HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"EN
15.12.2012 Official
Journal
of
the
European
Union
L
345/1
II
(Non-legislative acts)
DECISIONS
COMMISSION DECISION
of 14 November 2012
concerning the technical specification for interoperability relating to the ‘operation and traffic
management’ subsystem of the rail system in the European Union and amending Decision
2007/756/EC
(notified under document C(2012) 8075)
(Text with EEA relevance)
(2012/757/EU)
THE EUROPEAN COMMISSION,
These TSIs were adopted respectively by Commission
Decision 2008/231/EC ( 3 ), and Commission Decision
2011/314/EU ( 4 ).
Having regard to the Treaty on the Functioning of the European
Union,
(3) On
5
September
2011,
the
Agency
issued
a
recommen
dation on the merging of the TSI on operation and traffic
Having regard to Directive 2008/57/EC of the European
management for conventional rail and the TSI on
Parliament and of the Council of 17 June 2008 on the inter
operation and traffic management for high-speed rail,
operability of the rail system within the Community (
the extension of the geographical scope of these TSIs

1 ), and in
particular Article 6(1) thereof,
and the transfer of details of the European vehicle
number (EVN) to Commission Decision 2007/756/EC ( 5 ).
Whereas:
(4) Implementation
of
the
TSI
set
out
in
Annex
I,
and
conformity with the relevant points of that TSI, should
be determined in accordance with an implementation
(1) Article 12 of Regulation (EC) No 881/2004 of the
plan that each Member State is required to update for
European Parliament and of the Council of 29 April
the lines for which it is responsible.
2004 establishing a European Railway Agency (Agency
Regulation) ( 2 ) requires the European Railway Agency
(the Agency) to ensure that the technical specifications
for interoperability (TSIs) are adapted to technical
progress, market trends and social requirements and to
(5) Rail
traffic
currently
operates
under
existing
national,
propose to the Commission the amendments to the TSIs
bilateral, multinational or international agreements. It is
which it considers necessary.
important that those agreements do not hinder current
and future progress towards interoperability. Therefore a
procedure of notification of these agreements by Member
States should set up.
(2) By
Decision
C(2010)
2576
of
29
April
2010,
the
Commission gave the Agency a mandate to develop
and review the technical specifications for interoperability
with a view to extending their scope to the whole rail
(6) Railway
vehicles
are
registered
by
the
bodies
that
keep
system in the Union. Under the terms of that mandate,
the national vehicle registers pursuant to Decision
the Agency was asked to merge and extend the scope of
2007/756/EC, based on Article 33 of Directive
the high-speed TSI and the conventional rail TSI relating
2008/57/EC.
to the ‘Traffic Operation and Management’ subsystem.
( 3 ) OJ L 84, 26.3.2008, p. 1.
( 1 ) OJ L 191, 18.7.2008, p. 1.
( 4 ) OJ L 144, 31.5.2011, p. 1.
( 2 ) OJ L 164, 30.4.2004, p. 1.
( 5 ) OJ L 305, 23.11.2007, p. 30.

---

L 345/2
EN
Official Journal of the European Union
15.12.2012
(7) The
format
of
the
European
vehicle
number
and
the (a) national agreements between the Member States and railway
requirement to have it painted on the vehicle are both
undertakings or infrastructure managers, agreed on either a
necessary for identifying the vehicle and should therefore
permanent or a temporary basis and required by the very
remain in the TSI on operation and traffic management.
specific or local nature of the intended transport service;
(8) To
make
it
easier
to
understand
the
national
vehicle
register and the vehicle registration processes, it is appro
(b) bilateral or multilateral agreements between railway under
priate to transfer the details of the technical codes that
takings, infrastructure managers or safety authorities which
are part of the European vehicle number to Decision
deliver significant levels of local or regional interoperability;
2007/756/EC. Decision 2007/756/EC should therefore
be amended accordingly.
(c) international agreements between one or more Member
States and at least one third country, or between railway
(9) Via
the
Committee
established
in
accordance
with
undertakings or infrastructure managers of Member States
Article 29 of Directive 2008/57/EC, the Commission
and at least one railway undertaking or infrastructure
must inform the Member States of changes in the lists
manager of a third country, which deliver significant
of codes published by the Agency.
levels of local or regional interoperability.
(10) Directive
2008/57/EC
defines
the
‘operation
and
traffic
management’ subsystem as functional. Consequently, the
Article 3
TSI on operation and traffic management is not assessed
when authorising a vehicle to be brought into service but
Each Member State, acting in accordance with Chapter 7 of
when assessing the safety management systems of
Annex I to this Decision, shall update the national implemen
railway undertakings and infrastructure managers.
tation plans for the TSI, established in accordance with Article 4
of Decision 2006/920/EC, Article 4 of Decision 2008/231/EC
and Article 5 of Decision 2011/314/EU.
(11) For
the
sake
of
clarity
and
simplicity,
it
is
appropriate
not
to amend the transitional provisions set out in Articles 3,
5 and 7 of Decision 2011/314/EU.
Each Member State shall forward the updated implementation
plan to the other Member States and the Commission by
(12) Decisions
2008/231/EC and
2011/314/EU should
be
31 December 2014 at the latest.
repealed.
Article 4
(13) The
measures provided for in this Decision are in
conformity with the opinion of the Committee estab
Decisions 2008/231/EC and 2011/314/EU are hereby repealed
lished in accordance with Article 29(1) of Directive
with effect from 1 January 2014.
2008/57/EC,
HAS ADOPTED THIS DECISION:
Article 5
Decision 2007/756/EC is hereby amended as follows:
Article 1
1. The
technical
specification
for interoperability
(TSI)
relating to the ‘operation and traffic management’ subsystem
(a) The following Article is inserted after Article 1:
of the rail system in the Union, as set out in Annex I, is
hereby adopted.
‘Article 1a
2. The
TSI
set
out
in
Annex
I
to
this
Decision
shall
apply
to
Appendix 6 of the Annex of this Decision shall apply from
the operation and traffic management subsystem as described in
1 January 2014.’
point 2.5 of Annex II to Directive 2008/57/EC.
Article 2
(b) The Annex is amended in accordance with Annex II to this
Decision.
Member States shall notify the following types of agreement to
the Commission by 30 June 2014 at the latest, provided they
have not already been notified under Commission Decision
Article 6
2006/920/EC ( 1 ), Decision 2008/231/EC or Decision
2011/314/EU:
1. The
Agency
shall
publish
on
its
website
the
lists
of
codes
referred in parts 9, 10, 11, 12 and 13 of Appendix 6 of the
( 1 ) OJ L 359, 18.12.2006, p. 1.
Annex to Decision 2007/756/EC.

---

EN
15.12.2012 Official
Journal
of
the
European
Union
L
345/3
2. The
Agency
shall
keep
the
lists
of
codes
referred
to
in
Article 8
paragraph 1 up to date and shall inform the Commission of any
changes to those codes. The Commission shall inform the
This Decision is addressed to the Member States.
Member States of the evolution of these lists through the
Committee established in accordance with Article 29 of
Directive 2008/57/EC.
Done at Brussels, 14 November 2012.
For the Commission
Article 7
Siim KALLAS
This Decision shall apply from 1 January 2014.
Vice-President

---

L 345/4
EN
Official Journal of the European Union
15.12.2012
ANNEX I
TECHNICAL SPECIFICATION FOR INTEROPERABILITY FOR THE ‘OPERATION AND TRAFFIC
MANAGEMENT’ SUBSYSTEM
TABLE OF CONTENTS
1.
INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
1.1.
Technical scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
1.2.
Geographical scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
1.3.
Content of this TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
2.
DESCRIPTION OF SUBSYSTEM/SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
2.1.
Subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
2.2.
Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9
2.2.1.
Staff and trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.2.2.
Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.2.3.
Applicability to existing vehicles and infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
3.
ESSENTIAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
3.1.
Compliance with the essential requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
3.2.
Essential requirements — overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
4.
CHARACTERISTICS OF THE SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4.1.
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4.2.
Functional and technical specifications of the subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4.2.1.
Specifications relating to staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4.2.1.1.
General requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4.2.1.2.
Documentation for drivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4.2.1.2.1
Driver’s Rule Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
4.2.1.2.2
Description of the line and the relevant line-side equipment associated with the lines worked over 16
4.2.1.2.2.1 Preparation of the Route Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
4.2.1.2.2.2 Modifications to information contained within the Route Book . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
4.2.1.2.2.3 Informing the driver in real time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
4.2.1.2.3
Timetables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
4.2.1.2.4
Rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.2.1.3.
Documentation for railway undertaking staff other than drivers . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.2.1.4.
Documentation for infrastructure manager’s staff authorising train movements . . . . . . . . . . . . . . . . 18

---

EN
15.12.2012 Official
Journal
of
the
European
Union
L
345/5
4.2.1.5. Safety-related
communications
between
train
crew,
other
railway
undertaking
staff
and
staff
auth
orising train movements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.2.2.
Specifications relating to trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.2.2.1.
Train visibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.2.2.1.1.
General requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
4.2.2.1.2.
Front end . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
4.2.2.1.3.
Rear end . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
4.2.2.1.3.1 Passenger trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.1.3.2 Freight trains in international traffic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.1.3.3 Freight trains not crossing a border between Member States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.2.
Train audibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.2.1.
General requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.2.2.
Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.3.
Vehicle identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.4.
Safety of passengers and load . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.4.1
Safety of load . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
4.2.2.4.2
Safety of passengers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.2.2.5.
Train composition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.2.2.6.
Train braking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.2.2.6.1
Minimum requirements of the braking system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.2.2.6.2
Braking performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
4.2.2.7.
Ensuring that the train is in running order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.2.2.7.1
General requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.2.2.7.2
Data required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.2.2.8.
Requirements for lineside signal and marker sighting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.2.2.9.
Driver vigilance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.2.3.
Specifications relating to train operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.2.3.1.
Train planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.2.3.2.
Identification of trains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
4.2.3.2.1
Format of train running number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2.3.3.
Train departure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2.3.3.1
Checks and tests before departure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2.3.3.2
Informing the infrastructure manager of the train’s operational status . . . . . . . . . . . . . . . . . . . . . . 23
4.2.3.4.
Traffic management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2.3.4.1
General requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2.3.4.2
Train reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

---

L 345/6
EN
Official Journal of the European Union
15.12.2012
4.2.3.4.2.1 Data required for train position reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
4.2.3.4.2.2 Predicted hand over time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.2.3.4.3
Dangerous goods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.2.3.4.4
Operational quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.2.3.5.
Data recording . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.2.3.5.1
Recording of supervision data outside the train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
4.2.3.5.2
Recording of supervision data on-board the train . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
4.2.3.6.
Degraded operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
4.2.3.6.1
Advice to other users . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
4.2.3.6.2
Advice to train drivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
4.2.3.6.3
Contingency arrangements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
4.2.3.7.
Managing an emergency situation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
4.2.3.8.
Aid to train crew in the event of an incident or of a major rolling stock malfunction . . . . . . . . . 26
4.3.
Functional and technical specifications of the interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
4.3.1.
Interfaces with the infrastructure TSIs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
4.3.2.
Interfaces with the control-command and signalling TSIs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
4.3.3.
Interfaces with the rolling stock TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
4.3.3.1.
Interfaces with TSI on locomotives and passenger rolling stock TSI . . . . . . . . . . . . . . . . . . . . . . . . 27
4.3.3.2.
Interfaces with TSI on freight wagons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
4.3.3.3.
Interfaces with TSI on high-speed rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
4.3.4.
Interfaces with the Energy TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
4.4.
Operating rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.5.
Maintenance rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.6.
Professional qualifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.6.1.
Professional competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.6.1.1.
Professional knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.6.1.2.
Ability to put this knowledge into practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.6.2.
Linguistic competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.6.2.1.
Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.6.2.2.
Level of knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.6.3.
Initial and ongoing assessment of staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.6.3.1.
Basic elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
4.6.3.2.
Analysis of training needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.6.3.2.1
Development of the analysis of training needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.6.3.2.2
Updating the analysis of training needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

---

EN
15.12.2012 Official
Journal
of
the
European
Union
L
345/7
4.6.3.2.3
Specific elements for train crew and auxiliary staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.6.3.2.3.1 Infrastructure knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.6.3.2.3.2 Knowledge of rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.6.3.2.3.3 Auxiliary staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.
Health and safety conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.1.
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.2.
Deleted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.3.
Deleted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.4.
Medical examinations and psychological assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.4.1.
Before appointment: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.4.1.1
Minimum content of the medical examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.4.1.2
Psychological assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
4.7.4.2.
After appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
4.7.4.2.1
Periodicity of periodic medical examinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
4.7.4.2.2
Minimum content of the periodic medical examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
4.7.4.2.3
Additional medical examinations and/or psychological assessments . . . . . . . . . . . . . . . . . . . . . . . . 35
4.7.5.
Medical requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
4.7.5.1.
General requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
4.7.5.2.
Vision requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
4.7.5.3.
Hearing requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
4.8.
Registers of infrastructure and vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
4.8.1.
Infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
4.8.2.
Rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
5.
INTEROPERABILITY CONSTITUENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
5.1.
Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
5.2.
List of constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
6.
ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITUENTS AND
VERIFICATION OF THE SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
6.1.
Interoperability constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
6.2.
Operation and traffic management subsystem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
6.2.1.
Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
7.
IMPLEMENTATION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
7.1.
Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
7.2.
Implementation guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
7.3.
Specific cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
7.3.1.
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38

---

L 345/8
EN
Official Journal of the European Union
15.12.2012
7.3.2.
List of specific cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
7.3.2.1.
Temporary specific case (T1) Estonia, Latvia and Lithuania . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
7.3.2.2.
Temporary specific case (T2) Ireland and United Kingdom . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Appendix A: ERTMS/ETCS operating rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
Appendix B: Other rules enabling a coherent operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Appendix C: Safety related communications methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Appendix D: Information to which the Railway Undertaking must have access in connection with the route(s) over
which he intends to operate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
Appendix E: Language and communication level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Appendix F: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Appendix G: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Appendix H: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Appendix I: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Appendix J: Minimum elements relevant to professional qualification for the tasks associated with ‘accompanying
trains’ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Appendix K: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Appendix L: Minimum elements relevant to professional qualification for the task of preparing trains . . . . . . . . 58
Appendix M: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Appendix N: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Appendix O: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Appendix P: European Vehicle Number and linked alphabetical marking on the bodywork . . . . . . . . . . . . . . . . 60
Appendix Q: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Appendix R: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Appendix S: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
Appendix T: Braking performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Appendix U: List of open points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Appendix V: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Appendix W: Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65

---

EN
15.12.2012 Official
Journal
of
the
European
Union
L
345/9
1. INTRODUCTION
1.1. Technical
scope
This Technical Specification for Interoperability (hereinafter referred to as ‘TSI’) concerns the ‘operation and
traffic management’ subsystem referred to in the list contained in point 1 of Annex II to Directive
2008/57/EC. Further information on this subsystem is provided in Chapter 2 of this Annex.
Where necessary the TSI distinguishes between requirements for conventional and high-speed rail as defined
in Annex I, chapter 2.1 of Directive 2008/57/EC.
1.2. Geographical
scope
The geographical scope of this TSI is the European rail system in accordance with Article 1 of Directive
2008/57/EC excluding the systems and networks referred to in Article 1(3) of Directive 2008/57/EC.
1.3. Content
of
this
TSI
In accordance with Article 5(3) of Directive 2008/57/EC, this TSI:
(a) indicates its intended scope for the ‘operation and traffic management’ subsystem — Chapter 2;
(b) lays down essential requirements for the subsystem concerned and its interfaces vis-à-vis other subsystems
— Chapter 3;
(c) 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 Directive 2008/57/EC — Chapter 4;
(d) determines the interoperability constituents and interfaces covered by European specifications, including
European standards, which are necessary to achieve interoperability within the European rail system —
Chapter 5;
(e) states, in each case under consideration, which procedures are to be used in order to assess the
conformity or suitability for use of the interoperability constituents — Chapter 6;
(f) 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;
(g) 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 implemen
tation of the TSI — Chapter 4.
Moreover, in accordance with Article 5(5) of Directive 2008/57/EC, 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
points 1.1 and 1.2 of this Annex.
2. DESCRIPTION
OF
SUBSYSTEM/SCOPE
2.1. Subsystem
The ‘operation and traffic management’ subsystem is described in point 2.5 of Annex II to Directive
2008/57/EC as:
‘The procedures and related equipment enabling coherent operation of the various structural subsystems,
during both normal and degraded operation, including in particular train composition and train driving,
traffic planning and management.
The professional qualifications which may be required for carrying out cross-border services.’
2.2. Scope
This TSI applies to the ‘operation and traffic management’ subsystem of infrastructure managers (hereinafter
referred to as ‘IM’) and railway undertakings (hereinafter referred to as ‘RU’) related to the operation of trains
on the European rail system as defined in chapter 1.2.

---

L 345/10
EN
Official Journal of the European Union
15.12.2012
2.2.1. Staff
and
trains
Points 4.6 and 4.7 apply to those staff undertaking the safety-critical tasks of 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.
Point 4.6.2 also applies to train drivers as stipulated by point 8 of Annex VI to Directive 2007/59/EC of the
European Parliament and of the Council ( 1 ). 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 in the first paragraph of this
point.
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 in the first paragraph of
this point, point 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 in the first paragraph of
this point.
This can be summarised in tables 1 and 2:
Table 1
Staff involved with the working of trains that will cross-state borders and proceed beyond the
frontier location
Task Professional
Qualifications Medical
Requirements
Accompanying a Train 4.6 4.7
Authorising Train movements Mutual
recognition Mutual
recognition
Train Preparation 4.6 Mutual
recognition
Train Despatch Mutual
recognition Mutual
recognition
Table 2
Staff working trains that do not cross state borders or do so as far as frontier locations
Task Professional
Qualifications Medical
Requirements
Accompanying a Train Mutual
recognition Mutual
recognition
Authorising Train movements Mutual
recognition Mutual
recognition
Train Preparation Mutual
recognition Mutual
recognition
Train Despatch Mutual
recognition Mutual
recognition
2.2.2. Principles
This TSI covers those elements (as set out in Chapter 4) of the ‘operation and traffic management’ subsystem,
where principally there are operational interfaces between RU and IM and where there is a particular benefit
to interoperability.
RU and IM must ensure that all requirements concerning rules and procedures as well as documentation are
met by the establishment of the appropriate processes. The set-up of these processes is a relevant part of RU’s
and IM’s safety management system (hereinafter referred to as ‘SMS’) as required by Directive 2004/49/EC of
the European Parliament and of the Council ( 2 ). The SMS itself is assessed by the relevant national safety
authority (hereinafter referred to as ‘NSA’) before granting safety certificate/authorisation.
( 1 ) OJ L 315, 3.12.2007, p. 51.
( 2 ) OJ L 164, 30.4.2004, p. 44.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/11
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 structural TSIs covering subsystems such as rolling
stock. In the context of this TSI it is their operational function that is considered.
3. ESSENTIAL
REQUIREMENTS
3.1. Compliance
with
the
essential
requirements
In accordance with Article 4(1) of Directive 2008/57/EC, the European rail system, its subsystems and their
interoperability constituents must meet the essential requirements set out in general terms in Annex III to
that Directive.
3.2. Essential
requirements
—
overview
The essential requirements cover:
— safety,
— reliability and availability,
— health,
— environmental protection,
— technical compatibility.
According to Directive 2008/57/EC, the essential requirements may be generally applicable to the whole
European rail system or be specific to each subsystem and its constituents.
The following table 3 summarises the correspondence between the essential requirements set out in Annex III
to Directive 2008/57/EC and the present TSI.

---

L 345/12
Table 3


atibility
Essential requirements
Safety
vailability
A
Health Environmental
protection
specific to operation and
Clause Clause
Title
&
comp
traffic management
EN

nical
Reliability
T
ech

















1.1.1
1.1.2
1.1.3
1.1.4
1.1.5
1.2
1.3.1
1.3.2
1.4.1
1.4.2
1.4.3
1.4.4
1.4.5
1.5
2.6.1
2.6.2
2.6.3
4.2.1.2 Documentation
for
drivers
X
X
X
4.2.1.2.1 Rule
book
X
X
X
Off
4.2.1.2.2 Route
book
X
X
icial
Jour
4.2.1.2.2.1 Preparation
of
the
Route
book
X
nal
4.2.1.2.2.2 Modification
to
Information
contained
within
the
route
X
X
of
book
the
European
4.2.1.2.2.3 Informing
the
driver
in
real
time
X
X
X
4.2.1.2.3 Timetables
X
X
X
Union
4.2.1.2.4 Rolling
stock
X
X
X
4.2.1.3 Documentation
for
railway
undertaking
staff
other
than
X
X
X
drivers
4.2.1.4 Documentation
for
infrastructure
manager’s
staff
auth
X
X
X
orising train movements
4.2.1.5 Safety-related
communications
between
train
crew,
other
X
X
X
X
railway undertaking staff and staff authorising train
movements
4.2.2.1 Train
visibility
X
X
X
4.2.2.1.1 General
requirement
X
X
X
15.12.2012
4.2.2.1.2 Front
end
X
X
X
4.2.2.1.3 Rear
end
X
X
X

---

15.12.2012 Off


atibility
Essential requirements
Safety
vailability
A
Health Environmental
protection
specific to operation and
Clause Clause
Title
&
comp
traffic management
EN
Reliability
T
e
c
hnical


















1.1.1
1.1.2
1.1.3
1.1.4
1.1.5
1.2
1.3.1
1.3.2
1.4.1
1.4.2
1.4.3
1.4.4
1.4.5
1.5
2.6.1
2.6.2
2.6.3
4.2.2.2 Train
audibility
X
X
X
X
4.2.2.2.1 General
requirement
X
X
X
4.2.2.2.2 Control
X
X
4.2.2.3 Vehicle
identification
X
X
X
icial
4.2.2.4 Safety
of
passengers
and
load
X
Jour
nal
4.2.2.5 Train
composition
X
of
4.2.2.6 Train
braking
X
X
X
the
European
4.2.2.6.1 Minimum
requirements
of
the
braking
system
X
X
X
4.2.2.6.2 Braking
performance
X
X
X
Union
4.2.2.7 Ensuring
that
the
train
is
in
running
order
X
X
X
4.2.2.7.1 General
requirement
X
X
4.2.2.7.2 Data
required
X
X
4.2.2.8 Requirements
for
Signal
and
lineside
marker
sighting
X
X
4.2.2.9 Driver
vigilance
X
4.2.3.1 Train
planning
X
X
X
4.2.3.2 Identification
of
trains
X
X
X
4.2.3.3 Train
departure
X
X
4.2.3.3.1 Checks
and
tests
before
departure
X
X
X
X
L
345/13
4.2.3.3.2
Informing the Infrastructure Manager of the train’s oper
X
X
X
X
ational status

---

L 345/14


atibility
Essential requirements
Safety
vailability
A
Health Environmental
protection
specific to operation and
Clause Clause
Title
&
comp
traffic management
EN
Reliability
T
e
c
hnical


















1.1.1
1.1.2
1.1.3
1.1.4
1.1.5
1.2
1.3.1
1.3.2
1.4.1
1.4.2
1.4.3
1.4.4
1.4.5
1.5
2.6.1
2.6.2
2.6.3
4.2.3.4 Traffic
management
X
X
X
4.2.3.4.1 General
requirements
X
X
X
4.2.3.4.2 Train
reporting
X
X
X
Off
4.2.3.4.2.1 Data
required
for
train
position
reporting
X
X
icial
4.2.3.4.2.2 Predicted
hand
over
time
X
X
Jour
4.2.3.4.3 Dangerous
goods
X
X
nal
4.2.3.4.4 Operational
quality
X
X
of
the
4.2.3.5 Data
recording
X
X
European
4.2.3.5.1 Recording
of
supervision
data
outside
the
train
X
X
4.2.3.5.2 Recording
of
supervision
data
on-board
the
train
X
X
Union
4.2.3.6 Degraded
operation
X
X
X
4.2.3.6.1 Advice
to
other
users
X
X
4.2.3.6.2 Advice
to
train
drivers
X
4.2.3.6.3 Contingency
arrangements
X
X
X
4.2.3.7 Managing
an
emergency
situation
X
X
X
4.2.3.8 Aid
to
train
crew
in
the
event
of
an
incident
or
of
a
X
major rolling stock malfunction
4.4 Operating
rules
X
X
4.6 Professional
qualifications
X
X
X
15.12.2012
4.7 Health
and
safety
conditions
X

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/15
4. CHARACTERISTICS
OF
THE
SUBSYSTEM
4.1. Introduction
Taking into account all the relevant essential requirements, the ‘operation and traffic management’ subsystem,
as described in point 2.2, covers only the elements specified in this Chapter.
In conformity with Directive 2001/14/EC of the European Parliament and of the Council ( 1 ), 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 its network, taking into account the geographic particularities of individual
lines and the functional or technical specifications set out in this Chapter.
4.2. Functional
and
technical
specifications
of
the
subsystem
The functional and technical specifications of the ‘operation and traffic management’ subsystem comprise of
the following:
— specifications relating to staff,
— specifications relating to trains,
— specifications relating to train operations.
4.2.1. Specifications
relating
to
staff
4.2.1.1.
G e n e r a l r e q u i r e m e n t s
This point deals with 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.
(1) Railway undertaking staff:
(a) undertaking the task of driving trains (referred to throughout this TSI as ‘driver’) and forming part of
the ‘train crew’,
(b) undertaking tasks on-board (other than driving) and forming part of the ‘train crew’,
(c) undertaking the task of preparing trains.
(2) Infrastructure manager’s staff undertaking the task of authorising the movement of trains
The areas covered are:
— Documentation
— Communication
In addition, for the staff as defined in point 2.2.1., this TSI sets out requirements on:
— Qualifications (see point 4.6 and Appendix L)
— Health and safety conditions (see point 4.7)
4.2.1.2.
D o c u m e n t a t i o n f o r d r i v e r s
The railway undertaking operating the train must supply the driver with all the necessary information and
documentation 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. Driver’s
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.
( 1 ) OJ L 75, 15.3.2001, p. 29.

---

L 345/16
EN
Official Journal of the European Union
15.12.2012
The Driver’s Rule Book must cover two distinct aspects:
— one which describes the set of common rules and procedures (taking into account the contents of
Appendices 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.
The railway undertaking is responsible for compiling the Driver’s Rule Book.
The railway undertaking must present the Driver’s Rule Book in the same format for the entire infrastructure
over which their drivers will work.
The railway undertaking must compile the Driver’s Rule Book in such a way that the driver’s application of
all operational rules is enabled.
It must have two appendices:
— Appendix 1: Manual of communication procedures;
— Appendix 2: Book of Forms.
Predefined messages and forms must remain in the ‘operating’ language of infrastructure manager(s).
The process for preparing and updating the Driver’s Rule Book must 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 and/or provide explanatory notes in another language.
The infrastructure manager must ensure that the content of the documentation provided to the railway
undertaking(s) is complete and accurate.
The railway undertaking must ensure that the content of the Driver’s Rule Book is complete and accurate.
4.2.1.2.2. Description of the line and the relevant line-side equipment associated with the lines worked over
Drivers must be provided with a description of the lines and the associated line-side 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 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.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/17
The railway undertaking is responsible for the complete and correct compilation of the Route book (for
example, arranging for any necessary translation and/or providing explanatory notes), using the information
supplied by the infrastructure manager(s).
The following information must be included (this list is not exhaustive):
(a) 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.
(b) indication of rising and falling gradients with their gradient values and location;
(c) 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 responsible infrastructure manager
— means of communication with the traffic management/control centre in normal and degraded mode
The infrastructure manager must ensure that the content of the documentation provided to the railway
undertaking(s) is complete and accurate.
The railway undertaking must ensure that the content of the Route Book is complete and accurate.
4.2.1.2.2.2. Modifications to information contained within the Route Book
The infrastructure manager must advise the railway undertaking of any permanent or temporary modifi
cations to information supplied in accordance with point 4.2.1.2.2.1.
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.
The infrastructure manager must ensure that the content of the documentation provided to the railway
undertaking(s) is complete and accurate.
The railway undertaking must ensure that the content of the document grouping the modifications to
information contained within the Route book is complete and accurate.
4.2.1.2.2.3. Informing the driver in real time
The infrastructure manager must inform drivers of any changes to the line or relevant lineside equipment
that have not been advised as modifications to information for the Route Book as set out in point
4.2.1.2.2.2.
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;

---

L 345/18
EN
Official Journal of the European Union
15.12.2012
— the train running days (if necessary);
— the stopping points and the activities associated with them
— other timing points;
— the arrival/departure/passing times at each of those points.
Such train running information, 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.
D o c u m e n t a t i o n f o r r a i l w a y u n d e r t a k i n g s t a f f o t h e r t h a n d r i v e r s
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 infra
structure manager with the rules, procedures, rolling stock and route specific information it deems appro
priate 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.
D o c u m e n t a t i o n
f o r
i n f r a s t r u c t u r e
m a n a g e r ’ s
s t a f f
a u t h o r i s i n g
t r a i n
m o v e m e n t s
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 (Appendix C);
— the document entitled Book of forms.
The infrastructure manager must draw up these documents in his operating language.
4.2.1.5.
S a f e t y - r e l a t e d c o m m u n i c a t i o n s b e t w e e n t r a i n c r e w , o
t
h
e
r r
a
i
l
w
a
y u
n
d e r
t a k i n g s t a f f a n d s t a f f a u t h o r i s i n g t r a i n m o v e m e n t s
The language used for safety-related communication between train crew, other railway undertaking staff (as
defined in Appendix L) and the staff authorising train movements is the operating language (see glossary)
used by the infrastructure manager on the route concerned.
The principles for safety-related communication between train crew and staff responsible for authorising the
movement of trains are to be found in Appendix C.
In 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, local practice requires that a second language is also provided for, it is the responsibility of
the infrastructure manager to determine the geographic boundaries for its use.
4.2.2. Specifications
relating
to
trains
4.2.2.1.
T r a i n v i s i b i l i t y
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.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/19
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.
The forward facing front-end of the leading vehicle of a train must be fitted with three lights in 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 (for example, to track workers and those using public
crossings) (marker lights), provide sufficient visibility for the train driver (illumination of the line ahead,
lineside information markers/boards, etc.) (head lights) 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 are defined in the rolling stock TSI(hereinafter referred to
as ‘RST TSI’).
4.2.2.1.3. Rear
end
The railway undertaking must provide the required means of indicating the rear of a train. The rear end
signal must only be exhibited on the rear of the last vehicle of the train. It must be displayed as shown
below.

---

L 345/20
EN
Official Journal of the European Union
15.12.2012
4.2.2.1.3.1. Passenger trains
The rear end indication of a passenger train must consist of 2 steady red lights at the same height above
buffer on the transversal axis.
4.2.2.1.3.2. Freight trains in international traffic
The Member State must notify which of the following requirements will apply on the network of its Member
State for trains that cross a border between Member States:
Either
— 2 steady red lights, or
— 2 reflective plates of the following shape with white side triangles and red top and bottom triangle:
The lamps or plates must be on the same height above buffer on the transversal axis. Member States that
require 2 reflective plates must also accept 2 steady red lights as train rear end indication.
4.2.2.1.3.3. Freight trains not crossing a border between Member States
For freight trains not crossing a border between Member States the train rear end indication is an open point
(see Appendix U).
4.2.2.2.
T r a i n a u d i b i l i t y
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 activation of the audible warning device must be possible from all driving positions.
4.2.2.3.
V e h i c l e i d e n t i f i c a t i o n
Each vehicle must have a European Vehicle 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 as specified in
Appendix P.
The European Vehicle Number consists of 12 digits; further details are set out in the Decision 2007/756/EC.
It must also be possible to identify operational restrictions applicable to the vehicle.
4.2.2.4.
S a f e t y o f p a s s e n g e r s a n d l o a d
4.2.2.4.1. Safety
of
load
The railway undertaking must make sure that freight vehicles are safely and securely loaded and remain so
throughout the journey.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/21
4.2.2.4.2. Safety
of
passengers
The railway undertaking must ensure that passenger transport is undertaken safely at the departure and
during the journey.
4.2.2.5.
T r a i n c o m p o s i t i o n
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:
(a) 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;
— 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;
(b) 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
(c) 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 limi
tations must be respected.
(d) 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.
(e) 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.
4.2.2.6.
T r a i n b r a k i n g
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 TSI
Rolling Stock (Commission Decisions 2006/861/EC ( 1 ), 2008/232/EC ( 2 ) and 2011/291/EU ( 3 )).
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. Braking
performance
The infrastructure manager must provide the railway undertaking with the actual performance required. This
data shall include, if necessary, conditions of use of braking systems possibly affecting the infrastructure such
as magnetic, regenerative and eddy-current brake.
( 1 ) OJ L 344, 8.12.2006, p. 1.
( 2 ) OJ L 84, 26.3.2008, p. 132.
( 3 ) OJ L 139, 26.5.2011, p. 1.

---

L 345/22
EN
Official Journal of the European Union
15.12.2012
The railway undertaking is responsible for ensuring that the train has sufficient braking performance by
providing braking rules for its staff to be followed.
The rules concerning braking performance have to be managed within the infrastructure manager’s and
railway undertaking’s safety management system.
Further requirements are specified in Appendix T.
4.2.2.7.
E n s u r i n g t h a t t h e t r a i n i s i n r u n n i n g o r d e r
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 requires for the transport of dangerous goods.
The railway undertaking must ensure that this data is made available to the infrastructure manager(s) prior to
the departure of the train.
The railway undertaking must advise the infrastructure manager(s) if a train will not occupy its allocated path
or is cancelled.
4.2.2.8.
R e q u i r e m e n t s f o r l i n e s i d e s i g n a l a n d m a r k e r s i g h t i n g
The driver must be able to observe lineside signals and markers, and they must be observable by the driver in
the situations where the driver needs to respect the signals and markers. The same applies for other types of
lineside 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 relevant
information displayed to him.
4.2.2.9.
D r i v e r v i g i l a n c e
A means of onboard monitoring of driver vigilance is necessary. This shall intervene to bring the train to a
stand if the driver does not react within a certain time; the time range is specified in the rolling stock TSIs.
4.2.3. Specifications
relating
to
train
operations
4.2.3.1.
T r a i n p l a n n i n g
In accordance with Directive 2001/14/EC the infrastructure manager must advise what data is required when
a train path is requested.
4.2.3.2.
I d e n t i f i c a t i o n o f t r a i n s
Each train must be identified by a train running number. The train running number is given by the infra
structure manager when allocating a train path and must be known by the railway undertaking and all
infrastructure managers operating the train. The train running number must be unique per network. Changes
of train running number during a train journey should be avoided.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/23
4.2.3.2.1. Format
of
train
running
number
The train running number format is defined in the Commission Decision 2012/88/EU of 25 January 2012
on the technical specification for interoperability relating to the control-command and signalling subsystems
of the trans-European rail system ( 1 ) (hereinafter referred to as ‘CCS TSI’).
4.2.3.3.
T r a i n d e p a r t u r e
4.2.3.3.1. Checks
and
tests
before
departure
The railway undertaking must define the checks and tests to ensure that any departure is undertaken safely
(e.g. doors, load, brakes).
4.2.3.3.2. Informing the infrastructure manager of the train’s operational status
The railway undertaking shall inform the infrastructure manager when a train is ready for access to the
network.
The railway undertaking 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.
T r a f f i c m a n a g e m e n t
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.
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 infra
structure 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:
(a) 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;
(b) 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.
( 1 ) OJ L 51, 23.2.2012, p. 1.

---

L 345/24
EN
Official Journal of the European Union
15.12.2012
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:
— the provisions as specified in Directive 2008/68/EC of the European Parliament and of the Council ( 1 );
— 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;
— determination, in conjunction with the infrastructure manager, of 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 must have processes in place to monitor the efficient
operation of the all the services concerned.
Monitoring processes must be designed to analyse data and detect underlying trends, both in terms of human
error and system error. The results of this analysis must be used to generate improvement actions, designed
to eliminate or mitigate against events which could compromise the efficient operation of the network.
Where such improvement actions would have network-wide benefits, involving other infrastructure managers
and railway undertakings, they must, subject to commercial confidentiality, be communicated accordingly.
Events that have significantly disrupted operations must 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 must 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 must 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. D
a
t
a
r
e
c
o
r
d
i
n
g
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;.
— recording information relating to the performance of both the locomotive/traction unit and the person
driving.
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).
( 1 ) OJ L 260, 30.9.2008, p. 13.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/25
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 line-side equipment associated with the movement of trains (signalling, points etc.);
— the detection of an overheating axle bearing, where this equipment is provided;
— communication between the train driver and infrastructure manager’s staff authorising train movements.
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.
4.2.3.6.
D e g r a d e d o p e r a t i o n
4.2.3.6.1. Advice
to
other
users
The infrastructure manager in conjunction with the 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 appro
priate 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 infra
structure manager of any changes to these contact details.
The infrastructure manager must advise all the railway undertaking(s) of any changes to his details.

---

L 345/26
EN
Official Journal of the European Union
15.12.2012
4.2.3.7.
M a n a g i n g a n e m e r g e n c y s i t u a t i o n
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;
— neighbouring infrastructure managers, as appropriate;
— local authorities, representative bodies of the emergency services (including fire fighting and rescue) at
either local or national level, as appropriate.
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.
Additionally, the railway undertaking must have processes to inform passengers about on-board emergency
and safety procedures.
4.2.3.8.
A i d t o t r a i n c r e w i n t h e e v e n t o f a n i n c i d e n t o r o f a m a j o r r o l l i n g s t o c k
m a l f u n c t i o n
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 (for example, lines
of communication, measures to be taken in case of evacuation of a train).
4.3. Functional
and
technical
specifications
of
the
interfaces
In the light of the essential requirements set out in Chapter 3, the functional and technical specifications of
the interfaces are as follows:
4.3.1. Interfaces
with
the
infrastructure
TSIs
Reference operation TSI
Reference conventional rail
infrastructure TSI
Parameter Point Parameter Point
Braking performance 4.2.2.6.2 Longitudinal
track
resis 4.2.7.2
tance
Modifications to
4.1.2.2.2
information contained in
the route book
Operating rules 4.4
Degraded operation 4.2.3.6

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/27
Reference operation TSI
Reference high speed rail
infrastructure TSI
Parameter Point Parameter Point
Staff and trains 2.2.1 Professional
4.6
competences
4.3.2. Interfaces
with
the
control-command
and
signalling
TSI
Reference operation TSI
Reference control-command
and signalling TSI
Parameter Point Parameter Point
Rule book 4.2.1.2.1 Track-side
train
4.2.10
detection systems
Operating rules 4.4 Operating
rules 4.4
Signal and lineside marker 4.2.2.8 Visibility
of
track-side
4.2.15
sighting
control-command and
signalling objects
Braking performance 4.2.2.6 Train
braking
4.2.2
performance and char
acteristics
Train running number 4.2.3.2.1 ETCS
DMI 4.2.12
GSM-R DMI 4.2.13
Data recording on-board 4.2.3.5 Interface
to
data
4.2.14
recording for regulatory
purposes
4.3.3. Interfaces
with
the
rolling
stock
TSI
4.3.3.1.
I n t e r f a c e s w i t h T S I o n l o c o m o t i v e s a n d p a s s e n g e r r o l l i n g s t o c k T S I
Reference operation TSI
Reference conventional rail
locom. and pass. TSI
Parameter Point Parameter Point
Contingency arrange
4.2.3.6.3 Rescue
coupling 4.2.2.2.4
ments
Train composition 4.2.2.5
Interface with infra
4.2.3.2
structure: axle load and
wheel load
Minimum requirements of 4.2.2.6.1 Braking
performance 4.2.4.5
the braking system
Train visibility 4.2.2.1 External
lights 4.2.7.1
Train audibility 4.2.2.2 Horn 4.2.7.2
Signal sighting 4.2.2.8 External
visibility 4.2.9.1.3
Optical characteristics of 4.2.9.2.2
the windscreen
Internal lighting 4.2.9.1.8
Driver vigilance 4.2.2.9 Driver’s
activity
control
4.2.9.3.1
function
Data recording 4.2.3.5.2 Recording
device 4.2.9.6

---

L 345/28
EN
Official Journal of the European Union
15.12.2012
4.3.3.2.
I n t e r f a c e s w i t h T S I o n f r e i g h t w a g o n s
Reference operation TSI
Reference conventional
freight wagon TSI
Parameter Point Parameter Point
Rear end 4.2.2.1.3.2 Attachment
devices
for
4.2.6.3
rear-end signal
Rear end 4.2.2.1.3.2 Rear-end
signal Annex
E
Train composition 4.2.2.5 Gauging 4.2.3.1
Train composition 4.2.2.5 Compatibility
with
load
4.2.3.2
carrying capacity of
lines
Contingency arrange
4.2.3.6.3 Lifting
and
jacking 4.2.2.2
ments
Train braking 4.2.2.6 Brake 4.2.4
4.3.3.3.
I n t e r f a c e s w i t h T S I o n h i g h - s p e e d r o l l i n g s t o c k
Reference operation TSI
Reference high speed rolling
stock TSI
Parameter Point Parameter Point
Train composition 4.2.2.5 Minimum
braking
4.2.4.1
performance
Minimum requirements of 4.2.2.6.1 Brake
system
require
4.2.4.3
the braking system
ments
Braking performance 4.2.2.6.2
Braking performance 4.2.2.6.2 Eddy
current
brakes 4.2.4.5
Braking performance 4.2.2.6.2 Protection
of
an
4.2.4.6
immobilised train
Braking performance 4.2.2.6.2 Brake
performance
on
4.2.4.7
steep gradients
Informing the driver in
4.2.1.2.2.3
real time
Requirements for
4.2.2.4 Access 4.2.2.4
passenger vehicles
Passenger alarm 4.2.5.3
Emergency exits 4.2.7.1
Front end 4.2.2.1.2 Front
and
rear
lights 4.2.7.4.1
Rear end 4.2.2.1.3 Front
and
rear
lights 4.2.7.4.1
Train audibility 4.2.2.2 horns 4.2.7.4.2
Signal sighting and
4.2.2.8 Windscreen
and
front
of
4.2.2.7
lineside marker sighting
the train
Driver vigilance 4.2.2.9 Driver’s
vigilance
device 4.2.7.8
Train composition 4.2.2.5 End
couplers
and
4.2.2.2
coupling arrangements
to rescue trains

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/29
Reference operation TSI
Reference high speed rolling
stock TSI
Parameter Point Parameter Point
Contingency arrange
4.2.3.6.3
ments
Managing and emergency 4.2.3.7 Coupler Annex
K
situation
Maximum train length 4.2.3.5
Degraded operation 4.2.3.6 Axle
bearing
health
4.2.3.3.2
monitoring
Rolling stock dynamic
4.2.3.4
behaviour
Sanding Appendix
B
(C1) sanding 4.2.3.10
Train crew knowledge of 4.2.2.5 Design
of
train 4.2.1.2
rolling stock functionality
Appendix J Monitoring
and
diag
4.2.7.10
nostic concepts
Contingency arrange
4.2.3.6.3 End
couplers
and
4.2.2.2
ments
coupling arrangements
to rescue trains
Managing an emergency
4.2.3.7 coupler Annex
K
situation
Degraded operation 4.2.3.6 Emergency
measures 4.2.7.1
Managing an emergency
4.2.3.7 Fire
safety 4.2.7.2
situation
Recording of supervision 4.2.3.5.2 Monitoring
and
diag
4.2.7.10
data on-board the train
nostic concepts
Informing the driver in
4.2.1.2.2.3 Ballast
pick
up 4.2.3.11
real time
Train composition 4.2.2.5 Environmental
4.2.6.1
conditions
Informing the Infra
4.2.3.3.2.
structure Manager of the
train’s operational status
Informing the driver in
4.2.1.2.2.3 Crosswind 4.2.6.3
real time
Degraded operation 4.2.3.6
Informing the driver in
4.2.1.2.2.3 Maximum
pressure
vari 4.2.6.4
real time
ations in tunnels
Degraded operation 4.2.3.6
Managing an emergency
4.2.3.7 Exterior
noise 4.2.6.5
situation
Managing an emergency
4.2.3.7 Fire
safety 4.2.7.2
situation
Managing an emergency
4.2.3.7 Lifting/rescue
4.2.7.5
situation
procedures

---

L 345/30
EN
Official Journal of the European Union
15.12.2012
Reference operation TSI
Reference high speed rolling
stock TSI
Parameter Point Parameter Point
Recording of supervision 4.2.3.5.2 Particular
specification
4.2.7.11
data on-board the train
for tunnels
Appendix J
Preparation of the route
4.2.1.2.2.1 Emergency
lighting
4.2.7.12
book
systems
Managing an emergency
4.2.3.7
situation
Auxiliary staff 4.6.3.2.3.3
Train composition 4.2.2.5 Traction
performance
4.2.8.1
requirements
Informing the Infra
4.2.3.3.2
structure Manager of the
train’s operational status
Informing the Infra
4.2.3.3.2 Traction
wheel/rail
4.2.8.2
structure Manager of the
adhesion requirements
train’s operational status
Degraded operation 4.2.3.6
Description of the line
4.2.1.2.2
and relevant lineside
equipment associated with
the lines worked over
Degraded operation 4.2.3.6 Functional
and
technical
4.2.8.3
specification related to
the electric power
Description of the line
4.2.1.2.2
supply
and relevant lineside
equipment associated with
the lines worked over
4.3.4. Interfaces
with
the
Energy
TSI
Reference operation TSI
Reference conventional rail
energy TSI
Parameter Point Parameter Point
Description of the line
4.2.1.2.2 Management
of
power
4.4.2
and the relevant lineside
supply
equipment associated with
the lines worked over
Informing the driver in
4.2.1.2.2.3
real time
Modifications to
4.2.1.2.2.2 Execution
of
works 4.4.3
information contained
within the route book

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/31
Reference operation TSI
Reference high speed rail
energy TSI
Parameter Point Parameter Point
Staff and trains 2.2.1 Professional
4.6
competences
4.4. Operating
rules
The rules and procedures enabling coherent operation of new and different structural subsystems intended to
be used in the European rail system, and in particular those that are linked directly to the operation of a new
control-command 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) and for
ERTMS/GSM-R radio system are specified in Appendix A.
Other operating rules, which are able to be standardised across the European rail system, will be specified in
Appendix B.
4.5. Maintenance
rules
Not applicable.
4.6. Professional
qualifications
In accordance with point 2.2.1 of this TSI, this point deals with professional and linguistic competency and
the assessment process required for staff to attain this competency.
4.6.1. Professional
competency
Staff 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.
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 Appendices J
and L.
4.6.1.1.
P r o f e s s i o n a l k n o w l e d g e
Taking these appendices into account and dependant on the duties of the individual staff member concerned,
the knowledge required will comprise the following:
(a) 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.
(b) appropriate knowledge of safety-related tasks in respect to procedures and interfaces for:
— lines and line-side equipment;
— rolling stock;
— the environment.
4.6.1.2.
A b i l i t y t o p u t t h i s k n o w l e d g e i n t o p r a c t i c e
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 line-side 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.

---

L 345/32
EN
Official Journal of the European Union
15.12.2012
Staff must also possess a general ability to adapt to the different circumstances an individual may encounter.
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 up to
date, especially in relation to weaknesses or deficiencies in system or individual performance.
4.6.2. Linguistic
competency
4.6.2.1.
P r i n c i p l e s
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 language used by the infrastructure manager differs from that habitually used by the
railway undertaking’s personnel, such linguistic and communications training must form a critical part of the
railway undertaking’s overall competency management system.
Railway undertaking staff whose duties require them to communicate with staff of the infrastructure manager
in connection with safety-critical matters, whether in routine, degraded or emergency situations, must have a
sufficient level of knowledge in the operating language of the infrastructure manager.
4.6.2.2.
L e v e l o f k n o w l e d g e
The level of knowledge in the infrastructure manager’s language must be sufficient for safety purposes.
(a) As a minimum this must comprise of the driver being able to:
— send and understand all the messages specified in Appendix C to this TSI;
— effectively communicate in routine, degraded and emergency situations;
— complete the forms associated with the use of the Book of Forms;
(b) 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 Appendix E. The level of knowledge for
drivers must be at least level 3. The level of knowledge for staff accompanying trains must be at least level 2.
4.6.3. Initial
and
on-going
assessment
of
staff
4.6.3.1.
B a s i c e l e m e n t s
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;
— assessment programme, including practical demonstration;
— qualification of the trainers;
— deliver a certificate of competency.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/33
D. Competency retention
— principles for retention of competency;
— methods to be followed;
— formalisation of the competency retention process;
— assessment process.
E. Refresher training
— principles for on-going training (including language).
4.6.3.2.
A n a l y s i s o f t r a i n i n g n e e d s
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.
This analysis must set out both scope and complexity and take into account the risks associated with the
operation of trains, 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 appendices referred to in point
4.6.1. 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 the appendices referred to in point
4.6.1 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
train
crew
and
auxiliary
staff
4.6.3.2.3.1. Infrastructure knowledge
The railway undertaking must ensure that the on board staff has appropriate knowledge for the relevant
infrastructure.
The railway undertaking must define the process by which knowledge of on board staff 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 point 4.2.1.
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.

---

L 345/34
EN
Official Journal of the European Union
15.12.2012
4.6.3.2.3.3. Auxiliary staff
The railway undertaking must make sure that the auxiliary staff (for example, catering and cleaning) not
forming part of the ‘train crew’ is, in addition to their basic instruction, trained to respond to the instructions
of the fully trained members of the ‘train crew’.
4.7. Health
and
safety
conditions
4.7.1. Introduction
Staff specified in point 4.2.1 as staff performing safety-critical tasks in accordance with point 2.2 must have
appropriate fitness to ensure that overall operational and safety standards are met.
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 point 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.
National rules of the Member State where a train service is operated apply with regard to defined limits of
those substances.
4.7.2. Deleted
4.7.3. Deleted
4.7.4. Medical
examinations
and
psychological
assessments
4.7.4.1.
B e f o r e a p p o i n t m e n t
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:
(a) Cognitive:
— Attention and concentration,
— Memory,
— Perceptive capability,
— Reasoning,
— Communication.
(b) Psychomotor:
— Speed of reaction,
— Gestured coordination.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/35
(c) Behavioural and personality
— Emotional self-control,
— Behavioural reliability,
— Autonomy,
— Conscientiousness.
If the psychologist omits any of those elements, the respective decision must be justified and documented.
4.7.4.2.
A f t e r a p p o i n t m e n t
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.
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.
G e n e r a l r e q u i r e m e n t s
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 coordination;
— Significant limitation of mobility.

---

L 345/36
EN
Official Journal of the European Union
15.12.2012
The following vision and hearing requirements must be met:
4.7.5.2.
V i s i o n r e q u i r e m e n t s
— 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 occupational doctor 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.
H e a r i n g r e q u i r e m e n t s
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.
4.8. Registers
of
infrastructure
and
vehicles
Due to the characteristics of the registers of infrastructure and vehicles, as defined in Articles 33, 34 and 35
of Directive 2008/57/EC, these registers are not suitable for the particular requirements of the operation and
traffic 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, as specified in point 4.8.1 and point 4.8.2. In both cases the data
concerned must be complete and accurate.
4.8.1. Infrastructure
The requirements for the rail infrastructure related data items with regard to the operation and traffic
management subsystem, and which must be made available to railway undertakings, are specified in
Appendix 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 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 (for
example, asbestos);
— total length of the vehicle, including buffers if existing.
5. INTEROPERABILITY
CONSTITUENTS
5.1. Definition
According to Article 2(f) of Directive 2008/57/EC, ‘interoperability constituents’ means ‘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 rail system depends
directly or indirectly. The concept of a ‘constituent’ covers both tangible objects and intangible objects such
as software’.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/37
5.2. List
of
constituents
In respect to the operation and traffic management subsystem, there are no interoperability constituents.
6.
ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITUENTS AND VERIFI
CATION OF THE SUBSYSTEM
6.1. Interoperability
constituents
As this TSI does not specify any interoperability constituents, no assessment arrangements are discussed.
6.2. Operation
and
traffic
management
subsystem
6.2.1. Principles
The operation and traffic management subsystem is a functional subsystem according to Annex II to
Directive 2008/57/EC.
In conformity with Articles 10 and 11 of Directive 2004/49/EC, railway undertakings and infrastructure
managers must demonstrate compliance with the requirements of this TSI within their safety management
system when applying for any new or amended safety certificate or safety authorisation.
The common safety methods on conformity assessment require national safety authorities to set up an
inspection regime to supervise and monitor the day to day compliance with the safety management
system including all TSIs. It should be noted that none of the elements contained within this TSI require
separate assessment by a Notified Body.
Requirements in this TSI that refer to structural subsystems and are listed in the interfaces (point 4.3) are
assessed under the relevant structural TSIs.
7. IMPLEMENTATION
7.1. Principles
Implementation of this TSI and conformity with the relevant points of this TSI must be determined in
accordance with an implementation plan that must be drawn up by each Member State for the lines for
which they are responsible.
This plan must take into account:
(a) the specific human factors issues associated with operating any given line;
(b) the individual operating and safety elements of each line involved; and
(c) 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 lines,
— applicable to all trains running on the network
(d) the relationship with implementation with the other subsystems (control-command and signalling, rolling
stock, etc.).
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 any
of the following events, namely when:
(a) a railway undertaking or infrastructure manager commences operations,
(b) a renewal or upgrade to the existing operational systems of a railway undertaking or infrastructure
manager is introduced,
(c) new or upgraded infrastructure, energy, rolling stock or control-command and signalling subsystems,
requiring a corresponding set of operating procedures, are put into service.
It is commonly understood that the full implementation of all elements of this TSI cannot be complete until
the hardware (infrastructure, control–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.

---

L 345/38
EN
Official Journal of the European Union
15.12.2012
7.2. Implementation
guidelines
There are three distinct elements to implementation:
(a) Confirmation that any existing systems and processes comply with the requirements of this TSI;
(b) Adaptation of any existing systems and processes to comply with the requirements of this TSI;
(c) New systems and processes arising from implementation of other subsystems;
— New/upgraded conventional lines (infrastructure/energy),
— New or upgraded ETCS signalling installations, GSM-R radio installations, Hot Axle Box Detectors, …
(control-command and signalling),
— New rolling stock (rolling stock).
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 Member States shall conform with the relevant subsystem either by 2016 (case ‘T1’),
or by 2024 (case ‘T2’).
7.3.2. List
of
specific
cases
7.3.2.1.
T e m p o r a r y s p e c i f i c c a s e ( T 1 ) E s t o n i a , L a t v i a a n d L i t h u a n i a
For the implementation of point 4.2.2.1.3.2 of this TSI, trains which are operated solely on the 1 520 mm
gauge network of Estonia, Latvia and Lithuania may use another specified train rear end signal.
7.3.2.2.
T e m p o r a r y s p e c i f i c c a s e ( T 2 ) I r e l a n d a n d U n i t e d K i n g d o m
For the implementation of 4.2.3.2.1 of this TSI, Ireland and United Kingdom are using alphanumeric number
in the existing systems. The MS set out the requirements and time schedule for the transition from alpha
numeric train running numbers to numeric train running numbers in the target system.
Appendix A
ERTMS/ETCS operating rules
The operating rules for ERTMS/ETCS and ERTMS/GSM-R are specified in the Technical Document ‘ERTMS operational
principles and rules — version 2’ published on the ERA website (www.era.europa.eu).

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/39
Appendix B
Other rules enabling a coherent operation
A. GENERAL
Reserved
B. STAFF
SAFETY
AND
SECURITY
Reserved
C. OPERATIONAL INTERFACE WITH SIGNALLING AND COMMAND AND CONTROL EQUIPMENT
C1. Sanding
If the train is equipped with manually activated sanding device, the driver shall always be allowed to apply sand but
shall avoid it wherever possible:
— in the area of points and crossings,
— during braking at speeds less than 20 km/h,
— when at a standstill.
The exceptions to this are
— if there is a risk of SPAD (Signal Passed at Danger), or other serious incident and the application of sand would
assist adhesion,
— when starting away, or
— when required to test the sanding equipment on the traction unit. (Testing shall not 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
E. ANOMALIES,
INCIDENTS
AND
ACCIDENTS
Reserved

---

L 345/40
EN
Official Journal of the European Union
15.12.2012
Appendix C
Safety related communications methodology
INTRODUCTION
This Appendix sets out 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:
— define the nature and structure of the safety-related messages;
— define the methodology for voice transmission of those messages.
This Appendix is to serve as basis:
— in order 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 communi
cation 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 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
disadvantage.
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. S p e e c h t r a n s m i s s i o n p r o c e d u r e
Term transferring the opportunity to speak to the opposite party:
over
1.1.1.2. M e s s a g e r e c e i v i n g p r o c e d u r e
— 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)

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/41
— 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. C o m m u n i c a t i o n s b r e a k i n g p r o c e d u r e
— 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. C a n c e l l i n g a w r i t t e n o r d e r
Term used to cancel the written order procedure underway:
cancel procedure ......................................................................................
If the message is then subsequently to be resumed, the procedure shall be repeated from the start.
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. E r r o r s
— 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.

---

L 345/42
EN
Official Journal of the European Union
15.12.2012
— 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. M i s u n d e r s t a n d i n g
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 help 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. S p e l l i n g o u t o f w o r d s a n d l e t t e r g r o u p s
The International Phonetic Alphabet shall be used.
A Alpha
G Golf
L Lima
Q Quebec
V Victor
B Bravo
H Hotel
M Mike
R Romeo
W Whisky
C Charlie
I India
N November
S Sierra
X X-ray
D Delta
J Juliet
O Oscar
T Tango
Y Yankee
E Echo
K Kilo
P Papa
U Uniform
Z Zulu
F Foxtrot
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. E x p r e s s i o n o f n u m b e r s
Numbers shall be spoken digit by digit.
0 Zero
3 Three
6 Six
9 Nine
1 One
4 Four
7 Seven
2 Two
5 Five
8 Eight
Example: train 2183 = 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. E x p r e s s i o n o f t i m e
The time shall be given in local time, in plain language.
Example: 10:52 hours = ten fifty-two.
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).

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/43
1.1.3.4. E x p r e s s i o n o f d i s t a n c e s a n d s p e e d s
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. E x p r e s s i o n o f d a t e s
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.
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. I d e n t i f i c a t i o n
It is very important that at the beginning of each communication, other than very urgent top priority
emergency messages, the persons who are going to communicate identify themselves. Drivers identify them
selves by train running number and position. For communication between signaller and driver it is the
signaller’s lead responsibility to ensure that the right signaller and driver are in communication. 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. R e q u e s t f o r i n s t r u c t i o n s
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 ...................................................................................

---

L 345/44
EN
Official Journal of the European Union
15.12.2012
1.2.2. Rules
for
transmission
of
written
orders
and
verbal
messages
1.2.2.1. T o p p r i o r i t y s a f e t y m e s s a g e s
Due to their urgent and imperative nature, these messages:
— may be sent or received while running;
— may skip the identification part;
— shall be repeated;
— shall, as soon as possible, be followed by further information.
1.2.2.2. W r i t t e n O r d e r s
In order to reliably send or receive (at a standstill) the procedural messages contained in the Book of 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)
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)

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/45
— 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. A d d i t i o n a l m e s s a g e s
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. I n f o r m a t i o n m e s s a g e s w i t h a v a r i a b l e n o n - p r e d e t e r m i n e d c o n t e n t
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 repre
sented 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.
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 use 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 shall 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.

---

L 345/46
EN
Official Journal of the European Union
15.12.2012
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 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. These must be collected by the RU and given to the
driver.
3. ADDITIONAL
MESSAGES
Additional messages are information messages used to inform about 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, either;
— by the driver to inform the staff authorising train movements, or
— by the staff authorising train movements to advise the driver
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.) may 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 information
for information
for action
Observation
There is
I saw
I had
I hit

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/47
Stage in the communication flow Message
element
Position
— along the line
at ........................................................................................................
(station name)
..............................................................................................................
(characteristic point)
at mile post/kilometre point .......................................................
(number)
— in respect to my train
power car .........................................................................................
(number)
trailer car ..........................................................................................
(number)
Nature
— object
......................................................................................................................
— person
(see glossary)
State
— static
standing on
lying on
fallen on
— moving
walking
running
towards
Location with respect to the tracks
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.
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.

---

L 345/48
EN
Official Journal of the European Union
15.12.2012
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 shall list the names of the various components that may be the subject of communications
with the different Infrastructure Managers concerned and 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 shall 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
(a) 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.
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)

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/49
(b) Need to stop a particular train:
Train ................................................................................................................... (on line/track)
(number) (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 the 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.

---

L 345/50
EN
Official Journal of the European Union
15.12.2012
Appendix 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
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

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/51
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 (Article 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
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

---

L 345/52
EN
Official Journal of the European Union
15.12.2012
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
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

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/53
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
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. Lineside 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

---

L 345/54
EN
Official Journal of the European Union
15.12.2012
Appendix E
Language and communication level
The oral qualification in a language can be subdivided into five levels:
Level Description
5 —
can
adapt
the
way
he/she
speaks
to
any
interlocutor
— can put forward an opinion
— can negotiate
— can persuade
— can give advice
4 —
can
cope
with
totally
unforeseen
situations
— can make assumptions
— can express an argued opinion
3 —
can
cope
with
practical
situations
involving
an
unforeseen
element
— can describe
— can keep a simple conversation going
2 —
can
cope
with
simple
practical
situations
— can ask questions
— can answer questions
1 —
can
talk
using
memorised
sentences

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/55
Appendix F
Not used
Appendix G
Not used
Appendix H
Not used
Appendix I
Not used

---

L 345/56
EN
Official Journal of the European Union
15.12.2012
Appendix J
Minimum elements relevant to professional qualification for the tasks associated with ‘accompanying trains’
1. GENERAL
REQUIREMENTS
(a) This Appendix, which must be read in conjunction with points 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 network.
(b) 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.
(c) 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.
(d) 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 point 4.6.
2.1. General professional knowledge
(a) General principles of safety management within the railway system, relevant to the task, including interfaces with
other subsystems
(b) General conditions relevant to the safety of passengers or cargo and persons on or about the railway track
(c) Conditions of health and safety at work
(d) General principles of security of the railway system
(e) 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
(a) Operational procedures and safety rules
(b) Control-command and signalling system
(c) Communications principles and formalised messaging procedure including use of communication equipment
2.3. Knowledge of rolling stock
(a) Passenger vehicle interior equipment
(b) Repairing minor defects within the passenger areas of rolling stock, as required by the Railway Undertaking
2.4. Knowledge of the route
(a) Operational arrangements (such as the method of train despatch) at individual locations (signalling, station
equipment etc.)
(b) Stations at which passengers may alight or join
(c) Local operating and emergency arrangements specific to the line(s) of route
3. ABILITY
TO
PUT
THE
KNOWLEDGE
INTO
PRACTICE
(a) Checks before departure, including brake tests and correct closure of the doors
(b) Departure processes

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/57
(c) Communication with passengers especially in relation to circumstances involving passenger safety
(d) Degraded operations
(e) Assess the potential of a defect within the passenger areas and react according to rules and procedures
(f) Protection and warning measures as required by the rules and regulations or in assistance to the driver
(g) Train evacuation and passenger safety especially if they are required to be on or near the line
(h) Communicate with the Infrastructure Manager’s staff when assisting the driver or during an evacuation incident
(i) 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.
Appendix K
Not used

---

L 345/58
EN
Official Journal of the European Union
15.12.2012
Appendix L
Minimum elements relevant to professional qualification for the task of preparing trains
1. GENERAL
REQUIREMENTS
This Appendix, which must be read in conjunction with point 4.6, gives a list of the elements that are deemed to be
relevant to the task of preparing a train on the network.
(a) 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.
(b) 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.
(c) Any authorised qualified person must follow 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 point 4.6.
2.1. General professional knowledge
(a) General principles of safety management within the railway system, relevant to the task, including interfaces with
other subsystems
(b) General conditions relevant to the safety of passengers and/or cargo including the carriage of dangerous goods
and exceptional loads
(c) Conditions of health and safety at work
(d) General principles of security of the railway system
(e) Personal safety when on or in the vicinity of rail lines
(f) 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
(a) Working of trains in normal, degraded and emergency conditions
(b) Operational procedures at individual locations (signalling, station/depot/yard equipment) and safety rules
(c) Local operating arrangements
2.3. Knowledge of train equipment
(a) Purpose and use of wagon and vehicle equipment
(b) Identification of and arranging for technical inspections
3. ABILITY
TO
PUT
THE
KNOWLEDGE
INTO
PRACTICE
(a) Application of train composition rules, train braking rules, train loading rules etc. to ensure the train is in
running order
(b) Understanding of marking and labels on vehicles
(c) Process for determining and making train data available
(d) Communication with train crew
(e) Communication with staff responsible for controlling the movement of trains

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/59
(f) Degraded operations especially as it affects the preparation of trains
(g) Protection and warning measures as required by the rules and regulations or local arrangements at the location in
question
(h) Actions to be taken in respect to incidents involving the carriage of dangerous goods (where relevant)
Appendix M
Not used
Appendix N
Not used
Appendix O
Not used

---

L 345/60
EN
Official Journal of the European Union
15.12.2012
Appendix P
European Vehicle Number and linked alphabetical marking on the bodywork
1. GENERAL PROVISIONS ON THE EUROPEAN VEHICLE NUMBER
The European Vehicle Number is assigned according to the codes as defined in Decision 2007/756/EC, Appendix 6.
The European Vehicle Number shall be changed when it does not reflect the interoperability capability or technical
characteristics according to this Appendix due to technical modifications of the vehicle. Such technical modifications may
require a new placing in service according to Articles 20 to 25 of Directive 2008/57/EC.
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.
The keeper can add, in letters of larger size than the European Vehicle 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; however it must always be possible to distinguish easily the
European Vehicle Number from the keeper’s own number marking.
3. WAGONS
The marking shall be inscribed on the wagon bodywork in the following manner:
23. TEN
31. TEN
33. TEN
80 D-RFC
80 D-DB
84 NL-ACTS
7369 553-4
0691 235-2
4796 100-8
Zcs
Tanoos
Slpss
Where in the examples
D and NL stand for the registering Member State as set out in NVR-decision 2007/756/EC, Appendix 6, part 4.
RFC, DB and ACTS stand for the keeper marking as set out in NVR-decision 2007/756/EC, Appendix 6, part 1.
For wagons whose bodywork does not offer a large enough area for this type of arrangement, particularly in the case of
flat wagons, the marking shall be arranged as follows:
0187 3320 644-7
TEN F-SNCF Ks
When one or more index letters with a national definition are inscribed on a wagon, this national marking must be
shown after the international letter marking and separated from it by a hyphen as follows:
0187 3320 644-7
TEN F-SNCF Ks-xy
4. 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
B 10 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 European Vehicle number.
In case of coaches with driver’s cabin, the European Vehicle number is also written inside the cabin.
5. LOCOMOTIVES, POWER CARS AND SPECIAL VEHICLES
The European Vehicle Number must be marked on each sidewall of the tractive stock in the following manner:
92 10 1108 062-6

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/61
The European Vehicle Number is also written inside each cabin of the tractive rolling stock.
6. ALPHABETICAL MARKING OF THE INTEROPERABILITY CAPABILITY
‘TEN’: Vehicle which:
(a) complies with all relevant TSIs which are in force at the moment of placing in service and has been authorised to be
placed in service according to Article 22(1) of Directive 2008/57/EC, and
(b) is provided with an authorisation valid in all Member States in accordance with Article 23(1) of Directive
2008/57/EC.
‘PPV/PPW’: Vehicle which complies with PPV/PPW or PGW agreement (inside OSJD States). (original: PPV/PPW: ППВ
(Правила пользования вагонами в международном сообщении); PGW: Правила Пользования Грузовыми Вагонами).
Vehicles which are not authorised to be placed in service in all Member States in accordance with Article 23(1) of
Directive 2008/57/EC need a marking indicating the Member States where the vehicle is authorised to be placed into
service. This marking shall be according to one of the following drawings, where D stands for the Member State who has
granted the first authorisation (in the given example, Germany) and F stands for the second authorising MS (in the given
example, France). The MS are codified in accordance with Decision 2007/756/EC, Appendix 6, part 4.

---

L 345/62
EN
Official Journal of the European Union
15.12.2012
Appendix Q
Not used
Appendix R
Not used
Appendix S
Not used

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/63
Appendix T
Braking performance
A. ROLE
OF
THE
INFRASTRUCTURE
MANAGER
The IM shall inform the RU about the braking performance required for each route and has to provide information about
the route characteristics. The IM has to ensure that the impact of the route characteristics and track-side related margins
are included in the required braking performance.
Unless the IM and RU have agreed on another unit to express the braking performance, the required braking performance
shall be expressed:
(1) for trains able to run at a maximum speed higher than 200 km/h, in deceleration profile and equivalent response time
on level track,;
(2) for train sets or for fixed train compositions, unable to run at a maximum speed higher than 200 km/h, in
deceleration (as above in 1) or in brake weight percentage;
The IM shall also deliver the requirements in the alternate unit (brake weight percentage or deceleration), if so
requested by the RU;
(3) for other trains (variable compositions of trains unable to run at a maximum speed higher than 200 km/h): in brake
weight percentage.
B. ROLE OF THE RAILWAY UNDERTAKING
The RU shall ensure that each train satisfies or exceeds the braking performance required by the IM. Therefore the RU
shall calculate the braking performance of a train taking into account the train composition.
The RU must take into account the vehicle or train set braking performance determined when placed in service. Rolling
Stock-related margins like reliability and availability of the brakes have to be considered. The RU must also take into
account the information about route characteristics which affect the train behaviour when tuning the braking
performance for stopping and securing a train.
The braking performance resulting from the checking of the actual train (like train composition, brake availability, brake
settings) will be used as an input value for any operational rule to be subsequently applied to the train.
C. BRAKING PERFORMANCE NOT ACHIEVED
The IM has to set up rules to be used if a train does not reach the required braking performance and has to make these
rules available to the RUs.
If a train does not reach the braking performance required for the routes the train shall run, the RU has to respect the
resulting constraints like speed restriction.

---

L 345/64
EN
Official Journal of the European Union
15.12.2012
Appendix U
List of open points
APPENDIX B (SEE POINT 4.4 OF THIS TSI)
Other rules enabling a coherent operation
POINT 4.2.2.1.3.3
Freight trains not crossing a border between Member States
Appendix V
Not used

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/65
Appendix W
Glossary
The definitions in this glossary refer to the use of terms in this TSI OPE.
Term Definition
Accident As
defined
in
Article
3
of
Directive
2004/49/EC.
Authorising the movement of The operation of equipment in signalling centres, electric traction current supply control
trains
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
covered
by
Directive
2008/68/EC
Degraded operation Operation
resulting
from
an
unplanned
event
that
prevents
the
normal
delivery
of
train
services.
Despatch (= dispatch) See
Train
despatch
Driver As
defined
in
Article
3
of
Directive
2007/59/EC.
Exceptional loads
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
tempera
ture.
Incident As
defined
in
Article
3
of
Directive
2004/49/EC.
Length of train Total
length
of
all
vehicles
over
buffers
including
locomotive(s)
Operating Language 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 Under
taking.
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
The physical and psychological suitability for the task together with the required knowl
edge.
Real time 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 train’s journey as they
occur.
Reporting point
A point on the trains schedule where reporting of the arrival, departure or passing time
is required.
Route
The particular section or sections of line

---

L 345/66
EN
Official Journal of the European Union
15.12.2012
Term Definition
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 Employees
working
for
a
Railway
Undertaking
or
an
Infrastructure
Manager,
or
their
contractors, undertaking tasks as specified in this TSI.
Stopping point
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.
Timetable
Document or system that gives details of a train(s) schedule over a particular route.
Timing point 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.
Traction unit
A powered vehicle able to move itself and other vehicles to which it may be coupled.
Train
A train is defined as (a) traction unit(s) with or without coupled railway vehicles with
train data available operating between two or more defined points.
Train despatch
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.
Train crew
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 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.
Abbreviation Explanation
AC Alternating
current
CCS Control-Command
and
Signalling
CEN European
Committee
for
Standardisation
(Comité
Européen
de
Normalisation)
COTIF Convention
Concerning
International
Carriage
by
Rail
(Convention
relative
aux
Transports Internationaux Ferroviaires)
CR Conventional
Rail
dB Decibels
DC Direct
Current
DMI Driver
Machine
Interface
EC European
Community
ECG Electro
Cardiogram
EIRENE European
Integrated
Railway
Radio
Enhanced
Network

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/67
Abbreviation Explanation
EN euro-norm
ENE Energy
ERA European
Rail
Agency
ERTMS European
Rail
Traffic
Management
System
ETCS European
Train
Control
System
EU European
Union
FRS Functional
Requirement
Specification
GSM-R Global
System
for
Mobile
Communications
—
Rail
HABD Hot
Axle
Box
Detector
Hz Hertz
IM Infrastructure
Manager
INF Infrastructure
OPE Operation
and
Traffic
Management
OSJD Organisation
for
Cooperation
of
Railways
PPV/PPW Russian
abbreviation
for
Prawila
Polzowaniia
Wagonami
w
mejdunarodnom
soobqenii
=
Rules for use of railway vehicles in international traffic
RST Rolling
Stock
RU Railway
Undertaking
SMS Safety
Management
System
SPAD Signal
Passed
at
Danger
SRS System
Requirement
Specification
TAF Telematic
Applications
for
Freight
TEN Trans-European
Network
TSI Technical
Specification
for
Interoperability
UIC International
Union
of
Railways
(Union
Internationale
des
Chemins
de
fer)
VKM Vehicle
Keeper
Marking

---

L 345/68
EN
Official Journal of the European Union
15.12.2012
ANNEX II
The Annex to Decision 2007/756/EC is amended as follows:
(1) Chapter 1 is amended as follows:
(a) The description of the data field 1. ‘European Vehicle Number’ is replaced by the following:
‘numeric identification code as defined in Appendix 6’;
(b) Footnote (1) is replaced by the following:
‘( 1 ) not used’.
(c) The description of the data field 2.1 is replaced by the following:
‘Member State numeric code as defined in Appendix 6, part 4’.
(d) The description of the data field 11 is replaced by the following:
‘Member State numeric code as defined in Appendix 6, part 4’.
(2) In Chapter 2.1, Links with other registers, the explanation regarding VKMR is replaced by the following:
‘VKMR: this register is managed by ERA and OTIF in cooperation (ERA for the EU and OTIF for all non-EU OTIF
Member States). The keeper is recorded in the NVR. Appendix 6 specifies other global central registers (such as vehicle
type codes, interoperability codes, country codes, etc.) to be managed by a ‘central body’ resulting from cooperation
between ERA and OTIF’.
(3) The following Appendix is added:
‘Appendix 6
PART ‘0’ — VEHICLE IDENTIFICATION
General remarks
This appendix describes the European Vehicle Number and linked marking applied in a visible manner on the vehicle
to identify it uniquely and in a permanent manner during 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.
European Vehicle number and linked abbreviations
Each railway vehicle receives a number consisting of 12 figures (called European Vehicle Number (EVN)) with the
following structure:
Interoperability capa Country in which the Technical character
Rolling stock group bility and vehicle type vehicle is registered
istics
Serial number
Check digit
[2 figures]
[2 figures]
[4 figures]
[3 figures]
[1 figure]
Wagons 00
to
09
01 to 99
0000 to 9999
000 to 999 0
to
9
10 to 19
[details in part 4]
[details in part 9]
[details in part 3]
20 to 29
30 to 39
40 to 49
80 to 89
[details in part 6]
Hauled passenger
50 to 59
0000 to 9999
000 to 999
vehicles
60 to 69
[details in part 10]
70 to 79
[details in part 7]

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/69
Interoperability capa Country in which the Technical character
Rolling stock group bility and vehicle type vehicle is registered
istics
Serial number
Check digit
[2 figures]
[2 figures]
[4 figures]
[3 figures]
[1 figure]
Tractive rolling 90 to 99
0000000 to 8999999
stock and units in [details in part 8]
[the meaning of these figures is defined
a train set in fixed
by the Member States, eventually by
or pre-defined
bilateral or multilateral agreement]
formation
Special vehicles 9000
to
9999
000 to 999
[details in part 11]
In a given country, the 7 digits of technical characteristics and serial number are sufficient to identify uniquely a
vehicle inside the groups of hauled passenger vehicles and special vehicles ( 1 ).
Alphabetical markings complete the number:
(a) abbreviation of the country in which the vehicle is registered (details in part 4);
(b) Vehicle Keeper Marking (details in part 1);
(c) abbreviations of the technical characteristics (details in part 12 for the wagons, part 13 for the hauled passenger
vehicles).
The European Vehicle Number shall be changed when it does not reflect the interoperability capability or technical
characteristics according to this Appendix due to technical modifications of the vehicle. Such technical modifications
may require a new placing in service according to Articles 20 to 25 of Directive 2008/57/EC.
PART 1 — VEHICLE KEEPER MARKING
1. Definition of the Vehicle Keeper Marking (VKM)
A Vehicle Keeper Marking (VKM) is an alphabetic code, consisting of 2 to 5 letters ( 2 ). A VKM is inscribed on each rail
vehicle, near the European Vehicle Number. The VKM identifies the Vehicle Keeper as registered in a National Vehicle
Register.
A VKM is unique and valid 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 VKM as described in this TSI.
2. 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 letters
written in lower case will be taken as written in capitals.
Letters may contain diacritical signs ( 3 ). 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.
3. 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.
A single VKM can be issued for a group of companies:
— that belong to single corporate structure (e.g. holding structure);

---

L 345/70
EN
Official Journal of the European Union
15.12.2012
— that belong to a 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.
4. 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 ERA. A
VKM can be used only after publication by the ERA.
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 ERA. 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 VKM’s holder changes his name to a name that does not bear resemblance to the VKM.
In case of a change of keeper which entails a change of VKM, the vehicles concerned must be marked with the new
VKM within three months from the date of registration of the change of keeper in the National Vehicle Register. In
case of inconsistency between the VKM marked on the vehicle and the data registered in the NVR, the NVR-regis
tration supersedes.
PART 2
Not used
PART 3 — RULES FOR THE DETERMINATION OF THE CHECK-DIGIT (DIGIT 12)
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 unit’s digit of this sum is retained;
— the complement required to bring the unit’s 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
3
3
8
4
4
7
9
6
1
0
0
Multiplication factor
2
1
2
1
2
1
2
1
2
1
2
6
3 16 4
8
7 18 6
2
0
0
Sum: 6 + 3 + 1 + 6 + 4 + 8 + 7 + 1 + 8 + 6 + 2 + 0 + 0 = 52
The unit’s 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
3
1
5
1
3
3
2
0
1
9
8
Multiplication factor
2
1
2
1
2
1
2
1
2
1
2
6
1 10 1
6
3
4
0
2
9 16
Sum: 6 + 1 + 1 + 0 + 1 + 6 + 3 + 4 + 0 + 2 + 9 + 1 + 6 = 40
The unit’s 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.

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/71
PART 4 — CODING OF THE COUNTRIES IN WHICH THE VEHICLES ARE REGISTERED (DIGITS 3-4 AND
ABBREVIATION)
The Information relating to third countries is given for information purposes only.
Alphabetical Numerical
Alphabetical Numerical
Countries
country
country
Countries
country
country
code ( 1 )
code
code ( 1 )
code
Albania AL 41
Kazakhstan KZ 27
Algeria DZ 92
Kyrgyzstan KS 59
Armenia AM 58
Latvia LV 25
Austria
A 81
Lebanon RL 98
Azerbaijan AZ 57
Liechtenstein FL
Belarus BY 21
Lithuania LT 24
Belgium
B 88
Luxembourg
L 82
Bosnia-Herzegovina BIH 49
Macedonia MK 65
Bulgaria BG 52
Malta
M
China RC 33
Moldova MD
( 1 ) 23
Croatia HR 78
Monaco MC
Cuba CU
( 1 ) 40
Mongolia MGL 31
Cyprus CY
Montenegro MNE 62
Czech Republic CZ 54
Morocco MA 93
Denmark DK 86
Netherlands NL 84
Egypt ET 90
North Korea PRK
( 1 ) 30
Estonia EST 26
Norway
N 76
Finland FIN 10
Poland PL 51
France
F 87
Portugal
P 94
Georgia GE 28
Romania RO 53
Germany
D 80
Russia RUS 20
Greece GR 73
Serbia SRB 72
Hungary
H 55
Slovakia SK 56
Iran IR 96
Slovenia SLO 79
Iraq IRQ
( 1 ) 99
South Korea ROK 61
Ireland IRL 60
Spain
E 71
Israel IL 95
Sweden SE 74
Italy
I 83
Switzerland CH 85
Japan
J 42
Syria SYR 97

---

L 345/72
EN
Official Journal of the European Union
15.12.2012
Alphabetical Numerical
Alphabetical Numerical
Countries
country
country
Countries
country
country
code ( 1 )
code
code ( 1 )
code
Tajikistan TJ 66
United Kingdom GB 70
Tunisia TN 91
Uzbekistan UZ 29
Turkey TR 75
Vietnam VN
( 1 ) 32
Turkmenistan TM 67
( 1 ) According to the alphabetical coding system described in
Appendix 4 to the 1949 convention and Article 45(4) of
Ukraine UA 22
the 1968 convention on road traffic.
PART 5
Not used

---

15.12.2012 Off
PART 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
Track Gauge fixed
or
variable fixed variable fixed variable fixed variable fixed variable fixed
or
variable Track
Gauge
EN
0 with
axles
with axles
0

Wagons conform
wagons not
to
be
used
(c )
PPV/PPW wagons
(variable gauge)
to TSI WAG (a )
1 with
bogies
with bogies
1
including section
Not to be
7.1.2 and all
used
conditions set out
2 with
axles
with axles
2
in Appendix C
wagons
PPV/PPW wagons
(fixed gauge)
3 with
bogies
with bogies
3
4
with
Wagons with special
with
axles (b )
maintenance
numbering for
axles (b )
4
icial
Other wagons
related
Other wagons
technical character
wagons
istics not placed in
with
Jour
8
with
bogies (b )
service inside EU
bogies (b )
8
nal
of
the
1st digit
European
2nd digit
0
1
2
3
4
5
6
7
8
9
1st digit
2nd digit
(a ) Commission Regulation [TSI WAG as adopted after the revision].
(b ) Fixed or variable gauge.
Union
(c ) Except for wagons in category I (temperature-controlled wagons), not to be used for new vehicles authorised placed in service.
L
345/73

---

L 345/74
PART 7 — INTERNATIONAL TRAFFIC ABILITY CODES USED FOR HAULED PASSENGER VEHICLES (DIGITS 1-2)
Domestic traffic or
Domestic traffic TEN
(
TEN (a ) and/or
a ) and/or COTIF (b ) and/or PPV/PPW
international traffic
by special agreement
COTIF (b )
PPV/PPW
2nd digit
1st digit
0
1
2
3
4
5
6
7
8
9
EN

Vehicles for
Fixed-gauge
Gauge-adjustable Not to be used Gauge-adjustable
Historical
Not to be
Fixed-gauge
Gauge-adjustable
Gauge-adjustable
domestic traffic
non-air-
(1435/1520)
(1435/1668)
vehicles
used (c )
vehicles
(1435/1520)
(1435/1520)
conditioned
non-air-
non-air-
vehicles with
vehicles with
5
vehicles
conditioned
conditioned
change of bogies
gauge-adjustable
(including car-
vehicles
vehicles
axles
carrying wagons)
Service vehicles Fixed-gauge
air- Gauge-adjustable Service vehicles Gauge-adjustable Car-carrying
Not to be
conditioned
(1435/1520) air-
(1435/1668) air-
wagons
used (c )
6
Off
vehicles
conditioned
conditioned
vehicles
vehicles
icial
Jour
Air-conditioned
Not to be used Not
to
be
used Pressure-tight Not to be used Other
vehicles Not
to
be
used Not
to
be Not to be used Not
to
be
used
and pressure-
fixed-gauge air-
used
nal
7
tight vehicles
conditioned
of
vehicles
the
(a ) Compliance with the applicable TSIs, see appendix P, part 5.
European
(b ) Including vehicles, which according to existing regulations carry the digits defined in the present table. COTIF: vehicle compliant with COTIF regulation in force at the moment of placing in service
(c ) Excepted for coaches with fixed gauge (56) and adjustable gauge (66) already in service, not to be used for new vehicles
Union
15.12.2012

---

EN
15.12.2012 Official
Journal
of
the
European
Union L
345/75
PART 8 — TYPES OF TRACTIVE ROLLING STOCK AND UNITS IN A TRAIN SET IN FIXED OR PRE-DEFINED
FORMATION (DIGITS 1-2)
The first digit is ‘9’.
If the second digit describes the type of tractive stock, following coding is mandatory:
Code General
vehicle
type
0 Miscellaneous
1 Electric
locomotive
2 Diesel
locomotive
3 Electric
multiple-unit
set
(high
speed)
[power
car
or
trailer]
4 Electric
multiple-unit
set
(except
high
speed)
[power
car
or
trailer]
5 Diesel
multiple-unit
set
[power
car
or
trailer]
6 Specialised
trailer,
7 Electric
shunting
engine
8 Diesel
shunting
engine
9 Special
vehicle
PART 9 — STANDARD NUMERICAL MARKING OF WAGONS (DIGITS 5 TO 8)
Part 9 indicates the numerical marking associated to the main technical characteristics of the wagon and it is
published on the ERA website (www.era.europa.eu).
An application for a new code is filed with the registering entity (as referred to in Decision 2007/756/EC) and sent to
the ERA. A new code can be used only after publication by the ERA.
PART 10 — CODES FOR THE TECHNICAL CHARACTERISTICS OF THE HAULED PASSENGER STOCK
(DIGITS 5-6)
Part 10 is published on the ERA website (www.era.europa.eu).
An application for a new code is filed with the registering entity (as referred to in Decision 2007/756/EC) and sent to
the ERA. A new code can be used only after publication by the ERA.
PART 11 — CODES FOR THE TECHNICAL CHARACTERISTICS OF THE SPECIAL VEHICLES (DIGIT 6 TO 8)
Part 11 is published on the ERA website (www.era.europa.eu).
An application for a new code is filed with the registering entity (as referred to in Decision 2007/756/EC) and sent to
the ERA. A new code can be used only after publication by the ERA.
PART 12 — LETTER MARKING FOR WAGONS EXCLUDING ARTICULATED AND MULTIPLE WAGONS
Part 12 is published on the ERA website (www.era.europa.eu).
An application for a new code is filed with the registering entity (as referred to in Decision 2007/756/EC) and sent to
the ERA. A new code can be used only after publication by the ERA.

---

L 345/76
EN
Official Journal of the European Union
15.12.2012
PART 13 — LETTER MARKING FOR HAULED PASSENGER STOCK
Part 13 is published on the ERA website (www.era.europa.eu).
An application for a new code is filed with the registering entity (as referred to in Decision 2007/756/EC) and sent to
the ERA. A new code can be used only after publication by the ERA.
___________
( 1 ) 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.
( 2 ) For NMBS/SNCB, the use of an encircled single letter B can be continued.
( 3 ) Diacritical marks are ‘accent-signs’, such as in , , , , , etc. Special letters such as and will be
represented by a single letter; in tests for uniqueness is treated as O and as A.’

---

Document Outline

• �

---