 75 t

with 2 axles: lu < 12 m and payload capacity ≥ 70 m3

with station for brakeman (a)

(a) Only applicable to wagons with gauge of 1 520 mm.
(b) The concept ‘for fruits and vegetables’ applies only to wagons provided with additional ventilation apertures at the floor level.

18.12.2006

EN

Official Journal of the European Union

L 359/133

Reference wagon

Index letters

CATEGORY LETTER: H — COVERED WAGON

of special type
with 2 axles: 9 m ≤ lu ≤ 12 m; 25 t ≤ tu ≤ 28 t
with 4 axles: 15 m ≤ lu < 18 m; 50 t ≤ tu ≤ 60 t
with 6 axles or more: 15 m ≤ lu < 18 m; 60 t ≤ tu ≤ 75 t

with 4 axles

with 6 axles or more

with 2 axles: 12 m ≤ lu ≤ 14 m and payload capacity ≥ 70 m3 (a)
with 4 axles or more: 18 m ≤ lu < 22 m

with 2 axles: lu ≥ 14m
with 4 axles or more: lu ≥ 22 m

with end doors

with end doors and fitted internally for the transport of motor cars

with floor traps

with tipping body (b)

with 2 floors

with 3 floors or more

suitable for traffic with Great Britain (a)

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively) (a)

for grain

for cement (b)

for fruits and vegetables (c)

for mineral fertilizer (b)

with opening or shunt walls

with very robust opening or shunt walls (d)

with 2 axles: tu < 20 t
with 4 axles: tu < 40 t
with 6 axles or more: tu < 50 t

with 2 axles: 20 t ≤ tu < 25 t
with 4 axles: 40 t ≤ tu < 50 t
with 6 axles or more: 50 t ≤ tu < 60 t

with movable partitions (e)

with lockable movable partitions (e)

with 2 axles: lu < 9 m
with 4 axles or more: lu < 15 m

a

aa

b

bb

c

cc

d

dd

e

ee

f

ff

fff

g

gg

h

hh

i

ii

k

kk

l

ll

m

mm

with 4 axles or more: lu > 18 m (b)

with 2 axles: tu > 28 t
with 4 axles: tu < 60 t
with 6 axles or more: tu > 75 t

with 2 axles: lu 12 m < 14 m et volume utile ≥ 70 m3

with station for brakeman (b)

n

o

p

2-axle wagons bearing the index letters ‘f’, ‘fff’ can have a payload capacity less than 70 m3.

(a)
(b) Only applicable to wagons with gauge of 1 520 mm.
(c)
(d) Only applicable to wagons with gauge of 1 435 mm.
(e) Movable partitions may be dismounted temporarily.

The concept ‘for fruits and vegetables’ applies only to wagons provided with additional ventilation apertures at the floor level.

L 359/134

EN

Official Journal of the European Union

18.12.2006

CATEGORY LETTER: I — TEMPERATURE-CONTROLLED WAGON

Reference wagon

Index letters

refrigerator wagon
with class IN thermal insulation,
with motor-driven ventilation, with gratings and ice bunker ≥ 3,5 m3
with 2 axles: 19 m2 ≤ floor area < 22 m2; 15 t ≤ tu ≤ 25 t
with 4 axles: floor area ≥ 39 m2; 30 t ≤ tu ≤ 40 t

with 4 axles

with 2 axles and large floor area: 22 m2 ≤ floor area ≤ 27 m2

with 2 axles and very large floor area: floor area > 27 m2

with meat hooks

for fish

with electric ventilation

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

with mechanical refrigeration (a) (b)

refrigerator with liquefied gas (a)

with class IR thermal insulation

mechanically refrigerated by the machinery of an accompanying technical wagon (a)
(b) (c)

accompanying technical wagon (a) (c)

with 2 axles: tu > 15 t
with 4 axles: tu < 30 t

insulated without ice bunkers (a) (d)

with 2 axles: floor area < 19 m2
with 4 axles: floor area < 39 m2

a

b

bb

c

d

e

f

ff

fff

g

gg

h

i

ii

k

l

m

mm

with 4 axles: floor area ≥ 39m2 (e)

n

o

p

with 2 axles: tu > 25 t
with 4 axles; tu > 40 t

with ice bunkers of capacity less than 3,5 m3 (d)

without gratings

(a)
(b)
(c)

The index letter ‘l’ shall not be marked on wagons bearing the index letters ‘g’, ‘gg’, ‘i’ or ‘ii’
Wagons bearing both the index letters ‘g’ and ‘i’ can be used individually or in a mechanically refrigerated raft.
The concept of ‘accompanying technical wagon’ applies at the same time to factory wagons, workshop wagons (both with or without
sleeping accommodation) and dormitory wagons.
The index letter ‘o’ shall not be marked on wagons bearing the index letter ‘l’
Only applicable to wagons with gauge of 1 520 mm.

(d)
(e)
Note: The floor area of covered refrigerator wagons is always determined taking into account the use of ice bunkers.

18.12.2006

EN

Official Journal of the European Union

L 359/135

Reference wagon

Index letters

CATEGORY LETTER: K — 2-AXLE FLAT WAGON

Of ordinary type
with drop sides and short stanchions
lu ≥ 12 m; 25 t ≤ tu ≤ 30 t

with long stanchions

fitted for the transport of containers (a)

with removable cover and non-removable ends (b)

with shock-absorbing device

tu < 20 t

20 t ≤ tu < 25 t

without stanchions

9 m ≤ lu < 12 m

b

g

i

j

k

kk

l

m

mm

lu < 9 m

n

o

p

tu > 30 t

with non-removable sides

without sides (b)

pp

with removable sides

(a)

Index letter ‘g’ may be used together with category letter K exclusively for ordinary wagons which have only been additionally fitted out
for the transport of containers. Wagons fitted out solely for the transport of containers must be classified in category L.

(b) The index letter ‘p’ shall not be marked on wagons bearing index letter ‘i’

L 359/136

EN

Official Journal of the European Union

18.12.2006

Reference wagon

Index letters

CATEGORY LETTER: L — 2-AXLE FLAT WAGON

of special type
lu ≥ 12 m; 25 t ≤ tu ≤ 30 t

with special fittings for securing purposes for medium-sized containers (pa) (a)

with swivelling bolster (a)

fitted out for the transport of motor cars, without deck (a)

with decks for the transport of motor cars (a)

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

fitted for the transport of containers (except pa) (a) (b)

fitted out for the transport of steel coils, eye to side (a) (c)

fitted out for the transport of steel coils, eye to sky (a) (c)

with removable cover and non-removable ends (a)

with very robust removable metallic cover (d) and non-removable ends (a)

with shock-absorbing device

tu < 20 t

20 t ≤ tu < 25 t

without stanchions (a)

9 m ≤ lu < 12 m

b

c

d

e

f

ff

fff

g

h

hh

i

ii

j

k

kk

l

m

mm

lu < 9 m

n

p

tu > 30 t

without sides (a)

(a)

The inscription of the index letters ‘l’ or ‘p’ is optional for wagons bearing the index letters ‘b’, ‘c’, ‘d’, ‘e’, ‘g’, ‘h’, ‘hh’, ‘i’ or ‘ii’. But numerical
codes must always correspond to letter markings on wagons.

(b) Wagons used solely for the transport of containers (except pa).
(c) Wagons used solely for the transport of steel coils.
(d) Only applicable to wagons with gauge of 1 435 mm.

CATEGORY LETTER: O — MIXED FLAT AND OPEN HIGH-SIDED WAGON

Reference wagon

Index letters

a

f

ff

fff

k

kk

l

m

of ordinary type
with 2 or 3 axles, with drop sides or ends and stanchions
with 2 axles: lu ≥ 12 m; 25 t ≤ tu ≤ 30 t
with 3 axles: lu ≥ 12 m; 25 t ≤ tu ≤ 40 t

with 3 axles

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

tu < 20 t

20 t ≤ tu < 25 t

without stanchions

9 m ≤ lu < 12 m

mm

lu < 9 m

n

with 2 axles: tu > 30 t
with 3 axles: tu > 40 t

18.12.2006

EN

Official Journal of the European Union

L 359/137

Reference wagon

Index letters

CATEGORY LETTER: R — FLAT BOGIES WAGON

of ordinary type
with drop ends and stanchions
18 m ≤ lu < 22 m; 50 t ≤ tu ≤ 60 t

lu ≥ 22 m

with drop sides

fitted for the transport of containers (a)

fitted out for the transport of steel coils, eye to side (b)

fitted out for the transport of steel coils, eye to sky (b)

with removable cover and non-removable ends (c)

with shock-absorbing device

tu < 40 t

40 t ≤ tu < 50 t

without stanchions

15 m ≤ lu < 18 m

b

e

g

h

hh

i

j

k

kk

l

m

mm

lu < 15 m

n

o

oo

p

pp

tu > 60 t

with non-removable ends less than 2 m in height

with non-removable ends, 2 m or more in height (c)

without drop ends (c)

with removable sides

(a)

The use of the index letter ‘g’ associated with the category letter R is only possible in the case of ordinary wagons which have only been
additionally fitted out for the transport of containers. Wagons fitted out solely for the transport of containers must be classified in
category S.

(b) The use of the index letter ‘h’ or ‘hh’ together with the category letter R is only possible in the case of ordinary wagons which have only
been additionally fitted out for the transport of containers. Wagons fitted out solely for the transport of containers must be classified in
category S.
The index letters ‘oo’ and/or ‘p’ shall not be marked on wagons bearing index letter ‘i’

(c)

L 359/138

EN

Official Journal of the European Union

18.12.2006

CATEGORY LETTER: S — FLAT BOGIES WAGON

Reference wagon

Index letters

of special type
with 4 axles: lu ≥ 18 m; 50 t ≤ tu ≤ 60 t
with 6 axles or more: lu ≥ 22 m; 60 t ≤ tu ≤ 75 t

with 6 axles (2 bogies of 3 axles)

with 8 axles or more

with 4 axles (2 bogies of 2 axles) (a)

with special fittings for securing purposes for medium-sized containers (pa) (b)

with swivelling bolster (b)

fitted out for the transport of motor cars, without deck (b) (c)

with decks for the transport of motor cars (b)

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

fitted for the transport of containers, total loading length ≤ 60’ (except pa) (b) (c) (d)

fitted for the transport of containers, total loading length > 60’ (except pa) (b) (c) (d)

fitted out for the transport of steel coils, eye to side (b) (e)

fitted out for the transport of steel coils, eye to sky (b) (e)

with removable cover and non-removable ends (b)

with very robust removable metallic cover (f) and non-removable ends (b)

with shock-absorbing device

with 4 axles: tu < 40 t
with 6 axles or more: tu < 50 t

with 4 axles: 40 t ≤ tu < 50 t
with 6 axles or more: 50 t ≤ tu < 60 t

without stanchions (b)

with 4 axles: 15 m ≤ lu < 18 m;
with 6 axles or more: 18 m ≤ lu < 22 m

a

aa

aaa

b

c

d

e

f

ff

fff

g

gg

h

hh

i

ii

j

k

kk

l

m

mm

with 4 axles: lu < 15 m
with 6 axles or more: lu < 18 m

mmm

with 4 axles: lu ≥ 22 m (a)

n

p

with 4 axles: tu > 60 t
with 6 axles or more: tu > 75 t

without sides (b)

(a) Only applicable to wagons with gauge of 1 520 mm.
(b) The inscription of the index letters ‘l’ or ‘p’ is optional for wagons bearing the index letters ‘b’, ‘c’, ‘d’, ‘e’, ‘g’, ‘gg’, ‘h’, ‘hh’, ‘i’ or ‘ii’. But

numerical codes must always correspond to letter markings on wagons.

(c) Wagons which in addition to the transport of containers and swap bodies are used to transport vehicles shall be marked with the index

letters ‘g’ or ‘gg’ and the letter ‘d’

(d) Wagons used solely for the transport of containers or for transport of swap bodies for grab handling and spreader gripping.
(e) Wagons used solely for the transport of steel coils.
(f) Only applicable to wagons with gauge of 1 435 mm.

18.12.2006

EN

Official Journal of the European Union

L 359/139

Reference wagon

Index letters

CATEGORY LETTER: T — WAGON WITH OPENING ROOF

with 2 axles: 9 m ≤ lu < 12 m; 25 t ≤ tu ≤ 30 t
with 4 axles: 15 m ≤ lu < 18 m; 50 t ≤ tu ≤ 60 t
with 6 axles or more: 15 m ≤ lu < 18 m; 60 t ≤ tu ≤ 75 t

a

aa

b

c

d

with 4 axles

with 6 axles or more

high capacity: with 2 axles: lu ≥ 12 m
with 4 axles or more: lu ≥ 18 m (a) (b)

with end doors

with controlled gravity unloading, on both sides, alternately, at the top (a) (b) (c)

dd

with controlled gravity unloading, on both sides, alternately, at the bottom (a) (b) (c)

e

f

ff

with unobstructed height of the doors > 1,90 m (a) (b) (c)

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

fff

suitable for traffic with Great Britain (by train-ferry exclusively)

g

h

for grain

fitted out for the transport of steel coils, eye to side

hh

fitted out for the transport of steel coils, eye to sky

i

j

k

kk

l

ll

m

with opening walls (a)

with shock-absorbing device

with 2 axles: tu < 20 t
with 4 axles: tu < 40 t
with 6 axles or more: tu < 50 t

with 2 axles: 20 t ≤ tu < 25
with 4 axles: 40 t ≤ tu < 50 t
with 6 axles or more: 50 t ≤ tu < 60 t

with bulk gravity unloading, on both sides, simultaneously, at the top (a) (b) (c)

with bulk gravity unloading, on both sides, simultaneously, at the bottom (a) (b) (c)

with 2 axles: lu < 9 m
with 4 axles or more: lu < 15 m (b)

L 359/140

EN

Official Journal of the European Union

18.12.2006

Reference wagon

with 2 axles: 9 m ≤ lu < 12 m; 25 t ≤ tu ≤ 30 t
with 4 axles: 15 m ≤ lu < 18 m; 50 t ≤ tu ≤ 60 t
with 6 axles or more: 15 m ≤ lu < 18 m; 60 t ≤ tu ≤ 75 t

with 2 axles: tu > 30 t
with 4 axles: tu > 60 t
with 6 axles or more: tu > 75 t

with axial bulk gravity unloading, at the top (a) (b) (c)

n

o

oo

with axial bulk gravity unloading, at the bottom (a) (b) (c)

p

with axial controlled gravity unloading, at the top (a) (b) (c)

pp

with axial controlled gravity unloading, at the bottom (a) (b) (c)

(a)

Index letter ‘e’:
— is optional on wagons bearing the index letter ‘b’ (but numerical codes must always correspond to letter markings on wagons),
— shall not be marked on wagons bearing the index letters ‘d’, ‘dd’, ‘i’, ‘l’, ‘ll’, ‘o’, ‘oo’, ‘p’ ou ‘pp’
Index letter ‘b’ and ‘m’ shall not be marked on wagons bearing the index letters ‘d’, ‘dd’, ‘l’, ‘ll’, ‘o’, ‘oo’, ‘p’ or ‘pp’

(b)
(c) Wagons with gravity unloading in category T are wagons fitted with an opening roof giving access to a loading hatch over the complete

length of the body; these wagons do not have a flat floor and are not designed for end or side tipping.

The method of unloading these wagons is defined by a combination of the following characteristics:
Arrangement of the unloading apertures:
— axial:
— bilateral:

Apertures situated above the centre of the track
Apertures on either side of the track, outside the rails (For these wagons, unloading is:
— simultaneous, if complete emptying of the wagon requires the apertures to be open on both sides,
— alternate, if complete emptying of the wagon can take place by opening the apertures on one side only)
The lower edge of the discharge through (without taking into account mobile devices which may extend this through) is
situated at least 0,700 m above the rail, and allows for the use of a conveyor belt to take away the goods
The position of the lower edge of the discharge through does not allow for the use of a conveyor belt to take away the
goods

Once the apertures are open for unloading, they cannot be closed again until the wagon is empty
At any time during unloading, the flow of the goods can be regulated or even stopped

— top:

— bottom:

Rate of unloading:
— bulk:
— controlled:

18.12.2006

EN

Official Journal of the European Union

L 359/141

CATEGORY LETTER: U — SPECIAL WAGONS

other than those in categories F, H, L, S ou Z
with 2 axles: 25 t ≤ tu ≤ 30 t
with 3 axles: 25 t ≤ tu ≤ 40 t
with 4 axles: 50 t ≤ tu ≤ 60t
with 6 axles or more: 60 t ≤ tu ≤ 75 t

with 4 axles

with 6 axles or more

with unloading under pressure

with controlled gravity unloading, on both sides, alternately, at the top (a)

Reference wagon

Index letters

a

aa

c

d

dd

with controlled gravity unloading, on both sides, alternately, at the bottom (a)

f

ff

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

fff

suitable for traffic with Great Britain (by train-ferry exclusively)

g

i

k

kk

l

ll

n

o

for grain

fitted out for he transport objects which should exceed the gauge if they were loaded
on ordinary wagons (b) (c)

with 2 or 3 axles: tu < 20 t
with 4 axles: tu < 40 t
with 6 axles or more: tu < 50 t

with 2 or 3 axles: 20 t ≤ tu < 25 t
with 4 axles: 40 t ≤ tu < 50 t
with 6 axles or more: 50 t ≤ tu < 60 t

with bulk gravity unloading, on both sides, simultaneously, at the top (a)

with bulk gravity unloading, on both sides, simultaneously, at the bottom (a)

with 2 axles: tu > 30 t
with 3 axles: tu > 40 t
with 4 axles: tu > 60 t
with 6 axles or more: tu > 75 t (c)

with axial bulk gravity unloading, at the top (a)

oo

with axial bulk gravity unloading, at the bottom (a)

p

with axial bulk gravity unloading, at the top (a)

L 359/142

EN

Official Journal of the European Union

18.12.2006

Reference wagon

other than those in categories F, H, L, S ou Z
with 2 axles: 25 t ≤ tu ≤ 30 t
with 3 axles: 25 t ≤ tu ≤ 40 t
with 4 axles: 50 t ≤ tu ≤ 60t
with 6 axles or more: 60 t ≤ tu ≤ 75 t

pp

with axial bulk gravity unloading, at the bottom (a)

(b)

(a) Wagons with gravity unloading in category U are closed wagons which can only be loaded through one or more loading apertures
situated in at the top part of the body, and whose total opening dimensions are less than the length of the body; these wagons do not
have a flat floor and are not designed for end or side tipping.
In particular:
— well wagons
— wagons with a central recess
— wagons with an ordinary sloping diagonal permanent control desk
Index letter ‘n’ shall not be marked on wagons bearing the index letter ‘i’

(c)
The method of unloading these wagons is defined by a combination of the following characteristics:
Arrangement of the unloading apertures:
— axial:
— bilateral:

Apertures situated above the centre of the track
Apertures on either side of the track, outside the rails
(For these wagons, unloading is:
— simultaneous, if complete emptying of the wagon requires the apertures to be open on both sides,
— alternate, if complete emptying of the wagon can take place by opening the apertures on one side only)
The lower edge of the discharge through (without taking into account mobile devices which may extend this through) is
situated at least 0,700 m above the rail, and allows for the use of a conveyor belt to take away the goods
The position of the lower edge of the discharge through does not allow for the use of a conveyor belt to take away the
goods

Once the apertures are open for unloading, they cannot be closed again until the wagon is empty
At any time during unloading, the flow of the goods can be regulated or even stopped

— top:

— bottom:

Rate of unloading:
— bulk:
— controlled:

18.12.2006

EN

Official Journal of the European Union

L 359/143

Reference wagon

Index letters

CATEGORY LETTER: Z — TANK WAGON

with metal shell,
for the transport of liquids or gases
with 2 axles: 25 t ≤ lu ≤ 30 t
with 3 axles: 25 t ≤ tu ≤ 40 t
with 4 axles: 50 t ≤ tu ≤ 60 t
with 6 axles or more: 60 t ≤ tu ≤ 75 t

a
aa
b
c
d
e
f
ff
fff
g
i
j

k

kk

n

p

with 4 axles
with 6 axles or more
for oil products (a)
with unloading under pressure (b)
for food and chemical products (a)
fitted with heating devices
suitable for traffic with Great Britain
suitable for traffic with Great Britain (by tunnel exclusively)
suitable for traffic with Great Britain (by train-ferry exclusively)
for the transport of gases under pressure, liquefied or dissolved under pressure (b)
tank of non-metallic material
with shock-absorbing device
with 2 or 3 axles: tu < 20 t
with 4 axles: tu < 40 t
with 6 axles or more: tu < 50 t
with 2 or 3 axles: 20 t ≤ tu < 25 t
with 4 axles: 40 t ≤ tu < 50 t
with 6 axles or more: 50 t ≤ tu < 60 t
with 2 axles: tu > 30 t
with 3 axles: tu > 40 t
with 4 axles tu > 60 t
with 6 axles or more: tu > 75 t
with station for brakeman (a)

(a) Only applicable to wagons with gauge of 1 520 mm.
(b) The index letter ‘c’ shall not be marked on wagons bearing the index letter ‘g’.

LETTER MARKING FOR WAGONS FOR ARTICULATED AND MULTIPLE WAGONS

DEFINITION OF THE CATEGORY AND INDEX LETTERS

1.

Important notes

In the attached tables, the information given in meters refers to the inside length of the wagons (lu).

2.

Index letters with an international value common to all categories

q
qq
s
ss

pipe for electric heating which can be supplied by all accepted currents
pipe and installation for electric heating which can be supplied by all accepted currents
wagons authorised to run under ‘s’ conditions (see annex B of rolling stock STI)
wagons authorised to run under ‘ss’ conditions (see annex B of rolling stock STI)

3.

Index letters with a national value

t, u, v, w, x, y, z

The value of these letters is defined by each Member State.

L 359/144

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Official Journal of the European Union

18.12.2006

Reference wagon

Index letters

CATEGORY LETTER: F — OPEN HIGH-SIDED WAGON

Articulated or multiple wagon
with axles, with 2 units
22 m ≤ lu < 27 m

with bogies

with controlled gravity unloading, on both sides, alternately, at the top (a)

with controlled gravity unloading, on both sides, alternately, at the bottom (a)

with 3 units

with 4 units or more

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

with bulk gravity unloading, on both sides, simultaneously, at the top (a)

with bulk gravity unloading, on both sides, simultaneously, at the bottom (a)

with 2 units: lu ≥ 27 m

a

c

cc

e

ee

f

ff

fff

l

ll

m

mm

with 2 units: lu < 22 m

o

oo

p

pp

r

rr

with axial bulk gravity unloading, at the top (a)

with axial bulk gravity unloading, at the bottom (a)

with axial controlled gravity unloading, at the top (a)

with axial controlled gravity unloading, at the bottom (a)

articulated wagon

multiple wagon

(a) Wagons with gravity unloading in category F are open wagons, which do not have a flat floor and are not designed for end or side

tipping.

The method of unloading these wagons is defined by a combination of the following characteristics:
Arrangement of the unloading apertures:
— axial:
— bilateral:

Apertures situated above the centre of the track
Apertures on either side of the track, outside the rails
(For these wagons, unloading is:
— simultaneous, if complete emptying of the wagon requires the apertures to be open on both sides,
— alternate, if complete emptying of the wagon can take place by opening the apertures on one side only)
The lower edge of the discharge through (without taking into account mobile devices which may extend this through) is
situated at least 0,700 m above the rail, and allows for the use of a conveyor belt to take away the goods
The position of the lower edge of the discharge through does not allow for the use of a conveyor belt to take away the
goods

Once the apertures are open for unloading, they cannot be closed again until the wagon is empty
At any time during unloading, the flow of the goods can be regulated or even stopped

— top:

— bottom:

Rate of unloading:
— bulk:
— controlled:

18.12.2006

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Official Journal of the European Union

L 359/145

Reference wagon

Index letters

CATEGORY LETTER: H — COVERED WAGON

articulated or multiple wagon
with axles, with 2 units
22 m ≤ lu < 27 m

with bogies

with end doors

with end doors and fitted internally for the transport of motor cars

with floor traps

with 3 units

with 4 units or more

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

for grain

for fruits and vegetables (a)

with opening or shunt walls

with very robust opening or shunt walls (b)

with movable partitions (c)

with lockable movable partitions (c)

a

c

cc

d

e

ee

f

ff

fff

g

h

i

ii

l

ll

m

mm

r

rr

with 2 units: lu ≥ 27 m

with 2 units: lu < 22 m

articulated wagon

multiple wagon

The concept ‘for fruits and vegetables’ applies only to wagons provided with additional ventilation apertures at the floor level.

(a)
(b) Only applicable to wagons with gauge of 1 435 mm.
(c) Movable partitions may be dismounted temporarily.

L 359/146

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CATEGORY LETTER: I — TEMPERATURE CONTROLLED WAGON

Reference wagon

Index letters

refrigerator wagon
with class IN thermal insulation,
with motor-driven ventilation, with gratings and ice bunker ≥ 3,5 m3
articulated or multiple wagon
with axles, with 2 units
22 m ≤ lu < 27 m

with bogies

with meat hooks

for fish

with electric ventilation

with 4 units or more

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

with mechanical refrigeration (a)

refrigerator with liquefied gas (a)

with class IR thermal insulation

mechanically refrigerated by the machinery of an accompanying technical wagon (a)
(b)

accompanying technical wagon (a) (b)

insulated without ice bunkers (a) (c)

with 2 units: lu ≥ 27 m

with 2 units: lu < 22 m

with ice bunkers of capacity less than 3,5 m3 (c)

with 3 units

without gratings

articulated wagon

multiple wagon

a

c

d

e

ee

f

ff

fff

g

gg

h

i

ii

l

m

mm

o

oo

p

r

rr

The index letter ‘l’ shall not be marked on wagons bearing the index letters ‘g’, ‘gg’, ‘i’ or ‘ii’.

(a)
(b) The concept of ‘accompanying technical wagon’ applies at the same time to factory wagons, workshop wagons (both with or without

sleeping accommodation) and dormitory wagons.
The index letter ‘o’ shall not be marked on wagons bearing the index letter ‘l’.

(c)

18.12.2006

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Official Journal of the European Union

L 359/147

CATEGORY LETTER: L — FLAT WAGON WITH SEPARATE AXLES

Reference wagon

Index letters

articulated or multiple wagon
with 2 units
22 m ≤ lu < 27 m

articulated wagon

multiple wagon

with special fittings for securing purposes for medium-sized containers (pa) (a)

with swivelling bolster (a)

fitted out for the transport of motor cars, without deck (a)

with decks for the transport of motor cars (a)

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

fitted for the transport of containers (a) (b)

fitted out for the transport of steel coils, eye to side (a) (c)

fitted out for the transport of steel coils, eye to sky (a) (c)

with removable cover and non-removable ends (a)

with very robust removable metallic cover (d) and non-removable ends (a)

with shock-absorbing device

without stanchions (a)

with 2 units: 18 m ≤ lu < 22 m

with 2 units: lu < 18 m

with 3 units

with 4 units or more

without sides (a)

with 2 units: lu ≥ 27 m

a

aa

b

c

d

e

f

ff

fff

g

h

hh

i

ii

j

l

m

mm

o

oo

p

r

(a)

The inscription of the index letters ‘l’ or ‘p’ is optional for wagons bearing the index letters ‘b’, ‘c’, ‘d’, ‘e’, ‘g’, ‘h’, ‘hh’, ‘i’ or ‘ii’. But numerical
codes must always correspond to letter markings on wagons.

(b) Wagons used solely for the transport of containers (except pa).
(c) Wagons used solely for the transport of steel coils.
(d) Only applicable to wagons with gauge of 1 435 mm.

L 359/148

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Official Journal of the European Union

18.12.2006

CATEGORY LETTER: S — FLAT BOGIE WAGON

articulated or multiple wagon
with 2 units
22 m ≤ lu < 27 m

with special fittings for securing purposes for medium-sized containers (pa) (a)

with swivelling bolster (a)

fitted out for the transport of motor cars, without deck (a) (b)

with decks for the transport of motor cars (a)

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

fitted for the transport of containers, total loading length ≤ 60’ (except pa) (a) (b) (c)

fitted for the transport of containers, total loading length > 60’ (except pa) (a) (b) (c)

fitted out for the transport of steel coils, eye to side (a) (d)

fitted out for the transport of steel coils, eye to sky (a) (d)

with removable cover and non-removable ends (a)

with very robust removable metallic cover (e) and non-removable ends (a)

with shock-absorbing device

without stanchions (a)

with 2 units: lu ≥ 27 m

with 2 units: lu < 22 m

with 3 units

with 4 units or more

without sides (a)

articulated wagon

multiple wagon

Reference wagon

Index letters

b

c

d

e

f

ff

fff

g

gg

h

hh

i

ii

j

l

m

mm

o

oo

p

r

rr

(a)

The inscription of the index letters ‘l’ or ‘p’ is optional for wagons bearing the index letters ‘b’, ‘c’, ‘d’, ‘e’, ‘g’, ‘gg’, ‘h’, ‘hh’, ‘i’ or ‘ii’. But
numerical codes must always correspond to letter markings on wagons.

(b) Wagons which in addition to the transport of containers and swap bodies are used to transport vehicles shall be marked with the index

letters ‘g’ or ‘gg’ and the letter ‘d’.

(c) Wagons used solely for the transport of containers or for transport of swap bodies for grab handling and spreader gripping.
(d) Wagons used solely for the transport of steel coils.
(e) Only applicable to wagons with gauge of 1 435 mm.

18.12.2006

EN

Official Journal of the European Union

L 359/149

Reference wagon

Index letters

CATEGORY LETTER: T — WAGON WITH OPENING ROOF

articulated or multiple wagon
with axles, with 2 units
22 m ≤ lu < 27 m

with bogies

with unobstructed height of doors > 1,90 m (a)

with end doors

with controlled gravity unloading, on both sides, alternately, at the top (b)

with controlled gravity unloading, on both sides, alternately, at the bottom (a) (b)

with 3 units

with 4 units or more

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

for grain

fitted out for the transport of steel coils, eye to side

fitted out for the transport of steel coils, eye to sky

with opening walls (a)

with shock-absorbing device

with bulk gravity unloading, on both sides, simultaneously, at the top (a) (b)

with bulk gravity unloading, on both sides, simultaneously, at the bottom (a) (b)

with 2 units: lu ≥ 27 m

a

b

c

d

dd

e

ee

f

ff

fff

g

h

hh

i

j

l

ll

m

mm

with 2 units: lu < 22 m

o

oo

p

pp

r

rr

with axial bulk gravity unloading, at the top (a) (b)

with axial bulk gravity unloading, at the bottom (a) (b)

with axial controlled gravity unloading, at the top (a) (b)

with axial controlled gravity unloading, at the bottom (a) (b)

articulated wagon

multiple wagon

Index letter ‘b’ shall not be marked on wagons bearing the index letters ‘d’, ‘dd’, ‘i’, ‘l’, ‘ll’, ‘o’, ‘oo’, ‘p’ or ‘pp’.

(a)
(b) Wagons with gravity unloading in category T are wagons fitted with an opening roof giving access to a loading hatch over the complete

length of the body; these wagons do not have a flat floor and are not designed for end or side tipping.

The method of unloading these wagons is defined by a combination of the following characteristics:
Arrangement of the unloading apertures:
— axial:
— bilateral:

Apertures situated above the centre of the track
Apertures on either side of the track, outside the rails
(For these wagons, unloading is:
— simultaneous, if complete emptying of the wagon requires the apertures to be open on both sides,
— alternate, if complete emptying of the wagon can take place by opening the apertures on one side only)
The lower edge of the discharge through (without taking into account mobile devices which may extend this through) is
situated at least 0,700 m above the rail, and allows for the use of a conveyor belt to take away the goods
The position of the lower edge of the discharge through does not allow for the use of a conveyor belt to take away the
goods

Once the apertures are open for unloading, they cannot be closed again until the wagon is empty
At any time during unloading, the flow of the goods can be regulated or even stopped

— top:

— bottom:

Rate of unloading:
— bulk:
— controlled:

L 359/150

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Official Journal of the European Union

18.12.2006

Reference wagon

Index letters

CATEGORY LETTER: U — SPECIAL WAGONS

articulated or multiple wagon,
with axles, with 2 units
22 m ≤ lu < 27 m

with bogies

with 3 units

with 4 units or more

with unloading under pressure

with controlled gravity unloading, on both sides, alternately, at the top (a)

with controlled gravity unloading, on both sides, alternately, at the bottom (a)

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

for grain

fitted out for he transport objects which should exceed the gauge if they were loaded
on ordinary wagons (b)

with bulk gravity unloading, on both sides, simultaneously, at the top (a)

with bulk gravity unloading, on both sides, simultaneously, at the bottom (a)

with 2 units: lu ≥ 27 m

a

e

ee

c

d

dd

f

ff

fff

g

i

l

ll

m

mm

with 2 units: lu < 22 m

o

oo

p

pp

r

rr

with axial bulk gravity unloading, at the top (a)

with axial bulk gravity unloading, at the bottom (a) (b)

with axial controlled gravity unloading, at the top (a)

with axial controlled gravity unloading, at the bottom (a)

articulated wagon

multiple wagon

(a) Wagons with gravity unloading in category U are closed wagons which can only be loaded through one or more loading apertures
situated in at the top part of the body, and whose total opening dimensions are less than the length of the body; these wagons do not
have a flat floor and are not designed for end or side tipping.
In particular:
— well wagons
— wagons with a central recess
— wagons with an ordinary sloping diagonal permanent control desk

(b)

The method of unloading these wagons is defined by a combination of the following characteristics:
Arrangement of the unloading apertures:
— axial:
— bilateral:

Apertures situated above the centre of the track
Apertures on either side of the track, outside the rails. (For these wagons, unloading is:
— simultaneous, if complete emptying of the wagon requires the apertures to be open on both sides,
— alternate, if complete emptying of the wagon can take place by opening the apertures on one side only)
The lower edge of the discharge through (without taking into account mobile devices which may extend this through) is
situated at least 0,700 m above the rail, and allows for the use of a conveyor belt to take away the goods
The position of the lower edge of the discharge through does not allow for the use of a conveyor belt to take away the
goods

Once the apertures are open for unloading, they cannot be closed again until the wagon is empty
At any time during unloading, the flow of the goods can be regulated or even stopped

— top:

— bottom:

Rate of unloading:
— bulk:
— controlled:

18.12.2006

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Official Journal of the European Union

L 359/151

CATEGORY LETTER: Z — TANK WAGON

with metal shell,
for the transport of liquids or gases
articulated or multiple wagon
with axles, with 2 units
22 m ≤ lu < 27 m

with bogies

with unloading under pressure (a)

fitted with heating devices

suitable for traffic with Great Britain

suitable for traffic with Great Britain (by tunnel exclusively)

suitable for traffic with Great Britain (by train-ferry exclusively)

for the transport of gases under pressure, liquefied or dissolved under pressure (a)

tank of non-metallic material

with shock-absorbing device

with 2 units: lu ≥ 27 m

with 2 units: lu < 22 m

with 3 units

with 4 units or more

articulated wagon

multiple wagon

Reference wagon

Index letters

a

c

e

f

ff

fff

g

i

j

m

mm

o

oo

r

rr

(a)

The index letter ‘c’ shall not be marked on wagons bearing the index letter ‘g’.

L 359/152

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Official Journal of the European Union

18.12.2006

ANNEX P.13

LETTER MARKING FOR HAULED PASSENGER STOCK

Serial letters with an international value:

A

B

AB

WL

WR

R

D

DD

Post

AS
SR
WG

WSP

Le

Leq

Laeq

1st class coach with seats

2nd class coach with seats

1st/2nd class coach with seats

Sleeping-car with serial letter A, B or AB depending on the type of accommodation offered. The serial letters
for sleeping-car with ‘special’ compartments are supplemented with index-letter ‘S’

Dining-car

Coach with dining-car, buffet or bar compartment (serial-letter used in addition)

Van

Open, 2-tier car-carrier van

Mail van

Bar coach with dancing facilities

Pullman coach

Open 2-axle 2-tier car-carrier wagon

Open 2-axle 2-tier car-carrier wagon fitted with train supply cable

Open 3-axle 2-tier car-carrier wagon fitted with train supply cable

Index letters with an international value:

b
h

c

d
v

ee
z

f

p
t

m

s

Coach fitted out to carry disabled passengers

Compartments convertible into couchette accomodation

Vehicle fitted to receive bicycles

Vehicle fitted with central power supply

Vehicle fitted with driver's cab (driving trailer)

Centre-aisle coach with seats

Vehicle over 24,5 m in length

Centre-aisle in vans and coaches with luggage compartment

The number of compartments is shown in the form of an index (for example: Bc9)

Serial letters and index letters with a national value

The others serial letters and index letters have a national value, defined by each Member State.

18.12.2006

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Official Journal of the European Union

L 359/153

ANNEX P.14

Letter marking for special vehicles

This marking is indicated in document EN 14033-1 ‘Railway applications — Track — Technical requirements for railbound
construction and maintenance machines — Part 1: Running of railbound machines’.

ANNEX Q

NOT USED

ANNEX R

TRAIN IDENTIFICATION

This aspect is still an open point and will be specified in a future version of this TSI.

A CWA is being developed in this area. Once it has been introduced, its suitability as a means by which application of this
CWA will assume compliance with requirements of this TSI, will be assessed by the ERA and the EC.

Such a detailed specification must mainly cover the four principles (Regulation and routing, type of train, safety-related
communication, performance monitoring), all types of train and the responsibility for the allocation of these numbers. This
specification should take account of existing standards (such as UIC Fiche 419-1 and 419-2 OR) already in use and the
development of ERTMS/ETCS. An expert drafting group must be established to take this forward.

Until this CWA has been developed, , Railway Undertakings and Infrastructure Managers must liaise to jointly establish
bilateral or multilateral agreements, taking into account of existing standards (such as UIC Fiche 419-1 and 419-2 OR)
already in use and the development of ERTMS/GSM-R and of ERTMS/ETCS, to facilitate the unhindered passage of trains
from one Infrastructure Manager's operating area to another.

See also Annex U

L 359/154

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Official Journal of the European Union

18.12.2006

ANNEX S:

TRAIN VISIBILITY — REAR END

This aspect is still an open point and will be specified in a future version of this TSI.

A detailed specification must be defined that takes into account why a rear end indication is required, what philosophy
underpins this requirement across the TEN and how best this can be harmonised safely and in a cost-effective manner.

The specification and associated conformity assessment process for a solution of a portable nature will be published in this
TSI as an Interoperability Constituent.

Until the detailed specification can be developed and introduced, Railway Undertaking(s) and Infrastructure Manager(s) must
liaise to jointly establish bilateral or multilateral agreements to facilitate the unhindered passage of trains from one
Infrastructure Manager's operating area to another.

See also Annex U

ANNEX T

BRAKE PERFORMANCE

This aspect is still an open point and will be specified in a future version of this TSI.

A detailed specification must be defined which will set out the formula for the calculation of brake performance. This
specification shall be valid across the TEN and shall take into account how best such a formula can be established to permit
the working of brakes to be harmonised safely and in a cost-effective manner. An expert, multi-disciplined drafting group
has been established to take this forward.

Until the detailed specifications can be developed and introduced, it is recommended that Railway Undertaking(s) and
Infrastructure Manager(s) liaise to jointly establish bilateral or multilateral agreements to facilitate the unhindered passage of
trains from one Infrastructure Manager's operating area to another.

See also Annex U

18.12.2006

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Official Journal of the European Union

L 359/155

ANNEX U

LIST OF OPEN POINTS

ANNEX A2 (see Subsection 4.4 of this TSI)
Operating rules in respect to GSM-R

ANNEX B (see Subsection 4.4 of this TSI)
Other rules enabling a coherent operation of the new different structural subsystems

ANNEX R (see Subsection 4.2.3.2 of this TSI)
Identification of trains

ANNEX S (see Subsection 4.2.2.1.3 of this TSI)
Train Visibility — Rear End

ANNEX T (see Subsection 4.2.2.6.2 of this TSI)
Brake Performance

Section 4.2.2.
Train Composition Document

L 359/156

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Official Journal of the European Union

18.12.2006

PREPARATION AND UPDATING RULES DOCUMENTATION FOR DRIVERS

ANNEX V

In conjunction with Subsections 4.2 and 4.6 of this TSI, the diagram below is a pictorial representation of the process
outlined in this TSI for the preparation and updating of rules documentation required by this TSI.

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Official Journal of the European Union

L 359/157

GLOSSARY

Term

Definition

Accident

As defined in Article 3 of Directive 2004/49/EC.

Authorising the movement of
trains

The operation of equipment in signalling centres, electric traction current supply
control rooms and traffic control centres that permits train movement. This does not
include those staff employed by a Railway Undertaking who are responsible for
management of resources such as train crew or rolling stock.

Competence

The qualification and experience necessary to safely and reliably undertake the task
being performed. Experience can be gained as part of the training process.

Dangerous goods

As defined by Article 2 of Directive 96/49

Degraded operation

Operation resulting from an unplanned event that prevents the normal delivery of
train services.

Despatch

Driver

Exceptional loads

See Train despatch

A person qualified and authorised to drive trains.

A load carried on a rail vehicle, for example a container, swap body or other traffic
where the rail vehicle size and/or axle loading requires special authority for the
movement and/or the application of special conditions of travel for all or part of the
journey.

Health and Safety Conditions

In the context of this TSI, this refers only to the medical and psychological
qualifications required to operate the relevant elements of the subsystem.

Hot axle box

An axle box and bearing that has exceeded its maximum designed operating
temperature.

Incident

As defined in Article 3 of Directive 2004/49/EC.

Livret de Formulaires

Member State

Operating Language

A book of forms that describes the sequence of action to be taken by the
Infrastructure Manager's staff and the Railway Undertaking's staff when moving
trains in degraded situations. Each separate activity requires a separate form. The
Livret de Formulaires is prepared in the languages of both the Infrastructure Manager
and the Railway Undertaking and the relevant Infrastructure Manager's and Railway
Undertaking's staff holds copies.

When used in connection with this TSI it refers to the Member State which issues the
safety authorisation/certificate as set out in Articles 10 and 11 of Directive 2004/49/
EC.

The language or languages used in daily operation an Infrastructure Manager and
published in his Network Statement, for the communication of operational or safety
related messages between the staff of the Infrastructure Manager and the Railway
Undertaking.

Passenger

Person (other than an employee with specific duties on the train) travelling by train
or on railway property before or after a train journey.

Performance monitoring

The systematic observation and recording of the performance of the train service and
the infrastructure for the purpose of bringing about improvements in the
performance of both.

Qualification

Real time

The physical and psychological suitability for the task together with the required
knowledge.

The ability to exchange or process information on specified events (such as arrival at
a station, passing a station or departure from a station) on the trains journey as they
occur.

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Official Journal of the European Union

18.12.2006

Term

Reporting point

Route

Route knowledge

Definition

A point on the trains schedule where reporting of the arrival, departure or passing
time is required.

The particular section or sections of line

The knowledge of the section(s) of line over which on board staff operate, based on
information provided by the Infrastructure Manager, to enable them to operate the
train safely. Essential elements of this knowledge must be learned in detail and
remembered by the staff concerned. Other elements may be held in documentation,
which those staff can rapidly access based on an assessment of the route by the
Railway Undertaking or by the requirements of the National Safety Authority.

Safety critical work

Work performed by staff when they control or affect the movement of a vehicle,
which could affect the health, and safety of persons.

Staff

Stopping point

Timetable

Timing point

Traction unit

Train

Train despatch

Train crew

Employees working for a Railway Undertaking or an Infrastructure Manager, or their
contractors, undertaking tasks as specified in this TSI.

A location identified in the schedule of a train where the train is planned to stop,
usually to carry out a specific activity such as allowing passengers to join and leave
the train.

Document or system that gives details of a train(s) schedule over a particular route.

A location identified in the schedule of a train where a specific time is identified. This
time may be an arrival time, departure time or in the case of a train not scheduled to
stop at that location the passing time.

A powered vehicle able to move itself and other vehicles to which it may be coupled.

A train is defined as (a) traction unit(s) with or without coupled railway vehicles, or a
self-propelled set of vehicles, with train data available operating between two or more
defined points on the TENs.

The indication to the person driving the train that all station or depot activities are
completed and that, as far as the staff responsible are concerned, movement
authority has been granted for the train.

Members of the on-board staff of a train, who are certified as competent and
appointed by a Railway Undertaking to carry out specific, designated safety related
tasks on the train, for example the driver or the guard.

Train identification

The means to unambiguously identify a particular train.

Train preparation

Ensuring that a train is in a fit condition to enter service, that the train equipment is
correctly deployed and the formation of the train matches the train's designated
pathway. Train preparation also includes technical inspections carried out prior to
the train entering service.

Vehicle

Any single item of rolling stock, for example a locomotive, carriage or wagon.

Vehicle identification

A number applied to a vehicle to uniquely identify it from any other vehicles

18.12.2006

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Official Journal of the European Union

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Abbreviation

Explanation

AC

CCS

CEN

COTIF

CR

DB

DC

DMI

EC

ECG

Alternating current

Command Control Signalling

European Committee for Standardisation (Comite Européen de Normalisation)

Convention Concerning International Carriage by Rail (COnvention relative aux Transports
Internationaux Ferroviaires)

Conventional Rail

Decibels

Direct Current

Driver Machine Interface

European Community

Electro Cardiogram

EIRENE

European Integrated Railway Radio Enhanced Network

EN

ENE

ERA

ERTMS

ETCS

EU

FRS

GSM-R

HABD

Hz

IM

INS

OPE

OSJD

PPW

RIC

RIV

RST

RU

SMS

SPAD

SRS

Euro-norm

Energy

European Rail Agency

European Rail Traffic Management System

European Train Control System

European Union

Functional Requirement Specification

Global System for Mobile Communications — Rail

Hot Axle Box Detector

Hertz

Infrastructure Manager

Infrastructure

Traffic Operation and Management

Organisation for Co-operation of Railways

Russian abbreviation for Prawila Polzowaniia Wagonami w mejdunarodnom soobqenii = Rules
for use of railway vehicles in international traffic

Regulations governing the reciprocal use of carriages and brake vans in international traffic
(Règlement pour I'emploi réciproque des Voitures et des Fourgons en Trafic international)

Regulations governing the reciprocal use of wagons in international traffic. (Règlement pour
I'emploi réciproque des Wagons en Trafic international)

Rolling Stock

Railway Undertaking

Safety Management System

Signal Passed at Danger

System Requirement Specification

L 359/160

EN

Official Journal of the European Union

18.12.2006

Abbreviation

Explanation

TAF

TEN

TSI

UIC

UV

VKM

Telematic Applications for Freight

Trans-European Network

Technical Specification for Interoperability

International Union of Railways (Union Internationale des Chemins de fer)

Ultra violet

Vehicle Keeper Marking