Vehicle Registration, Marking and Numbering

Vehicle Registration, Marking and Synopsis This document sets out requirements for the registration, marking and numbering of rail vehicles operating on the Great Britain (GB) mainline network. Copyright in the Railway Group documents is owned by Rail Safety and Standards Board Limited. All rights are hereby reserved. No Railway Group document (in whole or in part) may be reproduced, stored in a retrieval system, or transmitted, in any form or means, without the prior written permission of Rail Safety and Standards Board Limited, or as expressly permitted by law. RSSB members are granted copyright licence in accordance with the Constitution Agreement relating to Rail Safety and Standards Board Limited. In circumstances where Rail Safety and Standards Board Limited has granted a particular person or organisation permission to copy extracts from Railway Group documents, Rail Safety and Standards Board Limited accepts no responsibility for, nor any liability in connection with, the use of such extracts, or any claims arising therefrom. This disclaimer applies to all forms of media in which extracts from Railway Group documents may be reproduced. Published by RSSB Copyright 2017 Rail Safety and Standards Board Limited

Issue Record Issue Date Comments One 02/12/2017 This RIS has been developed to provide updated requirements and guidance on registration, marking and numbering of rail vehicles following finalisation of the data requirements for ERATV and the deployment of R2. This document will be updated when necessary by distribution of a complete replacement. Superseded Documents The following Railway Group Standard is superseded, either in whole or in part as indicated: Superseded documents Sections superseded Date when sections are superseded GMRT2453 issue two Registration, Identification and Data to be Displayed on Rail Vehicles All 02/12/2017 Supply The authoritative version of this document is available at www.rssb.co.uk/railwaygroup-standards. Enquiries on this document can be forwarded to enquirydesk@rssb.co.uk. Page 2 of 83 RSSB

Contents Section Description Page Part 1 Purpose and Introduction 7 1.1 Purpose 7 1.2 Introduction 7 1.3 Application of this document 8 1.4 Health and safety responsibilities 9 1.5 Structure of this document 9 1.6 Approval and Authorisation 9 Part 2 Requirements for the Registration of Rail Vehicles in R2 10 2.1 General registration of rail vehicles 10 2.2 Registration status of rail vehicles in R2 10 2.3 Status A (on order / being built) 11 2.4 Status B (delivered / on test) 12 2.5 Status C (registered) 12 2.6 Status I (de-registered) 13 2.7 Process for registering non-gb vehicles in GB 14 2.8 Rail vehicles undergoing transit moves 14 2.9 Upgraded or renewed rail vehicles 15 2.10 Recorded data 16 Part 3 Requirements for the of Rail Vehicles 17 3.1 Responsibility for allocation of numbers 17 3.2 Allocation of the EVN 17 3.3 Allocation of multiple unit set identification numbers 18 3.4 Vehicle keeper registration and marking 19 3.5 Heritage rail vehicle numbers 19 3.6 Numbers for other vehicles 20 Part 4 Requirements for the of Rail Vehicles 21 4.1 Display of the EVN and VKM 21 4.2 Display of GB operational number (TOPS) 21 4.3 Heritage rail vehicle identification numbers 22 4.4 Other vehicles 22 4.5 Display of the multiple unit and fixed formation set identification number 23 4.6 Identification in traincrew areas 23 RSSB Page 3 of 83

4.7 Additional data to be displayed 23 4.8 Data visibility 24 Appendices 25 Appendix A Rules for the Allocation of a European Vehicle Number 25 Appendix B Mandatory Data for Rail Vehicles 35 Appendix C Data to be Displayed on Rail Vehicles not Intended to be Used in International Traffic 68 Appendix D Rail Vehicle Registration Flowcharts 72 Appendix E Statement of Vehicle Configuration (SVC) 76 Definitions 78 References 82 Page 4 of 83 RSSB

List of Tables Table 1: Registration status within R2 10 Table 2: Number formats 22 Table 3: Locomotives and heritage vehicles 26 Table 4: Number ranges for new multiple units and fixed formation rail vehicles 28 Table 5: Number ranges previously allocated for rail vehicles in multiple units 30 Table 6: Number ranges previously allocated for rail vehicles in fixed formations 31 Table 7: Multiple unit identification set numbers 32 Table 8: Design - Identification 36 Table 9: Design - Weight 37 Table 10: Design - Size 38 Table 11: Design - Gauge/Restrictions 40 Table 12: Design - Speed 42 Table 13: Design - Braking 44 Table 14: Design - Electrical/Power Supply 49 Table 15: Design - Equipment/Composition 50 Table 16: Design - Seating 54 Table 17: Vehicle - Identification 55 Table 18: Vehicle - Organisation 58 Table 19: Vehicle - Administration 59 Table 20: Vehicle - Operation 60 Table 21: Vehicle - Equipment 62 Table 22: Vehicle - Construction 63 Table 23: Vehicle - Communication 64 Table 24: Vehicle - Branding 67 Table 25: Identification and parts of rail vehicle 68 Table 26: Data for operational purposes 68 RSSB Page 5 of 83

Table 27: Position of equipment and lifting and jacking points 70 Page 6 of 83 RSSB

Part 1 Purpose and Introduction 1.1 Purpose 1.1.1 This document is a standard on vehicle registration, marking and numbering. 1.1.2 This document sets out the process and the data required for registering rail vehicles on the Great Britain (GB) mainline network; the numbering system to be used to identify rail vehicles; and the data to be displayed on rail vehicles. 1.1.3 It also implements requirements introduced through European legislation applicable to the National Vehicle Register (NVR) and the European Register of Authorised Types of Vehicles (ERATV). 1.2 Introduction 1.2.1 Principles 1.2.1.1 This document sets out requirements for railway undertakings (RUs) and infrastructure managers (IMs) to safely manage the risks associated with the process for the registration of, identification of, and data to be displayed on, rail vehicles. 1.2.1.2 This document sets out the European Vehicle Number (EVN) allocation rules for certain types of vehicle as defined in EU Commission Consolidated Decision 2007/756/EC (NVR Decision). 1.2.1.3 This document also sets out those requirements that are necessary for compatibility with GB operational systems. 1.2.1.4 The requirements of this document apply to all vehicles that operate on the GB mainline network (including locomotives, passenger coaches, multiple units, wagons and on-track machines) except where noted otherwise in the text. 1.2.2 National Vehicle Register 1.2.2.1 The Railway Interoperability Directive Article 33 mandates requirements for the NVR, including requirements for each Member State to create and maintain an NVR. 1.2.2.2 When a vehicle is authorised for placing into service by the National Safety Authority (NSA) of the member state (in GB this is the Office of Rail and Road (ORR)), an entry in the NVR is mandated. 1.2.2.3 The Railway Interoperability Directive requires Member States to register existing vehicles on the NVR. This also requires the NVR to record those vehicles that are permitted to operate on a network, including those that were previously registered in another Member State. 1.2.2.4 The secretary of state has designated Network Rail Infrastructure Limited as the appointed Registration Entity (RE) to establish and maintain the GB NVR. 1.2.2.5 NVR data is submitted to R2 (incorporating the former Rolling Stock Library (RSL)) and then forwarded by R2 to the RE to populate the NVR. RSSB Page 7 of 83

1.2.3 European Register of Authorised Types of Vehicles 1.2.3.1 The Railway Interoperability Directive Article 34 mandates data to be maintained in the ERATV. Appendix D of this document sets out further guidance on the provision of this information to the ERATV. 1.2.4 What is R2? 1.2.4.1 R2 incorporates the RSL as the database containing information describing all rail vehicles registered to operate on the GB mainline network. R2 also incorporates RAVERS, the former vehicle maintenance recording and planning system. 1.2.4.2 This document sets out data to be contained in R2 primarily for operational purposes. This information is necessary to enable national operating systems to function such as the Total Operations Processing System (TOPS), Gemini and Gemini for Non Integrating Unit Stock (Genius). 1.2.4.3 This document is not intended to be a user's guide to R2. An R2 user's guide can be found on the R2 section of the RSSB extranet. 1.2.4.4 Enquiries on the R2 System can be submitted via the RSSB Enquiries Helpdesk. 1.2.5 Identification of rail vehicles 1.2.5.1 Article 32 of the Railway Interoperability Directive mandates that all rail vehicles placed into service are allocated a numeric identification code (the EVN). This document sets out the common approach to allocating rail vehicle numbers to ensure compatibility with railway operating systems in use in GB. 1.2.5.2 This document also supports the Traffic Operation and Management TSI (EU) 2015/995 (OPE TSI) Annex H, which mandates the display of the EVN, applied in a visible manner on the vehicle to uniquely identify it. 1.2.5.3 The allocation of an EVN for existing vehicles is also required by the NVR Decision, although the retrospective display of such numbers on vehicles is not mandatory if they are not used internationally. 1.2.6 Data to be displayed on rail vehicles 1.2.6.1 Data to be displayed on rail vehicles enables authorised personnel to have access to data about rail vehicles to ensure safe rail operations. In GB this is used when national operating systems such as TOPS, Gemini and Genius are unavailable. 1.2.6.2 Vehicles that are used on international services require specific data to be displayed as set out in the respective TSIs. 1.3 Application of this document 1.3.1 Compliance requirements and dates have not been specified since these will be the subject of internal procedures or contract conditions. 1.3.2 The Standards Manual and the Railway Group Standards (RGS) Code do not currently provide a formal process for deviating from a (RIS). However, a member of RSSB, having adopted a RIS and wishing to deviate from its requirements, Page 8 of 83 RSSB

may request a Standards Committee to provide opinions and comments on their proposed alternative to the requirement in the RIS. Requests for opinions and comments should be submitted to RSSB by e-mail to proposals.deviation@rssb.co.uk. When formulating a request, consideration should be given to the advice set out in the Guidance to applicants and members of Standards Committee on deviation applications, available from RSSB s website. 1.4 Health and safety responsibilities 1.4.1 Users of documents published by RSSB are reminded of the need to consider their own responsibilities to ensure health and safety at work and their own duties under health and safety legislation. RSSB does not warrant that compliance with all or any documents published by RSSB is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties. 1.5 Structure of this document 1.5.1 This document sets out a series of requirements that are sequentially numbered. 1.5.2 This document also sets out the rationale for the requirement. The rationale explains why the requirement is needed and its purpose. Rationale clauses are prefixed by the letter 'G'. 1.5.3 Where relevant, guidance supporting the requirement is also set out in this document by a series of sequentially numbered clauses and is identified by the letter 'G'. 1.6 Approval and Authorisation 1.6.1 The content of this document was approved by Rolling Stock Standards Committee on 08 September 2017. 1.6.2 This document will be authorised by RSSB on 16 October 2017. RSSB Page 9 of 83

Part 2 Requirements for the Registration of Rail Vehicles in R2 2.1 General registration of rail vehicles 2.1.1 All rail vehicles intended for operation on the GB mainline network shall be registered in R2. G 2.1.2 G 2.1.3 G 2.1.4 G 2.1.5 Rationale Registration of all rail vehicles in R2 enables rail vehicle data provided to be utilised in GB mainline operational systems that monitor the movement of rail vehicles. Guidance The GB mainline network uses a number of computer operating systems (for example, TOPS, TRUST and Gemini) to monitor and track the movement of rail vehicles. The data contained within R2 on individual rail vehicles also provide information on the operating characteristics of the vehicle including, for example, maximum speed, weight and braking capabilities that affect rail vehicle performance and utilisation. Further details are set out in Appendix B of this document. This requirement is in addition to that for registering rail vehicles in the GB NVR with the data mandated by the NVR Decision. This is because the data mandated to be entered in the GB NVR is not sufficient for the operation of GB mainline operational systems. 2.2 Registration status of rail vehicles in R2 2.2.1 The registration status of all rail vehicles intended for operation on the GB mainline network and recorded in R2 shall reflect the actual operational status of each rail vehicle as set out in the table below. Status Description Comments Z Reserved / allocated Not informed to the NVR A On order / being built B Delivered / on test Delivered onto Network Rail infrastructure C Registered Authorised for placing into service by the NSA I De-registered Vehicle not permitted to operate on the GB mainline network Page 10 of 83 RSSB

Status Description Comments F Condemned Historical status - no longer in use G Disposed of Scrapped / preserved Table 1: Registration status within R2 2.2.2 Railway undertakings shall only operate rail vehicles on the mainline network that are registered in R2 as either: a) Status B, or b) Status C. G 2.2.3 G 2.2.4 G 2.2.5 G 2.2.6 G 2.2.7 Rationale The registration status ensures that only rail vehicles that are authorised to do so and in working order can operate on the GB mainline network. Status Z, F and G are only used for internal purposes within R2, and are therefore not detailed further in this document. Guidance The GB mainline network uses a number of different status categories to reflect the operational capability of the rail vehicles. The information flow during the registration processes for rail vehicles is shown in a sequence of flowcharts in Appendix D. Status Z (number allocated) is used when it is intended to purchase new rail vehicles. A request can be sent to the R2 Managed Services to reserve vehicle numbers in R2 and register those vehicles not yet constructed into status Z. 2.3 Status A (on order / being built) 2.3.1 For rail vehicles on order / under construction to be registered as status A, the data set out in Appendix B shall be entered in R2. G 2.3.2 G 2.3.3 Rationale It is permissible to request the R2 Managed Services to register a rail vehicle on order / undergoing construction into status A in R2. The Appendix B data are required to provide the source data to enable the functioning of GB mainline operational systems. G 2.3.4 Guidance The GB mainline operational systems, such as TOPS and Gemini are used to identify the operational status of a rail vehicle which, together with a vehicle s physical characteristics, provide operational data for the safe movement of trains. RSSB Page 11 of 83

G 2.3.5 G 2.3.6 G 2.3.7 The registration of rail vehicles which are on order / under construction as status A is optional. However, registering as status A and providing the Appendix B data at this stage helps to avoid delay when registering vehicles as status B or status C. The Appendix B data are in addition to that mandated for populating both the NVR and ERATV, as laid out in the NVR Decision and the Railway Interoperability Directive. R2 can contain additional data beyond that specified in Appendix B, but Appendix B details that data which is required to be accessed by other GB mainline operational systems. 2.4 Status B (delivered / on test) 2.4.1 Rail vehicles undergoing initial delivery, transfer or testing on the GB mainline network, shall be registered as status B. 2.4.2 To register a rail vehicle as status B, R2 Managed Services shall be provided with all of the following: a) The statement of compatibility (SOCAT) relating to the initial delivery and transfer, or testing on the GB mainline network. b) The statement of vehicle configuration (SVC) covering the initial delivery and transfer, or testing on the GB mainline network. c) The rail vehicle data set out in Appendix B, where this has not previously been supplied. G 2.4.3 G 2.4.4 G 2.4.5 G 2.4.6 Rationale The SOCAT, SVC and Appendix B data are required to provide the source data to enable the functioning of GB mainline operational systems. Guidance The template for an SVC is set out in Appendix E and replaces the use of the Certificate of Engineering Acceptance (CEA) and / or the Intermediate Statement of Verification (ISV) for the function of updating registration information. The request to register a vehicle as status B is made via R2, which includes functionality that replaces the previous RSL4 and RSL EA4 forms. In cases where this is not possible, blank forms for completion can be obtained from the R2 Managed Services team. GERT8270 sets out the requirements for the assessment of compatibility for rolling stock and infrastructure that leads to the production of a statement of compatibility (SOCAT). 2.5 Status C (registered) 2.5.1 Rail vehicles in working order and authorised for placing into service shall be registered as status C. Page 12 of 83 RSSB

2.5.2 To register a rail vehicle as status C, R2 Managed Services shall be provided with all of the following: a) The ORR letter of authorisation for placing into service in GB of the vehicle in question (either as an individual rail vehicle or as part of a fleet of rail vehicles). b) The SVC, which is a statement from the RU or vehicle owner / keeper, or an authorised representative contracted by an RU or vehicle owner / keeper, advising of a change to the registration status and / or mandatory data of a rail vehicle. c) The SOCAT demonstrating that the vehicle is compatible with the infrastructure on the GB mainline network routes upon which it is required to operate. d) The rail vehicle data set out in Appendix B, where this has not previously been supplied. Additionally, an update of any of the data set out in Appendix B which has changed since any earlier submission. G 2.5.3 G 2.5.4 G 2.5.5 Rationale The change of status to operational status C enables the vehicle to operate as intended on the GB mainline network. Guidance The request to register a vehicle as status C should be made via R2, which includes functionality that replaces the previous RSL4 and RSL EA4 forms. In cases where this is not possible, blank forms for completion can be obtained from R2 Managed Services. Where rail vehicles are delivered in batches, it is permissible to list the applicable range of rail vehicles on the SVC and register individual or batches of those rail vehicles as status C. 2.6 Status I (de-registered) 2.6.1 Rail vehicles previously authorised for placing into service but not in working order, shall be registered as status I. G 2.6.2 G 2.6.3 G 2.6.4 Rationale The change of status from C to I indicates that the vehicle is currently not permitted to be used on the GB mainline network and the GB mainline operational systems are configured to prevent operation of a vehicle in status I. Guidance Reasons why a vehicle shall be placed in status I include: a) The rail vehicle maintenance plan is not being implemented or has expired. b) The expiry, withdrawal, or suspension of existing documentation (such as SOCAT and SVC). On expiry of existing documentation, R2 automatically moves the affected vehicles into status I if there is no other valid documentation notified. RSSB Page 13 of 83

G 2.6.5 The requirements to reinstate a rail vehicle to status C are set out in the requirements for status C, provided the listed documentation and data are still valid. 2.7 Process for registering non-gb vehicles in GB 2.7.1 To haul or operate any vehicle coming into GB for the first time, R2 shall be populated with the certificates and data required to register the vehicle into status B or C. G 2.7.2 G 2.7.3 G 2.7.4 Rationale In order to move vehicles on the GB mainline network there has to be a TOPS consist list, which itself needs a vehicle to be recorded in R2. Guidance Appendix B sets out the required data to populate R2 for registering non-gb vehicles in GB. RIS-2770-RST provides further information on bringing non-gb wagons onto the GB mainline network. 2.8 Rail vehicles undergoing transit moves 2.8.1 Rail vehicle(s) undergoing a transit move shall be allocated a rail vehicle identification number, if such a number has not already been allocated, to enable the GB mainline operating systems to function. 2.8.2 Such rail vehicles shall be in working order and registered as status B (if not yet authorised for placing into service) or status C (if authorised for placing into service) in R2. 2.8.3 To register a rail vehicle undergoing a transit move as status B or status C, R2 Managed Services shall be provided with all of the following: a) An SVC, where this has not previously been supplied. b) A SOCAT for the route of the transit move, including any specific conditions required for the transit move. c) The rail vehicle data set out in Appendix B, where this has not previously been supplied. 2.8.4 At least one of the SVC or SOCAT shall include an expiry date. G 2.8.5 G 2.8.6 Rationale The registration of vehicles not intended for normal use provides for their recognition on national operating systems and enables movement of such vehicles to be managed. Only vehicles registered as status B or status C are permitted to be operated on the GB mainline network; therefore, these vehicles must be allocated to one of these statuses to be permitted to undertake a transit move. Page 14 of 83 RSSB

G 2.8.7 G 2.8.8 G 2.8.9 G 2.8.10 The inclusion of an expiry date on the SVC or SOCAT ensures that the vehicles cannot continue to be operated on the GB mainline network once their transit move is completed. Guidance Typically, the expiry date on the SVC or SOCAT issued for the transit move is within six weeks of the date of issue of the certificate. However, this timeframe can be varied depending on the requirements of the activity. On expiry of the SVC or SOCAT, the vehicle will be moved to status I in R2 if there is no valid equivalent document notified. Rail vehicles not intended for normal use are permitted to be moved over the GB mainline network in a transit move. Examples of these moves include: a) Initial transfer from the vehicle manufacturer to the keeper or RU. b) Delivery move of a metro vehicle from the manufacturer to the applicable network. c) Transit move of a rail vehicle from a storage location to a maintenance location, for the purposes of maintaining compliance with the maintenance plan during storage or for the purpose of returning the rail vehicle to working order. d) Transit move of a heritage rail vehicle from its normal location to an open day location and return. e) Transit move of a rail vehicle from its storage location to a disposal location. 2.9 Upgraded or renewed rail vehicles 2.9.1 To enable upgraded or renewed rail vehicles to be placed into status C, the updated documentation and any changed data requirements, as set out in Status C requirements, shall be entered into R2. G 2.9.2 G 2.9.3 G 2.9.4 Rationale For functioning of the GB mainline operational systems, the data held in R2 is required to be kept up to date. Guidance The Railways (Interoperability) Regulations 2011 (as amended) Part 2 sub-paragraph 13 sets out the requirements for determining whether upgraded or renewed rail vehicles require authorisation or re-authorisation for placing into service. Where it is intended to renumber a rail vehicle following upgrade or renewal resulting in changes to the interoperability capability or technical characteristics of the vehicle, it is permissible to reserve the new rail vehicle identification number as status Z prior to its application to the actual rail vehicle. RSSB Page 15 of 83

2.10 Recorded data 2.10.1 Whenever changes to a rail vehicle affect the validity of the mandatory data set out in Appendix B, updates of these changes to the rail vehicle data shall be entered into R2 prior to the vehicle returning to use. 2.10.2 R2 data shall be retained for a period of 10 years after the withdrawal of a vehicle. G 2.10.3 G 2.10.4 G 2.10.5 G 2.10.6 G 2.10.7 G 2.10.8 G 2.10.9 Rationale The requirement to maintain up-to-date mandatory data ensures that invalid data is not used when identifying on which routes the vehicle is compatible. Guidance Within any process put in place to manage vehicle change it is important that a check of the currency of mandatory data is undertaken. In addition, changes to the data held in the NVR and ERATV may also be required. Retention of the R2 data mirrors the requirement for the retention of NVR data as set out in the Railway Interoperability Directive, article 33. The NVR Decision currently requires that all data in the NVR is retained for a period of 10 years from the date when the vehicle registration is withdrawn. It also requires that for a minimum of the first three years the data is available online. After the first three years the data is then kept electronically, in paper form or any other archival system. If at any time during the 10-year period an investigation involving a vehicle or vehicles is started, data relating to these vehicles are retained beyond the 10-year period if required. When the vehicle registration is withdrawn its registration status in R2 changes to status G (Disposed). Page 16 of 83 RSSB

Part 3 Requirements for the of Rail Vehicles 3.1 Responsibility for allocation of numbers 3.1.1 The allocation of rail vehicle and multiple unit set numbers, including the GB Operational Number (TOPS) and any prefixes / classes, shall be undertaken by the R2 Managed Services team in R2. G 3.1.2 Rationale Having one organisation responsible for number allocation ensures that there is no duplication of registered rail vehicle or multiple unit set identification numbers. Guidance G 3.1.3 The criteria used in number allocation are described in the remainder of Part 3. G 3.1.4 The allocation of the EVN, which may incorporate the GB Operational Number (TOPS), is the responsibility of the Registration Entity. 3.2 Allocation of the EVN 3.2.1 The numbering rules in Appendix A shall be used for the allocation of a unique EVN for all vehicles first registered in GB. G 3.2.2 G 3.2.3 G 3.2.4 G 3.2.5 G 3.2.6 Rationale The OPE TSI sets out the requirement for the EVN. However, the NVR Decision does not set out the technical characteristic codes for locomotives, multiple units and vehicles used in fixed formation. Appendix A sets out the relevant GB requirements. Guidance The current version of the OPE TSI (2015/995/EU) mandates, via clause 4.2.2.3 and Appendix H, the allocation and display of the EVN together with other operational data. The EVN numbering rules were previously part of the OPE TSI; however, Commission Decision 2012/757/EU Annex II transferred these to a new Appendix 6 of the NVR Decision. The GB Registration Entity validates the technical characteristic element of the EVN with the European Union Agency for Railways (ERA) where the numbering rules for the EVN are defined within the NVR Decision. For example, in the case of wagons the technical characteristics are initially described using alpha codes, which are then used to generate the technical characteristics digits 5 to 8 within the EVN. For existing vehicles operating only on the GB railway network, which previously only had a GB Operational Number (TOPS), the EVN rules in the NVR Decision may result in an EVN being allocated which does not contain the original GB operational number. RSSB Page 17 of 83

G 3.2.7 G 3.2.8 G 3.2.9 The OPE TSI in Appendix H.1 states that the EVN can 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. EVNs may be reserved for a maximum period of three years. After this period, the EVN is withdrawn when it has not been allocated to a rail vehicle. It is permissible to reallocate an EVN. Generally, this occurs if the reserved rail vehicle number has not been used on an actual vehicle. 3.3 Allocation of multiple unit set identification numbers 3.3.1 In addition to the rail vehicle identification numbers within a multiple unit set, the set itself shall carry a unique number in a separate series from the rail vehicle numbers. 3.3.2 The numbering rules in Appendix A shall be used for the allocation of a unique multiple unit set identification number. 3.3.3 This multiple unit set identification number shall consist of a three-digit class identifier (for example 465) followed by a three-digit individual unit identifier (for example 465 201). 3.3.4 The same class or sub-class identifier shall not be allocated to units of different types. G 3.3.5 G 3.3.6 Rationale The allocation of unique multiple unit set identification numbers is outside the scope of the NVR Decision. This document sets out the requirements for such allocation to maintain compatibility with GB operational systems. The GB mainline operational systems, such as Gemini, utilise multiple unit set identification numbers for the diagramming and movement of trains. G 3.3.7 G 3.3.8 G 3.3.9 G 3.3.10 Page 18 of 83 Guidance Significant differences of the rail vehicle characteristics, for example, axle loads, axle spacing, bogie types, brake performance, kinematic gauge, length and Route Availability (RA) number, require the multiple unit to be allocated a different class or sub-class identifier. It is permissible for multiple units to be given the same class identifier as an existing multiple unit provided that the rail vehicles in the unit have no significant differences in their characteristics. Where a multiple unit set is to be rebuilt or renumbered following technical modifications resulting in changes to the interoperability capability or technical characteristics of the vehicles, it is permissible to request the reservation in R2 of a new multiple unit set identification number for the multiple unit set. It is permissible to reallocate a reserved multiple unit set identification number. Generally, this occurs if the reserved multiple unit set number has not been used on an actual vehicle. RSSB

G 3.3.11 G 3.3.12 It is permissible to reallocate a multiple unit set identification number where it is known that the multiple unit set has been scrapped and it has been de-registered from R2 for a period of at least three years. Where a multiple unit set is to be renumbered following technical modifications, it is permissible for the vehicles within the multiple unit set to retain their existing rail vehicle identification numbers. 3.4 Vehicle keeper registration and marking G 3.4.1 G 3.4.2 G 3.4.3 Guidance The identity of the vehicle keeper is recorded in the NVR. The allocation and registering of the Vehicle Keeper Marking (VKM) is set out in the NVR Decision Appendix 6, part 1. The allocation of the VKM was previously part of the OPE TSI; however, Commission Decision 2012/757/EU Annex II transferred these rules to a new Appendix 6 of the NVR. Unless notified otherwise, the Vehicle Keeper is registered in R2 and the NVR as either the RU (for vehicles in use) or the owner (for vehicles not in use). 3.5 Heritage rail vehicle numbers 3.5.1 Heritage rail vehicles intended for limited operation on the GB mainline network shall be allocated a GB operational number (TOPS). 3.5.2 The GB operational number (TOPS) shall consist of five digits. 3.5.3 The first two digits of the GB operational number (TOPS) shall be 98 (for example 98123). G 3.5.4 G 3.5.5 G 3.5.6 Rationale Heritage vehicles are excluded from aspects of the mainline regulations in accordance with the Railways and Other Guided Transport Systems (Safety) Regulations (ROGS) 2013 regulation 2A (2); therefore, heritage vehicles are not required to be allocated an EVN. The issue of a GB operational number (TOPS) is required to maintain compatibility with GB mainline operational systems. Guidance As heritage vehicles are not required to be allocated an EVN, the requirements for allocation of numbers set out in Appendix A will not apply in cases where an EVN is not allocated. RSSB Page 19 of 83

3.6 Numbers for other vehicles 3.6.1 Rail vehicles excluded from the Railways (Interoperability) Regulations 2011 (as amended) that operate on the GB mainline network (for example metro vehicles) shall be allocated a unique GB operational number (TOPS). 3.6.2 Rail vehicles that only undergo transit moves on the GB mainline network shall be allocated a unique GB operational number (TOPS) for transit movement purposes only. G 3.6.3 Rationale The allocation of the GB operational number (TOPS) is to maintain compatibility with GB operational systems and is outside the scope of the NVR Decision. G 3.6.4 Guidance Rail vehicles that only transit on the GB mainline network are not required to be allocated an EVN. G 3.6.5 Rail vehicles that are excluded from the Railways (Interoperability) Regulations 2011 are not required to be allocated an EVN. Page 20 of 83 RSSB

Part 4 Requirements for the of Rail Vehicles 4.1 Display of the EVN and VKM G 4.1.1 G 4.1.2 G 4.1.3 Guidance The OPE TSI (2015/995/EU) mandates the display of the EVN and VKM on all new vehicles and those existing vehicles that operate in international service. The OPE TSI Annex H sets out the requirements for the layout and display of the EVN and the VKM for rail vehicles intended to be used in international traffic. The NVR Decision states that display of the EVN on existing vehicles used only in domestic traffic is on a voluntary basis. However, the display of the EVN is helpful where vehicles are fitted with a Radio Frequency Identification (RFID) tag that is derived from the EVN. Requirements for these tags are set out in RIS-0796-CCS (to be published). 4.2 Display of GB operational number (TOPS) 4.2.1 For existing GB registered vehicles, the GB operational number (TOPS) shall: a) Be displayed on each side of the rail vehicle using a minimum of 80 mm high Arabic numerals. b) Be written in sans serif font. c) Contrast with the background. d) Not be positioned higher than 2 m above rail level. G 4.2.2 G 4.2.3 G 4.2.4 G 4.2.5 G 4.2.6 G 4.2.7 Rationale The minimum size, position and font specified enables clear recognition by operational staff. Guidance This requirement does not prevent the additional display of the rail vehicle identification number in additional locations, as necessary, to support operations. For existing GB registered vehicles, not intended to be used in international traffic, the display of the EVN and VKM is voluntary. Where the EVN and VKM are chosen to be displayed, they are displayed in accordance with the requirements of the OPE TSI. When the EVN is displayed, the OPE TSI also permits the display, in figures of larger size than the EVN, of an additional unique operational number. This permits such vehicles to display the GB operational number (TOPS). The OPE TSI states that the place where this additional unique operational number is displayed is voluntary; however, it is necessary to be able to clearly distinguish the EVN from the unique operational number. Where this additional operational number utilises an extract from the EVN, this can either be displayed separately or clearly identified within the full EVN. RSSB Page 21 of 83

Examples of number formats 92 70 00 12345-9 Enlarged digits (160mm) Underlined digits XX 2345 Separate operational number G 4.2.8 Table 2: Number formats In cases where the additional operational number utilising an extract of the EVN is displayed separately, the requirements in clause 4.2.1 apply. 4.3 Heritage rail vehicle identification numbers 4.3.1 For heritage rail vehicles intending to operate on the GB mainline network, the GB Operational Number (TOPS) shall be displayed on the rail vehicle so that it is visible to authorised personnel, for example in the driver s cab. G 4.3.2 G 4.3.3 G 4.3.4 G 4.3.5 Rationale The display of the GB operational number (TOPS) is necessary to maintain compatibility with GB operational systems. Guidance It is also permissible for heritage rail vehicles to externally display their former or original numbers for historical reasons. The display of the EVN and VKM is on a voluntary basis for heritage vehicles. Where the EVN and VKM are chosen to be displayed, they are displayed in accordance with the requirements of the OPE TSI. It is permissible for heritage vehicles that only transit on the GB mainline network to display their own vehicle identification numbers. 4.4 Other vehicles G 4.4.1 Guidance Other vehicles excluded from the Railways (Interoperability) Regulations 2011 (as amended) that operate on the GB mainline network are not required to display the GB operational number (TOPS), but may continue to display their own identification number. Examples of such vehicles include metro vehicles or other vehicles undergoing transit moves. Page 22 of 83 RSSB

4.5 Display of the multiple unit and fixed formation set identification number 4.5.1 Multiple unit sets shall have the multiple unit set identification number displayed in full, externally on each end of the set. 4.5.2 The display of the multiple unit set identification number shall be on the front of the cab or, if not on the front of the cab, on both sides of the vehicle at the cab end. G 4.5.3 G 4.5.4 G 4.5.5 G 4.5.6 Rationale The display of the multiple unit set identification numbering is necessary for operational purposes. Guidance The requirements for multiple unit set identification numbers are set out in Appendix A. It is permissible for the class identifier element of the multiple unit set identification number to be separated by a short space, for example 465 201. It is permissible not to display the multiple unit set identification number on the end vehicles of the fixed formation where a multiple unit set identification number is assigned for operational purposes and the formation is regularly changed at a depot. 4.6 Identification in traincrew areas 4.6.1 The rail vehicle identification number shall be displayed internally in every driving cab, in every passenger carrying vehicle at each end, and in every area reserved for traincrew, using alphanumeric characters not less than 25 mm in height. 4.6.2 The multiple unit set identification number shall be displayed in every driving cab. 4.6.3 For Non-Passenger Carrying Coaching Stock (NPCCS) the rail vehicle identification number shall be displayed at every rail vehicle end. G 4.6.4 G 4.6.5 Rationale The display of the rail vehicle identification number, together with the multiple set identification numbering in each driving cab, is required for operational purposes and to assist operational staff to immediately understand where they are within a train should they need to summon help or report a fault. Guidance The identification number to be displayed is either the EVN or the GB operational number (TOPS). 4.7 Additional data to be displayed 4.7.1 Rail vehicles not intended to be used in international traffic shall display the data as set out in Appendix C. RSSB Page 23 of 83

G 4.7.2 Rationale The display of the operational data is to facilitate rail vehicle operation and operational maintenance when national operating systems are not available. Guidance G 4.7.3 The location for each item of data is set out in Appendix C. G 4.7.4 Operational data to be displayed on rail vehicles operating in international traffic is set out in OPE TSI Annex H and WAG TSI Annex B. 4.8 Data visibility 4.8.1 Data shall be displayed in a colour to provide contrast with the background colour. 4.8.2 Where sufficient contrast cannot be attained with the background colour, the data shall be displayed on a panel designed to produce contrast. G 4.8.3 G 4.8.4 Rationale The display of the data in contrast to the background vehicle colour is to assist operational staff to read the data under adverse lighting conditions. Guidance None. Page 24 of 83 RSSB

Appendices Appendix A Rules for the Allocation of a European Vehicle Number A.1 Locomotives and heritage vehicles A.1.1 A.1.2 A.1.3 A.1.4 A.1.5 It is permissible for existing locomotives that operate solely on the GB mainline network to only display the GB operational number (TOPS). This consists of five digits, corresponding to digits 7 to 11 of the EVN. Shunting locomotives shall display a preceding zero to achieve the minimum of five digits. High speed train (HST) power cars (Class 43) are covered by the multiple unit set and fixed formation rail vehicle number ranges as set out in Table 4. Electric shunting locomotive technical characteristics (class identification) shall be selected from the diesel shunting locomotive or the electric locomotive ranges. For clarity, the GB equivalent number range shall be displayed on the rail vehicle with the class identifiers separated from the serial number by a short space, for example 08 425 and 73 201. Table 3 sets out the number ranges that shall be used for locomotives and heritage vehicles. RSSB Page 25 of 83

Vehicle type Interoperability capability and type of vehicle [two digits] In accordance with NVR Appendix 6 Part '8' Country in which the rail vehicle is registered [two digits] In accordance with NVR Appendix 6 Part '4' Technical characteristics [four digits] Class identification Serial number [three digits] Check digit [one digit] In accordance with NVR Appendix 6 Part '3' In accordance with NVR Appendix 6 Part '0' GB equivalent number range [seven digits] Diesel shunting locomotives Electric shunting locomotives 98 70 (GB) 0001-0009 xxx x 97 70 (GB) See A.1.4 xxx x Diesel locomotives 92 70 (GB) 0010-0079 xxx x Electric locomotives 91 70 (GB) 0080-0096 xxx x Existing electrodiesel locomotives 91 70 (GB) 0073 xxx x Heritage locomotives 90 70 (GB) 0098 xxx x Table 3: Locomotives and heritage vehicles Page 26 of 83 RSSB

A.2 Multiple unit and fixed formation rail vehicle number ranges A.2.1 Table 4 sets out the number ranges for rail vehicles in new multiple units and fixed formations. A high-speed rail vehicle is defined as being capable of operating at speeds above 190 km/h. RSSB Page 27 of 83

Rail vehicle group Interoperability capability and type of vehicle [two digits] In accordance with NVR Appendix 6 Part '8' A Country in which the rail vehicle is registered [two digits] In accordance with NVR Appendix 6 Part '4' Technical characteristics [four digits] Serial number [three digits] Check digit [one digit] In accordance with NVR Appendix 6 Part '3' In accordance with NVR Appendix 6 Part '0' GB equivalent number range [seven digits] DMU (not high speed) vehicles EMU (not high speed) vehicles DMU (high speed) vehicles EMU (high speed) vehicles Fixed formation trailer vehicles 95 70 (GB) 0100000-0299999 x 94 70 (GB) 0300000-0499999 x 95 70 (GB) 0500000-0699999 x 93 70 (GB) 0700000-0899999 x 96 70 (GB) 0000300-0099999 x Table 4: Number ranges for new multiple units and fixed formation rail vehicles Page 28 of 83 RSSB

A.2.2 Table 5 and Table 6 show the previously allocated number ranges for rail vehicles in multiple units and fixed formations. It is permissible for these number ranges to be used for new rail vehicles providing they do not duplicate an allocated number. RSSB Page 29 of 83

Rail vehicle group Existing rail vehicle number ranges European vehicle number Interopera-bility capability and type of vehicle [two digits] In accordance with NVR Appendix 6 Part '8' Country in which the rail vehicle is registered [two digits] In accordance with NVR Appendix 6 Part '4' Technical character-istics [four digits] Serial number [three digits] Check digit [one digit] In accordance with NVR Appendix 6 Part '3' In accordance with NVR Appendix 6 Part '0' GB equivalent number range [seven digits] Isle of Wight vehicles 100-299 94 70 (GB) 0000100-0000299 x EMU vehicles 36000-39999 94 70 (GB) 0036000-0039999 x DMU vehicles 50000-60999 95 70 (GB) 0050000-0060999 x EMU vehicles 61000-79099 93 / 94 70 (GB) 0061000-0079099 x DMU vehicles 79100-79999 95 70 (GB) 0079100-0079999 x Table 5: Number ranges previously allocated for rail vehicles in multiple units Page 30 of 83 RSSB

Rail vehicle group Existing rail vehicle number ranges European vehicle number Interopera-bility capability and type of vehicle [two digits] In accordance with NVR Appendix 6 Part '8' Country in which the rail vehicle is registered [two digits] In accordance with NVR Appendix 6 Part '4' Technical character-istics [four digits] Serial number [three digits] Check digit [one digit] In accordance with NVR Appendix 6 Part '3' In accordance with NVR Appendix 6 Part '0' GB equivalent number range [seven digits] HST vehicles 40000-49999 95 70 (GB) 0040000-0049999 x Eurostar vehicles 3730000-3740999 93 70 (GB) 3730000-3740999 x 87 (FR) 88 (B) Fixed formation trailer vehicles 300-99999 96 70 (GB) 0000300-0099999 x Table 6: Number ranges previously allocated for rail vehicles in fixed formations RSSB Page 31 of 83

A.2.3 A.2.4 A.2.5 The interoperability capability and rail vehicle type numbers 93, 94 and 95 cover both powered and trailer vehicles. It is permissible for the individual rail vehicles in multiple units and fixed formations that are not intended to be used in international traffic to display the GB equivalent number range excluding the leading zeros (three to six digits). Metro rail vehicles with limited operation on the GB mainline network are allocated a unique GB operational number (TOPS). For example, the number range 9xxxxx 99xxxx has been reserved for London Underground Ltd rail vehicles. A.3 Multiple unit and fixed formation set identification numbers A.3.1 Table 7 sets out the class identifier range that shall be used for multiple unit sets. (This classification is not covered by the OPE TSI and NVR.) A high-speed unit is one capable of operating at speeds above 190 km/h. Multiple unit / fixed formation sets Rail vehicle group Class identifier range Sub-class and unit serial number [three digits] Diesel mechanical / hydraulic multiple unit sets Diesel electric multiple unit sets Diesel and / or other fuels multiple unit sets DC electric multiple unit sets AC and AC / DC electric multiple unit sets AC and AC / DC electric multiple unit sets 100-199 xxx 200-299 xxx 600-699 xxx 400-599 xxx 300-399 xxx 700-749 xxx Bi-mode multiple unit sets 750-799 xxx High-speed multiple unit / fixed formation sets 800-899 xxx Page 32 of 83 RSSB

Multiple unit / fixed formation sets Rail vehicle group Class identifier range Sub-class and unit serial number [three digits] Infrastructure maintenance / nonpassenger multiple unit / fixed formation sets 900-999 xxx Table 7: Multiple unit identification set numbers A.4 Freight wagons A.4.1 A.4.2 A.4.3 A.4.4 For new freight wagons, the allocation and display of the EVN shall be in accordance with the OPE TSI and NVR Decision requirements. In addition, it is permissible to allocate and display an additional unique operational number (for example, TOPS number). It is permissible for existing freight wagons that are not intended to be used in international traffic to continue operating with their existing GB alphanumeric number. Alternatively, it is permissible for existing wagons to operate with their allocated EVN. The display of the EVN on existing vehicles is on a voluntary basis; however, the display of the EVN is helpful where vehicles are fitted with an RFID tag that is derived from the EVN. Requirements for these tags are set out in RIS-0796-CCS (to be published). When wagons operate with their EVN, the painted number to be displayed shall be the complete 12-digit EVN. A.5 Loco hauled coaching stock A.5.1 A.5.2 A.5.3 For new vehicles, the allocation and display of the EVN shall be in accordance with the OPE TSI and NVR requirements. In addition, it is permissible to allocate and display an additional unique operational number (for example, TOPS number). It is permissible for existing hauled passenger stock vehicles to continue operating with their existing number. Alternatively, it is permissible for existing hauled passenger stock vehicles to operate with their allocated EVN. For the additional unique operational number, it is permissible to use a shortened version of the EVN (digits five to eleven only of the EVN). A.6 Special vehicles (on-track machines) A.6.1 The OPE TSI uses the term special vehicles. These special vehicles are used for maintaining the infrastructure or for recovery purposes (for example on-track machines (OTMs), dedicated wagons, snow ploughs and rail-mounted cranes). RSSB Page 33 of 83

A.6.2 A.6.3 For new special vehicles the allocation and display of the EVN shall be in accordance with the OPE TSI and NVR requirements. In addition, it is permissible to allocate and display an additional unique operational number (for example, TOPS number). For existing special vehicles that are not intended to be used in international traffic it is permissible to only display their existing number (five digits) together with any alpha prefixes. The display of the 12-digit EVN is on a voluntary basis. Page 34 of 83 RSSB

Appendix B Mandatory Data for Rail Vehicles B.1 Data to be provided to populate R2 B.1.1 The content from this Appendix is required by Part 2. B.1.2 The convention used in Appendix B for the number formats is as per Microsoft notation, where, for example, 6,2 means six digits, of which two are after the decimal point, for example, 1234.12 RSSB Page 35 of 83