ANNEX

TABLE OF CONTENTS

1. Introduction 12

1.1. Technical scope 12

1.2. Geographical scope 12

1.3. Content of this Regulation 12

2. Description of scope 12

2.1. Staff and trains 12

2.2. Principles 13

2.3. Applicability to existing non TSI conform vehicles and infrastructure 13

3. Essential requirements 13

3.1. Compliance with the essential requirements 13

3.2. Essential requirements — overview 13

4. Characteristics of the subsystem 16

4.1. Introduction 16

4.2. Functional and technical specifications of the subsystem 16

4.2.1. Specifications relating to staff 17

4.2.1.1. General requirements 17

4.2.1.2. Documentation for drivers 17

4.2.1.2.1. Driver's Rule Book 17

4.2.1.2.2. Description of the line and the relevant line-side equipment associated with the lines worked over 18

4.2.1.2.2.1. Preparation of the Route Book 18

4.2.1.2.2.2. Modifications to information contained within the Route Book 19

4.2.1.2.2.3. Informing the driver in real time 19

4.2.1.2.3. Timetables 19

4.2.1.2.4. Rolling stock 19

4.2.1.3. Documentation for railway undertaking staff other than drivers 19

4.2.1.4. Documentation for infrastructure manager's staff authorising train movements 19

4.2.1.5. Safety-related communications between train crew, other railway undertaking staff and staff authorising train movements 20

4.2.2. Specifications relating to trains 20

4.2.2.1. Train visibility 20

4.2.2.1.1. General requirement 20

4.2.2.1.2. Front-end 20

4.2.2.1.3. Rear end 21

4.2.2.1.3.1. Passenger trains 21

4.2.2.1.3.2. Freight trains 21

4.2.2.2. Train audibility 22

4.2.2.2.1. General requirement 22

4.2.2.2.2. Control 22

4.2.2.3. Vehicle identification 23

4.2.2.4. Safety of passengers and load 23

4.2.2.4.1. Safety of load 23

4.2.2.4.2. Safety of passengers 23

4.2.2.5. Route compatibility and train composition 23

4.2.2.5.1. Route compatibility 23

4.2.2.5.2. Train composition 24

4.2.2.6. Train braking 25

4.2.2.6.1. Minimum requirements of the braking system 25

4.2.2.6.2. Braking performance and maximum speed allowed 25

4.2.2.7. Ensuring that the train is in running order 26

4.2.2.7.1. General requirement 26

4.2.2.7.2. Pre-departure data 26

4.2.2.8. Requirements for signal and lineside marker sighting 26

4.2.2.9. Driver vigilance 27

4.2.3. Specifications relating to train operations 27

4.2.3.1. Train planning 27

4.2.3.2. Identification of trains 27

4.2.3.2.1. Format of train running number 27

4.2.3.3. Train departure 27

4.2.3.3.1. Checks and tests before departure 27

4.2.3.3.2. Informing the infrastructure manager of the train's operational status 27

4.2.3.4. Traffic management 27

4.2.3.4.1. General requirements 27

4.2.3.4.2. Train reporting 28

4.2.3.4.2.1. Data required for train position reporting and predicted hand over time 28

4.2.3.4.3. Dangerous goods 28

4.2.3.4.4. Operational quality 29

4.2.3.5. Data recording 29

4.2.3.5.1. Recording of supervision data outside the train 29

4.2.3.5.2. Recording of supervision data on-board the train 29

4.2.3.6. Degraded operation 30

4.2.3.6.1. Advice to other users 30

4.2.3.6.2. Advice to train drivers 30

4.2.3.6.3. Contingency arrangements 30

4.2.3.7. Managing an emergency situation 30

4.2.3.8. Aid to train crew in the event of an incident or of a major rolling stock malfunction 31

4.3. Functional and technical specifications of the interfaces 31

4.3.1. Interfaces with the infrastructure TSI (INF TSI) 31

4.3.2. Interfaces with the control-command and signalling TSI (CCS TSI) 32

4.3.3. Interfaces with the rolling stock TSIs 32

4.3.3.1. Interfaces with the locomotives and passenger rolling stock TSI (LOC&PAS TSI) 32

4.3.3.2. Interfaces with the freight wagons TSI (WAG TSI) 33

4.3.4. Interfaces with the Energy TSI (ENE TSI) 34

4.3.5. Interfaces with the Safety in Railway Tunnels TSI (SRT TSI) 34

4.3.6. Interfaces with the Noise TSI (NOI TSI) 34

4.3.7. Interfaces with the Person with Reduced Mobility TSI (PRM TSI) 35

4.4. Operating rules 35

4.4.1. European Union railway system operational principles and rules 35

4.4.2. National rules 35

4.4.3. Acceptable Means of Compliance 35

4.4.4. Transition from application of national rules to implementation of this Regulation 36

4.5. Maintenance rules 36

4.6. Professional competences 36

4.6.1. Professional competence 36

4.6.2. Language competence 36

4.6.2.1. Principles 36

4.6.2.2. Level of knowledge 36

4.6.3. Initial and ongoing assessment of staff 37

4.6.3.1. Basic elements 37

4.6.3.2. Analysis and update of training needs 37

4.6.4. Auxiliary staff 37

4.7. Health and safety conditions 37

4.7.1. Introduction 37

4.7.2. Medical examinations and psychological assessments 38

4.7.2.1. Before appointment 38

4.7.2.1.1. Minimum content of the medical examination 38

4.7.2.1.2. Psychological assessment 38

4.7.2.2. After appointment 39

4.7.2.2.1. Frequency of periodic medical examinations 39

4.7.2.2.2. Minimum content of the periodic medical examination 39

4.7.2.2.3. Additional medical examinations and/or psychological assessments 39

4.7.3. Medical requirements 39

4.7.3.1. General requirements 39

4.7.3.2. Vision requirements 39

4.7.3.3. Hearing requirements 40

4.8. Additional information on infrastructure and vehicles 40

4.8.1. Infrastructure 40

4.8.2. Rolling stock 40

5. Interoperability constituents 40

5.1. Definition 40

5.2. List of constituents 40

6. Assessment of conformity and/or suitability for use of the constituents and verification of the subsystem 40

6.1. Interoperability constituents 40

6.2. Operation and traffic management subsystem 41

6.2.1. Principles 41

7. Implementation 41

7.1. Principles 41

7.2. Specific cases 41

7.2.1. Introduction 41

7.2.2. List of specific cases 41

7.2.2.1. Permanent specific case (P) Estonia, Latvia, Lithuania, Poland, Hungary and Slovakia 41

7.2.2.2. Permanent specific case Ireland and the UK for Northern Ireland 42

7.2.2.3. Temporary specific case (T1) Ireland and United Kingdom 42

7.2.2.4. Permanent specific case (P) Finland 42

Appendix A ERTMS/ETCS operational rules 43

Appendix B Common operational principles and rules 44

Appendix C Safety related communications methodology 49

Appendix D Route compatibility and Route Book 56

Appendix D1 Parameters for the vehicle and train compatibility over the route intended for operation 56

Appendix D2 Elements the infrastructure manager has to provide to the railway undertaking for the Route Book 66

Appendix E Language and communication level 86

Appendix F Minimum elements relevant to professional qualification for the tasks associated with ‘accompanying trains’ 87

Appendix G Minimum elements relevant to professional qualification for the task of preparing trains 89

Appendix H European Vehicle Number and linked alphabetical marking on the bodywork 91

Appendix I List of areas for which national rules may continue to apply according to Article 8 of Directive (EU) 2016/798 93

Appendix J Glossary 95

1. INTRODUCTION

1.1. Technical scope

This Technical Specification for Interoperability (‘TSI’) covers the ‘operation and traffic management’ subsystem shown in the list contained in point 1 and defined in point 2.5 of Annex II to Directive (EU) 2016/797.

1.2. Geographical scope

The geographical scope of this Regulation is the Union's network as specified in section 1 to Annex I of Directive (EU) 2016/797 and excludes the cases referred to in Article 1(3) and 1(4) of Directive (EU) 2016/797.

1.3. Content of this Regulation

In accordance with Article 4(3) of Directive (EU) 2016/797, this Regulation:

(a) indicates its intended scope for the ‘operation and traffic management’ subsystem;

(b) lays down essential requirements for the subsystem concerned and its interfaces vis-à-vis other subsystems;

(c) establishes the functional and technical specifications to be met by the target subsystem and its interfaces vis-à-vis other subsystems. If necessary, these specifications may vary according to the use of the subsystem;

(d) determines the interoperability constituents and interfaces covered by European specifications, including European standards, which are necessary to achieve interoperability within the European rail system;

(e) states, in each case under consideration, which procedures are to be used in order to assess the conformity or suitability for use of the interoperability constituents;

(f) indicates the strategy for implementing the TSI. In particular, it is necessary to specify the stages to be completed and the elements that may be applied in order to make a gradual transition from the existing situation to the final situation in which compliance with the TSI shall be the norm;

(g) indicates, for the staff concerned, the professional qualifications and health and safety conditions at work required for the operation and maintenance of the subsystem concerned, as well as for the implementation of the TSI;

(h) indicates the provisions applicable to the existing non TSI conform subsystems and vehicles, in particular in the event of upgrading and renewal and, in such cases, the modification work which requires an application for a new authorisation;

(i) indicates the parameters of the vehicles and fixed subsystems to be checked by the railway undertaking and the procedures to be applied to check those parameters after the delivery of the vehicle authorisation for placing on the market and before the first use of the vehicle to ensure compatibility between vehicles and the routes on which they are to be operated.

Moreover, in accordance with Article 4(5) of Directive (EU) 2016/797, provision may be made for specific cases for each TSI.

2. DESCRIPTION OF SCOPE

2.1. Staff and trains

Points 4.6 and 4.7 apply to those staff undertaking the safety-critical tasks associated with accompanying a train.

Point 4.6.2 applies to train drivers without prejudice to point 8 of Annex VI to Directive 2007/59/EC of the European Parliament and of the Council (1).

For those staff undertaking the safety-critical tasks associated with despatching trains and authorising train movements, mutual recognition of professional qualifications and health and safety conditions between Member States shall 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 location(s) designated as the ‘frontier’ in the network statement of an infrastructure manager and included in its safety authorisation, point 4.6 shall apply while mutual recognition between Member States shall apply for point 4.7. A train shall not be considered to be a cross border service, if it complies with the conditions of point (8) of Article 10 of Directive (EU) 2016/798.

2.2. Principles

This Regulation covers those elements of the rail ‘operation and traffic management’ subsystem, where there are operational interfaces between railway undertakings and infrastructure managers and where there is a particular benefit to interoperability.

Railway undertaking and infrastructure manager shall ensure that all requirements concerning rules and procedures as well as documentation are met by the establishment of the appropriate processes. The set-up of these processes is a relevant part of railway undertaking's and infrastructure manager's safety management system (hereinafter referred to as ‘SMS’) as required by Directive (EU) 2016/798. The SMS itself is assessed by the relevant national safety authority (hereinafter referred to as ‘NSA’) before granting safety authorisation and by the European Union Agency for Railways or the relevant NSA before granting safety certificate.

2.3. Applicability to existing non TSI conform vehicles and infrastructure

While the majority of the requirements contained in this Regulation relates to processes and procedures, a number also relates to physical elements of vehicles and infrastructure that are important for their operational function in the context of this Regulation.

Those physical elements are specified in the structural TSIs covering other subsystems than operation and traffic management. They have to be assessed according to the procedures defined in those TSIs.

None of the provisions of this Regulation shall be used to justify a national rule under a structural TSI.

3. ESSENTIAL REQUIREMENTS

3.1. Compliance with the essential requirements

In accordance with Article 3 of Directive (EU) 2016/797, the Union rail system, its subsystems and their interoperability constituents shall meet the essential requirements set out in general terms in Annex III to that Directive.

3.2. Essential requirements — overview

The essential requirements cover:

— safety,

— reliability and availability,

— health,

— environmental protection,

— technical compatibility,

— accessibility.

According to Directive (EU) 2016/797, the essential requirements may be generally applicable to the whole Union rail system or be specific to each subsystem and its constituents.

The following table summarises the correspondence between the essential requirements set out in Annex III to Directive (EU) 2016/797 and this Regulation.

Clause Clause Title Safety Reliability & Availability Health Environmental protection Technical compatibility Accessibility Essential requirements specific to operation and traffic management 1.1.1 1.1.2 1.1.3 1.1.4 1.1.5 1.2 1.3.1 1.3.2 1.4.1 1.4.2 1.4.3 1.4.4 1.4.5 1.5 1.6.1 1.6.2 2.6.1 2.6.2 2.6.3 2.6.4 4.2.1.2 Documentation for drivers X X X 4.2.1.2.1 Driver's Rule book X X X 4.2.1.2.2 Route book X X 4.2.1.2.2.1 Preparation of the Route book X 4.2.1.2.2.2 Modification to Information contained within the route book X X 4.2.1.2.2.3 Informing the driver in real time X X X 4.2.1.2.3 Time tables X X X 4.2.1.2.4 Rolling stock X X X 4.2.1.3 Documentation for railway undertaking staff other than drivers X X X 4.2.1.4 Documentation for infrastructure manager's staff authorising train movements X X X 4.2.1.5 Safety-related communications between train crew, other railway undertaking staff and staff authorising train movements X X X X 4.2.2.1 Train visibility X X X 4.2.2.1.1 General requirement X X X 4.2.2.1.2 Front end X X X 4.2.2.1.3 Rear end X X X 4.2.2.2 Train audibility X X X X 4.2.2.2.1 General requirement X X X 4.2.2.2.2 Control X X 4.2.2.3 Vehicle identification X X X 4.2.2.4 Safety of passengers and load X 4.2.2.5 Route Compatibility and Train composition X 4.2.2.5.1 Route Compatibility X 4.2.2.5.2 Train composition X 4.2.2.6 Train braking X X X 4.2.2.6.1 Minimum requirements of the braking system X X X 4.2.2.6.2 Braking performance X X X 4.2.2.7 Ensuring that the train is in running order X X X 4.2.2.7.1 General requirement X X 4.2.2.7.2 Pre-departure Data X X 4.2.2.8 Requirements for Signal and lineside marker sighting X X 4.2.2.9 Driver vigilance X 4.2.3.1 Train planning X X X 4.2.3.2 Identification of trains X X X 4.2.3.3 Train departure X X 4.2.3.3.1 Checks and tests before departure X X X X 4.2.3.3.2 Informing the infrastructure manager of the train's operational status X X X X 4.2.3.4 Traffic management X X X 4.2.3.4.1 General requirements X X X 4.2.3.4.2 Train reporting X X X 4.2.3.4.2.1 Data required for train position reporting X X 4.2.3.4.2.2 Predicted hand over time X X 4.2.3.4.3 Dangerous goods X X 4.2.3.4.4 Operational quality X X 4.2.3.5 Data recording X X 4.2.3.5.1 Recording of supervision data outside the train X X 4.2.3.5.2 Recording of supervision data on-board the train X X 4.2.3.6 Degraded operation X X X 4.2.3.6.1 Advice to other users X X 4.2.3.6.2 Advice to train drivers X 4.2.3.6.3 Contingency arrangements X X X 4.2.3.7 Managing an emergency situation X X X 4.2.3.8 Aid to train crew in the event of an incident or of a major rolling stock malfunction X 4.4 ERTMS operating rules X X 4.6 Professional qualifications X X X 4.7 Health and safety conditions X 4.8 Additional information on infrastructure and vehicles X 4.8.1 Infrastructure X 4.8.2 vehicles X

4. CHARACTERISTICS OF THE SUBSYSTEM

4.1. Introduction

In accordance with Directive 2012/34/EU of the European Parliament and of the Council (2), it is the overall responsibility of the infrastructure manager to provide all the appropriate requirements which shall be met by trains permitted to run on its network, taking into account the geographic particularities of individual lines and the functional or technical specifications set out in this Chapter.

4.2. Functional and technical specifications of the subsystem

The functional and technical specifications of the ‘operation and traffic management’ subsystem comprise of the following:

— specifications relating to staff,

— specifications relating to trains,

— specifications relating to train operations.

4.2.1. Specifications relating to staff

4.2.1.1. General requirements

This point deals with staff who contributes to the operation of the subsystem by performing safety-critical tasks involving a direct interface between a railway undertaking and an infrastructure manager.

(1) Railway undertaking staff: (a) undertaking the task of driving trains (‘driver’) and forming part of the ‘train crew’, (b) undertaking tasks on-board (other than driving) and forming part of the ‘train crew’, (c) undertaking the task of preparing trains.

(2) Infrastructure manager's staff undertaking the task of authorising the movement of trains The areas covered are: — Documentation — Communication

In addition, for the staff as defined in point 2.1, this Regulation sets out requirements on:

— Qualifications (see point 4.6 and Appendix G)

— Health and safety conditions (see point 4.7)

4.2.1.2. Documentation for drivers

The railway undertaking operating the train shall supply the driver with all the necessary information and documentation required to carry out her/his duties; they may be paper based or in electronic format.

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

4.2.1.2.1. Driver's Rule Book

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

The Driver's Rule Book shall 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 shall cover two distinct aspects:

— one which describes the set of common rules and procedures (taking into account the contents of Appendices A, B and C),

— another which sets out any necessary rules and procedures specific to each infrastructure manager.

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

— Staff safety and security,

— Signalling and control command,

— Train operation including degraded mode,

— Traction and rolling stock,

— Incidents and accidents.

The railway undertaking shall be responsible for the Driver's Rule Book and compile it in such a way that it is complete and accurate, and the driver's application of all operational rules is enabled.

The railway undertaking must present the Driver's Rule Book in a clear format for the entire infrastructure over which their drivers will work.

It shall have two appendices:

— Appendix 1: Manual of communication procedures;

— Appendix 2: Book of Forms.

Predefined messages and forms shall at least exist in the ‘operating’ language(s) of infrastructure manager(s).

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

— the infrastructure manager (or the organisation responsible for the preparation of the operating rules) shall provide the railway undertaking with the appropriate information in the infrastructure manager's operating language,

— the railway undertaking shall draw up the initial or updated document;

— if the language chosen by the railway undertaking for the Driver's Rule Book is not the language in which the appropriate information was originally supplied, it is the responsibility of the railway undertaking to arrange for any necessary translation and/or provide explanatory notes in another language.

The infrastructure manager shall ensure that the content of the documentation provided to the railway undertaking(s) is complete and accurate.

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

Drivers shall be provided with a description of the lines and the associated line-side equipment for the lines over which they shall operate and relevant to the driving task. Such information shall be set out in a single document called the ‘Route Book’.

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

— the general operating characteristics,

— indication of rising and falling gradients,

— detailed line diagram.

4.2.1.2.2.1. Preparation of the Route Book

The format of the Route Book shall 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 complete and correct compilation of the Route book, using the information supplied by the infrastructure manager(s). The railway undertaking shall ensure that the content of the Route Book is complete and accurate, including when grouping the modifications to information contained within the Route book. The railway undertaking shall ensure the route book duly describes operational conditions related to line characteristics and vehicle characteristics.

The infrastructure manager shall provide the railway undertaking with at least the information for the route book as defined in Appendix D2 through RINF. This information shall include relevant information that shall be taken into account to adapt train operation to line characteristics and vehicle characteristics. Until RINF provides the relevant parameters in accordance with Article 6 of Commission Implementing Regulation (EU) 2019/777 (3), the infrastructure manager shall provide this information through other means free of charge and as soon as reasonably possible and in any event within 15 days for the first submission unless the railway undertaking agrees a longer deadline.

The infrastructure manager shall inform the railway undertaking of the changes on the information of the route book through RINF whenever such information becomes available or through other means until RINF allows for such functionality.

The infrastructure manager shall ensure that the information provided to the railway undertaking(s) is complete and accurate. For emergency situations or real time information appropriate alternative means of communication of the infrastructure manager shall ensure immediate information to the railway undertaking about Appendix D2.

4.2.1.2.2.2. Modifications to information contained within the Route Book

The infrastructure manager shall advise the railway undertaking of any permanent or temporary modifications to information supplied in accordance with point 4.2.1.2.2.1.

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.

4.2.1.2.2.3. Informing the driver in real time

The infrastructure manager shall inform drivers of any changes to the line or relevant lineside equipment that have not been advised as modifications to information for the Route Book as set out in point 4.2.1.2.2.2.

4.2.1.2.3. Timetables

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

The railway undertaking shall provide drivers with the information necessary for the normal running of the train and as a minimum include:

— the train identification;

— the train running days (if necessary);

— the stopping points and the activities associated with them

— other timing points;

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

Such train running information, which shall be based on information supplied by the infrastructure manager, may be provided either electronically or in a paper format.

Presentation to the driver shall be consistent across all the lines over which the railway undertaking operates.

4.2.1.2.4. Rolling stock

The railway undertaking shall provide the driver with all information relevant to the working of the rolling stock during degraded situations (such as trains requiring assistance). Such documentation shall 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 shall provide all members of its 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 shall be based on the specification set out in Subsection 4.2.1.2.

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 shall be set out in:

— documents describing the Communications Principles (Appendix C);

— the document entitled Book of forms.

The infrastructure manager shall draw up these documents in all its operating language(s).

4.2.1.5. Safety-related communications between train crew, other railway undertaking staff and staff authorising train movements

The language used for safety-related communication between train crew, other railway undertaking staff (as defined in Appendix G) and the staff authorising train movements is the operating language(s) (as defined in Appendix J) used by the infrastructure manager on the route concerned.

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

In accordance with Directive 2012/34/EU, the infrastructure manager is responsible for publishing the ‘operating’ language(s) used by its 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 shall 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 shall ensure that an approaching train is clearly visible and recognisable as such, by the presence and layout of its lit white front-end lights.

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

The front-end lights shall optimise train detectability (marker lights), provide sufficient visibility for the train driver (head lights) by night and during low light conditions and shall not dazzle the drivers of oncoming trains.

The spacing, the height above rails, the diameter, the intensity of the lights, the dimensions and shape of the emitted beam in both day and night time operation are defined in the ‘rolling stock — locomotives and passenger rolling stock’ TSI (‘LOC&PAS TSI’).

By the dates mentioned below for the harmonisation of the rear end signal as per section 4.2.2.1.3.2, the luminous intensity of vehicle headlamps shall be in accordance with point (5) of section 4.2.7.1.1 of the Annex to Commission Regulation (EU) No 1302/2014 (4) (Loc&Pas TSI) in order to access the lines identified in RINF where permissive driving is used.

4.2.2.1.3. Rear end

The railway undertaking shall provide the required means of indicating the rear of a train. The rear end signal shall only be exhibited on the rear of the last vehicle of the train. It shall be displayed as shown below.

4.2.2.1.3.1. Passenger trains

The rear end signal of a passenger train shall consist of 2 steady red lights at the same height above buffer on the transversal axis.

4.2.2.1.3.2. Freight trains

The rear end signal of a freight train shall consist of 2 reflective plates at the same height above buffer on the transversal axis. Any train equipped with 2 steady red lights shall also be considered to comply with this obligation.

Reflective plates shall comply with Appendix E to Wagon TSI and have the following shape with white side triangles and red top and bottom triangle:

The plates shall be on the same height above buffer on the transversal axis

Specific cases:

Belgium, France, Italy, Portugal, Spain and UK may continue to apply notified national rules that require freight trains to be equipped with 2 steady red lights as a condition to run on sections of their network, where this is justified by operating practices already in place and/or national rules notified before end of January 2019.

Reports:

At the latest by 30 September 2020, the concerned Member States shall deliver to the Commission reports on their use of reflective plates, identifying any serious obstacles to the planned elimination of national rules.

Cooperation with neighbouring countries:

In the meantime Member States concerned, in particular at the request of the railway undertakings, shall perform an assessment with a view to accept the use of 2 reflective plates in one or more sections of their network if the result of the assessment is positive and define appropriate conditions, which shall be based upon an assessment of the risks and operational requirements. This assessment shall be completed within a maximum period of 6 months after receiving the railway undertaking's request. The acceptance of reflective plates shall be granted, unless the Member State can duly justify the refusal based on the negative result of the assessment.

Member States shall in particular endeavour to permit the use of reflective plates on rail freight corridors, with a view to prioritise the current bottlenecks. These sections and details of any conditions pertaining to them shall be recorded in the RINF. Until the information is encoded in RINF, the infrastructure manager shall ensure the information is communicated to railway undertakings by other appropriate means. The infrastructure manager shall identify the sections of lines on which 2 steady red lights are required in the RINF.

Phasing out:

By 31 March 2021, the Commission shall, on the basis of a recommendation from the Agency and taking into account the findings in the reports delivered by Member States, review the dates and specifications with a view of harmonising the rear end signal to have reflective plates accepted for the whole Union, bearing in mind the safety and capacity concerns as well as cost impact during the transition.

Unless such revision provides otherwise the following deadlines shall apply for accepting freight trains equipped with 2 reflective plates:

(1) From 1 January 2022, along the rail freight corridors specified in accordance with Regulation (EU) No 913/2010 of the European Parliament and of the Council (5).

(2) From 1 January 2026, in the whole European Union rail network.

The Commission shall report to the committee referred to in Article 51 of Directive (EU) 2016/797 on the implementation progress of section 4.2.2.1.

4.2.2.2. Train audibility

4.2.2.2.1. General requirement

The railway undertaking shall ensure that trains are fitted with an audible warning device to indicate the approach of a train.

4.2.2.2.2. Control

The activation of the audible warning device shall be possible from all driving positions.

4.2.2.3. Vehicle identification

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

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

Further requirements are specified in Appendix H.

4.2.2.4. Safety of passengers and load

4.2.2.4.1. Safety of load

The railway undertaking shall make sure that freight vehicles are safely and securely loaded and remain so throughout the journey.

4.2.2.4.2. Safety of passengers

The railway undertaking shall ensure that passenger transport is undertaken safely at the departure and during the journey.

4.2.2.5. Route compatibility and train composition

4.2.2.5.1. Route compatibility

(A) The railway undertaking is responsible for ensuring that all vehicles composing its train are compatible with the intended route(s). The railway undertaking shall have a process in its SMS to ensure that all vehicles it uses are authorised, registered and compatible with the intended route(s) including the requirements to be followed by its staff. The route compatibility process shall not duplicate processes performed as part of the vehicle authorisation under Commission Implementing Regulation (EU) 2018/545 (6) to ensure technical compatibility between the vehicle and the network(s). Parameters of Appendix D1 already verified and checked during vehicle authorisation or other similar processes shall not be reassessed in the framework of route compatibility check. For vehicle authorised under Directive (EU) 2016/797, the relevant vehicle data related to the parameters listed in Appendix D1, already checked during the authorisation process, being part of: — the file referred to in Article 21(3) of Directive (EU) 2016/797, and — the vehicle authorisation as referred to in Article 21(10) of Directive (EU) 2016/797, shall be provided by the applicant referred to in Article 2(22) of Directive (EU) 2016/797 or the keeper to the railway undertaking upon request, when such information is not available in ERATV or other registers for rail vehicles. For vehicles authorised before Directive (EU) 2016/797, the relevant vehicle data related to the parameters listed in Appendix D1 shall be provided to the railway undertaking by the holder of the vehicle authorisation documentation or the keeper upon request, when such information is not available in ERATV or other registers for rail vehicles. The processes for route compatibility in the SMS of the railway undertaking shall include the following checks, which may be performed in parallel at any appropriate time or in any appropriate sequence: — each vehicle is authorised and registered; — each vehicle in the train is compatible with the route; — the composition of the train is compatible with the route and the path; — the preparation of the train ensuring that the train is correctly formed and complete.

(B) The infrastructure manager shall provide the information for route compatibility as defined in Appendix D1 through RINF. Appendix D1 sets out all the parameters that shall be used in the process of the railway undertaking before the first use of a vehicle or train configuration in order to ensure all vehicles composing a train are compatible with the route(s) the train is planned to operate on including, where appropriate, deviation routes and routes to workshops. Modifications of the route and changes of infrastructure characteristics have to be taken into account. When a parameter of Appendix D1 is harmonised at network(s) level of an area of use, conformity with that parameter may be presumed for any vehicle authorised for that area of use. National rules or additional national requirements for network access in respect of route compatibility are in principle considered incompatible with Appendix D1. The infrastructure manager shall not require additional technical checks for the purpose of route compatibility beyond the list laid down in Appendix D1. As required by Article 23(1)(b) of Directive (EU) 2016/797, until RINF provides all necessary information in respect of the relevant parameters, the infrastructure manager shall provide this information through other means free of charge as soon as possible and in electronic format to railway undertakings, authorized applicants for path requests and, where applicable, for the applicant referred to in Article 2(22) of Directive (EU) 2016/797. The first submission of route compatibility information by the infrastructure manager through other mean than RINF shall be delivered at the request of the railway undertaking as soon as reasonably possible and in any event within 15 days unless the infrastructure manager and the railway undertaking agree a longer deadline. The infrastructure manager shall ensure that the information provided to the railway undertaking(s) is complete and accurate. The infrastructure manager shall inform the railway undertaking of the changes on characteristics of the route through RINF whenever such information becomes available or through other means until RINF allows for such functionality. For emergency situations or real time information, the infrastructure manager shall ensure immediate information is given to the railway undertaking through appropriate means of communication.

(C) Additional elements for route compatibility shall be checked when relevant: — transport of dangerous good as referred in point 4.2.3.4.3, — quieter route as referred in Noise TSI, — exceptional transport as referred in Appendix I — access conditions to underground stations for diesel and other thermal traction systems as referred in clause 4.2.8.3 of LOC&PAS TSI.

4.2.2.5.2. Train composition

Train composition requirements shall take into account the following elements according to the allocated path:

(a) all vehicles composing a train including their loads — shall be compatible with all the requirements applicable on the routes over which the train shall run; — shall be fit to run at the maximum speed at which the train is scheduled to run;

(b) all vehicles on the train shall remain within their specified maintenance interval for the duration (in terms of both time and distance) of the journey being undertaken;

(c) the train composed of vehicles including their loads, shall comply with the technical and operational constraints of the route concerned and be within the maximum length permissible for forwarding and receiving terminals.

(d) the railway undertaking is responsible for ensuring that all vehicles composing the train including their load are technically fit for the journey to be undertaken and remains so throughout the journey.

The railway undertaking may need to consider additional constraints due to the type of braking regime or traction type on a particular train (see point 4.2.2.6).

4.2.2.6. Train braking

4.2.2.6.1. Minimum requirements of the braking system

All vehicles in a train shall be connected to the continuous automatic braking system as defined in the LOC&PAS and WAG TSIs.

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

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

4.2.2.6.2. Braking performance and maximum speed allowed

(1) The infrastructure manager shall provide the railway undertaking with all relevant line characteristics for each route through RINF: — Signalling distances (warning, stopping) containing their inherent safety margins, — gradients, — maximum permitted speeds, and — conditions of use of braking systems possibly affecting the infrastructure such as magnetic, regenerative and eddy-current brake. Until RINF provides the relevant parameters, the infrastructure manager shall provide this information through others means free of charge and as soon as reasonably possible and in any event within 15 days for the first submission unless the railway undertaking agrees a longer deadline. The infrastructure manager shall inform the railway undertaking of the changes on the line characteristics through RINF whenever such information becomes available or through other means until RINF allows for such functionality. The infrastructure manager shall ensure that the information provided to the railway undertaking(s) is complete and accurate.

(2) The infrastructure manager may provide the following information: (i) For trains able to run at a maximum speed higher than 200 km/h, deceleration profile and equivalent response time on level track; (ii) For trainsets or for fixed train compositions, unable to run at a maximum speed higher than 200 km/h, deceleration (as above in (i)) or brake weight percentage; (iii) For other trains (variable compositions of trains unable to run at a maximum speed higher than 200 km/h): brake weight percentage. If the infrastructure manager provides the above mentioned information, it shall be made available to all railway undertakings who intend to operate trains on its network in a non-discriminatory way. The braking tables already in use and accepted for the existing non TSI conform lines at the date of entry into force of the present Regulation shall also be made available.

(3) The railway undertaking shall, in the planning stage, determine the braking capability of the train and corresponding maximum speed taking into account: — the relevant line characteristics as expressed in point (1) above and, if available, the information provided by the infrastructure manager in accordance to point (2) above; and — the rolling stock-related margins derived from reliability and availability of the braking system. Furthermore, the railway undertaking shall ensure that during operation each train achieves at least the necessary braking performance. The railway undertaking shall set up and implement corresponding rules and shall manage them within its safety management system. In particular the railway undertaking has to set up rules to be used if a train does not reach the necessary braking performance during operation. In this case, the railway undertaking shall immediately inform the infrastructure manager. The infrastructure manager may take appropriate measures to reduce the impact on the overall traffic on its network.

4.2.2.7. Ensuring that the train is in running order

4.2.2.7.1. General requirement

The railway undertaking shall 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 shall 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 shall define and keep up to date conditions and procedures for train running temporarily in degraded mode.

4.2.2.7.2. Pre-departure data

The railway undertaking shall ensure that the following data required for safe and efficient operation is made available to the infrastructure manager(s) prior to the departure of the train:

— the train identification

— the identity of the railway undertaking responsible for the train

— the actual length of the train

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

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

— information the infrastructure manager requires for the transport of dangerous goods.

The railway undertaking shall advise the infrastructure manager(s) if a train does not occupy its allocated path or is cancelled.

4.2.2.8. Requirements for signal and lineside marker sighting

The driver shall be able to observe signals and lineside markers, and they shall be observable by the driver whenever applicable. The same applies for other types of lineside signs if they are safety related.

Therefore, signals, lineside markers, signs and information boards shall be designed and positioned in such a consistent way to facilitate this. Issues that shall be taken into account include:

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

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

— where retro-reflectivity is employed, the reflective properties of the material used are in compliance with appropriate specifications and the signs are fabricated so that train head lights easily allow the driver to read the information.

Driving cabs shall be designed in such a consistent way that the driver is able to easily see the information displayed to him.

4.2.2.9. Driver vigilance

A means of on-board monitoring of driver vigilance is necessary. This shall intervene to bring the train to a stand if the driver does not react within a certain time; the time range is specified in the rolling stock TSIs.

4.2.3. Specifications relating to train operations

4.2.3.1. Train planning

In accordance with Directive 2012/34/EU, the infrastructure manager shall advise what data is required when a train path is requested.

4.2.3.2. Identification of trains

Each train shall be identified by a train running number. The train running number is given by the infrastructure manager when allocating a train path and shall be known by the railway undertaking and all infrastructure managers operating the train. The train running number shall be unique per network. Changes of train running number during a train journey should be avoided.

4.2.3.2.1. Format of train running number

The train running number format is defined in the control-command and signalling TSI (hereinafter referred to as ‘CCS TSI’, Commission Regulation (EU) 2016/919 (7))

4.2.3.3. Train departure

4.2.3.3.1. Checks and tests before departure

The railway undertaking shall define the checks and tests to ensure that any departure is undertaken safely (e.g. doors, load, brakes).

4.2.3.3.2. Informing the infrastructure manager of the train's operational status

The railway undertaking shall inform the infrastructure manager when a train is ready for access to the network.

The railway undertaking shall 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 shall ensure the safe, efficient and punctual operation of the railway, including effective recovery from service disruption.

The infrastructure manager shall determine procedures and means for:

— the real time management of trains,

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

— the provision of information to the railway undertaking(s) in such cases.

Any additional processes required by the railway undertaking and which affect the interface with the infrastructure manager(s) may 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 and predicted hand over time

The infrastructure manager shall:

(a) provide a means of real time recording of the times at which trains depart from, arrive at or pass appropriate pre-defined reporting points on their networks and the delta-time value;

(b) 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 shall include information on service disruption (description and location of problem).

(c) provide the specific data according to Commission Regulation (EU) No 1305/2014 (8) (Telematics Applications for Freight — TAF TSI) and Commission Regulation (EU) No 454/2011 (9) (Telematics Applications for Passengers — TAP TSI) required in relation to train position reporting. Such information shall include: (1) Train identification (2) Identity of reporting point (3) Line on which the train is running (4) Scheduled time at reporting point (5) Actual time at reporting point (and whether depart, arrive or pass — separate arrival and departure times shall be provided in respect of intermediate reporting points at which the train calls) (6) Number of minutes early or late at the reporting point (7) Initial explanation of any single delay exceeding 10 minutes or as otherwise required by the performance monitoring regime (8) Indication that a report for a train is overdue and the number of minutes by which it is overdue (9) Former train identification(s), if any (10) Train cancelled for a whole or a part of its journey.

4.2.3.4.3. Dangerous goods

The railway undertaking shall define the procedures to perform the transport of dangerous goods.

These procedures shall include:

— the provisions as specified in Directive 2008/68/EC of the European Parliament and of the Council (10) and Directive 2010/35/EU of the European Parliament and of the Council (11), as applicable

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

— information the infrastructure manager requires for transport of dangerous goods

— determination, in conjunction with the infrastructure manager, of lines of communication and planning of specific measures in case of emergency situations involving the goods.

4.2.3.4.4. Operational quality

The infrastructure manager and the railway undertaking shall have processes in place to monitor the efficient operation of 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 network.

Where such improvement actions would have network-wide benefits, involving other infrastructure managers and railway undertakings, they shall, subject to commercial confidentiality, 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 shall be recorded and retained for the purposes of:

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

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

— Recording information relating to the performance of both the locomotive/traction unit and the person driving.

It shall be possible to match recorded data to:

— the date and time of the recording;

— the precise geographic location of the event being recorded;

— the train identification;

— the identity of the driver.

Data to be recorded for ETCS/GSM-R are those defined in the TSI CCS and that are relevant considering the requirements in this point 4.2.3.5.

The data shall be securely sealed and stored and accessible to authorised bodies including Investigating Bodies in carrying out their role pursuant to Article 22 of Directive (EU) 2016/798.

4.2.3.5.1. Recording of supervision data outside the train

As a minimum, the infrastructure manager shall record the following data:

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

— the detection of an overheating axle bearing, if fitted;

— safety related communication between the train driver and signaller.

4.2.3.5.2. Recording of supervision data on-board the train

As a minimum, the railway undertaking shall record the following data:

— the detection of passing of signals at danger or ‘end of movement authority’;

— application of the emergency brake;

— speed at which the train is running;

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

— operation of the audible warning device;

— operation of door controls (release, closure), if fitted;

— detection by on-board alarm systems related to the safe operation of the train, if fitted;

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

Further technical specifications concerning the recording device are set out in the LOC&PAS TSI.

4.2.3.6. Degraded operation

4.2.3.6.1. Advice to other users

The infrastructure manager in conjunction with the railway undertaking(s) shall 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 shall 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 its infrastructure, and neighbouring infrastructure managers as appropriate, shall 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 shall be proportional to the nature and potential severity of the degradation.

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

— rolling stock failures (for example, those which could result in substantial traffic disruption, the procedures for rescuing failed trains);

— infrastructure failures (for example, when there has been a failure of the electric power or the conditions under which trains may be diverted from the booked route);

— extreme weather conditions.

The infrastructure manager shall 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 shall include contact details both during and outside office hours.

The railway undertaking shall submit this information to the infrastructure manager and advise the infrastructure manager of any changes to these contact details.

The infrastructure manager shall advise all the railway undertaking(s) of any changes to its details.

4.2.3.7. Managing an emergency situation

The infrastructure manager shall, in consultation with:

— all railway undertakings operating over its infrastructure, or, where appropriate, representative bodies of railway undertakings operating over its infrastructure,

— neighbouring infrastructure managers, as appropriate,

— local authorities, representative bodies of the emergency services (including fire-fighting and rescue) at either local or national level, as appropriate,

define, publish and make available appropriate measures to manage emergency situations and restore the line to normal operation.

Such measures shall typically cover:

— collisions,

— fires on train,

— evacuation of trains,

— accidents in tunnels,

— incidents involving dangerous goods

— derailments.

The railway undertaking shall provide the infrastructure manager with any specific information in respect to these circumstances, especially in respect to the recovery or re-railing of their trains.

Additionally, the railway undertaking shall have processes to inform passengers about on-board emergency and safety procedures.

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

The railway undertaking shall define appropriate procedures to assist the train crew in degraded situations in order to avoid or decrease delays caused by technical or other failures of the rolling stock (for example, lines of communication, measures to be taken in case of evacuation of a train).

4.3. Functional and technical specifications of the interfaces

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

4.3.1. Interfaces with the infrastructure TSI (INF TSI)

Reference this Regulation Reference INF TSI Parameter Point Parameter Point Braking performance and maximum speed allowed 4.2.2.6.2 Longitudinal track resistance 4.2.6.2 Modifications to information contained within the route book 4.2.1.2.2.2 Operating rules 4.4 Degraded operation 4.2.3.6 Parameters for the vehicle and train compatibility over the route intended for operation Appendix D1 Ascertain Compatibility of infrastructure and rolling stock after authorisation of rolling stock 7.6

4.3.2. Interfaces with the control-command and signalling TSI (CCS TSI)

Reference this Regulation Reference CCS TSI Parameter Point Parameter Point Driver's Rule Book 4.2.1.2.1 Operating rules (normal and degraded conditions) 4.4 Operating rules 4.4 Requirements for lineside signal and marker sighting 4.2.2.8 Visibility of track-side control-command and signalling objects 4.2.15 Train braking 4.2.2.6 Train braking performance and characteristics 4.2.2 Driver's Rule Book 4.2.1.2.1 Use of sanding equipment On-board flange lubrication Use of composite brake blocks 4.2.10 Format of train running number 4.2.3.2.1 ETCS DMI 4.2.12 GSM-R DMI 4.2.13 Data recording 4.2.3.5 Interface to data recording for regulatory purposes 4.2.14 Ensuring that the train is in running order 4.2.2.7 Key management 4.2.8 Parameters for the vehicle and train compatibility over the route intended for operation Appendix D1 Route compatibility checks before the use of authorised vehicles 4.9

4.3.3. Interfaces with the rolling stock TSIs

4.3.3.1. Interfaces with the locomotives and passenger rolling stock TSI (LOC&PAS TSI)

Reference this Regulation Reference LOC&PAS TSI Parameter Point Parameter Point Contingency arrangements 4.2.3.6.3 Rescue coupling 4.2.2.2.4 End coupling 4.2.2.2.3 Route Compatibility and Train composition 4.2.2.5 axle load parameter 4.2.3.2.1 Train braking 4.2.2.6 Braking performance 4.2.4.5. Train visibility 4.2.2.1 External lights 4.2.7.1 Train audibility 4.2.2.2 Horn (audible warning device) 4.2.7.2 Requirements for lineside signal and marker sighting 4.2.2.8 External visibility 4.2.9.1.3 Optical characteristics of the windscreen 4.2.9.2.2 Internal lighting 4.2.9.1.8 Driver vigilance 4.2.2.9 Driver's activity control function 4.2.9.3.1 Recording of supervision data on-board the train 4.2.3.5.2 Recording device 4.2.9.6 Managing an emergency situation 4.2.3.7 Lifting diagram and instructions 4.2.12.5 Rescue related descriptions 4.2.12.6 Route Compatibility and Train composition 4.2.2.5 Operating documentation 4.2.12.4 Minimum elements relevant to professional qualification for the tasks associated with ‘accompanying trains’ Appendix F Sanding Appendix B Rolling stock characteristics for compatibility with train detection system based on track circuits — Isolating emissions 4.2.3.3.1.1 Parameters for the vehicle and train compatibility over the route intended for operation Appendix D1 Route compatibility checks before the use of authorised vehicles 4.9

4.3.3.2. Interfaces with the freight wagons TSI (WAG TSI)

Reference this Regulation Reference WAG TSI Parameter Point Parameter Point Rear end 4.2.2.1.3 Attachment devices for rear-end signal 4.2.6.3 Freight trains 4.2.2.1.3.2 Rear-end signal Appendix E Route Compatibility and Train composition 4.2.2.5 Gauging 4.2.3.1 Route Compatibility and Train composition 4.2.2.5 Compatibility with load carrying capacity of lines 4.2.3. 2 Contingency arrangements 4.2.3.6.3 Strength of unit — Lifting and jacking 4.2.2.2 Train braking 4.2.2.6 Brake 4.2.4 Parameters for the vehicle and train compatibility over the route intended for operation Appendix D1 Route compatibility checks before the use of authorised vehicles 4.9

4.3.4. Interfaces with the Energy TSI (ENE TSI)

Reference this Regulation Reference ENE TSI Parameter Point Parameter Point Route Compatibility and Train composition 4.2.2.5 Maximum train current 4.2.4.1 Preparation of the Route Book 4.2.1.2.2.1 Route Compatibility and Train composition 4.2.2.5 Separation sections: Preparation of the Route Book 4.2.1.2.2.1 Phase 4.2.15 System 4.2.16 Parameters for the vehicle and train compatibility over the route intended for operation Appendix D1 Route compatibility checks before the use of authorised vehicles 7.3.5

4.3.5. Interfaces with the Safety in Railway Tunnels TSI (SRT TSI)

Reference this Regulation Reference SRT TSI Parameter Point Parameter Point Ensuring that the train is in running order 4.2.2.7 Emergency rule 4.4.1 Train departure 4.2.3.3 Degraded operation 4.2.3.6 Managing an emergency situation 4.2.3.7 Tunnels emergency plan 4.4.2 Exercises 4.4.3 Provision of on-train safety and emergency information to passengers 4.4.5 Professional competence 4.6.1 Tunnel specific competence of the train crew and other staff 4.6.1

4.3.6. Interfaces with the Noise TSI (NOI TSI)

Reference this Regulation Reference NOI TSI Parameter Point Parameter Point Route compatibility and train composition 4.2.2.5 Additional provisions for the application of this TSI to existing wagons 7.2.2 Train planning 4.2.3.1 Quieter routes Appendix D Contingency arrangements 4.2.3.6.3 Specific rules for the operation of wagons on quieter routes in case of degraded operation 4.4.1

4.3.7. Interfaces with the Regulation (EU) No 1300/2014 (12) , Person with Reduced Mobility TSI (PRM TSI)

Reference this Regulation Reference PRM TSI Parameter Point Parameter Point Professional Competence 4.6.1 Infrastructure subsystem 4.4.1 Minimum elements relevant to professional qualification for the tasks associated with ‘accompanying trains’ Appendix F Professional Competence 4.6.1 Rolling stock subsystem 4.4.2 Minimum elements relevant to professional qualification for the tasks associated with ‘accompanying trains’ Appendix F Route Compatibility and Train composition 4.2.2.5 Rolling stock subsystem 4.4.2

4.4. Operating rules

4.4.1. European Union railway system operational principles and rules

Operational principles and rules to be applied throughout the European Union railway system are specified in Appendices A (ERTMS operational principles and rules) and B (common operational principles and rules).

4.4.2. National rules

National rules are not compatible with this TSI, except for Appendix I which lists the areas where no common operational principles and rules exist and which may continue to be subject to national rules. In accordance with Decision (EU) 2017/1474 the Agency in cooperation with the Member State(s) concerned shall cooperate to assess the list of open points with a view to:

(a) further harmonise the requirements of this Regulation through detailed provisions or through acceptable means of compliance, or

(b) facilitate the integration of such national rules into the safety management systems of the railway undertakings and the infrastructure managers, or

(c) confirm the need for national rules.

4.4.3. Acceptable Means of Compliance

The Agency may by means of technical opinion define acceptable means of compliance, which shall be presumed to ensure compliance with specific requirements of this Regulation, and ensure safety in accordance with Directive (EU) 2016/798.

The Commission, the Member States or the affected stakeholders may request the Agency to define acceptable means of compliance in accordance with Article 10 of Regulation (EU) 2016/796 of the European Parliament and of the Council of 11 May 2016 (13). The Agency shall consult Member States and affected stakeholders and present the technical opinion to the committee referred to in Article 51 of Directive (EU) 2016/797 before its adoption.

At the latest by 16 June 2021 the Agency shall deliver technical opinions defining acceptable means of compliance covering at least each of the following areas:

— Safety of load (see 4.2.2.4.1);

— Safety of passengers (see 4.2.2.4.2);

— Checks and tests before departure, including brakes and checks during operation (see 4.2.3.3.1)

— Train departure (see 4.2.3.3)

— Degraded operations (see 4.2.3.6).

Before 15 October 2019, if Member States and affected stakeholders believe a specific national rule shall be considered in the context of defining an acceptable means of compliance in the above areas, they shall notify details thereof to the Agency which shall proceed in line with the procedures referred to in point 4.4.3.

4.4.4. Transition from application of national rules to implementation of this Regulation

During the transition from the application of national rules to the implementation of this Regulation, railway undertakings and infrastructure managers shall review their safety management systems to ensure the continuation of safe operations. If necessary, they shall update their safety management systems.

In situation of deficiency, the procedure of Article 6 of Directive (EU) 2016/797 shall apply.

4.5. Maintenance rules

Not applicable

4.6. Professional competences

4.6.1. Professional competence

Staff of the railway undertaking and the infrastructure manager shall have attained appropriate professional competence to undertake all necessary safety-critical tasks in normal, degraded and emergency situations. Such competence comprises professional knowledge and the ability to put this knowledge into practice.

Minimum elements relevant to professional qualification for individual tasks may be found in Appendices F and G.

4.6.2. Language competence

4.6.2.1. Principles

The infrastructure manager and the railway undertaking are required to ensure that their relevant staff are competent in the use of the communication protocols and principles set out in Appendix C.

Where the operating language used by the infrastructure manager differs from that habitually used by the railway undertaking's staff, such linguistic and communications training shall form a critical part of the railway undertaking's overall competence 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 normal, degraded or emergency situations, shall 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 operating language shall be sufficient for safety purposes.

(a) As a minimum this shall comprise of the driver being able to: — send and understand all the messages specified in Appendix C; — effectively communicate in normal, degraded and emergency situations; — complete the forms associated with the use of the Book of Forms;

(b) Other members of the train crew whose duties require them to communicate with the infrastructure manager on safety-critical matters, shall as a minimum, be able to send and understand information describing the train and its operational status.

The level of knowledge for staff accompanying trains other than train drivers shall be at least level 2 as described in Appendix E.

4.6.3. Initial and ongoing assessment of staff

4.6.3.1. Basic elements

Railway undertakings and infrastructure managers are required to define the assessment process for their staff in order to meet the requirements specified in Commission Delegated Regulation (EU) 2018/762 (14) or Commission Regulations (EU) No 1158/2010 (15) and (EU) No 1169/2010 (16).

4.6.3.2. Analysis and update of training needs

Railway undertakings and infrastructure managers shall undertake an analysis of training needs for their relevant staff and define a process for reviewing and updating their individual training needs in order to meet the requirements specified in Delegated Regulation (EU) 2018/762 or Regulations (EU) No 1158/2010 and (EU) No 1169/2010.

This analysis shall set out both scope and complexity and take into account the risks associated with the operation of trains, traction and rolling stock. The railway undertaking shall define the process by which knowledge of on board staff of the routes worked over is acquired and maintained. This process shall be:

— based upon the route information provided by the infrastructure manager; and

— in accordance with the process described in point 4.2.1.

For the tasks associated with ‘accompanying trains’ and ‘preparing trains’, the elements that shall be considered may be found in respectively the appendices F and G. As appropriate, these elements shall be put in place as part of the training for staff.

It is possible that due to the type of operation envisaged by a railway undertaking or the nature of the network being run by an infrastructure manager, some of the elements in the appendices F and G shall not be appropriate. The analysis of training needs shall document those not deemed appropriate and the reasons why.

4.6.4. Auxiliary staff

The railway undertaking shall make sure that the auxiliary staff (for example, catering and cleaning) not forming part of the train crew is, in addition to their basic instruction, trained to respond to the instructions of the fully trained members of the train crew.

4.7. Health and safety conditions

4.7.1. Introduction

Staff specified in point 4.2.1 as staff performing safety-critical tasks in accordance with point 2.1 shall have appropriate fitness to ensure that overall operational and safety standards are met.

Railway undertakings and infrastructure managers shall set up and document the process they put in place to meet the medical, psychological and health requirements for their staff within their safety management system.

Medical examinations as specified in point 4.7.2 and any associated decisions on the individual fitness of staff shall be conducted by a medical doctor.

Staff shall not perform safety-critical tasks whilst vigilance is impaired by substances such as alcohol, drugs or psychotropic medication. Therefore, the railway undertaking and the infrastructure manager shall 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. Medical examinations and psychological assessments

4.7.2.1. Before appointment

4.7.2.1.1. Minimum content of the medical examination

Medical examinations shall cover:

— General medical examination;

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

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

— Screening for abuse of drugs.

4.7.2.1.2. 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, as a minimum, the following criteria relevant to the requirements of each safety function shall be taken into account:

(a) Cognitive: — Attention and concentration, — Memory, — Perceptive capability, — Reasoning, — Communication.

(b) Psychomotor: — Speed of reaction, — Gestured coordination.

(c) Behavioural and personality — Emotional self-control, — Behavioural reliability, — Autonomy, — Conscientiousness.

If any of those elements is omitted, the respective decision shall be justified and documented by a psychologist.

Applicants shall demonstrate their psychological fitness by passing an examination conducted by, or under the supervision of — to be decided by the Member State — a psychologist or a medical doctor.

4.7.2.2. After appointment

4.7.2.2.1. Frequency of periodic medical examinations

At least one systematic medical examination shall be performed:

— Every 5 years for staff aged up to 40;

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

— Every year for staff aged over 62.

Increased frequency of examination shall be set by the medical doctor if the state of health of the member of the staff requires so.

4.7.2.2.2. 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 shall include as a minimum:

— General medical examination;

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

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

— Screening for abuse of drugs where clinically indicated.

4.7.2.2.3. Additional medical examinations and/or psychological assessments

Besides the periodic medical examination, an additional specific medical examination and/or psychological assessment shall 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 or use of alcohol over the limits allowed. This would be the case especially after an incident or accident caused by human error on the part of the individual.

The railway undertaking and the infrastructure manager shall put systems in place to ensure that such additional examinations and assessments are undertaken as appropriate.

4.7.3. Medical requirements

4.7.3.1. General requirements

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

— Sudden loss of consciousness;

— Impairment of awareness or concentration;

— Sudden incapacity;

— Impairment of balance or coordination;

— Significant limitation of mobility.

The following vision and hearing requirements shall be met:

4.7.3.2. Vision requirements

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

— Maximum corrective lenses: hypermetropia + 5/myopia – 8. The medical doctor may allow values outside this range in exceptional cases and after having sought the opinion of an eye specialist;

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

— Contact lenses are allowed;

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

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

— Vision for both eyes: effective;

— Binocular vision: effective;

— Contrast sensitivity: good;

— Absence of progressive eye disease;

— Lens implants, keratotomies and keratectomies are allowed only on condition that they are checked on a yearly basis or according to a frequency set by the medical doctor.

4.7.3.3. Hearing requirements

Sufficient hearing confirmed with tone audiogram, that is:

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

— The use of hearing aids is allowed.

4.8. Additional information on infrastructure and vehicles

4.8.1. Infrastructure

The requirements for the rail infrastructure related data items with regard to the operation and traffic management subsystem, and which shall be made available to railway undertakings through RINF, are specified in Appendix D.

Until RINF is complete, the infrastructure manager shall provide this information through other means free of charge and as soon as reasonably possible and in any event within 15 days for the first submission unless the railway undertaking agrees a longer deadline.

The infrastructure manager shall inform the railway undertaking of the changes on the infrastructure related data through RINF whenever such information becomes available or through other means until RINF allows for such functionality. The infrastructure manager is responsible for the correctness of the data.

For emergency situations or real time information appropriate alternative means of communication of the infrastructure manager shall ensure immediate information to the railway undertaking.

4.8.2. Rolling stock

The following rolling stock related data items shall be available to infrastructure managers:

— whether the vehicle is constructed from materials which may be hazardous in case of accidents or fire (for example, asbestos); the keeper is responsible for the correctness of the data;

— total length of the vehicle, including buffers if existing; the railway undertaking is responsible for the correctness of the data.

5. INTEROPERABILITY CONSTITUENTS

5.1. Definition

Article 2.7 of Directive (EU) 2016/797 defines the ‘interoperability constituents’.

5.2. List of constituents

In respect to the operation and traffic management subsystem, there is no interoperability constituent.

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

6.1. Interoperability constituents

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

6.2. Operation and traffic management subsystem

6.2.1. Principles

The operation and traffic management subsystem is a functional subsystem according to Annex II to Directive (EU) 2016/797.

In accordance with Articles 9 and 10 of Directive (EU) 2016/798, railway undertakings and infrastructure managers shall demonstrate compliance with the requirements of this Regulation within their safety management system when applying for any new or amended safety certificate or safety authorisation.

The common safety methods on conformity assessment and the common safety methods on safety management system require national safety authorities to set up an inspection regime to supervise and monitor the compliance with the safety management system including all TSIs. It should be noted that none of the elements contained within this Regulation require separate assessment by a Notified Body.

Requirements in this Regulation that refer to structural subsystems and listed in the interfaces (point 4.3) are assessed under the relevant structural TSIs.

7. IMPLEMENTATION

7.1. Principles

In accordance with Article 9 of Directive (EU) 2016/798, railway undertakings and infrastructure managers shall ensure compliance with this Regulation under their SMS.

7.2. Specific cases

7.2.1. Introduction

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

These specific cases belong to two categories:

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

(b) In temporary cases Member States shall conform with the relevant subsystem by 2024 (case ‘T1’).

7.2.2. List of specific cases

7.2.2.1. Permanent specific case (P) Estonia, Latvia, Lithuania, Poland, Hungary and Slovakia

For the implementation of point 4.2.2.1.3.2, trains which are operated solely on the 1 520 mm gauge network of Estonia, Latvia, Lithuania, Poland, Hungary and Slovakia may use the following train rear end signal.

The reflective disc shall have a diameter of 185 mm with a red circle diameter of 140 mm.

7.2.2.2. Permanent specific case Ireland and the UK for Northern Ireland

For the implementation of point 4.2.2.1.3.2, trains which are operated solely on the 1 600 mm track gauge system network of Ireland and Northern Ireland shall use 2 steady red lights as train rear end signal.

7.2.2.3. Temporary specific case (T1) Ireland and United Kingdom

For the implementation of point 4.2.3.2.1, Ireland and United Kingdom are using alphanumeric number in the existing systems. The MS set out the requirements and time schedule for the transition from alphanumeric train running numbers to numeric train running numbers in the target system.

7.2.2.4. Permanent specific case (P) Finland

For the implementation of point 4.2.2.1.3.2 and the implementation of common operational rule 5 of Appendix B, Finland is not using any rear end signal device for freight trains. The means to indicate the train rear end signal for freight trains as stated in point 4.2.2.1.3.2 are also accepted in Finland.

(1) Directive 2007/59/EC of the European Parliament and of the Council of 23 October 2007 on the certification of train drivers operating locomotives and trains on the railway system in the Community (OJ L 315, 3.12.2007, p. 51).

(2) Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (OJ L 343, 14.12.2012, p. 32).

(3) Commission Implementing Regulation (EU) 2019/777 of 16 May 2019 on the common specifications for the register of railway infrastructure and repealing Implementing Decision 2014/880/EU (See page 312 of this Official Journal).

(4) Commission Regulation (EU) No 1302/2014 of 18 November 2014 concerning a technical specification for interoperability relating to the ‘rolling stock — locomotives and passenger rolling stock’ subsystem of the rail system in the European Union (OJ L 356, 12.12.2014, p. 228).

(5) Regulation (EU) No 913/2010 of the European Parliament and of the Council of 22 September 2010 concerning a European rail network for competitive freight (OJ L 276, 20.10.2010, p. 22).

(6) Commission Implementing Regulation (EU) 2018/545 of 4 April 2018 establishing practical arrangements for the railway vehicle authorisation and railway vehicle type authorisation process pursuant to Directive (EU) 2016/797 of the European Parliament and of the Council (OJ L 90, 6.4.2018, p. 66).

(7) Commission Regulation (EU) 2016/919 of 27 May 2016 on the technical specification for interoperability relating to the ‘control-command and signalling’ subsystems of the rail system in the European Union (OJ L 158, 15.6.2016, p. 1).

(8) Commission Regulation (EU) No 1305/2014 of 11 December 2014 on the technical specification for interoperability relating to the telematics applications for freight subsystem of the rail system in the European Union and repealing the Regulation (EC) No 62/2006 (OJ L 356, 12.12.2014, p. 438).

(9) Commission Regulation (EU) No 454/2011 of 5 May 2011 on the technical specification for interoperability relating to the subsystem ‘telematics applications for passenger services’ of the trans-European rail system (OJ L 123, 12.5.2011, p. 11).

(10) Directive 2008/68/EC of the European Parliament and of the Council of 24 September 2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13).

(11) Directive 2010/35/EU of the European Parliament and of the Council of 16 June 2010 on transportable pressure equipment and repealing Council Directives 76/767/EEC, 84/525/EEC, 84/526/EEC, 84/527/EEC and 1999/36/EC (OJ L 165, 30.6.2010, p. 1).

(12) Commission Regulation (EU) No 1300/2014 of 18 November 2014 on the technical specifications for interoperability relating to accessibility of the Union's rail system for persons with disabilities and persons with reduced mobility (OJ L 356, 12.12.2014, p. 110).

(13) Regulation (EU) 2016/796 of the European Parliament and of the Council of 11 May 2016 on the European Union Agency for Railways and repealing Regulation (EC) No 881/2004 (OJ L 138, 26.5.2016, p. 1).

(14) Commission Delegated Regulation (EU) 2018/762 of 8 March 2018 establishing common safety methods on safety management system requirements pursuant to Directive (EU) 2016/798 of the European Parliament and of the Council and repealing Commission Regulations (EU) No 1158/2010 and (EU) No 1169/2010 (OJ L 129, 25.5.2018, p. 26).

(15) Commission Regulation (EU) No 1158/2010 of 9 December 2010 on a common safety method for assessing conformity with the requirements for obtaining railway safety certificates (OJ L 326, 10.12.2010, p. 11).

(16) Commission Regulation (EU) No 1169/2010 of 10 December 2010 on a common safety method for assessing conformity with the requirements for obtaining a railway safety authorization (OJ L 327, 11.12.2010, p. 13).