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            COMMISSION DECISION         

of 11 August 2006         

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

(notified under document number C(2006) 3593)

(Text with EEA relevance)

(2006/920/EC)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

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

Whereas:

HAS ADOPTED THIS DECISION:

Article 1

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

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

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

Article 2

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

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

Article 3

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

Article 4

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

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

Article 5

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

Article 6

This Decision is addressed to the Member States.

Done at Brussels, 11 August 2006.

For the Commission

Jacques BARROT            

Vice-President

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

(2)OJ L 235, 17.9.1996, p. 6. Directive as last amended by Directive 2004/50/EC.

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ANNEX

TECHNICAL SPECIFICATION FOR INTEROPERABILITY

SUBSYSTEM: OPERATION AND TRAFFIC MANAGEMENT

TECHNICAL SPECIFICATION FOR INTEROPERABILITY

TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM

1.   INTRODUCTION

1.1.   TECHNICAL SCOPE

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

Further information on this subsystem is provided in Chapter 2.

1.2.   GEOGRAPHICAL SCOPE

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

Content of this TSI

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

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

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

2.   DEFINITION OF SUBSYSTEM/SCOPE

2.1.   SUBSYSTEM

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

It includes in particular:

2.2.   SCOPE

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

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

2.2.1.   STAFF AND TRAINS

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

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

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

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

This can be summarised in the tables below:

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

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

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

2.2.2.   OPERATING PRINCIPLES

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

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

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

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

2.2.3.   APPLICABILITY TO EXISTING VEHICLES AND INFRASTRUCTURE

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

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

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

2.3.   LINK BETWEEN THIS TSI AND DIRECTIVE 2004/49/EC

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

3.   ESSENTIAL REQUIREMENTS

3.1.   COMPLIANCE WITH THE ESSENTIAL REQUIREMENTS

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

3.2.   ESSENTIAL REQUIREMENTS — OVERVIEW

The essential requirements cover:

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

3.3.   SPECIFIC ASPECTS IN RELATION TO THESE REQUIREMENTS

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

3.3.1.   SAFETY

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

3.3.2.   RELIABILITY AND AVAILABILITY

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

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

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

3.3.3.   HEALTH

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

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

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

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

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

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

3.3.4.   ENVIRONMENTAL PROTECTION

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

3.3.5.   TECHNICAL COMPATIBILITY

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

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

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

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

3.4.   ASPECTS RELATING SPECIFICALLY TO THE TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM

3.4.1.   SAFETY

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

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

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

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

3.4.2.   RELIABILITY AND AVAILABILITY

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

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

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

3.4.3.   TECHNICAL COMPATIBILITY

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

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

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

4.   CHARACTERISTICS OF THE SUB-SYSTEM

4.1.   INTRODUCTION

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

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

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

4.2.   FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE SUB-SYSTEM

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

4.2.1.   SPECIFICATIONS RELATING TO STAFF

4.2.1.1.   General requirements

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

The areas covered are:

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

4.2.1.2.   Documentation for drivers

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

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

4.2.1.2.1.   Rule Book

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

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

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

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

The Railway Undertaking is responsible for compiling this document.

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

It shall have two appendices:

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

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

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

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

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

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

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

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

4.2.1.2.2.1.   Preparation of the Route Book

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

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

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

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

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

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

4.2.1.2.2.2.   Modified elements

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

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

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

4.2.1.2.2.3.   Informing the driver in real time

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

4.2.1.2.3.   Timetables

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

The Railway Undertaking must provide drivers with the information necessary for the normal running of the train and as a minimum include:

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

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

4.2.1.2.4.   Rolling stock

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

4.2.1.3.   Documentation for Railway Undertaking staff other than drivers

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

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

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

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

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

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

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

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

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

Where however, 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.   Train visibility

4.2.2.1.1.   General requirement

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

4.2.2.1.2.   Front end

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

The detailed specification can be found in Subsection 4.3.3.4.1.

4.2.2.1.3.   Rear end

These requirements are specified in Annex S.

4.2.2.2.   Train audibility

4.2.2.2.1.   General requirement

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

4.2.2.2.2.   Control

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

4.2.2.3.   Vehicle identification

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

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

Further requirements are specified in Annex P.

4.2.2.4.   Freight vehicle loading

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

4.2.2.4.1.   Weight distribution

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

4.2.2.4.2.   Axle loading

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

4.2.2.4.3.   Load securing

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

4.2.2.4.4.   Kinematic envelope

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

4.2.2.4.5.   Load covering

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

4.2.2.5.   Train composition

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

Train Composition requirements must take into account the following elements:

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

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

4.2.2.6.   Train braking

4.2.2.6.1.   Minimum requirements of the braking system

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

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

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

4.2.2.6.2.   Brake performance

The Infrastructure Manager must decide whether to:

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

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

Further requirements are specified in Annex T.

4.2.2.7.   Ensuring that the train is in running order

4.2.2.7.1.   General requirement

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

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

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

4.2.2.7.2.   Data required

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

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

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

4.2.3.   SPECIFICATIONS RELATING TO TRAIN OPERATIONS

4.2.3.1.   Train planning

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

4.2.3.2.   Identification of trains

An unambiguous identification for all trains must exist.

These requirements are specified in Annex R.

4.2.3.3.   Train departure

4.2.3.3.1.   Checks and tests before departure

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

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

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

4.2.3.4.   Traffic management

4.2.3.4.1.   General requirements

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

The Infrastructure Manager must determine procedures and means for:

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

4.2.3.4.2.   Train reporting

4.2.3.4.2.1.   Data required for train position reporting

The Infrastructure Manager must:

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:

4.2.3.4.4.   Operational quality

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

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

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

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

These processes shall be documented and subject to internal audit.

4.2.3.5.   Data recording

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

It must be possible to match recorded data to:

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

4.2.3.5.1.   Recording of supervision data outside the train

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

4.2.3.5.2.   Recording of supervision data on-board the train

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

4.2.3.6.   Degraded operation

4.2.3.6.1.   Advice to other users

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

4.2.3.6.2.   Advice to train drivers

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

4.2.3.6.3.   Contingency arrangements

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

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

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

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

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

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

4.2.3.7.   Managing an emergency situation

The Infrastructure Manager must, in consultation with:

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

Such measures shall typically cover:

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

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

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

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

4.3.   FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE INTERFACES

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

4.3.1.   INTERFACES WITH THE INFRASTRUCTURE TSI

RESERVED

4.3.2.   INTERFACES WITH THE CONTROL/COMMAND AND SIGNALLING TSI

4.3.2.1.   Recording of supervision data

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

4.3.2.2.   Driver vigilance

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

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

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

4.3.2.4.   Signal and lineside marker sighting

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

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

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

4.3.2.5.   Train braking

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

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

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

4.3.2.7.   Data recording and hot axle box detection

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

4.3.3.   INTERFACES WITH THE ROLLING STOCK TSI

4.3.3.1.   Vehicle identification

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

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

4.3.3.2.   Braking

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

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

4.3.3.3.   Requirements for passenger vehicles

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

4.3.3.4.   Train visibility

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

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

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

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

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

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

4.3.3.4.2.   On the rear end

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

4.3.3.5.   Train audibility

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

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

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

4.3.3.6.   Signal sighting

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

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

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

4.3.3.7.   Driver vigilance

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

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

4.3.3.8.   Train composition and annex B

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

4.3.3.9.   Freight Vehicle loading

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

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

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

4.3.3.11.   Train composition, annexes H and L

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

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

4.3.3.12.   Contingency arrangements and Managing an emergency situation

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

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

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

4.3.3.13.   Data recording

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

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

4.3.4.   INTERFACES WITH THE TSI TELEMATIC APPLICATIONS

4.3.4.1.   Identification of trains

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

4.3.4.2.   Train composition

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

4.3.4.3.   Train departure

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

4.3.4.4.   Train running

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

4.3.4.5.   Vehicle identification

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

4.4.   OPERATING RULES

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

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

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

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

4.5.   MAINTENANCE RULES

Not applicable

4.6.   PROFESSIONAL QUALIFICATIONS

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

4.6.1.   PROFESSIONAL COMPETENCY

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

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

4.6.1.1.   Professional knowledge

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

4.6.1.2.   Ability to put this knowledge into practice

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

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

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

4.6.2.   LINGUISTIC COMPETENCY

4.6.2.1.   Principles

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

Where the ‘operating’ 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.   Level of knowledge

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

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

4.6.3.   INITIAL AND ONGOING ASSESSMENT OF STAFF

4.6.3.1.   Basic elements

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

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

4.6.3.2.   Analysis of training needs

4.6.3.2.1.   Development of the analysis of training needs

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

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

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

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

4.6.3.2.2.   Updating the analysis of training needs

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

4.6.3.2.3.   Specific elements for traincrew and auxiliary staff

4.6.3.2.3.1.   Route knowledge

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

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

4.6.3.2.3.2.   Knowledge of rolling stock

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

4.6.3.2.3.3.   Auxiliary staff

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

4.7.   HEALTH AND SAFETY CONDITIONS

4.7.1.   INTRODUCTION

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

In conformity with Directive 2004/49/EC, Railway Undertakings and Infrastructure Managers must set up and document the process they put in place to meet the medical, psychological and health requirements for their staff within their Safety Management System.

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

Staff must not perform safety critical work whilst vigilance is impaired by substances such as alcohol, drugs or psychotropic medication. Therefore, the Railway Undertaking and the Infrastructure Manager must have in place procedures to control the risk that staff attend for work under the influence of such substances, or consume such substances at work.

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

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

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

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

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

4.7.3.   CRITERIA FOR APPROVAL OF PSYCHOLOGISTS INVOLVED IN PSYCHOLOGICAL ASSESSMENT AND PSYCHOLOGICAL ASSESSMENT REQUIREMENTS

4.7.3.1.   Certification of psychologists

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

4.7.3.2.   Content and interpretation of psychological assessment

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

4.7.3.3.   Selection of assessment tools

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

4.7.4.   MEDICAL EXAMINATIONS AND PSYCHOLOGICAL ASSESSMENTS

4.7.4.1.   Before appointment:

4.7.4.1.1.   Minimum content of the medical examination

Medical examinations must cover:

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:

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

4.7.4.2.   After appointment

4.7.4.2.1.   Periodicity of periodic medical examinations

At least one systematic medical examination must be performed:

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:

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.   General requirements

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

The following vision and hearing requirements must be met:

4.7.5.2.   Vision requirements

4.7.5.3.   Hearing requirements

Sufficient hearing confirmed with tone audiogram, that is:

4.7.5.4.   Pregnancy

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

4.7.6.   SPECIFIC REQUIREMENTS REGARDING THE TASK OF DRIVING A TRAIN

4.7.6.1.   Periodicity of periodic medical examinations

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

At least one systematic medical examination must be performed:

4.7.6.2.   Additional content of medical examination

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

4.7.6.3.   Additional vision requirements

4.7.6.4.   Additional hearing and speaking requirements

4.7.6.5.   Anthropometrics

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

4.7.6.6.   Trauma Counselling

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

4.8.   INFRASTRUCTURE AND ROLLING STOCK REGISTERS

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

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

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

4.8.1.   INFRASTRUCTURE

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

4.8.2.   ROLLING STOCK

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

5.   INTEROPERABILITY CONSTITUENTS

5.1.   DEFINITION

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

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

An interoperability constituent is:

5.2.   LIST OF CONSTITUENTS

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

5.3.   CONSTITUENTS' PERFORMANCES AND SPECIFICATIONS

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

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

6.1.   INTEROPERABILITY CONSTITUENTS

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

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

6.2.   TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM

6.2.1.   PRINCIPLES

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

However, the individual elements are closely aligned with the operational procedures and processes required from an Infrastructure Manager or Railway Undertaking for the granting of a safety authorisation/certificate under the terms of the Directive 2004/49/EC. The Railwy Undertakings and Infrastructure Managers shall demonstrate compliance with the requirements of this TSI. They can do this by using the Safety Manangement System as described in Directive 2004/49/EC. It should be noted that at present none of the elements contained within this TSI require separate assessment by a Notified Body.

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

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

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

6.2.2.   RULES AND PROCEDURES DOCUMENTATION

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

6.2.3.   ASSESSMENT PROCEDURE

6.2.3.1.   Decision by the Competent Authority

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

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

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

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

6.2.3.2.   If an assessment is required

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

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

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

6.2.4.   SYSTEM PERFORMANCE

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

7.   IMPLEMENTATION

7.1.   PRINCIPLES

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

This plan must take into account:

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

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

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

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

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

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

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

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

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

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

7.2.   IMPLEMENTATION GUIDELINES

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

There are three distinct elements to implementation:

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:

7.3.2.   LIST OF SPECIFIC CASES

Temporary Specific Case (T2) Ireland

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

Temporary Specific Case (T2) UK

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

----

(1)  Section 4.7.2 is a recommendation

ANNEX A1:

ERTMS/ETCS OPERATING RULES

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

1.   INTRODUCTION

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

2.   GLOSSARY

Reserved

3.   DOCUMENTS

3.1.   WRITTEN ORDERS AND TEXT MESSAGES

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

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

3.1.1.   ERTMS WRITTEN ORDER 01
Text of image

ERTMS Written Order 01

PERMISSION TO START IN SR/TO OVERPASS AN EOA

Signal box ... Date .../.../... Time ... : ...

Driver of Train No ... at ... on track ...

(km/board/signal)

1 is allowed to start in SR after awakening

2 is allowed to overpass ...

(board/signal)

3 run with maximum speed of ... km/h from ... to ...

(km/board/signal) (km/board/signal)

and ... km/h from ... to ...

(km/board/signal) (km/board/signal)

and ... km/h from ... to ...

(km/board/signal) (km/board/signal)

4 additional instructions ...

...

Authorisation No ...

Fill in the blanks in highlighted lines. Cross out non-valid text in brackets (example: km/board/signal).

Only lines with boxes you crossed are valid (x).

3.1.2.   ERTMS WRITTEN ORDER 02
Text of image

ERTMS Written Order 02

PERMISSION TO PROCEED AFTER TRAIN TRIP

Signal box ... Date .../.../... Time ... : ...

Driver of Train No ... at ... on track ...

(km/board/signal)

1 is allowed to start in SR, if no MA received,

2 run with maximum speed of ... km/h from ... to ...

(km/board/signal) (km/board/signal)

and ... km/h from ... to ...

(km/board/signal) (km/board/signal)

and ... km/h from ... to ...

(km/board/signal) (km/board/signal)

3 examine the line, for the following reason : ...

...

4 report findings to ...

5 additional instructions ...

Authorisation No ...

Fill in the blanks in highlighted lines. Cross out non-valid text in brackets (example: km/board/signal).

Only lines with boxes you crossed are valid (x).

3.1.3.   ERTMS WRITTEN ORDER 03
Text of image

ERTMS Written Order 03

OBLIGATION TO REMAIN AT STANDSTILL

Signal box ... Date .../.../... Time ... : ...

Driver of Train No ... at ... on track ...

(km/board/signal)

1 remain at standstill at ...

(km/board/signal)

2 additional instructions ...

...

Authorisation No ...

Fill in the blanks in highlighted lines. Cross out non-valid text in brackets (example: km/board/signal).

Only lines with boxes you crossed are valid (x).

3.1.4.   ERTMS WRITTEN ORDER 04
Text of image

ERTMS Written Order 04

PERMISSION TO RESTART

AFTER AN ORDER TO REMAIN AT STANDSTILL

Signal box ... Date .../.../... Time ... : ...

Driver of Train No ... at ... on track ...

(km/board/signal)

1 is authorised to restart

2 additional instructions ...

...

Authorisation No ...

Fill in the blanks in highlighted lines. Cross out non-valid text in brackets (example: km/board/signal).

Only lines with boxes you crossed are valid (x).

3.1.5   ERTMS WRITTEN ORDER 05
Text of image

ERTMS Written Order 05

OBLIGATION TO RUN UNDER RESTRICTIONS

Signal box ... Date .../.../... Time ... : ...

Driver of Train No ... at ... on track ...

(km/board/signal)

1 run on sight from ... to ...

(km/board/signal) (km/board/signal)

2 run with maximum speed of ... km/h from ... to ...

(km/board/signal) (km/board/signal)

and ... km/h from ... to ...

(km/board/signal) (km/board/signal)

and ... km/h from ... to ...

(km/board/signal) (km/board/signal)

3 examine the line, for the following reason : ...

...

4 report findings to ...

5 additional instructions ...

...

Authorisation No ...

Fill in the blanks in highlighted lines. Cross out non-valid text in brackets (example: km/board/signal).

Only lines with boxes you crossed are valid (x).

3.1.6.   ERTMS WRITTEN ORDER 06
Text of image

ERTMS Written Order 06

PERMISSION TO OVERRIDE ROUTE UNSUITABILITY

Signal box ... Date .../.../... Time ... : ...

Driver of Train No ... at ... on track ...

(km/board/signal)

1 override route unsuitability

2 additional instructions ...

...

Authorisation No ...

Fill in the blanks in highlighted lines. Cross out non-valid text in brackets (example: km/board/signal).

Only lines with boxes you crossed are valid (x).

3.1.7.   ERTMS TEXT MESSAGES

Text message to be confirmed:

3.2.   SITUATIONS — RULES

Intentionally blank.

4.   ERTMS TRAIN CATEGORIES

4.1.   SCOPE AND PURPOSE

This document defines the ERTMS Train categories.

4.2.   DEFINITION

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

The symbols are the following:

An ERTMS train is defined:

5.   PREPARING A TRAIN AS A TANDEM MOVEMENT

5.1.   SITUATIONS

Intentionally blank.

5.2.   RULES

Intentionally blank.

6.   AWAKENING ON AN AWAKENING TRACK

6.1.   SITUATIONS

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

6.2.   RULES

When requested by the onboard system, the driver shall:

6.2.1.   THE TRACTION UNIT HAS TO MOVE AS A TRAIN

The driver shall:

6.2.1.1.   In level 0

The system requests an acknowledgement for UN.

The following message is displayed on the DMI:

                     ‘Ack UN’.

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

6.2.1.2.   In level 1

The system requests an acknowledgement for SR.

The following message is displayed on the DMI:

                     ‘Ack SR’.

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

6.2.1.3.   In level 2

Intentionally blank.

6.2.1.4.   In level STM

The system requests an acknowledgement for STM.

The following message is displayed on the DMI:

                     ‘Ack STM...’.

The driver shall apply national rules.

6.2.2.   THE TRACTION UNIT HAS TO MOVE IN SH

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

6.2.3.   THE TRACTION UNIT HAS TO MOVE IN NL

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

7.   ENDING A TRAIN AS A TANDEM MOVEMENT

7.1.   SITUATIONS

Intentionally blank.

7.2.   RULES

Intentionally blank.

8.   PERFORMING SHUNTING MOVEMENTS IN SH

8.1.   SITUATIONS

Rolling stock has to be moved in SH.

8.2.   RULES

8.2.1.   MANUAL ENTRY INTO SH

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

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

The driver shall select SH only at standstill.

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

                  ‘Waiting for SH’.

8.2.1.1.   Permission for shunting is granted.

The onboard system switches to SH.

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

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

When the message is displayed on the DMI:

the driver shall contact the signalman.

The driver and the signalman shall apply national rules.

8.2.2.   AUTOMATIC ENTRY INTO SH

The driver shall acknowledge the message:

                  ‘Ack SH’.

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

8.2.3.   EXIT FROM SH

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

9.   ENTERING DATA

9.1.   SITUATIONS

Data entry is necessary to prepare a train for service:

9.2.   RULES

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

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

9.2.1.   ENTERING DATA

A.   General case

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

Train data refer to rolling stock characteristics and include:

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

B.   Case of tandem movement

(to be completed)

9.2.1.1.   Trainset

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

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

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

If there are specific restrictions, the train preparer shall:

9.2.1.2.   Other trains

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

9.2.2.   CHANGES OF DATA

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

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

9.2.2.1.   Trainset

The driver shall:

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

9.2.2.2.   Other trains

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

To enter new train data, the driver shall:

10.   DEPARTURE OF THE TRAIN

10.1.   SITUATIONS

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

10.2.   RULES

The driver is allowed to depart after:

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

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

11.   REACTING IN FUNCTION OF DMI/SIGNALLING SYSTEM INSTRUCTION

11.1.   PRESENTATION OF THE DMI

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

11.1.1.   VISUAL INDICATIONS
Text of image

Warning time to intervention

Permitted speed

Current train speed

Distance to brake target or standstill location

Target speed

Level + continuous or discontinuous data transmission icon

Actual order and announcement

Technical mode icon

(This is an example of the visual indications).

11.1.2.   AUDIBLE INDICATIONS

Audible information is considered as complementary information.

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

Elementary sounds:

11.2.   RULES

11.2.1.   PRECEDENCE OF DMI INDICATIONS/WRITTEN ORDERS

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

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

11.2.2.   DMI INDICATIONS

11.2.3.   BRAKE INTERVENTION IN CASE OF OVERPASSING A SPEED LIMIT

11.2.3.1.   Situation

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

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

11.2.3.2.   Rules

11.2.4.   RELEASE SPEED

11.2.4.1.   Situation

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

11.2.4.2.   Rules

12.   GENERAL PRINCIPLES FOR LEVEL 1

12.1.   SCOPE AND PURPOSE

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

12.2.   PRINCIPLES

The driver shall know:

13.   RUNNING ON SIGHT

13.1.   SITUATIONS

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

13.2.   RULES

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

14.   MANAGING FAILURES OF THE ONBOARD SYSTEM

14.1.   SITUATIONS

A failure affecting the onboard system is detected.

14.2.   RULES

14.2.1.   FAILURE AFFECTING THE LOOP TRANSMISSION MODULE (LTM)

The driver observes the text message on the DMI:

                  ‘failure of LTM’.

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

14.2.2.   FAILURE AFFECTING THE BALISE TRANSMISSION MODULE (BTM)

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

14.2.3.   FAILURE AFFECTING THE EURORADIO

The driver observes the text message on the DMI:

                  ‘failure of Euroradio’.

14.2.4.   FAILURE AFFECTING THE DMI

14.2.5.   OTHER FAILURES

The driver observes the text message on the DMI:

                  ‘SF because of x’.

15.   AWAKENING OUTSIDE AN AWAKENING TRACK

15.1.   SITUATIONS

The driver has to awake the train and the traction unit is in SB.

15.2.   RULES

When requested by the onboard system, the driver shall:

15.2.1.   THE TRACTION UNIT HAS TO MOVE AS A TRAIN

The driver shall:

15.2.1.1.   In level 0

The system requests an acknowledgement for UN.

The following message is displayed on the DMI:

                     ‘Ack UN’.

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

15.2.1.2.   In level 1

The system requests an acknowledgement for SR.

The following message is displayed on the DMI:

                     ‘Ack SR’.

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

15.2.1.3.   In level 2

When the following message is displayed on the DMI:

                     ‘No radio connection with the RBC’,

the driver shall check the RBC ID and telephone number and correct them if necessary.

a)   The radio communication has been established

a1)   The system issues an MA:

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

a2)   The system requests an acknowledgement for SR:

The following message is displayed on the DMI:

                           ‘Ack SR’.

Before acknowledging the message the driver shall:

Before to authorise a driver to start in SR, the signalman shall get the following assurances for the part of the track from the marker board to be overpassed to the next one:

The signalman shall issue the ERTMS Written Order 01.

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

When the train is not close to the first marker board that the train will reach, the driver shall stop in front of this marker board to ascertain that the written order refers to it.

b)   The radio communication has not been established.

If the communication with the RBC can not be re-established and the train has to be moved, the signalman shall authorise the driver to overpass the EOA (rule‘Authorised Overpassing an EOA’). In this particular case the signalman is not allowed to exempt the driver from running on sight in SR.

15.2.1.4.   In level STM

The system requests an acknowledgement for STM...

The following message is displayed on the DMI:

                     ‘Ack STM...’.

The driver shall apply national rules.

15.2.2.   THE TRACTION UNIT HAS TO MOVE IN SH

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

15.2.3.   THE TRACTION UNIT HAS TO MOVE IN NL

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

16.   PREPARING A TRAIN AS A TANDEM MOVEMENT FOR ASSISTANCE

16.1.   SITUATIONS

The non leading engine and the train are already coupled and the onboard ERTMS-ETCS equipment of the non leading engine is ready to switch to SB.

16.2.   RULES

Intentionally blank.

17.   ENDING A TRAIN AFTER ASSISTANCE

17.1.   SITUATIONS

A slave traction unit has to be removed from the train.

17.2.   RULES

Intentionally blank.

18.   OVERPASSING A TRANSITION POINT IN DEGRADED SITUATIONS FROM LEVEL 1 TO LEVEL 2 AND FROM LEVEL 2 TO LEVEL 1

18.1.   SITUATIONS

The radio communication can not be established when entering a level 2 area.

A transition does not take place when overpassing the transition point.

18.2.   RULES

18.2.1.   THE RADIO COMMUNICATION CAN NOT BE ESTABLISHED

When the following message is displayed on the DMI:

                  ‘No radio connection with the RBC’,

the driver shall check the RBC ID and telephone number and correct them if necessary.

If the communication with the RBC can not be established and the train has to be moved, the signalman shall authorise the driver to overpass the EOA (rule ‘Authorised Overpassing an EOA’).

18.2.2.   THE TRANSITION DOES NOT TAKE PLACE WHEN OVERPASSING THE TRANSITION POINT

18.2.2.1.   If the train has been tripped

The driver and the signalman shall take measures in response of a train trip (rule ‘Taking measures in response of train trip’).

When at standstill the driver shall:

18.2.2.2.   If in SR

The driver shall:

18.2.2.3.   In all other cases

The driver shall:

19.   MANAGING UNPLANNED TEMPORARY SPEED RESTRICTIONS

19.1.   SITUATIONS

An unplanned temporary speed restriction has to be managed.

19.2.   RULES

When the signalman receives information that an unplanned temporary speed restriction is necessary, he shall:

Before setting a route for a train to run in the concerned section, the signalman shall give the driver the unplanned temporary speed restriction:

The driver shall respect the temporary speed restriction until the rear end of the train has overpassed the end of the speed restriction.

The signalman shall apply these measures until the temporary speed restriction is managed by ERTMS.

20.   AUTHORISED OVERPASSING AN EOA

20.1.   SITUATIONS

It is necessary to authorise a driver to overpass an EOA.

20.2.   RULES

If a driver has not received an authorisation for train movement in due time he shall contact the signalman if he has no information about the reason.

Until receiving permission from the signalman the driver shall not use the override function.

Before to authorise a driver to overpass an EOA by means of the ERTMS Written Order 01 the signalman shall:

To overpass the EOA, the driver shall:

21.   MANAGING LACK OF RADIO COMMUNICATION

21.1.   SITUATIONS

Radio communication is lost in an area not identified as a radio hole.

21.2.   RULES

When the following icon is displayed on the DMI:

(red)

the driver shall report to the signalman.

If the train has to be moved, the signalman shall authorise the driver to overpass the EOA (rule ‘Authorised Overpassing an EOA’).

22.   TAKING MEASURES IN THE EVENT OF AN EMERGENCY SITUATION

22.1.   SITUATIONS

An emergency situation occurs.

22.2.   RULES

22.2.1.   TO PROTECT THE TRAINS

When a driver discovers an emergency situation he shall perform all actions necessary to avoid or reduce the effect of the situation and inform the signalman as soon as possible.

The driver shall apply national rules.

When a signalman is informed of an emergency situation he shall immediately protect endangered trains:

The signalman shall stop and warn all other trains in front of the danger area.

The signalman shall inform all concerned drivers as soon as possible.

22.2.2.   TO RESTART THE TRAINS

According to national rules, the signalman shall decide:

To restart trains that have been tripped, signalman and driver shall take measures in response of a train trip (rule ‘Taking measures in response of train trip’). For trains in level 2 the emergency stop order has to be revoked.

The signalman shall include necessary instructions and/or restrictions for train movement according to national rules:

In particular, he can ask the driver to examine a part of the line.

The driver shall obey the written order and report his findings if requested when he has cleared the affected area.

22.2.3.   TO PROTECT AND RESTART SHUNTING MOVEMENTS

The signalman and the driver shall apply national rules.

23.   REVOKING AN AUTHORISATION FOR TRAIN MOVEMENT

23.1.   SITUATIONS

The signalman decides to make new traffic arrangements.

23.2.   RULES

23.2.1.   IN LEVEL 1

To revoke an authorisation for train movement, the signalman shall apply national rules.

When national rules stipulate that a train has to be at standstill before making traffic arrangements, the signalman shall order the driver to remain at standstill by means of the ERTMS Written Order 03.

To restart the signalman shall authorise the driver by means of ERTMS Written Order 04.

The driver shall run on sight until the next trackside signal.

23.2.2.   IN LEVEL 2

If possible the signalman shall revoke an MA by the use of the co-operative shortening of MA.

In all other cases, the signalman shall apply national rules.

When national rules stipulate that a train has to be at standstill before making traffic arrangements, the signalman shall order the driver to remain at standstill by means of the ERTMS Written Order 03.

To restart the signalman shall authorise the driver by means of ERTMS Written Order 04.

24.   TAKING MEASURES IN RESPONSE OF TRAIN TRIP

24.1.   SITUATIONS

A train or a shunting movement is tripped.

24.2.   RULES

When a trip occurs the driver shall assume that there is a dangerous situation and he shall perform all actions necessary to avoid or reduce the effect of this situation. This may include to move the train backwards according to national rules.

To move the train backwards, the driver shall acknowledge the text message ‘ACK TRAIN TRIP’ and release the emergency brake.

After moving the train backwards as soon as it is at standstill, the driver shall contact the signalman and inform him about the situation.

In all other cases, when at standstill the driver observes the text message on the DMI:

               ‘Ack train trip’,

he shall acknowledge the train trip and contact the signalman.

The driver shall not restart after a trip has occurred without the permission from the signalman.

Before giving permission to the driver to proceed after train trip by means of ERTMS Written Order 02 the signalman shall:

To proceed the driver shall:

25.   MANAGING ROUTE UNSUITABILITY

25.1.   SITUATIONS

An incompatibility between the characteristics of the rolling stock and the characteristics of the line is detected.

25.2.   RULES

When the driver observes the text message on the DMI:

               ‘Route unsuitable’,

he shall:

Until receiving permission from the signalman the driver shall not override the route unsuitability.

25.2.1.   THE REASON FOR THE UNSUITABILITY CAN BE REMOVED

If allowed by national rules the signalman shall authorise the driver to override the route unsuitability by means of the ERTMS Written Order 06 with all necessary additional instructions.

The driver shall override the route unsuitability, when he has received the ERTMS Written Order 06 from the signalman.

25.2.2.   THE REASON FOR THE UNSUITABILITY CAN NOT BE REMOVED

The signalman and the driver shall apply national rules.

26.   ENTER AN OCCUPIED TRACK SECTION WITHIN A STATION

26.1.   SITUATIONS

It is necessary to enter a station in a track section that is occupied for the purposes of:

26.2.   RULES

When a train shall enter an occupied track, the signalman shall:

The driver of the train that has to enter the occupied track shall react according to the indications displayed on the DMI (rule ‘Reacting in function of DMI/signalling system instruction’) and follow the instructions received.

In case of an unplanned movement, before setting the route, the signalman shall inform the drivers of both trains involved of the circumstances according to national rules.

27.   EMERGENCY PROPELLING

27.1.   SITUATIONS

An emergency situation requires to move the train in the opposite direction in an emergency propelling area.

27.2   RULES

When the train has to be propelled in emergency according to national rules the driver shall:

After the train has completed its emergency propelling and as soon as it is at standstill the driver shall report to the signalman.

ANNEX A2

ERTMS/GSM-R OPERATING RULES

These rules will explain the principles of how operating staff will be expected to operate the equipment associated with GSM-R.

This aspect is still an open point and will be specified in a future version of this TSI.

ANNEX B

OTHER RULES ENABLING A COHERENT OPERATION OF NEW STRUCTURAL SUBSYSTEMS:

(see section 4.4)

This Annex will evolve over a period of time and will be subject to regular review and update.

Typical content of this Annex will be rules and procedures, which are to be applied in an identical way across the entire TEN and the conventional network in particular and which are not today covered in Chapter 4 of this TSI. It is also likely that some elements of Chapter 4 and associated annexes will also be integrated into this Annex.

A.   General

Reserved

B.   Staff Safety and Security

Reserved

C.   Operational interface with signalling and command and control equipment

C1   Sanding

The application of sand is an effective way of improving the adhesion of wheels to the rail, to aid braking and starting away especially in conditions of inclement weather.

A build-up of sand on the railhead can however, cause a number of problems, especially in connection with the activation of track circuits and the effective operation of points and crossings.

The driver must always be able to apply sand but this must be avoided wherever possible:

These restrictions are nevertheless not applicable if there is a risk of SPAD (Signal Passed at Danger), or other serious incident and the application of sand would assist adhesion.

C2   Activation of Hot Axle Box Detectors

Reserved

D.   Train Movements

Reserved

E.   Anomalies, incidents and accidents

Reserved

ANNEX C

SAFETY RELATED COMMUNICATIONS METHODOLOGY

Introduction

The purpose of this document is to set 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:

This annex is to serve as the basis:

The extent to which forms are used and their structure may vary. For some risks the use of forms will be appropriate, whilst for others it will not be appropriate.

In the context of a given risk, the Infrastructure Manager shall, acting in compliance with Article 9(3) of Directive 2004/49/EC, decide whether the use of a form is appropriate. A form should only be used if the value of its safety and performance benefits exceeds that of any safety and performance disbenefits.

The Infrastructure Managers must structure his communications protocol in a formalised way and in line with the following 3 categories:

To support the disciplined approach to transmission of these messages a Communications Methodology has been developed.

1.   COMMUNICATIONS METHODOLOGY

1.1.   ELEMENTS AND PRINCIPLES OF THE METHODOLOGY

1.1.1.   STANDARD TERMINOLOGY TO BE USED IN THE PROCEDURES

1.1.1.1.   Speech transmission procedure

Term transferring the opportunity to speak to the opposite party:

over

1.1.1.2.   Message receiving procedure

1.1.1.3.   Communications breaking procedure

1.1.1.4.   Cancelling a written order

Term used to cancel the written order procedure underway:

cancel procedure.....

If the message is then to subsequently be resumed, the procedure shall be repeated from the start.

1.1.2.   PRINCIPLES TO BE APPLIED IN THE EVENT OF ERROR OR MISUNDERSTANDING

To permit the correction of possible errors during communication, the following rules shall be applied:

1.1.2.1.   Errors

1.1.2.2.   Misunderstanding

If one of the parties misunderstands a message he must ask the other party to repeat the message by using the following text:

say again (+speak slowly)

1.1.3.   WORD, NUMBER, TIME, DISTANCE, SPEED AND DATE SPELLING CODE

To aid in understanding and expressing messages in different situations, each term must be pronounced slowly and correctly by spelling out any words or names and figures likely to be misunderstood. Examples would be the identifying codes for signals or points.

The following spelling rules shall apply:

1.1.3.1.   Spelling out of words and letter groups

The International Phonetic Alphabet shall be used.

Example:

Points A B = points alpha-bravo.

Signal Number KX 835 = signal Kilo X-Ray eight three five.

The Infrastructure Manager may add further letters, along with a phonetic pronunciation for each letter added, if required by the alphabet of the Infrastructure Manager’s operating language(s).

The Railway Undertaking may add further indications about pronunciation, as it deems necessary.

1.1.3.2.   Expression of numbers

Numbers shall be spoken digit by digit.

Example: train                         2 183                      = train two-one-eight-three.

Decimals shall be expressed by the word ‘point’.

Example:                        12,50                      = one-two-point-five-zero

1.1.3.3.   Expression of time

The time shall be given in local time, in plain language.

Example:10:52 hours = ten fifty-two.

Whilst this is the principle, it would also be acceptable, whenever necessary, for the time to be spelled out digit by digit (one zero five two hours).

1.1.3.4.   Expression of distances and speeds

Distances shall be expressed in kilometres and speeds in kilometres per hour.

Miles may be used if that unit is used on the infrastructure concerned.

1.1.3.5.   Expression of dates

Dates shall be expressed in the usual manner.

Example:10 December

1.2.   COMMUNICATIONS STRUCTURE

The voice transmission of safety-related messages shall in principle comprise 2 phases as follows:

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.   Identification

It is very important that before each communication, other than very urgent top priority safety messages, the persons who are going to communicate identify themselves. Not only is this a polite thing to do it, more importantly, provides a confidence that the person authorising train movements is in communication with the driver of the correct train and the driver knows he is speaking with the correct signalling or control centre. This is especially critical when communication is taking place in areas where communications boundaries overlap.

This principle shall apply even after an interruption during transmission.

The following messages shall be used for this purpose by the different parties.

It should be noted that the identification may be followed by an additional information message giving the staff authoring train movements enough details of the situation to determine precisely the procedure that the driver may subsequently be required to follow.

1.2.1.2.   Request for instructions

Every application of a procedure supported by a written order must be preceded by a request for instructions.

The following terms shall be used to request instructions:

prepare procedure ...

1.2.2.   RULES FOR TRANSMISSION OF WRITTEN ORDERS AND VERBAL MESSAGES

1.2.2.1.   Top priority safety messages

Due to their urgent and imperative nature, these messages:

1.2.2.2.   Written Orders

In order to reliably send or receive (at a standstill) the procedural messages contained in the Book or Forms, the following rules shall be followed:

1.2.2.2.1.   Message sending

The form may be completed prior to transmitting the message so that the full text of the message can be sent in one single transmission.

1.2.2.2.2.   Message receiving

The receiver of the message must fill in the form contained in the Book of Forms based upon the information given by the sender.

1.2.2.2.3.   Read-back

All the predetermined railway messages in the Book of Forms shall be required to be read back. The read-back shall include the message shown in the grey field on the Forms, the ‘report back’ section and any additional or complementary information.

1.2.2.2.4.   Acknowledgement of correct read-back

Every read-back message shall be followed by an acknowledgement of conformity or non-conformity given by the sender of the message.

correct

or

error + I say again

followed by a repeat sending of the initial message

1.2.2.2.5.   Acknowledgement

Every message received shall be acknowledged positively or negatively as follows:

received

or

negative, say again (+ speak slowly)

1.2.2.2.6.   Traceability and verification

A unique identification or authorisation number shall accompany all messages initiated from the ground:

1.2.2.2.7.   Reporting Back

Every message comprising a request to ‘report back’ shall be followed by a ‘report’.

1.2.2.3.   Additional messages

Additional messages

1.2.2.4.   Information messages with a variable non-predetermined content

Information messages with a variable content shall be:

2.   PROCEDURAL MESSAGES

2.1.   NATURE OF THE MESSAGES

Procedural messages are used to send operational instructions associated with appropriate situations represented in the Driver's Rule Book.

They comprise the text of the message itself, corresponding to a situation, and a number identifying the message.

If the message requires the recipient to report back, the text of the report is also given.

These messages use predetermined wording prescribed by the Infrastructure Manager in his ‘operating language’ and they are presented in the form of pre-prepared forms in either paper format or in computer medium.

2.2.   FORMS

Forms are a formalised medium for communicating procedural messages. These messages are generally those associated with degraded working conditions. Typical examples would be the authority for a driver to pass a signal or an ‘end of movement authority’, the requirement to run at reduced speed in a particular area, or to examine the line. There may well be other circumstances that will require the used of such messages.

Their purpose is to:

In order to identify the forms, a unique code word or number relating to the procedure should be developed. This could be based on the potential frequency that a form would be used. If, of all the forms being developed, the likelihood is that the one most often used is the one for passing a signal or EOA at danger, then this one could be numbered 001 and so on.

2.3.   BOOK OF FORMS

Having identified all the forms to be used, the whole set must be collected into a document or a computer medium called the Book of Forms.

It is a joint document that will be used by the driver and the staff authorising the movement of trains when they communicate with each other. It is important therefore that the book used by the driver and the one used by the staff authorising the movement of trains are constructed and numbered in the same manner.

The Infrastructure Manager is responsible for drawing up the Book of Forms and the forms themselves in his ‘operating language’.

The Railway Undertaking may add translations of the forms and associated information contained in the Book of Forms, if he thinks that would help his drivers both during training and in real-time situations.

The language to be used when transmitting the messages shall always be the ‘operating language’ of the Infrastructure Manager.

The Book of Forms shall comprise two parts.

The first part contains the following items:

The second part contains the Procedure Forms themselves.

Several examples of each form should be included in the Book of Forms and it is suggested that dividers should be used to separate the sections.

The Railway Undertaking may include explanatory text relevant to each form and the situations covered, in the drivers’ Book of Forms.

3.   ADDITIONAL MESSAGES

Additional messages are information messages used either:

of situations of a rare nature and for which therefore a pre-determined form is considered unnecessary, or related to train running or to the technical condition of the train or the infrastructure.

To make it easier to describe the situations and construct the information messages, message guidelines, a glossary of railway terminology, a descriptive diagram of the rolling stock being employed and a descriptive statement of the infrastructure equipment (track, traction supply, etc.) might be beneficial.

3.1.   GUIDELINE STRUCTURE FOR MESSAGES

These messages may be structured along the following lines:

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:

3.3.   DESCRIPTIVE DIAGRAM OF THE ROLLING STOCK

If the Railway Undertaking feels it would benefit his operation a descriptive diagram of the rolling stock used shall be prepared. It should list the names of the various components that may be the subject of communications with the different Infrastructure Managers concerned. It should include the common names for the standard terms in the language chosen by the Railway Undertaking and in the ‘operating’ language of the Infrastructure Manager(s) whose infrastructure is worked over.

3.4.   DESCRIPTIVE STATEMENT OF THE CHARACTERISTICS OF THE INFRASTRUCTURE EQUIPMENT (TRACK, TRACTION SUPPLY, ETC.)

If the Railway Undertaking feels it would benefit his operation a descriptive statement of the characteristics of the infrastructure equipment (track, traction supply, etc.) on the route worked over shall be prepared. This shall show the names of the various components that may be the subject of communications with the Infrastructure Manager(s) concerned. It should include the common names for the standard terms in the language chosen by the Railway Undertaking and in the ‘operating’ language of the Infrastructure Manager(s) whose infrastructure is worked over.

4.   TYPE AND STRUCTURE OF VERBAL MESSAGES

4.1.   EMERGENCY MESSAGES

Emergency messages are intended to give urgent operational instructions that are directly linked with the safety of the railway.

To avoid any risk of misunderstanding, messages must always be repeated once.

Classified according to need, the main messages which can be sent are indicated hereafter.

The Infrastructure Manager may, in addition, define other emergency messages according to the needs of his operation.

Emergency messages may be followed by a Written Order (see Subsection 2).

The type of text that goes to form Emergency messages must be included in Appendix 1 ‘Manual of communications procedures’ to the Driver’s Rule Book and in the documentation issued to staff authorising train movements.

4.2.   MESSAGES SENT EITHER BY THE GROUND OR THE DRIVER

4.3.   MESSAGES ISSUED BY THE DRIVER

ANNEX D

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

ANNEX E

LANGUAGE AND COMMUNICATION LEVEL

The oral qualification in a language can be subdivided into five levels:

This annex is a provisional position. A more detailed piece of work is being prepared and will be available for a future revision of this TSI.

There are also plans to incorporate a tool to be used when assessing the level of competence of an individual. This will be made available in a future version of this TSI.

ANNEX F:

TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM ASSESSMENT GUIDELINES

(The use of the expression ‘Member State’ when taken in the context of this module means the Member State or other body appointed by them, undertaking the assessment).

If the Infrastructure Manager/Railway Undertaking is denied authorisation/certification to implement the relevant operation processes on the basis of the assessment report, the Member State must provide detailed reasons for such denial in accordance with Directive2004/49/EC.

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(1)  The essential requirements are reflected in the technical parameters, interfaces and performance requirements set out in Chapter 4 of the TSI.

ANNEX G

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

This Annex is at an early stage of development and requires further work; it is included as a working draft.

In association with the certification and authorisation processes described in Articles 10 and 11 of Directive 2004/49/EC, this annex outlines the following supporting information:

ANNEX H

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

1.   General requirements

2.   Professional knowledge

Any authorisation requires a successfully passed initial examination and provisions for ongoing assessment and training as described in Subsection 4.6.

2.1.   General professional knowledge

2.2.   Knowledge of operational procedures and safety systems applied to the infrastructure to be used

2.3.   Knowledge of rolling stock

3.   Route knowledge

Route knowledge comprises the specific knowledge and/or experience of the individual characteristics of a route that a driver needs to have before being permitted to drive a train over it on his own responsibility. It comprises the knowledge that is needed in addition to information given by signals and documents such as timetables and other on board documents and in addition to knowledge of operations and safety rules applying to the route and as specified in clause 2.2 of this Annex.

Route knowledge covers in particular:

4.   Ability to put the knowledge into practise

The staff undertaking train driving duties must be capable of carrying out the following tasks (as appropriate to the company's activities)

4.1.   Prepare for duty

4.3.   Take part in checking the operation of the brakes on the train

4.4.   Drive the train respecting the appropriate safety regulations, driving rules and timetable

4.6.   Apply measures relating to operational incidents and accidents, particularly those relating to train protection and to fire or dangerous goods

4.7.   Determine the conditions to continue to run after incidents affecting the rolling stock

4.10.   Report any unusual occurrences concerning the operation of the train, the conditions of the infrastructure etc.

ANNEX I

NOT USED

ANNEX J

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

1.   General requirements

2.   Professional knowledge

Any authorisation requires a successfully passed initial examination and provisions for ongoing assessment and training as described in Subsection 4.6.

2.1.   General professional knowledge

2.2.   Knowledge of operational procedures and safety systems applied to the infrastructure to be used

2.3.   Knowledge of rolling stock

2.4.   Knowledge of the route

3.   Ability to put the knowledge into practise

ANNEX K

NOT USED

ANNEX L

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

1.   General requirements

2.   Professional knowledge

Any authorisation requires a successfully passed initial examination and provisions for ongoing assessment and training as described in Subsection 4.6.

2.1   General professional knowledge

2.2   Knowledge of operational procedures and safety systems applied to the infrastructure to be used

2.3   Knowledge of train equipment

3.   Ability to put the knowledge into practise

ANNEX M

NOT USED

ANNEX N

IMPLEMENTATION GUIDELINES

The table below is informative and lists clauses from Chapter 4 and identifies a likely trigger for each of them.

ANNEX O

NOT USED

ANNEX P

VEHICLE IDENTIFICATION

General remarks:

Standard number and linked abbreviations

Each railway vehicle receives a number consisting of 12 figures (called standard number) with the following structure:

In a given country, the 7 digits of technical characteristics and serial number are sufficient to identify uniquely a vehicle inside each group of wagons, hauled passenger vehicles, tractive rolling stock (1) and special vehicles (2).

Alphabetical markings complete the number:

Technical characteristics, codes and abbreviations are managed by one or more bodies (hereafter designed as ‘central body’) to be proposed by ERA (European Railway Agency) as a result of activity No 15 of its work programme 2005.

Allocation of number

The rules for the management of the numbers will be proposed by the ERA as part of the activity No15 of its work programme 2005.

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(1)  For tractive rolling stock, the number has to be unique in a given country with 6 digits.

(2)  For special vehicles, the number has to be unique in a given country with the first digit and the 5 last digits of the technical characteristics and serial number.

(3)  A vehicle keeper is the person, who being the owner or having the right to dispose of it, exploits a vehicle economically in a permanent manner as a means of transport and is registered as such in the Rolling Stock Register.

ANNEX P.1

KEEPER'S ABBREVIATION MARKING

Definition of the Vehicle Keeper Marking (VKM)

A Vehicle Keeper Marking (VKM) is an alphanumeric code, consisting of 2 to 5 letters (1). A VKM is inscribed on each rail vehicle, near the vehicle number. The VKM denominates the Vehicle Keeper as registered in the Rolling Stock Register.

A VKM is unique in all countries covered by this TSI and all countries that enter into an agreement that involves the application of the system of vehicle numbering and vehicle keeper marking as described in this TSI.

Format of the Vehicle Keeper Marking

The VKM is representation of the full name or abbreviation of the vehicle keeper, if possible in a recognisable manner. All 26 letters of the Latina alphabet may be used. The letters in the VKM are written in capitals. Letters that do not stand for first letters of words in the keeper's name may be written in lower case. For checking uniqueness, the written name will be ignored.

Letters may contain diacritical signs (2). Diacritical signs used by these letters are ignored for checking uniqueness.

For vehicles of keepers that reside in a country that does not use the Latin alphabet, a translation of the VKM in its own alphabet may be applied behind the VKM separated from it by a slash-sign (‘/’). This translated VKM is disregarded for data-processing purposes.

Exemptions for using a Vehicle Keeper Marking

Member States may decide to apply the following exemptions.

A VKM is not required for the vehicles whose numbering system does not follow the present annex (cf. general remark, point 2). Nevertheless, adequate information about the identity of the vehicle keeper has to be provided to the organisations involved in their operation over networks to which this TSI applies.

When the full name and address information is inscribed on the vehicle, a VKM is not required for:

A VKM is not required for locomotives, multiple units and passenger vehicles used in national traffic only, when:

When a company logo is applied in addition to the application of a VKM, only the VKM is valid and the logo is disregarded.

Provisions about allocation of Vehicle Keeper Markings

A vehicle keeper can be issued more than one VKM, in case:

A single VKM can be issued for a group of companies:

Register of Vehicle Keeper Markings and procedure for allocation

The register of VKM is public and updated on a real time basis.

An application for a VKM is filed with the applicant's competent national authority and forwarded to the central body. A VKM can be used only after publication by the central body.

The holder of a VKM must inform the competent national authority when he ends the use of a VKM, and the competent national authority will forward the information to the central body. A VKM will then be revoked once the keeper has proved that the marking has been changed on all vehicles concerned. It will not be reissued for 10 years, unless it is reissued to the original holder or at his request to another holder.

A VKM can be transferred to another holder, which is the legal successor to the original holder. A VKM stays valid when the holder changes his name to a name that does not bear resemblance to the VKM.

The first list of VKM will be drafted using existing railway company abbreviations.

The VKM will be applied to all new build vehicles after entry into force of the relevant TSIs. Existing vehicles will have until end 2014 to comply with VKM marking.

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(1)  For NMBS/SNCB, the use of an encircled single letter B can be continued

(2)  Diacritical marks are ‘accent-signs’, such as in À, Ç, Ö, Č, Ž, Å etc. Special letters such as Ø and Æ will be represented by a single letter; in tests for uniqueness Ø is treated as O and Æ as A.

ANNEX P.2

INSCRIPTION OF THE NUMBER AND LINKED ALPHABETICAL MARKING ON THE BODYWORK

General arrangements for external markings

The capital letters and figures making up the marking inscriptions shall be at least 80 mm in height, in a sans serif font type of correspondence quality. A smaller height may only be used where there is no option but to place the marking on the sole bars.

The marking is put not higher than 2 metres above rail level.

Wagons

The marking shall be inscribed on the wagon bodywork in the following manner:

For wagons whose bodywork does not offer a large enough area for this type of arrangement, particularly in the case of fIat wagons, the marking shall be arranged as follows:

When one or more index letters of national significance are inscribed on a wagon, this national marking must be shown after the international letter marking and separated from it by a hyphen.

Coaches and hauled passenger stock

The number shall be applied to each sidewall of the vehicle in the following manner:

The marking of the country in which the vehicle is registered and of the technical characteristics are printed directly in front of, behind or under the twelve digits of the vehicle number.

In case of coaches with driver's cabin, the number is also written inside the cabin.

Locomotives, power cars and special vehicles

The standard 12-digit number must be marked on each sidewall of the tractive stock used in international service in the following manner:

91 88 0001323-0

The standard 12-digit number is also written inside each cabin of the tractive rolling stock.

The keeper can add, in letters of larger size than the standard number, an own number marking (consisting generally of digits of the serial number supplemented by alphabetical coding) useful in operations. The place where the own number is marked is left to the choice of the keeper.

These rules may be altered in bilateral agreements for vehicles existing when the TSI comes into force and assigned to a specific service and where there is no risk of confusion between different stocks operating on the rail networks concerned. The exemption is valid for a period decided upon by the competent national authorities.

The national authority can prescribe that the alphabetic country code and the VKM be recorded additional to the 12 digit vehicle number.

ANNEX P.3

RULES FOR THE DETERMINATION OF THE CHECK-DIGIT (DIGIT 12)

The check-digit is determined in the following manner:

Examples

1.   

Sum: 6 + 3 + 1 + 6 + 4 + 8 + 7 + 1 + 8 + 6 + 2 + 0 + 0 = 52

The units digit of this sum is 2.

The check-digit number will therefore be 8 and the basic number thus becomes the registration number 33 84 4796 100 - 8.

2.   

Sum: 6 + 1 + 1 + 0 + 1 + 6 + 3 + 4 + 0 + 2 + 9 + 1 + 6 = 40

The units digit of this sum is 0.

The check-digit number will therefore be 0 and the basic number thus becomes the registration number 31 51 3320 198 - 0.

ANNEX P.4

CODING OF THE COUNTRIES IN WHICH THE VEHICLES ARE REGISTERED (DIGITS 3-4 AND ABBREVIATION)

                  ‘Information relating to third countries given for information purposes only.’               

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(1)  According to the alphabetical coding system described in Appendix 4 to the 1949 convention and Article 45(4) of the 1968 convention on road traffic.

(2)  Companies who, at the time of coming into force, were members of UIC or OSJD and used the described country code as company code.

(3)  Codes to be confirmed.

(4)  Until the evolutions indicated in point 3 of the general remarks come into force, these companies can use the codes 43 (GySEV/ROeEE), 63 (BLS), 64 (FNME), 68 (AAE). The period of updating will then be defined together with the concerned Member States.

ANNEX P.5

ALPHABETICAL MARKING OF THE INTEROPERABILITY CAPABILITY

The alphabetical marking of the interoperability capability concerning special vehicles is described in annex P.14.

ANNEX P.6

INTEROPERABILITY CODES USED FOR WAGONS (DIGITS 1-2).

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(1)  Compliance at least with Rolling Stock TSI.

(2)  Including vehicles, which according to existing regulations carry these digits at the time of coming into force of these new regulations.

(3)  Fixed or variable gauge.

ANNEX P.7

INTERNATIONAL TRAFFIC ABILITY CODES USED FOR HAULED PASSENGER VEHICLES (DIGITS 1-2)

Warning:

The conditions between square brackets are transitional and will be deleted with the evolutions of RIC (see general remarks, point 3).

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(1)  Compliance at least with future TSI on hauled passenger vehicles.

(2)  Compliance with RIC or COTIF according to the regulation in force.

ANNEX P.8

TYPES OF TRACTIVE STOCK (DIGITS 1-2)

The first digit is ‘9’.

The second digit is defined by each Member State. It can for example fit with the self-checking digit if this digit is also calculated with the serial number.

If the second digit describes the type of tractive stock, following coding is mandatory:

ANNEX P.9

STANDARD NUMERICAL MARKING OF WAGONS (DIGITS 5 TO 7)

This annex indicates in tables the numerical marking in 4 figures associated to the main technical characteristics of the wagon.

This Annex is distributed on a separate medium (electronic file).

ANNEX P.10

CODES FOR THE TECHNICAL CHARACTERISTICS OF THE HAULED PASSENGER STOCK (DIGITS 5-6)

CODES FOR THE TECHNICAL CHARACTERISTICS OF THE HAULED PASSENGER STOCK (DIGITS 5-6)

CODES FOR THE GENERAL CHARACTERISTICS OF HAULED PASSENGER STOCK (DIGITS 7-8)

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(1)  Only for domestic traffic vehicles

(2)  Only for vehicles able to international traffic

(*1)  For certain vehicles with 1 000V single phase alternating current, only one frequency, either 16 2/3 or 50 Hz, is permitted

ANNEX P.11

CODES FOR THE TECHNICAL CHARACTERISTICS OF THE SPECIAL VEHICLES (DIGIT 6 TO 8)

Authorised speed for special vehicles (digit 6)

Type and sub-type of special vehicle (digits 7-8)

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(1)  By restriction is meant a special position in a train (e.g. at the rear), an obligatory protection wagon, etc.

(2)  Special conditions concerning inclusion in a train must be complied with.

ANNEX P.12

LETTER MARKING FOR WAGONS EXCLUDING ARTICULATED AND MULTIPLE WAGONS

DEFINITION OF THE CATEGORY AND INDEX LETTERS

1.   Important notes

In the attached tables:

2.   Index letters with an international value common to all categories

3.   Index letters with an national value

t, u, v, w, x, y, z

The value of these letters is defined by each Member State.

CATEGORY LETTER: E — OPEN HIGH-SIDED WAGON

CATEGORY LETTER: F — OPEN HIGH-SIDED WAGON

CATEGORY LETTER: G — COVERED WAGON

CATEGORY LETTER: H — COVERED WAGON

CATEGORY LETTER: I — TEMPERATURE-CONTROLLED WAGON

CATEGORY LETTER: K — 2-AXLE FLAT WAGON

CATEGORY LETTER: L — 2-AXLE FLAT WAGON

CATEGORY LETTER: O — MIXED FLAT AND OPEN HIGH-SIDED WAGON

CATEGORY LETTER: R — FLAT BOGIES WAGON

CATEGORY LETTER: S — FLAT BOGIES WAGON

CATEGORY LETTER: T — WAGON WITH OPENING ROOF

CATEGORY LETTER: U — SPECIAL WAGONS

CATEGORY LETTER: Z — TANK WAGON

LETTER MARKING FOR WAGONS FOR ARTICULATED AND MULTIPLE WAGONS

DEFINITION OF THE CATEGORY AND INDEX LETTERS

1.   Important notes

In the attached tables, the information given in meters refers to the inside length of the wagons (lu).

2.   Index letters with an international value common to all categories

3.   Index letters with a national value

t, u, v, w, x, y, z

The value of these letters is defined by each Member State.

CATEGORY LETTER: F — OPEN HIGH-SIDED WAGON

CATEGORY LETTER: H — COVERED WAGON

CATEGORY LETTER: I — TEMPERATURE CONTROLLED WAGON

CATEGORY LETTER: L — FLAT WAGON WITH SEPARATE AXLES

CATEGORY LETTER: S — FLAT BOGIE WAGON

CATEGORY LETTER: T — WAGON WITH OPENING ROOF

CATEGORY LETTER: U — SPECIAL WAGONS

CATEGORY LETTER: Z — TANK WAGON

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(1)  This concept only applies to open high-sided wagons with a flat floor, and provided with a device enabling them to be used, either as ordinary wagons with a flat bottom, or for gravity unloading of certain goods by suitable positioning of the traps.

(2)  Only applicable to wagons with gauge of 1 520 mm.

(3)  Wagons with gravity unloading in category F are open wagons, which do not have a flat floor and have no tipping facility either at the end or the side.

(4)  Only applicable to wagons with gauge of 1 520 mm.

(5)  Only applicable to wagons with gauge of 1 520 mm.

(6)  The concept ‘for fruits and vegetables’ applies only to wagons provided with additional ventilation apertures at the floor level.

(7)  2-axle wagons bearing the index letters ‘f’, ‘fff’ can have a payload capacity less than 70 m3.

(8)  Only applicable to wagons with gauge of 1 520 mm.

(9)  The concept ‘for fruits and vegetables’ applies only to wagons provided with additional ventilation apertures at the floor level.

(10)  Only applicable to wagons with gauge of 1 435 mm.

(11)  Movable partitions may be dismounted temporarily.

(12)  The index letter ‘l’ shall not be marked on wagons bearing the index letters ‘g’, ‘gg’, ‘i’ or ‘ii’         

(13)  Wagons bearing both the index letters ‘g’ and ‘i’ can be used individually or in a mechanically refrigerated raft.

(14)  The concept of ‘accompanying technical wagon’ applies at the same time to factory wagons, workshop wagons (both with or without sleeping accommodation) and dormitory wagons.

(15)  The index letter ‘o’ shall not be marked on wagons bearing the index letter ‘l’         

(16)  Only applicable to wagons with gauge of 1 520 mm.

(17)  Index letter ‘g’ may be used together with category letter K exclusively for ordinary wagons which have only been additionally fitted out for the transport of containers. Wagons fitted out solely for the transport of containers must be classified in category L.

(18)  The index letter ‘p’ shall not be marked on wagons bearing index letter ‘i’         

(19)  The inscription of the index letters ‘l’ or ‘p’ is optional for wagons bearing the index letters ‘b’, ‘c’, ‘d’, ‘e’, ‘g’, ‘h’, ‘hh’, ‘i’ or ‘ii’. But numerical codes must always correspond to letter markings on wagons.

(20)  Wagons used solely for the transport of containers (except pa).

(21)  Wagons used solely for the transport of steel coils.

(22)  Only applicable to wagons with gauge of 1 435 mm.

(23)  The use of the index letter ‘g’ associated with the category letter R is only possible in the case of ordinary wagons which have only been additionally fitted out for the transport of containers. Wagons fitted out solely for the transport of containers must be classified in category S.

(24)  The use of the index letter ‘h’ or ‘hh’ together with the category letter R is only possible in the case of ordinary wagons which have only been additionally fitted out for the transport of containers. Wagons fitted out solely for the transport of containers must be classified in category S.

(25)  The index letters ‘oo’ and/or ‘p’ shall not be marked on wagons bearing index letter ‘i’         

(26)  Only applicable to wagons with gauge of 1 520 mm.

(27)  The inscription of the index letters ‘l’ or ‘p’ is optional for wagons bearing the index letters ‘b’, ‘c’, ‘d’, ‘e’, ‘g’, ‘gg’, ‘h’, ‘hh’, ‘i’ or ‘ii’. But numerical codes must always correspond to letter markings on wagons.

(28)  Wagons which in addition to the transport of containers and swap bodies are used to transport vehicles shall be marked with the index letters ‘g’ or ‘gg’ and the letter ‘d’         

(29)  Wagons used solely for the transport of containers or for transport of swap bodies for grab handling and spreader gripping.

(30)  Wagons used solely for the transport of steel coils.

(31)  Only applicable to wagons with gauge of 1 435 mm.

(32)  Index letter ‘e’:

(33)  Index letter ‘b’ and ‘m’ shall not be marked on wagons bearing the index letters ‘d’, ‘dd’, ‘l’, ‘ll’, ‘o’, ‘oo’, ‘p’ or ‘pp’         

(34)  Wagons with gravity unloading in category T are wagons fitted with an opening roof giving access to a loading hatch over the complete length of the body; these wagons do not have a flat floor and are not designed for end or side tipping.

(35)  Wagons with gravity unloading in category U are closed wagons which can only be loaded through one or more loading apertures situated in at the top part of the body, and whose total opening dimensions are less than the length of the body; these wagons do not have a flat floor and are not designed for end or side tipping.

(36)  In particular:

(37)  Index letter ‘n’ shall not be marked on wagons bearing the index letter ‘i’         

(38)  Only applicable to wagons with gauge of 1 520 mm.

(39)  The index letter ‘c’ shall not be marked on wagons bearing the index letter ‘g’.

(40)  Wagons with gravity unloading in category F are open wagons, which do not have a flat floor and are not designed for end or side tipping.

(41)  The concept ‘for fruits and vegetables’ applies only to wagons provided with additional ventilation apertures at the floor level.

(42)  Only applicable to wagons with gauge of 1 435 mm.

(43)  Movable partitions may be dismounted temporarily.

(44)  The index letter ‘l’ shall not be marked on wagons bearing the index letters ‘g’, ‘gg’, ‘i’ or ‘ii’.

(45)  The concept of ‘accompanying technical wagon’ applies at the same time to factory wagons, workshop wagons (both with or without sleeping accommodation) and dormitory wagons.

(46)  The index letter ‘o’ shall not be marked on wagons bearing the index letter ‘l’.

(47)  The inscription of the index letters ‘l’ or ‘p’ is optional for wagons bearing the index letters ‘b’, ‘c’, ‘d’, ‘e’, ‘g’, ‘h’, ‘hh’, ‘i’ or ‘ii’. But numerical codes must always correspond to letter markings on wagons.

(48)  Wagons used solely for the transport of containers (except pa).

(49)  Wagons used solely for the transport of steel coils.

(50)  Only applicable to wagons with gauge of 1 435 mm.

(51)  The inscription of the index letters ‘l’ or ‘p’ is optional for wagons bearing the index letters ‘b’, ‘c’, ‘d’, ‘e’, ‘g’, ‘gg’, ‘h’, ‘hh’, ‘i’ or ‘ii’. But numerical codes must always correspond to letter markings on wagons.

(52)  Wagons which in addition to the transport of containers and swap bodies are used to transport vehicles shall be marked with the index letters ‘g’ or ‘gg’ and the letter ‘d’.

(53)  Wagons used solely for the transport of containers or for transport of swap bodies for grab handling and spreader gripping.

(54)  Wagons used solely for the transport of steel coils.

(55)  Only applicable to wagons with gauge of 1 435 mm.

(56)  Index letter ‘b’ shall not be marked on wagons bearing the index letters ‘d’, ‘dd’, ‘i’, ‘l’, ‘ll’, ‘o’, ‘oo’, ‘p’ or ‘pp’.

(57)  Wagons with gravity unloading in category T are wagons fitted with an opening roof giving access to a loading hatch over the complete length of the body; these wagons do not have a flat floor and are not designed for end or side tipping.

(58)  Wagons with gravity unloading in category U are closed wagons which can only be loaded through one or more loading apertures situated in at the top part of the body, and whose total opening dimensions are less than the length of the body; these wagons do not have a flat floor and are not designed for end or side tipping.

(59)  In particular:

(60)  The index letter ‘c’ shall not be marked on wagons bearing the index letter ‘g’.

ANNEX P.13

LETTER MARKING FOR HAULED PASSENGER STOCK

Serial letters with an international value:

Index letters with an international value:

The number of compartments is shown in the form of an index (for example: Bc9)

Serial letters and index letters with a national value

The others serial letters and index letters have a national value, defined by each Member State.

ANNEX P.14

Letter marking for special vehicles

This marking is indicated in document EN 14033-1 ‘Railway applications — Track — Technical requirements for railbound construction and maintenance machines — Part 1: Running of railbound machines’.

ANNEX Q

NOT USED

ANNEX R

TRAIN IDENTIFICATION

This aspect is still an open point and will be specified in a future version of this TSI.

A CWA is being developed in this area. Once it has been introduced, its suitability as a means by which application of this CWA will assume compliance with requirements of this TSI, will be assessed by the ERA and the EC.

Such a detailed specification must mainly cover the four principles (Regulation and routing, type of train, safety-related communication, performance monitoring), all types of train and the responsibility for the allocation of these numbers. This specification should take account of existing standards (such as UIC Fiche 419-1 and 419-2 OR) already in use and the development of ERTMS/ETCS. An expert drafting group must be established to take this forward.

Until this CWA has been developed, , Railway Undertakings and Infrastructure Managers must liaise to jointly establish bilateral or multilateral agreements, taking into account of existing standards (such as UIC Fiche 419-1 and 419-2 OR) already in use and the development of ERTMS/GSM-R and of ERTMS/ETCS, to facilitate the unhindered passage of trains from one Infrastructure Manager's operating area to another.

See also Annex U

ANNEX S:

TRAIN VISIBILITY — REAR END

This aspect is still an open point and will be specified in a future version of this TSI.

A detailed specification must be defined that takes into account why a rear end indication is required, what philosophy underpins this requirement across the TEN and how best this can be harmonised safely and in a cost-effective manner.

The specification and associated conformity assessment process for a solution of a portable nature will be published in this TSI as an Interoperability Constituent.

Until the detailed specification can be developed and introduced, Railway Undertaking(s) and Infrastructure Manager(s) must liaise to jointly establish bilateral or multilateral agreements to facilitate the unhindered passage of trains from one Infrastructure Manager's operating area to another.

See also Annex U

ANNEX T

BRAKE PERFORMANCE

This aspect is still an open point and will be specified in a future version of this TSI.

A detailed specification must be defined which will set out the formula for the calculation of brake performance. This specification shall be valid across the TEN and shall take into account how best such a formula can be established to permit the working of brakes to be harmonised safely and in a cost-effective manner. An expert, multi-disciplined drafting group has been established to take this forward.

Until the detailed specifications can be developed and introduced, it is recommended that Railway Undertaking(s) and Infrastructure Manager(s) liaise to jointly establish bilateral or multilateral agreements to facilitate the unhindered passage of trains from one Infrastructure Manager's operating area to another.

See also Annex U

ANNEX U

LIST OF OPEN POINTS

ANNEX A2 (see Subsection 4.4 of this TSI)

Operating rules in respect to GSM-R

ANNEX B (see Subsection 4.4 of this TSI)

Other rules enabling a coherent operation of the new different structural subsystems

ANNEX R (see Subsection 4.2.3.2 of this TSI)

Identification of trains

ANNEX S (see Subsection 4.2.2.1.3 of this TSI)

Train Visibility — Rear End

ANNEX T (see Subsection 4.2.2.6.2 of this TSI)

Brake Performance

Section 4.2.2.

Train Composition Document

ANNEX V

PREPARATION AND UPDATING RULES DOCUMENTATION FOR DRIVERS

In conjunction with Subsections 4.2 and 4.6 of this TSI, the diagram below is a pictorial representation of the process outlined in this TSI for the preparation and updating of rules documentation required by this TSI.

1

IM responsible for providing all the appropriate requirements for trains permitted to run on his network, taking into account geographic particularities of individual lines and the functional or technical specifications set out in Chapter 4 of TSI (4.1)

IM (or the organisation responsible for the preparation of the operating rules) must provide RU with appropriate information in IM's ‘operating’ language (4.2.1.2.1)

2

“Driver's Rule Book” must state requirements for normal and degraded operation and in emergency situations which driver may encounter in respect to:

all routes worked (Conventional and High Speed)

Following aspects shall be covered:

Staff Safety and Security

Signalling and Control Command

Train Operation including degraded mode

Traction and Rolling Stock

Incidents and accidents

RU is responsible for compiling The “Drivers Rule Book”

RU must present Driver's Rule Book in same format for entire infrastructure over which drivers will work *. (4.2.1.2.1)

2

RUs must undertake an analysis of training needs for all their relevant staff.

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

differences in operating practices between different IMs

risks associated with changing between IMs

differences between tasks, operating procedures and communication protocols;

any difference in ‘operating’ language used by IM's personnel;

local operating instructions which may include special procedures or particular equipment to be applied in certain cases, for example a specific tunnel. (4.6.3.2.1)

3

RU draws up initial or updated document (4.2.1.2.1)

If language chosen by RU for Driver's Rule Book is not language in which appropriate information was originally supplied, it is responsibility of RU to arrange for any necessary translation (4.2.1.2.1)

4

IM's SMS must contain a validation process to ensure that content of documentation provided to RU(s) is complete and accurate (4.2.1.2.1)

RU's SMS must contain a validation process to ensure content of Rule Book is complete and accurate (4.2.1.2.1)

Explanatory Note: the requirement that the rules are presented in the same format and language is mandated so as to ensure that drivers are presented with the different rules for the various administrations in a consistent manner using one rule book as the basic document, supplemented by document(s) that cover the rules that are different from those in the basic document.

It is imperative that the driver is able to find the rules relating to the same situations in the same sections of the document irrespective of the infrastructure on which he is running, therefore a simple compilation of national rule books without re-organising them is not sufficient.

The purpose of the Analysis of Training Needs serves two distinct objectives:

identify the essential training requirements that the RU must undertake to ensure his staff are competent to operate on the infrastructure concerned

identify what rules are needed by the RU's staff, based on the differences in the rules for operating on the infrastructure concerned when compared with the requirements for operating on the infrastructure in the Member State in which his operation is licensed.

GLOSSARY

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