2002D0734 — EN — 12.09.2002 — 000.001 — 1
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
►B COMMISSIONDECISION
of30May2002
concerning the technical specification for interoperability relating to the operation subsystem of
the trans-European high-speed rail system referred to in Article 6(1) of Council Directive 96/48/
EC
(notified underdocumentnumberC(2002)1951)
(TextwithEEArelevance)
(2002/734/EC)
(OJ L 245, 12.9.2002, p. 370)
Corrected by:
►C1Corrigendum, OJ L 275, 11.10.2002, p. 11 (2002/734/EC)
▼B
COMMISSIONDECISION
of30May2002
concerning the technical specification for interoperability relating
to the operation subsystem of the trans-European high-speed rail
systemreferred toinArticle 6(1)ofCouncilDirective 96/48/EC
(notified underdocumentnumberC(2002)1951)
(TextwithEEArelevance)
(2002/734/EC)
THE COMMISSION OF THE EUROPEAN COMMUNITIES,
Having regard to the Treaty establishing the European Community,
Having regard to Council Directive 96/48/EC of 23 July 1996 on the
interoperability of the trans-European high-speed rail network (1), and
in particular Article 6(1) thereof,
Whereas:
(1)In accordance with Article 2(c) of Directive 96/48/EC, the trans-
European high-speed rail system is subdivided into structural orfunctional subsystems. These subsystems are described in AnnexII to the Directive.
(2)In accordance with Article 5(1) of the Directive, each of thesubsystems shall be covered by a technical specification forinteroperability (TSI).
(3)In accordance with Article 6(1) of the Directive, draft TSIss hall
be drawn up by the joint representative body.
(4)The Committee set up pursuant to Article 21 of Directive 96/48/
EC has appointed the European Association for Railway Intero-perability (AEIF) asthe joint repres entative body in accordance
with Article 2(h) of the Directive.
(5)The AEIF hasbeen given a mandate to draw up a draft TSI for
the operation subsystem in accordance with Article 6(1) of the
Directive. This mandate was established in accordance with the
procedure laid down in Article 21(2) of the Directive.
(6)The AEIF hasdrawn up the draft TSI, together with an introduc-tory report containing a cost-benefit analysis as provided for in
Article 6(3) of the Directive.
(7)The draft TSI hasbeen examined by the repres entativesof the
Member States, in the framework of the Committee set up bythe Directive, in the light of the introductory report.
(8)The TSI, which is the subject of this Decision, does not imposethe use of specific technologies or technical solutions exceptwhere this is strictly necessary for the interoperability of thetrans-European high-speed rail network.
(9)The TSI, which is the subject of this Decision, is based on bestavailable expert knowledge at the time of preparation of thecorresponding draft. Developments in technology or socialrequirements may make it necessary to amend or supplement
thisTSI. Where appropriate, a review or updating procedure
will be initiated in accordance with Article 6(2) of Directive96/48/EC.
(10)In some cases, the TSI, which is the subject of this Decision,
allows a choice between different solutions, making it possible
to apply definitive or transitional interoperable solutions thatare compatible with the existing situation. In addition, Directive96/48/EC provides for special implementing provisions in certainspecific cases. Furthermore, in the cases provided for in Article2002D0734 — EN — 12.09.2002 — 000.001 — 2
(1) OJ L 235, 17.9.1996, p. 6.
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7 of the Directive, Member Statesmus t be allowed not to apply
certain technical specifications. It is therefore necessary that theMember States ensure that an infrastructure register and a rolling
stock register are published and updated each year. These regis-
ters will set out the main characteristics of the nationalinfrastructure and rolling stock (e.g. the basic parameters) andtheir concordance with the characteristics prescribed by theapplicable TSIs. To this end, the TSI, which is the subject of
this Decision, indicates precisely which information must appear
in the registers.
(11)The application of the TSI which is the subject of this Decisionmust take into account specific criteria relating to technical and
operational compatibility between the infrastructures and the
rolling stock to be placed in service and the network into whichthey are to be integrated. These compatibility requirements entaila complex technical and economical analysis that is to be doneon a case-by-case basis. The analysis should take into account:
— the interfaces between the different subsystems referred to in
Directive 96/48/EC,
— the different categoriesof linesand rolling s tock referred to
in that Directive, and
— the technical and operational environmentsof the exis ting
network.
(12)The provisions of this Decision are in conformity with the
opinion of the Committee set up by Directive 96/48/EC.
HAS ADOPTED THIS DECISION:
Article 1
The TSI relating to the ‘operation’ subsystem of the trans-European
high-speed rail system referred to in Article 6(1) of Directive 96/48/
EC is hereby adopted by the Commission. The TSI is set out in theAnnex to this Decision. The TSI is fully applicable to the infrastructureand rolling stock of the trans-European high-speed rail system asdefined in Annex I to Directive 96/48/EC, taking into account the
conditionss et out in Chapter 7 of the attached TSI.
Article 2
The attached TSI shall enter into force six months after notification of
thisDecis ion.
Article 3
This Decision is addressed to the Member States.2002D0734 — EN — 12.09.2002 — 000.001 — 3
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ANNEX
TECHNICAL SPECIFICATION FOR INTEROPERABILITY RELATING TO THE OPERA-
TIONSUBSYSTEM
CONTENTS
1. INTRODUCTION .....................................................
1.1. TECHNICAL SCOPE ..................................................
1.2. GEOGRAPHICAL SCOPE . .............................................
1.3. CONTENT OF THIS TSI . . .............................................
2. SUBSYSTEMDEFINITIONANDSCOPEOFAPPLICATION .............
3. ESSENTIALREQUIREMENTS ........................................
3.1. COMPLIANCE WITH THE ESSENTIAL REQUIREMENTS .................
3.2. ESSENTIAL REQUIREMENTS ASPECTS ................................
3.3. ASPECTS RELATING SPECIFICALLY TO THE OPERATION SUBSYSTEM . .
3.3.1. Safety . . .............................................................
3.3.2. Reliability and availability . . .............................................
3.3.3. Health . . .............................................................
3.3.4. Environmental protection . . . .............................................
3.3.5. Technical compatibility .................................................
3.4. VERIFICATION OF CONFORMITY .....................................
4. CHARACTERISATIONOFTHEOPERATIONSUBSYSTEM .............
4.1. PARAMETERS OF THE OPERATION SUBSYSTEM . ......................
4.1.1. Procedures for operating a new system . . . .................................
4.1.2. Documentation ........................................................
4.1.2.1. Driver'sdocumentation ..................................................
4.1.2.2. Documentation for on-board staff . . .......................................
4.1.3. Qualification of drivers and train staff of the railway undertaking having safety-
related duties. . ........................................................
4.1.3.1. Basic qualification, procedures and languages . . . ............................
4.1.3.2. Route knowledge ......................................................
4.1.3.3. Special qualifications. ..................................................
4.1.4. Safety-related communicationsbetween pers onnel ...........................
4.1.4.1. Nature and format of messages and safety-related communications methodology . .
4.1.4.2. Language used between the ground and the train ............................
4.1.4.3. Language used between the on-board staff and between on-board staff and the
driver . . . .............................................................
4.1.4.4. Language used between on-board staff and passengers . . ......................
4.1.5. Aid to driversin the event of an incident or of a major rolling s tock malfunction .
4.1.6. Investigation or inquiry following an accident or incident .....................
4.1.7. Informing the infrastructure manager of the train's operational status . ...........
4.1.8. Scenariosand proceduresto deal with major incidents. . ......................
4.1.9. Running under particular conditions (test trains and failed trains) ...............
4.1.10. Monitoring the system from the safety point of view . . . ......................
4.1.10.1. Checking compliance with the specifications ................................
4.1.10.2. Feedback of experience .................................................
4.1.11. Monitoring quality of operation . . . .......................................2002D0734 — EN — 12.09.2002 — 000.001 — 4
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4.1.12. On-board service ......................................................
4.1.12.1. Crewing . .............................................................
4.1.12.2. Number of passengers on board the train . . .................................
4.2. INTERFACES WITH THE OPERATION SUBSYSTEM .....................
4.3. SPECIFIED PERFORMANCE ...........................................
5. INTEROPERABILITYCONSTITUENTS ................................
6. ASSESSMENTOFCONFORMITYAND/ORFITNESSFORUSE ..........
6.1. INTEROPERABILITY CONSTITUENTS . .................................
6.2. OPERATIONS SUBSYSTEM ............................................
6.2.1. Assessment procedures and modules applicable . . ............................
6.2.2. Application of modules .................................................
7. IMPLEMENTINGTHEOPERATIONTSI ...............................
ANNEX A SAFETY-RELATEDCOMMUNICATIONS BETWEEN PERSONNEL
INVOLVEDINTHESUBSYSTEM .....................................2002D0734 — EN — 12.09.2002 — 000.001 — 5
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1.INTRODUCTION
1.1.TECHNICALSCOPE
This TSI concerns the ‘operation’ subsystem, which is one of the
subsystems listed in Annex II(1) to Directive 96/48/EC.
This TSI is part of a set of six TSIs, which cover all the eight
subsystems defined in the Directive. The specifications concerning
the ‘users’ and ‘environment’ subsystems, which are necessary to
ensure interoperability of the trans-European high-speed rail system
in compliance with the essential requirements, are set out in the
TSIsconcerned.
More information about the operation subsystem is given in Chapter
2.
1.2.GEOGRAPHICALSCOPE
The geographical scope of this TSI is the trans-European high-speed
rail system as described in Annex I to Directive 96/48/EC.
Reference shall be made in particular to the lines of the trans-
European rail network described in Decision No 1692/96/EC of the
European Parliament and of the Council of 23 July 1996 on
Community guidelinesfor the development of the trans -European
transport network or in any update to the same Decision as a result
of the revision provided for in Article 21 of that Decision.
1.3.CONTENTOFTHISTSI
In accordance with Article 5(3) of and with Annex I(1)(b) to Direc-
tive 96/48/EC, thisTSI:
(a) specifies the essential requirements for the ‘operation’
subsystem and its interfaces (Chapter 3);
(b) establishes the basic parameters described in Annex II(3) to that
Directive, which are necessary to meet the essential require-ments(Chapter 4);
(c) establishes the conditions to be complied with to achieve the
specified performances for each of the following categories of
line (Chapter 4):
— category I: specially built high-speed lines equipped for
speeds generally equal to or greater than 250 km/h,
— category II: specially upgraded high-speed lines equipped
for speeds of the order of 200 km/h,
— category III: specially upgraded high-speed lines which have
special features as a result of topographical, relief or town-
planning constraints, on which the speed must be adapted to
each case.
(d) establishes implementing provisions in certain specific cases
(Chapter 7);
(e) determinesthe interoperability cons tituentsand interfaceswhich
must be covered by European specifications, including
European standards, which are needed in order to achieve inter-
operability within the trans-European high-speed rail system
while meeting the essential requirements (Chapter 5);
(f) states, in each case under consideration, which of the modules
defined in Decision 93/465/EEC or, where appropriate, which
specific procedures are to be used in order to assess either the
conformity or the suitability for use of the interoperability
constituents, as well as ‘EC’ verification of the subsystems
(Chapter 6).
2.SUBSYSTEMDEFINITIONANDSCOPEOFAPPLICATION
The operation subsystem of the trans-European high-speed rail system comprises
all the elementswhich allow the overall implementation and functionality of the
system within the scope of railway operations, once the technical and functionalelements of the other subsystems have been defined.
The operation of a railway system is governed by rules and regulations drawn
up by the infrastructure managers that must also be implemented by the railway
undertakings.2002D0734 — EN — 12.09.2002 — 000.001 — 6
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The initial start up of operation on a railway network requires qualified staff
who apply the procedures defined in a manner consistent with the overall safety
system of the network.
The following main functions relating to operating safety should be distin-
guished for operational implementation of the system:
— train driving,
— on-board staff,— ground-based traffic management.
Besides these, there are organisations that handle the design and updating of the
processes, the procedures and the necessary documentation.
For each of the above functions, personnel involved shall be identified and listed
in the necessary documents.
The procedures shall be published in a regulatory document.
To achieve interoperability, the stated documentation shall be adapted to address
the sole needs of interoperability, taking into account the human factors essen-
tial for dependable and efficient application of procedures.
The ideal solution would be to standardise or harmonise the operating rules of
all the railwayson the relevant routes .
However, even if thisdifficult ideal were achieved, it might actually defeat the
overall ‘safety coherence’ of a network and thereby impede the safe running of
other trains on the same routes, which would be contrary to the Directive.
Consequently, the requirement set out in essential requirement 2.7.1 of the
Directive to align the network operating rulescan apply only to harmonis ation
of the structure of the documents so that the driver, for instance, can follow the
specific rules of each infrastructure manager along the route safely and effec-
tively.
Conversely, any procedures directly relating to the operation of a new, common
system implemented on the interoperable network must be standardised.
As far as qualification of the staff involved and in particular drivers, such quali-
fication contributes substantially to maintaining a high level of safety and must
therefore be organised in a uniform way in order to achieve the same level of
safety on all the infrastructure networks which may be operated on.
Moreover, when carrying out these procedures, it is necessary for all the
different members of staff to understand one another without any hesitation
whatsoever, even in emergency situations; which makes it necessary to define
the rulesto be complied with in mattersof communication and, in particular,
the use of languages.
Operating safety also requires consistent checking of the system, through verifi-
cationsand feedback of experience from the field.
The scope of application may be defined as the use of one or more routes as
specified in the train service provided, by a designated set of rolling stock and
specified members of staff.
The aspects of the operation subsystem which relate to the interoperability of
the trans-European high-speed rail system may all be grouped under one of the
following headings:
— procedures,
— documentation,— qualification of personnel,— communications,— system monitoring.
‘Infrastructure manager’ means the body referred to in Article 3 and Article 7 of
Directive 91/440/EEC and in Article 1 of Directive 2001/12/EC. The realloca-
tion of tasks to bodies different from infrastructure managers is possible under
Directive 2001/12/EC and the information concerning thisreallocation mus t be
mentioned in the network statement to be published by infrastructure managers
in accordance with Directive 2001/14/EC.
3.ESSENTIALREQUIREMENTS
3.1.COMPLIANCEWITHTHEESSENTIALREQUIREMENTS
According to Article 4(1) of Directive 96/48/EC, the trans-European
high-speed rail system, subsystems and their interoperability consti-
tuents must meet the essential requirements set out in general terms
in Annex III to the Directive.2002D0734 — EN — 12.09.2002 — 000.001 — 7
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3.2.ESSENTIALREQUIREMENTSASPECTS
The essential requirements cover:
— safety,
— reliability and availability,— health,— environmental protection,— technical compatibility.
According to Directive 96/48/EC, the essential requirements may be
generally applicable to the whole trans-European high-speed rail
system or be specific to each subsystem and its constituents.
3.3.ASPECTS RELATING SPECIFICALLY TO THE OPERATION
SUBSYSTEM
In the case of the operation subsystem, the specific aspects, in addi-
tion to the considerations in Annex III to the Directive, are as
follows.
3.3.1. SAFETY
In accordance with Annex III to Directive 96/48/EC, the safety-
related essential requirements that apply to the operation subsystem
are the following:
Essential requirement 1.1.1:
‘The design, construction or assembly, maintenance and monitoring
of safety-critical components, and more particularly of the compo-
nents 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.’
This essential requirement is not relevant to the operation
subsystem.
Essential requirement 1.1.2:
‘The parametersinvolved in the wheel/rail contact mus t meet the
stability requirements needed in order to guarantee safe movement
at the maximum authorised speed.’
This essential requirement is not relevant to the operation
subsystem.
Essential requirement 1.1.3:
‘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.’
This essential requirement is not relevant to the operation
subsystem.
Essential requirement 1.1.4:
‘The design of fixed installations and rolling stock and the choice of
the materials used must be aimed at limiting the generation, propa-
gation and effectsof fire and s moke in the event of a fire.’
This essential requirement is not relevant to the operation
subsystem.
Essential requirement 1.1.5:
‘Any devices intended to be handled by users must be so designed
as not to impair their safety if used foreseeably in a manner not in
accordance with the posted instructions.’
This essential requirement is not relevant to the operation
subsystem.
However, the following safety-specific requirements do concern the
operation subsystem:
Essential requirement 2.7.1:
‘Alignment of the network operating rulesand the qualificationsof
drivers and on-board staff must be such as to ensure safe interna-
tional operation.
The operationsand maintenance intervals , the training and qualifi-
cations of maintenance staff and the quality assurance system set2002D0734 — EN — 12.09.2002 — 000.001 — 8
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up in the maintenance centresof the operatorsconcerned mus t be
such as to ensure a high level of safety.’
The first part of this essential requirement, (alignment of operating
rules and personnel qualifications), is addressed by the following
subsections of this specification, relating essentially to human
factors:
— the unicity of proceduresto be applied for identical s ituations
directly linked to the operating of a new system: subsection
4.1.1,
— determining the scope of and harmonising the formatting of the
documentation for drivers:
— concerning procedures: subsection 4.1.2.1.1,
— concerning timetables: subsection 4.1.2.1.3,
— the development of a ‘proceduresmanual’ for on-board s taff:
subsection 4.1.2.2,
— formalising and harmonising the description of the line and the
installations on the route and formalising the process by which
the documentsus ed to inform the driver in advance are prepared
and updated and the process by which the driver is advised in
real time: subsection 4.1.2.1.2,
— formalising the safety messages, the methodology and the speci-
fication of the language to be used for different types of safety-
related voice communications: section 4.1.4,
— formalising the process for checking out the system from the
safety standpoint: section 4.1.10,
— formalising the process of verification of the composition of the
crews: section 4.1.12.1,
— formalising the procedure to follow when running with a
passenger overload: section 4.1.12.3.
Driver and train crew qualifications are assured by:
— formalisation and harmonisation of the organisation set up to
qualify personnel from the standpoint of procedures and
languages: section 4.1.3.1,
— formalisation of the process of route learning and maintenance
of route knowledge: section 4.1.3.2,
— definition of a programme for special training for specific quali-
fications: section 4.1.3.3.
Asconcernsthe training and qualification of maintenance
personnel, requirements applicable to personnel responsible for
maintaining the rolling stock are addressed by the rolling stock
subsystems specification.
3.3.2. RELIABILITY AND AVAILABILITY
Essential requirement 1.2:‘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 operation
subsystem.
Essential requirement 2.7.2:
‘The operation and maintenance periods, the training and qualifica-
tions of the maintenance staff and the quality assurance system set
up by the operatorsconcerned in the maintenance centresmus t be
such as to ensure a high level of system reliability and availability.’
The requirements applicable to personnel responsible for main-
taining the rolling stock are addressed by the rolling stock
subsystem specification.
3.3.3. HEALTH
Essential requirement 1.3.1:
‘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 infrastructures.’
This essential requirement is not relevant to the operation
subsystem.2002D0734 — EN — 12.09.2002 — 000.001 — 9
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Essential requirement 1.3.2:
‘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 operation
subsystem.
3.3.4. ENVIRONMENTAL PROTECTION
Essential requirement 1.4.1:‘The repercussions on the environment of the establishment and
operation of the trans-European high-speed rail system must beassessed 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 operation
subsystem.
Essential requirement 1.4.2:
‘The materials used in the trains and infrastructures 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 operation
subsystem.
Essential requirement 1.4.3:‘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 operation
subsystem.
3.3.5. TECHNICAL COMPATIBILITY
Essential requirement 1.5:‘The technical characteristics of the infrastructures and fixed instal-
lations must be compatible with each other and with those of the
trains to be used on the trans-European high-speed rail system.
If adherence to these characteristics proves difficult on certain
sections of the network, temporary solutions, which ensure compat-
ibility in the future, may be implemented.’
This essential requirement is not relevant to the operation
subsystem.
Essential requirement 2.7.3:
‘The alignment of the operating rulesof the networksand the quali-
fications of drivers, on-board staff and managers in charge of traffic
must be such as to ensure operating efficiency on the trans-
European high-speed rail system.’
This essential requirement is assured by:
— the unicity of proceduresto be applied for identical s ituations
directly linked to the operating of a new system: subsection
4.1.1,
— formalisation of the safety messages, of the methodology and
specification of the language to be used for different types of
safety-related voice communications: section 4.1.4,
— the provision of assistance to the driver in the event of an inci-
dent: section 4.1.5,
— informing the traffic managersabout the operational s tatusof
the rolling stock: section 4.1.7,
— formalisation of the procedures and scenarios to be followed in
the event of a major system degradation or incident: section
4.1.8,
— formalisation of the system compliance from the point of view
of the quality of operation: section 4.1.11.
3.4.VERIFICATIONOFCONFORMITY
The verification of conformity of the subsystem and its constituents
with the essential requirements shall be made in accordance with
the requirementslaid down in Directive 96/48/EC.2002D0734 — EN — 12.09.2002 — 000.001 — 10
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4.CHARACTERISATIONOFTHEOPERATIONSUBSYSTEM
The trans-European high-speed rail system to which Directive 96/48/EC applies
and of which the operation subsystem is a part, is an integrated system whose
coherence must be verified in particular with the basic parameters, the interfaces
and performance, for the purpose of ensuring interoperability of the system in
compliance with the essential requirements.
The basic parameters and applicable specifications for each interoperability
element, characterising the operation subsystem, are shown below.
4.1.PARAMETERS OFTHEOPERATIONSUBSYSTEM
None of the ‘basic parameters’ listed in Annex II to Directive 96/
48/EC is relevant to the operation subsystem.
The other parameters relevant to the subsystem are the following.The operation subsystem must meet all the specified performances
for each of the following line categoriesof the trans -European
high-speed rail system that are relevant to it:
— lines specially constructed for high-speed,
— lines specially upgraded for high-speed,— lines specially upgraded for high-speed which have special
features.
In the case of the operation subsystem, certain other parameters as
specified below must be met for operating interoperable high-speed
trains, but they are not all specifically relevant to high-speed.
In the absence of a definition of the needs for all trains, at least the
following safety-critical elements shall be specified.
4.1.1. PROCEDURES FOR OPERATING A NEW SYSTEM
The procedures to be used for identical situations linked directly to
the operation of a new system intended to be used on the interoper-
able European network must be unique; for ERTMS/ETCS in
particular, they shall comply with a European specification which
shall be established.
4.1.2. DOCUMENTATION4.1.2.1. Driver's documentation
4.1.2.1.1.Procedures
All the necessary procedures for the driver shall be included in a
document or a computer medium called the driver'srule book.
The driver's rule book shall state the requirements for the routes
worked and the rolling stock used on those routes according to the
situations of normal operation and degraded operation which the
driver may meet.
Every driver's rule book shall be drafted following the standardised
outline or format below:
A — Organisation of the service
B — Personal safety
C — Signalling and command and control
D — Running conditionsof the rolling s tock
E — Onboard systems
F — Running and driving of the train
G — Anomalies, incidents and accidents
Appendix 1 to driver'srule book: Manual of communication proce-
dures
Appendix 2 to driver'srule book: Book of forms(‘Livret formu-
laires’).
The driver'srule book s hall be written in the language of one of the
Statesof the interoperable network chos en by the railway under-
taking in liaison with the infrastructure managers of the networks
that the service will be operated on, except for messages and forms
(‘formulaires’) which shall remain in the language of the infrastruc-
ture managers (see subsection 4.1.4.1).2002D0734 — EN — 12.09.2002 — 000.001 — 11
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The driver'srule book s hall be written by the railway undertaking
and it shall include the information supplied by the infrastructure
managers.
The process for preparing and updating the driver's rule book shall
include the following steps:
— the infrastructure manager (IM) shall send the railway under-
taking the delimited regulationsin the IM'slanguage,
— the railway undertaking shall draw up the initial or updated
document in the IM'slanguage,
— the infrastructure manager shall scrutinise the part of the docu-
ment prepared by the railway undertaking relevant to the IM,
— the infrastructure manager shall grant authorisation to use those
elementsof the document which concern the IM,
— if the language chosen by the railway undertaking is not the one
used by the infrastructure manager, the document shall be trans-
lated by a competent and acknowledged body, chosen by the
infrastructure manager and the railway undertaking. The railway
undertaking shall provide a certificate of compliance for the
translation. The certificate will not include the section
containing the messages and the forms (see point 4.1.4.1).
Upon request, the railway undertaking and the infrastructure
manager have the right to participate in the translation process.
4.1.2.1.2.Description of the line and lineside equipment on lines worked
over
4.1.2.1.2.1.Basicelements
All the items necessary for operating the rolling stock concerned on
the designated routes shall be set out in a document or computer
medium called the ‘route book’.
The route book shall include at least the following information:
— the general operating characteristics:
— type of signalling and corresponding running regime (double
track, two-way working, etc.),
— type of power supply,— type of ground-train radio equipment,
— indication of rising and falling gradients:
— gradient values and precise delimitation of areas with steep
gradients,
— detailed line diagram:
— namesof s tationson the line and key locationsand their
location,
— permissible speed limits for each track and for the rolling
stock concerned,
— names of the organisation responsible for traffic manage-
ment,
— identification of the radio channelsto be us ed,
— schematic description of track layout.
The format of the route book shall be prepared in the same manner
for all the infrastructures worked over by the trains of an individual
railway undertaking.
The route book shall be written in the language of one of the
Member Statesof the interoperable network chos en by the railway
undertaking.
The route book shall be written by the railway undertaking using
the information supplied by the infrastructure manager.
The process for preparing and updating the route book shall be
defined by the railway undertaking. The infrastructure manager
shall validate each element of the document for which it is respon-
sible and which are within its language competencies.
4.1.2.1.2.2.Modified elements
Any elementsmodified either permanently or temporarily s hall be
advised to the railway undertaking by the infrastructure managers;
these changes shall be grouped by the railway undertaking into a
dedicated document or computer medium whose format shall be
the same for all the infrastructures worked over by the trains of an
individual railway undertaking.2002D0734 — EN — 12.09.2002 — 000.001 — 12
▼B
The process whereby this document or computer medium is
prepared shall be defined by the railway undertaking and validated
by each infrastructure manager for each element for which it is
responsible and which are within its language competencies.
4.1.2.1.2.3.Informingthedriverinrealtime
The procedure for advising drivers in real time about all modifica-
tions to safety arrangements on the route shall be defined by the
infrastructure managers concerned (the process shall be unique
where ERTMS/ETCS isin us e).
4.1.2.1.3.Rollingstock
All the information about running of the rolling stock in both
normal and degraded situations that must be known by the driver
shall be compiled into a document or in a computer medium called
the ‘driver'srolling s tock book’.
The driver's rolling stock book shall be prepared by the railway
undertaking.
4.1.2.1.4.Timetables
The information necessary for the normal running of the train shall
be taken up in a single document or computer medium called the
‘timetable sheet’ (‘fiche train’) that shall be given to the driver and
that shall include at least the following items:
— the stopping points and other timing points,
— the arrival/departure/passing times at each of those points.
The timetable sheet shall be prepared by the railway undertaking
concerned asa compilation of the timing information s upplied by
the infrastructure manager(s) concerned.
The process by which it is prepared shall be formalised by the
railway undertaking and validated by each infrastructure manager
concerned for each element of the document for which it isres pon-
sible and which are within its language competencies.
4.1.2.2. Documentation for on-board staff
All the procedures necessary for on-board staff shall be grouped
into a document or computer medium called the ‘on-board crew's
rule book’.
The on-board crew'srule book s hall be prepared by the railway
undertaking and shall include the information supplied by the infra-
structure managers.
The infrastructure managers may request, concerning the part rele-
vant to them, that thisdocument be drawn up and updated in
accordance with the same process as the one used for the driver's
rule book (subsection 4.1.2.1.1).
All the items necessary for using the rolling stock which must be
known to the on-board staff concerning both normal and degraded
situations shall be collected into a document or computer medium
called the ‘on-board staff's rolling stock book’.
The on-board staff's rolling stock book shall be written by the
railway undertaking.
4.1.3. QUALIFICATION OF DRIVERS AND TRAIN STAFF OF THE
RAILWAY UNDERTAKING HAVING SAFETY-RELATED
DUTIES
4.1.3.1. Basic qualification, procedures and languages
For drivers and train staff having safety duties the railway under-
taking shall apply the qualification process consisting of the
following phases and elements.
A. Personnel selection:
— evaluation of personnel's experience and their professional
and physical qualities,
— evaluation of their competence in use of the foreign
language(s) in their vocational field or their aptitude to learn
it (them).
B. Initial vocational training:
— training requirementss pecification,2002D0734 — EN — 12.09.2002 — 000.001 — 13
▼B
— training programme resources,
— qualification of instructors.
C. Initial certification:
— drawing up of the requirementsfor the certification
programme,
— licensing of certifiers,— delivery of a certificate of qualification.
D. Maintenance of the qualification level and monitoring personnel:
— career monitoring scheme,
— health monitoring scheme.
E. Maintenance of the qualification level and refresher training:
— principles of assessment of training needs,
— principlesof training implementation,— principlesof training evaluation.
F. Maintenance of the qualification level and maintenance of
continued certification:
— principlesof continued certification,
— formalisation of continued certification procedures.
The qualification process is defined taking into account the rules
which apply on the concerned infrastructures. The document
describing the detail of the process is sent to each concerned infra-
structure manager.
4.1.3.2. Route knowledge
The railway undertaking shall define the process whereby knowl-
edge of the routesthe s ervice operateson isacquired and
maintained, based on the rules laid down by the infrastructure
managers.
4.1.3.3. Special qualifications
In certain cases, included in the register of infrastructure, such as a
tunnel containing particular equipment, the railway undertaking
shall draw up a special training and maintenance of knowledge
programme for all of the train staff who might become involved in
safety procedures, based on the rules set down by the infrastructure
managersconcerned.
4.1.4. SAFETY-RELATED COMMUNICATIONS BETWEEN
PERSONNEL
4.1.4.1. Nature and format of messages and safety-related communications
methodology
Principlesto be applied by railway undertakingsand infras tructure
managersconcerning:
— the nature and format of the messages,
— the communicationsmethodology,
are defined in Annex A to the present TSI.Operational itemsprepared s o asto facilitate the applicationsof
these principles, are defined in documents for use by drivers and
traffic management staff.
For the drivers, there are Annexes to the driver's rule book:
— Annex 1: Manual of communication procedures,
— Annex 2: Book of forms(‘livret formulaires ’)
4.1.4.2. Language used between the ground and the train
The language used shall be that used on the infrastructure
concerned; it shall be decided by the infrastructure manager.
The level of knowledge for safety purposes shall be as follows:— Driving function (driver)Ability to send and understand the messages specified in Annex A
to the present TSI.
The content of these messages shall be laid down by the infrastruc-
ture manager.2002D0734 — EN — 12.09.2002 — 000.001 — 14
▼B
— Train accompaniment function (on-board staff)
Ability to send information describing the train and its operational
status as far as the staff is concerned and useful measures for
dealing with particular situations involving passengers.
The content of these messages shall be laid down by the infrastruc-
ture manager.
4.1.4.3. Language used between on-board staff and between on-board
Staff and the driver
The language used shall be that used on one of the territories of the
interoperable network. It shall be chosen by the railway under-
taking.
4.1.4.4. Language used between on-board staff and passengers
In situations related to passenger safety and health, the language
used between the train staff and passengers shall be that used on
one of the territories of the interoperable network; it shall be chosen
by the railway undertaking by agreement with the infrastructure
managers.
Moreover, the infrastructure managers may set down particular rules
for specific cases (for running through long tunnels for example) or
to comply with the regulationsof individual Member States .
4.1.5. AID TO DRIVERS IN THE EVENT OF AN INCIDENT OR OF A
MAJOR ROLLING STOCK MALFUNCTION
The railway undertaking shall keep available, during all the time
that the train isrunning, an expert who can be contacted directly
by the driver, in real time, in the event of an incident or of major
malfunctioning of the rolling stock.
4.1.6. INVESTIGATION OR INQUIRY FOLLOWING AN ACCIDENT
OR INCIDENT
The railway undertaking shall specify, by agreement with the infra-
structure manager, the persons to be contacted.
The infrastructure manager, by agreement with the railway under-
taking, shall prescribe the time scales against which the
investigation or inquiry into an accident or incident shall
commence.
Asfar ascons ervation, extraction and reading of the required
safety-related event recordings, the railway undertaking must estab-
lish, in agreement with the infrastructure manager, a procedure in
order that these actions may be undertaken.
4.1.7. INFORMING THE INFRASTRUCTURE MANAGER OF THE
TRAIN'S OPERATIONAL STATUS
A procedure shall be defined between the infrastructure manager
and the railway undertaking so that any anomaly affecting the
rolling stock having possible repercussions on the train's running
(prior to departure and en route) will be reported to the organisation
responsible for traffic management.
4.1.8. SCENARIOS AND PROCEDURES TO DEAL WITH MAJOR
INCIDENTS
Scenarios and procedures shall be specified by the infrastructure
managersin coordination with the railway undertaking for the
following incidents:
— Accident:
— rescuing people,
— Rolling stock failures:
— evacuating passengers,
— rescuing failed stock,
— Infrastructure failures:
— driving conditionsfor a re-routed train.
The railway undertakings and the infrastructure managers shall take
account of these scenarios and procedures in the rule books and in
their personnel training specifications.
Furthermore, and in order for the infrastructure managers to be able
to pre-establish the measures to be taken according to the rules and2002D0734 — EN — 12.09.2002 — 000.001 — 15
▼B
regulations, depending on the nature of the incidents, the tailway
undertaking shall supply them, at their request, the list of specific
malfunctions of the rolling stock which may have substantial traffic
implications.
4.1.9. RUNNING UNDER PARTICULAR CONDITIONS (TEST
TRAINS AND FAILED TRAINS)
The particular conditionsfor the running of trainsfor rolling s tock
under test and the movement of recovered, failed stock shall be
defined by the railway undertakings and scrutinised for endorsement
by the Infrastructure Managers concerned.
4.1.10. MONITORING THE SYSTEM FROM THE SAFETY POINT OF
VIEW
4.1.10.1. Checking compliance with the specifications
Compliance with the interoperability specifications shall be
checked, in particular, through audits.
The infrastructure managers shall:
— carry out, asa minimum, yearly auditsof their network,
covering:
— implementation of the specifications by the railway under-
takings,
— the effectiveness of the monitoring system set up by the
railway undertaking,
— inform the railway undertakingsof the findingsof thos e audits
carried out on their network.
The railway undertakingss hall:
— make audits at least once a year of the interoperable high-speed
service that concerns them,
— communicate the findingsof the auditsto the infras tructure
managersconcerned.
4.1.10.2. Feedback of experience
The infrastructure managers shall:
— set up a process for feedback of field information on the opera-
tional performance of the interoperable high-speed system,
— advise the railway undertakings concerned about incidents and
accidentshaving occurred on their territory,
— communicate to the railway undertakings, when one of their
staff is concerned, the analyses and conclusions of the investiga-
tion or inquiry.
The railway undertakingss hall:
— set up a process for feedback of field information on the opera-
tional performance of the interoperable high-speed system,
— periodically and if needed inform the infrastructure managers
about the results of the feedback and areas where corrective
actionsare expected.
4.1.11. MONITORING QUALITY OF OPERATION
Events which have significantly disrupted operations shall be
analysed as soon as possible, jointly by the railway undertaking
and the infrastructure manager concerned.
Any recurring event shall be analysed jointly by the railway under-
taking and the infrastructure managers concerned at least once a
year.
These processes shall be defined by the railway undertaking in
agreement with the infrastructure managers.
4.1.12. ON-BOARD SERVICE4.1.12.1. Crewing
The minimum number of persons on board and their qualification
shall be in accordance with the train staffing rules of each of the
infrastructures worked over.
A procedure shall be drawn up by the railway undertaking in agree-
ment with the infrastructure manager to define the checks to be
made before the train departs.2002D0734 — EN — 12.09.2002 — 000.001 — 16
▼B
4.1.12.2. Number of passengers on-board the train
When a railway undertaking uses high-speed rolling stock that
cannot run at its nominal speed because of a substantial passenger
overload, it shall take the necessary measures to ensure that
normally such an overload situation never occurs.
In the exceptional cases where the situation does occur, the railway
undertaking shall advise the infrastructure manager of the conditions
under which the movement can be made.
For certain cases included in the register of infrastructure, such as a
tunnel for which the infrastructure manager has provided an evacua-
tion scenario whereby passengers shall have to walk down the train,
the infrastructure manager together with the railway undertaking
shall fix the maximum number of passengers allowed on the train.
Furthermore, in the case just mentioned and for the same reasons,
no baggage shall be permitted in the aisles or doorways.
4.2.INTERFACES WITHTHEOPERATIONSUBSYSTEM
None
4.3.SPECIFIED PERFORMANCE
None
5.INTEROPERABILITYCONSTITUENTS
5.1. Within the meaning of Article 2(d) of Directive 96/48/EC, intero-
perability constituents are ‘any elementary component, group of
components, subassembly or complete assembly of equipmentincorporated or intended to be incorporated into a subsystem, upon
which the interoperability of the trans-European high-speed rail
system depends either directly or indirectly.’
5.2. The interoperability constituents are covered by the relevant provi-
sions of Directive 96/48/EC.
5.3. Some interoperability constituents are addressed by specifications
setting out performance requirements for them. The assessment of
their conformity and/or fitness for use shall be made, as a rule, via
the interfaces of the interoperability constituents. Design or descrip-
tive characteristics shall be relied on only by exception.
The operation subsystem does not have any interoperability consti-
tuents.
6.ASSESSMENTOFCONFORMITYAND/ORFITNESSFORUSE
6.1.INTEROPERABILITYCONSTITUENTS
The operations TSI contains no interoperability constituents.
6.2.OPERATIONSSUBSYSTEM
6.2.1. ASSESSMENT PROCEDURES AND MODULES APPLICABLE
Conformity assessment of the parameters in question involves veri-
fying the following pointsfor each parameter, on the route(s ) to be
worked over and the rolling stock to be used:
— prior to entry into service: the characteristics of all defined
documents, procedures, processes or special provisions,
— during operation: the implementation and control of all defined
elements associated with the quality monitoring system.
The types of module to be applied for conformity assessment are as
follows.
— Prior to start up of service
— For design parameters of concern to the infrastructure
manager, the type A module shall be used.2002D0734 — EN — 12.09.2002 — 000.001 — 17
▼B
— For design parameters of concern to the railway undertaking,
the type A module shall be used in conjunction with the
additional provision A1 as follows:
‘a notified body chosen by the railway undertaking shall
conduct a verification of the characteristics of design para-
meter elements of concern to it prior to start up of service’.
Thismodule isreferred to asAE and isdes cribed in point 6.2.2.
— During operation
For the parameter elementsrelating to the quality monitoring
system, a type D module shall be used in conjunction with the
provision D1 as follows:
‘a notified body, or a notified institution chosen by the infra-
structure manager and the railway companies, shall, every two
years, assess the elements of the parameters relating to the
quality monitoring system processes (application of the quality
monitoring system, identified as SQ in Table 6.2.2) that concern
the railway undertaking and/or the infrastructure manager. The
choice of the notified body ismade according to a procedure
laid down by the Member State concerned and from among the
notified bodies with the essential skills, and in agreement with
the authority appointed by the Member State concerned to issue
the safety certificates.’
This module shall be referred to as DE and is described in point
6.2.2.
6.2.2. APPLICATION OF MODULES
The table below:
— lists the parameters to be assessed and the elements to be veri-
fied for each parameter and identifiesthe quality monitoring
system elements to be assessed (marked SQ),
— givesa TSI reference for the variousparametersand indicates
which modules should be used.
This table is the basis for applying the modules.
Parametersto be
assessedElementsto be verified for each
parameterTSI referenceModulesto be applied
RU IM
Procedure for oper-
ating a new systemApplication for this system
of the instructions set out in
the European specification
established for the system4.1.1. A
Documentation
Driver'srule book Exis tence 4.1.2.1.1 AE A
Structure AE
Language of text AEDrafting and updating
process, including the choice
of a competent and
acknowledged body and
conformity certification of
the translationAE
Route book Existence 4.1.2.1.2.1 AE
Minimum content AE
Mode of presentation by
railway undertakingAE
Language of text AE
Drafting and updating
processAE A2002D0734 — EN — 12.09.2002 — 000.001 — 18
▼B
Parametersto be
assessedElementsto be verified for each
parameterTSI referenceModulesto be applied
RU IM
Document or
computer file of
amended elementsExistence 4.1.2.1.2.2 AE
Mode of presentation by
railway undertakingAE
Drafting and updating
processAE A
Procedure for
informing the driver
in real timeExistence 4.1.2.1.2.3 AE A
Driver'srolling s tock
bookExistence 4.1.2.1.3 AE
Timetable sheet Existence 4.1.2.1.4 AE
Minimum content AE
Mode of presentation by
railway undertakingAE
Language of text AE
Drafting process AE A
On-board crew'srule
bookExistence of these docu-
ments4.1.2.2 AE
Drafting and updating
process as appropriateAE A
On-board staff's
rolling stock bookExistence AE
Qualification of
driversand on-board
staff
Process for general
qualificationsofdriversand on-board
staffExistence 4.1.3.1 AE
Structure AESubmission by the RU to
each IM of the document
describing the processesAE
Process for acquisition
and maintenance of
route knowledgeExistence 4.1.3.2 AE A
Process for training
and maintaining
knowledge forspecific qualificationsExistence of a specific
programme4.1.3.3 AE A
Safety-critical
communications2002D0734 — EN — 12.09.2002 — 000.001 — 19
▼B
Parametersto be
assessedElementsto be verified for each
parameterTSI referenceModulesto be applied
RU IM
Operational elements
for ground-to-mobile
communications
appearing in the
documents:
— to be used by the
driver (appendices
to the rule book)
— manual of commu-
nicationsproce-
dures
— book of forms— to be used by staff
responsible for
traffic manage-
mentApplication of the principles
set out in Appendix A4.1.4.1 AE A
Language used
between track and
trainDefinition 4.1.4.2 AE
Language used
between on-board
staff and driverDefinition 4.1.4.3 AE
Language(s) used
between on-board
staff and passengersDefinition 4.1.4.4 AE A
Measures to assist
driversExistence 4.1.5 AE
Measures for investi-
gation and inquiry
purposes and to access
and read recorded
safety dataExistence 4.1.6 AE A
Procedure to inform
the infrastructure
manager of the train's
operational statusExistence 4.1.7 AE A
Scenariosand proce-
duresto deal with
major incidentsExistence 4.1.8 AE A
Inclusion in rule books and
training specificationsAE A
List of malfunctions AE A
Measures concerning
running conditionsfor
rolling stock under-
going testing and
return of failed rolling
stockDefinition 4.1.9 AE A
Inclusion in audit
programmes
System verification
from safety standpoint
Audit process Existence 4.1.10.1 AE A
Application of process in
operation (SQ)DE DE2002D0734 — EN — 12.09.2002 — 000.001 — 20
▼B
Parametersto be
assessedElementsto be verified for each
parameterTSI referenceModulesto be applied
RU IM
Feedback Existence 4.1.10.2 AE A
Application of process in
operation (SQ)DE DE
System verification
from operating quality
standpointExistence 4.1.11 AE A
Application of process in
operation (SQ)DE DE
On-board service
Provisions governing
the composition of
train crewsDefinition of minimum
number of staff on board
and their qualifications4.1.12.1 AE A
Procedure to check
the number of staff on
board prior to train
departureExistence AE A
Provisions concerning
the train load factorExistence 4.1.12.2 AE
Verification aspart of audit
Provisions concerning
the maximum number
of passengers where
evacuation scenarios
existExistence AE A
Provisions concerning
baggageExistence AE
(SQ) Elements concerning the quality monitoring system to be verified during operation.
The arrangementsfor implementing the modulesare asfollows .
Module AThe producer (infrastructure manager) shall, for the elements of
parametersof concern to him:
(a) draw up the operating documentation for the interoperable
system in question:
— documentation on the rolling stock used and the route being
worked over,
— documentation on each parameter: document, name of the
process, procedure or special provisions,
— list of European specifications to be applied,
and shall archive this material, keeping it available for inspec-
tion by national authorities for a period of at least 10 years;
(b) verify, for each parameter and design element of the parameters
indicated in the above list, that the characteristics defined in the
TSI are complied with;
(c) draw up a declaration of conformity including the list of para-
metersand elementsto be verified (from the previoustable)
and, for each of them, an indication of compliance. This
declaration shall be archived with the operating documentation.2002D0734 — EN — 12.09.2002 — 000.001 — 21
▼B
Module AE
The producer (railway undertaking) shall, for the elements of
concern to him:
(a) draw up the operating documentation for the interoperable
system in question:
— documentation on the rolling stock used and the route being
worked,
— documentation on each parameter: document, wording of the
process, procedure or special provisions,
— list of European specifications to be applied,
and shall archive this material, keeping it available for inspec-
tion by the national authorities for a period of at least 10 years;
(b) select a notified body and request verification, for each para-
meter and design parameter element indicated in the above list,
that the characteristics defined in the TSI are complied with
along the whole of the route being worked over.
The notified body shall:
(c) verify, for each parameter and design parameter element indi-
cated in the above list, that the characteristics defined in the
TSI are complied with;
(d) notify the producer that requested the verifications of the results
obtained.
The producer shall:
(e) draw up a declaration of conformity including a list of the para-
metersand elementsto be verified, taken from the above table,
and for each of them, an indication of conformity. Thisdeclara-
tion shall be archived with the operating documentation.
Module DE
The producers(railway undertaking and infras tructure manager,
each for the part of concern to it) shall:
(a) draw up the operating documentation for the interoperable
system in question:
— documentation on the rolling stock used and the route being
worked,
— documentation on the organisation, responsibilities and
powers in relation to quality monitoring system,
— documentation on each parameter relating to the operating
quality monitoring system:
— name of processes,
— result of audits,— elementsconcerning feedback,— elements concerning overall quality monitoring system,
and shall archive this material, keeping it available for inspec-
tion by national authorities for a period of at least 10 years;
(b) select a notified body or a notified institution every two years
and request that it conduct an assessment of the elements of
parameters relating to the quality monitoring system (applica-
tion of the quality monitoring processes identified as SQ in the
table above) which concernsthem.
The notified body or the notified institution:
(c) shall conduct an assessment of the monitoring processes of
concern to the producers(railway undertaking and/or infras truc-
ture manager) and draw up a report for each, indicating in
particular whether:
— the producers have implemented the processes as planned,
— the producers control the processes;
(d) gives the result of this assessment and the related report to the
producerswho reques ted the report.
The producers(railway undertaking and infras tructure manager, for
the part of concern to each):
(e) shall establish a compliance declaration indicating the results of
this assessment and the related report and keep this declaration
with the operating documentation.2002D0734 — EN — 12.09.2002 — 000.001 — 22
▼B
7.IMPLEMENTINGTHEOPERATIONTSI
The operation of the train service on the relevant part of the trans-European high
speed rail system must conform with the Operation TSI:
— when new or upgraded interoperable infrastructure is put into service in
accordance with Article 14 of Directive 96/48/EC,
— or, when a new cross-border service is put into service,
— or, in the case of existing infrastructure referred to in point 1.2 of the present
TSI, step by step and, if possible, by 2005.
However, in the case of an infrastructure where existing trains are running and
are not subject to Directive 96/48/EC, the operating rules resulting from the
application of this TSI can be adapted to the local situation in view of preser-
ving the compatibility of the existing rail system and its current safety level.
Such exceptions must be mentioned in the infrastructure register.2002D0734 — EN — 12.09.2002 — 000.001 — 23
▼B
ANNEX A
SAFETY-RELATEDCOMMUNICATIONS BETWEEN PERSONNEL
INVOLVEDINTHESUBSYSTEM
NATUREANDSTRUCTUREOFTHEMESSAGES
COMMUNICATIONMETHODOLOGY
INTRODUCTION
The purpose of this document is to set out the rules for safety-related ground-to-
mobile and mobile-to-ground communicationsapplicable to information trans -
mitted or exchanged for safety critical situations on the interoperable network
and in particular to:
— define the nature and structure of the safety-related messages,
— define the methodology for voice transmission of those messages.
This appendix is to serve as the basis:
— to enable the infrastructure manager to draw up the messages and books of
forms(formulaires ). These elements shall, be addressed to the railway
undertakingsat the s ame time asthe delimited rulesand regulationsare
made available,
— for the infrastructure managers and the railway undertaking to draw up the
documentsfor the operators(booksof forms : livret formulaires ), instruc-
tions for the personnel responsible for traffic management and Appendix 1
to the driver'srule book ‘Manual of communication procedures ’.
1.NATUREANDSTRUCTUREOFTHESAFETY-RELATEDMESSAGES
1.1. NATURE
The safety-related messages shall be defined in a formal manner by
each infrastructure manager according to four types:
— top priority emergency messages,
— procedural messages,— additional messages,— information messages with a variable content.
The rules concerning the transmission of these messages are given
under section 2 - ‘Communication methodology’.
1.1.1.Toppriorityemergency messages
The top priority emergency safety messages are intended to give
urgent operational instructions.
To avoid any risk of misunderstanding, the message is always
repeated.
Classified according to need, the main messages which can be sent
are indicated hereafter: in addition, other top priority emergency
messages may, if necessary, be defined by the infrastructure manager.
The top priority emergency messages may be followed by procedural
messages (see subsection 1.1.2).
All essential top priority emergency messages are indicated in
Appendix 1 ‘Manual of communicationsprocedures ’ to the rule
book for drivers and in the documents of instructions for use by the
personnel responsible for traffic management.
1.1.1.1.Messagessenteitherbythegroundorthedriver
— Need to stop all trains:
2002D0734 — EN — 12.09.2002 — 000.001 — 24
▼B
Information on location or area are, if necessary, specified in the
message.
In addition, this message is to be quickly complemented, if
possible, by the reason, the location of the emergency and the
train'sidentification:
— Need to stop a particular train:
— Need for radio silence:
1.1.1.2.Messagesissuedbythedriver
— Need to cut the traction power supply:
1.1.2.Procedure messages
1.1.2.1.Natureofthemessages
Procedural messages are used to send operational instructions asso-
ciated with situations represented in the driver's rule book.
They comprise the text of the message itself, corresponding to a situa-
tion, and a number identifying the message.
If the message requires the recipient to report back, the text of the
report isals o given.
These messages use predetermined wording prescribed by the infra-
structure managers in their own language and they are presented in
the form of pre-printed paper forms.2002D0734 — EN — 12.09.2002 — 000.001 — 25
▼B
1.1.2.2.Procedureforms
Procedure Forms are the formalised medium for procedural messages.
Their purpose is to:
— provide a common working document used in real-time by the
ground staff responsible for traffic management and by the
drivers,
— enable traceability of communications.
These forms are identified by a unique code word or number relating
to the procedure.
They are drawn up by each infrastructure manager in his own
language.
1.1.2.3.Bookofforms(livret formulaires)
The whole set of forms must be collected into books (books of forms)
in paper form:
— a book of formsintended for the driver which groupsall the forms
that might be used by the different infrastructure managers
anywhere on the route travelled. The book of forms shall consti-
tute Appendix 2 to the driver'srule book,
— a book of forms intended for personnel responsible for traffic
management, allowing them to put into practice all the procedures
used within their territory.
The book of formsare in two parts .The first part comprises the following items.
— a reminder about the utilisation of the book of forms,
— an index of ground-originated procedure forms,— an index of driver-originated procedure forms,— the list of situations cross-referencing to which procedure form is
to be used,
— a glossary giving the situations to which each procedure form
applies,
— the code for spelling out messages (phonetic alphabet etc.).
The second part contains the procedure forms themselves.
Several model formsare included in the book of formsand page divi-
ders shall be used.
The railway undertaking may include explanatory text relevant to
each form and the situations covered, in the drivers' book of forms.
1.1.3.Additionalmessages
Additional messages are information messages used by the driver to
inform the personnel in charge of traffic management or used by the
personnel in charge of traffic management to advise the driver of
certain predictable situations related to train running or to the tech-
nical condition of the train or the infrastructure.
The necessary additional messages are identified by the infrastructure
managersand are included in Appendix 1 ‘Manual of communica-
tionsprocedures ’ of the driver'srule book and in the documentsof
instructions for use by personnel in charge of traffic management.
1.1.4.Informationmessageswithavariable,content
These messages shall be used, in some situations, by the driver to
advise personnel in charge of traffic management on the ground about
circumstances which are of a rare nature and for which predetermined
messages are not provided.
To make it easier to describe the situations and construct the informa-
tion messages, a message model, 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.) shall be drawn up.2002D0734 — EN — 12.09.2002 — 000.001 — 26
▼B
1.1.4.1.Modelstructureformessages
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 those of the concerned
infrastructure managers.
1.1.4.2.Glossaryofrailwayterminology
The glossary of railway terminology shall be produced by the railway
undertaking for each network traversed. It shall supply the terms in
regular use in the language chosen by the railway undertaking and in
those of the infrastructure managers whose infrastructure is worked
over.2002D0734 — EN — 12.09.2002 — 000.001 — 27
▼B
It shall be composed of two parts:
— a listing of terms by subject matter,
— a listing of the terms in alphabetical order.
1.1.4.3.Descriptive diagramoftherollingstock
The descriptive diagram of the rolling stock used shall be prepared by
the railway undertaking and shall list the names of the various
componentsthat may be the s ubject of communicationswith the
different infrastructure managers concerned. It shall provide the
common names for the standard terms in the language chosen by the
railway undertaking and in those of the infrastructure managers whose
infrastructure is worked over.
1.1.4.4.Descriptive statement of the characteristics of the infrastructure
equipment(track,tractionsupply,etc.)
The descriptive statement of the characteristics of the infrastructure
equipment (track, traction supply, etc.) on the route worked over shall
be drawn up by the railway undertaking, showing the names of the
variouscomponentsthat may be the s ubject of communicationswith
the infrastructure managers concerned. It shall provide the common
names for the standard terms in the language chosen by the railway
undertaking and in the ones of the infrastructure managers whose
infrastructure is worked over.
2.COMMUNICATIONSMETHODOLOGY
2.1. ELEMENTS AND RULES OF THE METHODOLOGY2.1.1.Glossaryoftermsusedintheprocedures
2.1.1.1.Speechtransmissionprocedure
Term transferring the opportunity to speak to the opposite party:
over
2.1.1.2.Messagereceiving procedure
— upon receiving a direct message
Term confirming that the sent message has been received:
received
Term used to have the message repeated in the event of poor
reception or misunderstanding
sayagain(+speakslowly)
— upon reception of a message that has been read back
Terms used to ascertain whether a read-back message exactly
matches the sent message:
correct
or not:error (+Isayagain)
2.1.1.3.Communicationsbreakingprocedure
— if the message has ended:
out
— if break istemporary but doesnot break the connection
Term used to keep the other party waiting:
wait
— if break istemporary but the connection isbroken
Term used to tell the other party that the communication is going
to be broken but will be resumed later on:
Icall again
2.1.1.4.Messagecancelling procedure
Term used to cancel the procedure underway:
cancelprocedure…2002D0734 — EN — 12.09.2002 — 000.001 — 28
▼B
If the message is then to subsequently be resumed, the procedure shall
be repeated from the start.
2.1.2.Rulestobeappliedintheeventoferror ormisunderstanding
To permit the correction of possible errors during communication, the
following ruless hall be applied:
2.1.2.1.Errors
— error during transmission
When a transmission error is discovered by the sender himself, the
sender must request cancellation by sending the following proce-
dure message:
error (+preparenewform...)
orerror +Isayagain
and then send the initial message again
— error during read back
When the sender discovers an error whilst the message is being
read back to him, the sender shall send the following procedure
messages:
error +Isayagainand send the initial message again.
2.1.2.2.Misunderstanding
If one of the parties misunderstands a message he must ask the other
party to repeat the message by using the following text:
sayagain(+speakslowly)
2.1.3.Word,number,time,distance,speedanddatespellingcode
To aid in understanding and expressing messages in different situa-
tions, each term must be pronounced slowly and correctly by
spelling out the words and figures likely to be misunderstood. The
following spelling rules shall apply.
2.1.3.1.Spellingoutofwordsandletter groups
The international phonetic alphabet shall be used.
A Alpha
B Bravo
C CharlieD DeltaE EchoF Foxtrot
G Golf
H HotelI IndiaJ JulietK Kilo
L Lima
M MikeN NovemberO OscarP Papa
Q Quebec
R RomeoS SierraT TangoU Uniforme2002D0734 — EN — 12.09.2002 — 000.001 — 29
▼B
V Victor
W Whisky
X X-ray
Y Yankee
Z Zulu
Examples : pointsA B = pointsalpha bravo; s ignal number KX 835 =
signal Kilo X-Ray eight three five.
The railway undertaking may add further indicationsabout pronuncia-
tion as it deems necessary.
2.1.3.2.Expressionofnumbers
Numbers shall be spoken digit by digit.0 zero
1 one
2 two
3 three
4 four5 five
6si x
7 seven
8 eight
9 nine
Example: train 2183 = train two one eight three.Decimals shall be expressed by the word point.Example: 12.50 = one two point five zero.
2.1.3.3.Expressionoftime
The time shall be given in local time, in plain language.Example: 10:52 hours= ten fifty-two.If necessary, the time shall be spelled out digit by digit (one zero five
two hours).
2.1.3.4.Expressionofdistancesandspeeds
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.
2.1.3.5.Expressionofdates
Dates shall be expressed in the usual manner.Example: 10 December.
2.2. COMMUNICATIONS STRUCTURE
The voice transmission of safety-related messages shall in principle
comprise two 2 phases as follows:
— identification and request for instructions,
— transmission of the message itself and termination of the transmis-
sion.
The first phase may be cut back or entirely omitted for top priority
safety messages.
2.2.1.Rulesforidentification andrequestsforinstruction
To enable the partiesto identify one another, define the operational
situation and transmit procedural instructions, the following rules
shall apply:2002D0734 — EN — 12.09.2002 — 000.001 — 30
▼B
2.2.1.1.Identification
Every communication other than top priority safety messages must
begin with identification messages even after an interruption during
transmission.
The following messages shall be used for this purpose by the different
parties.
— by the personnel responsible for traffic management:
train …
… (number)thisis… … s ignals… (name)
— by the driver:
… signals
… (name)
thisistrain …
… (number)
NB:The identification may be followed by an additional information
message giving the person responsible for traffic management enough
details of the situation to determine precisely the procedure that the
driver may subsequently be required to follow.
2.2.1.2.Requestforinstructions
Every application of a procedure must be preceded by a request for
instructions. The following terms shall be used to request instructions:
prepareprocedure…
2.2.2.Rulesformessagetransmissionprocedures
2.2.2.1.Topprioritysafetymessages
Due to their urgent and imperative nature, these messages:
— may be sent or received while running,
— may omit the identification part,
— shall be repeated,— shall, as soon as possible, be followed by further information.
2.2.2.2.Proceduralmessage
In order to reliably send (at a standstill) the procedural messages
contained in the book of forms(livret formulaires ), the following
ruless hall be followed.
2.2.2.2.1. 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.
2.2.2.2.2. Message receiving
The receiver of the message must fill in the form given in the book of
forms based upon the information given by the sender.
2.2.2.2.3. 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.
2.2.2.2.4. 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
orerror +Isayagain2002D0734 — EN — 12.09.2002 — 000.001 — 31
▼B
and resending of the initial message.
2.2.2.2.5. Acknowledgement
Every message received shall be acknowledged positively or nega-
tively asfollows :
received
or
negative,sayagain(+speakslowly)
2.2.2.2.6. Traceability and verification
A unique identification or authorisation number shall accompany all
messages initiated from the ground:
— if the message concerns an action for which the driver requires a
specific authorisation (e.g. passing a signal at danger, etc.):
authorisation…
…(number)
— in all other cases (e.g. proceeding with caution, etc.):
message…
…(number)
2.2.2.2.7. Reporting back
Every message comprising a request to ‘report back’ shall be
followed by a ‘report’.
2.2.2.3.Additional messages
Additional messages
— shall be preceded by the identification procedure,
— shall be short and precise (limited wherever possible to informa-
tion to be communicated and where it applies),
— shall be read back and followed by an acknowledgement of
correct read back, or not,
— may be followed by a request for instructions or a request for
further information.
2.2.2.4.Informationmessageswithavariable contentnotpredetermined
Information messages with a variable content shall be:
— preceded by the identification procedure,
— prepared before sending,— read back and followed by an acknowledgement of correct read
back, or not.2002D0734 — EN — 12.09.2002 — 000.001 — 32