Official Journal of the European Union

COMMISSION DECISION

of 11 August 2006

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

(notified under document number C(2006) 3593)

(Text with EEA relevance)

(2006/920/EC)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

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

Whereas:

In accordance with Article 2(c) of Directive 2001/16/EC, the trans-European conventional rail system is subdivided into structural and functional subsystems.

In accordance with Article 23(1) of the Directive, the subsystem ‘Traffic Operation and Management’ needs to be covered by a technical specification for interoperability (TSI).

The first step in establishing a TSI is to have a draft TSI drawn up by the European Association for Railway Interoperability (AEIF), which was appointed as the joint representative body.

The AEIF has been given a mandate to draw up a draft TSI for the ‘Traffic Operation and Management’ subsystem in accordance with Article 6(1) of Directive 2001/16/EC. The basic parameters provided for in Article 6(4) of this Directive were discussed as part of the attached TSI.

The draft TSI was accompanied by an introductory report containing a cost-benefit analysis as provided for in Article 6(5) of the Directive.

The draft TSIs have been examined by the Committee set up by Council Directive 96/48/EC 0f 23 July 1996 on the interoperability of the trans-European high-speed rail system (2) and referred to in Article 21 of Directive 2001/16/EC, in the light of the introductory report.

In its current version the TSI does not fully deal with all aspects of interoperability; the items which are not dealt with are classified as ‘Open Points’ in Annex U of the TSI. Given that the verification of interoperability has to be established by reference to the requirements of the TSIs, in accordance with Article 16(2) of Directive 2001/16/EC, it is necessary, during the transition period between the publication of this Decision and the full implementation of the attached TSI, to lay down the conditions to be complied with in addition to those explicitly referred to in the TSI attached. To this end, Member States are to inform the other Member States and the Commission of the relevant national technical rules in use for achieving interoperability and meeting the essential requirements of Directive 2001/16/EC as well as of the bodies it appoints for carrying out the procedure for the assessment of conformity or suitability for use as well as the checking procedure in use for verifying the interoperability of subsystems within the meaning of Article 16(2) of Directive 2001/16/EC. The Commission should carry out an analysis of the information forwarded by the Member States and, where appropriate, should discuss with the Committee the need for the adoption of any further measures.

The TSI in question should not demand the use of specific technologies or technical solutions except where this is strictly necessary for the interoperability of the trans-European conventional rail system.

The TSI is based on best available expert knowledge at the time of preparation of the relevant draft. Developments in technology, operational, safety or social requirements may make it necessary to amend or supplement this TSI. Where applicable, a review or updating procedure should be initiated in accordance with Article 6(3) of Directive 2001/16/EC.

To encourage innovation and in order to take into account the experience acquired, the attached TSI should be subject to a periodical revision at regular intervals.

Where innovative solutions are proposed the manufacturer or the contracting entity shall state the deviation from the relevant section of the TSI. The European Rail Agency will finalise the appropriate functional and interface specifications of the solution and develop the assessment methods.

Implementation of the attached TSI and conformity with the relevant sections of the TSI must be determined in accordance with an implementation plan that shall be drawn up by each Member State for the lines for which it is responsible. The Commission should carry out an analysis of the information forwarded by the Member States and, where appropriate, should discuss with the Committee the need for the adoption of any further measures.

Rail traffic currently operates under existing national, bilateral, multinational or international agreements. It is important that those agreements do not hinder current and future progress towards interoperability. To this end, it is necessary that the Commission examine those agreements in order to determine whether the TSI presented in this Decision needs to be revised accordingly.

The provisions of this Decision are in conformity with the opinion of the Committee set up by Article 21 of Directive 96/48/EC,

HAS ADOPTED THIS DECISION:

Article 1

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

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

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

Article 2

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

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

the list of the applicable technical rules mentioned in paragraph 1;

the conformity assessment and checking procedures to be applied with regard to the application of these rules;

the bodies it appoints for carrying out those conformity-assessment and checking procedures.

Article 3

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

national, bilateral or multilateral agreements between Member States and railway undertaking(s) or infrastructure manager(s), agreed on either a permanent or a temporary basis and required due to the very specific or local nature of the intended train service;

bilateral or multilateral agreements between railway undertaking(s), infrastructure manager(s) or Member State(s) which deliver significant levels of local or regional interoperability;

international agreements between one or more Member State(s) and at least one third country, or between railway undertaking(s) or infrastructure manager(s) of Member States and at least one railway undertaking or infrastructure manager of a third country, which deliver significant levels of local or regional interoperability.

Article 4

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

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

Article 5

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

Article 6

This Decision is addressed to the Member States.

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

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

ANNEX

TECHNICAL SPECIFICATION FOR INTEROPERABILITY

SUBSYSTEM: OPERATION AND TRAFFIC MANAGEMENT

1. INTRODUCTION

1.1. Technical scope

1.2. Geographical scope

2. DEFINITION OF SUBSYSTEM/SCOPE

2.1. Subsystem

2.2. Scope

2.2.1. Staff and trains

2.2.2. Operating principles

2.2.3. Applicability to existing vehicles and infrastructure

2.3. Link Between This TSI and Directive 2004/49/EC

3. ESSENTIAL REQUIREMENTS

3.1. Compliance with the essential requirements

3.2. Essential requirements — overview

3.3. Specific aspects in relation to these requirements

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. Aspects relating specifically to the Traffic Operation and Management subsystem

3.4.1. Safety

3.4.2. Reliability and availability

3.4.3. Technical compatibility

4. CHARACTERISTICS OF THE SUB-SYSTEM

4.1. Introduction

4.2. Functional and technical specifications of the sub-system

4.2.1. Specifications relating to staff

4.2.1.1. General requirements

4.2.1.2. Documentation for drivers

4.2.1.2.1. Rule Book

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

4.2.1.2.2.1. Preparation of the Route Book

4.2.1.2.2.2. Modified elements

4.2.1.2.2.3. Informing the driver in real time

4.2.1.2.3. Timetables

4.2.1.2.4. Rolling stock

4.2.1.3. Documentation for Railway Undertaking staff other than drivers

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

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

4.2.2. Specifications relating to trains

4.2.2.1. Train visibility

4.2.2.1.1. General requirement

4.2.2.1.2. Front end

4.2.2.1.3. Rear end

4.2.2.2. Train audibility

4.2.2.2.1. General requirement

4.2.2.2.2. Control

4.2.2.3. Vehicle identification

4.2.2.4. Freight vehicle loading

4.2.2.4.1. Weight distribution

4.2.2.4.2. Axle loading

4.2.2.4.3. Load securing

4.2.2.4.4. Kinematic envelope

4.2.2.4.5. Load covering

4.2.2.5. Train composition

4.2.2.6. Train braking

4.2.2.6.1. Minimum requirements of the braking system

4.2.2.6.2. Brake performance

4.2.2.7. Ensuring that the train is in running order

4.2.2.7.1. General requirement

4.2.2.7.2. Data required

4.2.3. Specifications relating to train operations

4.2.3.1. Train planning

4.2.3.2. Identification of trains

4.2.3.3. Train departure

4.2.3.3.1. Checks and tests before departure

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

4.2.3.4. Traffic management

4.2.3.4.1. General requirements

4.2.3.4.2. Train reporting

4.2.3.4.2.1. Data required for train position reporting

4.2.3.4.2.2. Predicted hand over time

4.2.3.4.3. Dangerous goods

4.2.3.4.4. Operational quality

4.2.3.5. Data recording

4.2.3.5.1. Recording of supervision data outside the train

4.2.3.5.2. Recording of supervision data on-board the train

4.2.3.6. Degraded operation

4.2.3.6.1. Advice to other users

4.2.3.6.2. Advice to train drivers

4.2.3.6.3. Contingency arrangements

4.2.3.7. Managing an emergency situation

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

4.3. Functional and technical specifications of the interfaces

4.3.1. Interfaces with the Infrastructure TSI

4.3.2. Interfaces with the Control/Command and Signalling TSI

4.3.2.1. Recording of supervision data

4.3.2.2. Driver vigilance

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

4.3.2.4. Signal and lineside marker sighting

4.3.2.5. Train braking

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

4.3.2.7. Data recording and hot axle box detection

4.3.3. Interfaces with the Rolling Stock TSI

4.3.3.1. Vehicle identification

4.3.3.2. Braking

4.3.3.3. Requirements for passenger vehicles

4.3.3.4. Train visibility

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

4.3.3.4.2. On the rear end

4.3.3.5. Train audibility

4.3.3.6. Signal sighting

4.3.3.7. Driver vigilance

4.3.3.8. Train composition and annex B

4.3.3.9. Freight Vehicle loading

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

4.3.3.11. Train composition, annexes H and L

4.3.3.12. Contingency arrangements and Managing an emergency situation

4.3.3.13. Data recording

4.3.4. Interfaces with the TSI Telematic Applications

4.3.4.1. Identification of trains

4.3.4.2. Train composition

4.3.4.3. Train departure

4.3.4.4. Train running

4.3.4.5. Vehicle identification

4.4. Operating rules

4.5. Maintenance rules

4.6. Professional qualifications

4.6.1. Professional competency

4.6.1.1. Professional knowledge

4.6.1.2. Ability to put this knowledge into practice

4.6.2. Linguistic competency

4.6.2.1. Principles

4.6.2.2. Level of knowledge

4.6.3. Initial and ongoing assessment of staff

4.6.3.1. Basic elements

4.6.3.2. Analysis of training needs

4.6.3.2.1. Development of the analysis of training needs

4.6.3.2.2. Updating the analysis of training needs

4.6.3.2.3. Specific elements for traincrew and auxiliary staff

4.6.3.2.3.1. Route knowledge

4.6.3.2.3.2. Knowledge of rolling stock

4.6.3.2.3.3. Auxiliary staff

4.7. Health and safety conditions

4.7.1. Introduction

4.7.2. Criteria for approval of occupational doctors and medical organisations

4.7.3. Criteria for approval of psychologists involved in psychological assessment and psychological assessment requirements

4.7.3.1. Certification of psychologists

4.7.3.2. Content and interpretation of psychological assessment

4.7.3.3. Selection of assessment tools

4.7.4. Medical examinations and psychological assessments

4.7.4.1. Before appointment

4.7.4.1.1. Minimum content of the medical examination

4.7.4.1.2. Psychological assessment

4.7.4.2. After appointment

4.7.4.2.1. Periodicity of periodic medical examinations

4.7.4.2.2. Minimum content of the periodic medical examination

4.7.4.2.3. Additional medical examinations and/or psychological assessments

4.7.5. Medical requirements

4.7.5.1. General requirements

4.7.5.2. Vision requirements

4.7.5.3. Hearing requirements

4.7.5.4. Pregnancy

4.7.6. Specific requirements regarding the task of driving a train

4.7.6.1. Periodicity of periodic medical examinations

4.7.6.2. Additional content of medical examination

4.7.6.3.. Additional vision requirements

4.7.6.4. Additional hearing and speaking requirements

4.7.6.5. Anthropometrics

4.7.6.6. Trauma Counselling

4.8. Infrastructure and Rolling stock registers

4.8.1. Infrastructure

4.8.2. Rolling stock

5. INTEROPERABILITY CONSTITUENTS

5.1. Definition

5.2. List of constituents

5.3. Constituents' performances and specifications

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

6.1. Interoperability constituents

6.2. Traffic Operation and Management Subsystem

6.2.1. Principles

6.2.2. Rules and procedures documentation

6.2.3.. Assessment procedure

6.2.3.1. Decision by the Competent Authority

6.2.3.2. If an assessment is required

6.2.4. System performance

7. IMPLEMENTATION

7.1. Principles

7.2. Implementation guidelines

7.3. Specific cases

7.3.1. Introduction

7.3.2. List of specific cases

ANNEX A1 ERTMS/ETCS OPERATING RULES

ANNEX A2 ERTMS/GSM-R OPERATING RULES

ANNEX B OTHER RULES ENABLING A COHERENT OPERATION OF NEW STRUCTURAL SUBSYSTEMS

ANNEX C SAFETY RELATED COMMUNICATIONS METHODOLOGY

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

ANNEX E LANGUAGE AND COMMUNICATION LEVEL

ANNEX F TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM ASSESSMENT GUIDELINES

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

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

ANNEX I NOT USED

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

ANNEX K NOT USED

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

ANNEX M NOT USED

ANNEX N IMPLEMENTATION GUIDELINES

ANNEX O NOT USED

ANNEX P VEHICLE IDENTIFICATION

ANNEX Q NOT USED

ANNEX R TRAIN IDENTIFICATION

ANNEX S TRAIN VISIBILITY — REAR END

ANNEX T BRAKE PERFORMANCE

ANNEX U LIST OF OPEN POINTS

ANNEX V PREPARATION AND UPDATING RULES DOCUMENTATION FOR DRIVERS

GLOSSARY

TECHNICAL SPECIFICATION FOR INTEROPERABILITY

TRAFFIC OPERATION AND MANAGEMENT SUBSYSTEM

1. INTRODUCTION

1.1. TECHNICAL SCOPE

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

Further information on this subsystem is provided in Chapter 2.

1.2. GEOGRAPHICAL SCOPE

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

Content of this TSI

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

(a) indicates its intended scope of the Traffic Operation and Management subsystem — Chapter 2;

(b) lays down essential requirements for each subsystem concerned and its interfaces vis-à-vis other subsystems — Chapter 3;

(c) establishes the functional and technical specifications to be met by the target subsystem and its interfaces vis-à-vis other subsystems. If necessary, these specifications may vary according to the use of the subsystem, for example according to the categories of line, hub and/or rolling stock provided for in Annex I to the Directive — Chapter 4;

(d) determines the interoperability constituents and interfaces covered by European specifications, including European standards, which are necessary to achieve interoperability within the trans-European conventional rail system — Chapter 5;

(e) states, in each case under consideration, the procedures for the assessment of conformity or suitability for use. This includes in particular the modules defined in Decision 93/465/EEC or, where appropriate, the specific procedures to be used to assess either the conformity or the suitability for use of interoperability constituents and ‘EC’ verification of subsystems. Where there are documents which can be used as references to assist the implementation of this TSI, these are listed — Chapter 6;

(f) indicates the strategy for implementing the TSI. In particular, it is necessary to specify the stages to be completed and the elements that can be applied in order to make a gradual transition from the existing situation to the final situation in which compliance with the TSI must be the norm — Chapter 7;

(g) indicates, for the staff concerned, the professional qualifications and health and safety conditions at work required for the operation and maintenance of the subsystem concerned, as well as for the implementation of the TSI — Chapter 4.

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

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

2. DEFINITION OF SUBSYSTEM/SCOPE

2.1. SUBSYSTEM

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

It includes in particular:

— ‘The procedures and related equipment enabling a coherent operation of the different structural subsystems, both during normal and degraded operation, including in particular train driving, traffic planning and management.

— The professional qualifications which may be required for carrying out cross-border services’

2.2. SCOPE

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

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

2.2.1. STAFF AND TRAINS

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

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

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

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

This can be summarised in the tables below:

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

Task Professional Qualifications Medical Requirements Driving a Train and Accompanying a Train 4.6 4.7 Authorising Train movements Mutual recognition Mutual recognition Train Preparation 4.6 Mutual recognition Train Despatch Mutual recognition Mutual recognition





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

Task Professional Qualifications Medical Requirements Driving a Train and Accompanying a Train Mutual recognition Mutual recognition Authorising Train movements Mutual recognition Mutual recognition Train Preparation Mutual recognition Mutual recognition Train Despatch Mutual recognition Mutual recognition

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

2.2.2. OPERATING PRINCIPLES

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

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

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

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

2.2.3. APPLICABILITY TO EXISTING VEHICLES AND INFRASTRUCTURE

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

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

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

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

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

3. ESSENTIAL REQUIREMENTS

3.1. COMPLIANCE WITH THE ESSENTIAL REQUIREMENTS

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

3.2. ESSENTIAL REQUIREMENTS — OVERVIEW

The essential requirements cover:

— safety,

— reliability and availability,

— health,

— environmental protection,

— technical compatibility.

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

3.3. SPECIFIC ASPECTS IN RELATION TO THESE REQUIREMENTS

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

3.3.1. SAFETY

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

3.3.2. RELIABILITY AND AVAILABILITY

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

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

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

3.3.3. HEALTH

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

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

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

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

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

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

3.3.4. ENVIRONMENTAL PROTECTION

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

3.3.5. TECHNICAL COMPATIBILITY

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

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

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

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

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

3.4.1. SAFETY

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

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

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

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

— Vehicle identification (Subsection 4.2.2.3)

— Train braking (Subsection 4.2.2.6)

— Train composition (Subsection 4.2.2.5)

— Freight vehicle loading (Subsection 4.2.2.4)

— Ensuring that the train is in running order (Subsection 4.2.2.7)

— Train visibility (Subsections 4.2.2.1 and 4.3)

— Train audibility (Subsections 4.2.2.2 and 4.3)

— Train departure (Subsection 4.2.3.3)

— Traffic management (Subsection 4.2.3.4)

— Signal sighting and vigilance device (Subsection 4.3)

— Safety related communication (Subsections 4.2.1.5 and 4.6)

— Documentation for drivers (Subsection 4.2.1.2)

— Documentation for Railway Undertaking staff other than drivers (Subsection 4.2.1.3)

— Documentation for Infrastructure Manager’s staff authorising train movements (Subsection 4.2.1.4)

— Degraded operation (Subsection 4.2.3.6)

— Managing an emergency situation (Subsection 4.2.3.7)

— ERTMS operating rules (Subsection 4.4)

— Professional qualifications (Subsection 4.6)

— Health and safety conditions (Subsection 4.7)

3.4.2. RELIABILITY AND AVAILABILITY

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

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

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

— Train composition (Subsection 4.2.2.5)

— Ensuring that the train is in running order (Subsection 4.2.2.7)

— Traffic Management (Subsection 4.2.3.4)

— Safety Related communication (Subsection 4.2.1.5)

— Degraded operation (Subsection 4.2.3.6)

— Managing an emergency situation (Subsection 4.2.3.7)

— Professional qualifications (Subsection 4.6)

— Health and safety conditions (Subsection 4.7)

3.4.3. TECHNICAL COMPATIBILITY

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

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

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

— Vehicle identification (Subsection 4.2.2.3)

— Train Braking (Subsection 4.2.2.6)

— Train composition (Subsection 4.2.2.5)

— Freight vehicle loading (Subsection 4.2.2.4)

— Safety Related communication (Subsection 4.2.1.5)

— Degraded operation (Subsection 4.2.3.6)

— Managing an emergency situation (Subsection 4.2.3.7)

4. CHARACTERISTICS OF THE SUB-SYSTEM

4.1. INTRODUCTION

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

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

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

4.2. FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE SUB-SYSTEM

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

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

— Railway Undertaking staff: — undertaking the task of driving trains (referred to throughout this document as ‘driver’) and forming part of the ‘train crew’, — undertaking tasks on-board (other than driving) and forming part of the ‘train crew’, — undertaking the task of preparing trains.

— Infrastructure Manager’s staff undertaking the task of authorising the movement of trains

The areas covered are:

— Documentation

— Communication

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

— Qualifications (see Subsection 4.6 and Annexes H, J and L)

— Health and Safety conditions (see Subsection 4.7)

4.2.1.2. Documentation for drivers

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

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

4.2.1.2.1. Rule Book

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

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

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

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

— another which sets out any necessary rules and procedures specific to each Infrastructure Manager

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

— Staff Safety and Security

— Signalling and Control Command

— Train Operation including degraded mode

— Traction and Rolling Stock

— Incidents and accidents

The Railway Undertaking is responsible for compiling this document.

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

It shall have two appendices:

— appendix 1: Manual of communication procedures;

— appendix 2: Book of Forms

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

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

— the Infrastructure Manager (or the organisation responsible for the preparation of the operating rules) must provide the Railway Undertaking with the appropriate information in the Infrastructure Manager’s‘operating’ language,

— the Railway Undertaking must draw up the initial or updated document;

— if the language chosen by the Railway Undertaking for the Driver’s Rule Book is not the language in which the appropriate information was originally supplied, it is the responsibility of the Railway Undertaking to arrange for any necessary translation.

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

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

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

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

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

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

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

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

— the general operating characteristics: — type of signalling and corresponding running regime (double track, reversible working, left or right hand running, etc.) — type of power supply — type of ground-train radio equipment.

— indication of rising and falling gradients: — gradient values and their precise location

— detailed line diagram: — names of stations on the line and key locations and their location; — tunnels, including location, name, length, specific information such as the existence of walkways and points of safe egress as well as the location of safe places where evacuation of passengers can take place — essential locations such as neutral sections — permissible speed limits for each track, including, if necessary, differential speeds relating to certain types of train, — the name of the organisation responsible for traffic management control and the name(s) of the traffic management control areas; — the names and areas of control of traffic management centres such as signal boxes; — identification of the radio channels to be used ;

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

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

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

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

4.2.1.2.2.2. Modified elements

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

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

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

4.2.1.2.2.3. Informing the driver in real time

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

4.2.1.2.3. Timetables

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

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

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

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

4.2.1.2.4. Rolling stock

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

4.2.1.3. Documentation for Railway Undertaking staff other than drivers

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

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

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

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

— documents describing the Communications Principles (annex C);

— the document entitled Forms Book.

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

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

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

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

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

Where however, local practice requires that a second language is also provided for, it is the responsibility of the Infrastructure Manager to determine the geographic boundaries for its use.

4.2.2. SPECIFICATIONS RELATING TO TRAINS

4.2.2.1. Train visibility

4.2.2.1.1. General requirement

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

4.2.2.1.2. Front end

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

The detailed specification can be found in Subsection 4.3.3.4.1.

4.2.2.1.3. Rear end

These requirements are specified in Annex S.

4.2.2.2. Train audibility

4.2.2.2.1. General requirement

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

4.2.2.2.2. Control

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

4.2.2.3. Vehicle identification

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

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

Further requirements are specified in Annex P.

4.2.2.4. Freight vehicle loading

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

4.2.2.4.1. Weight distribution

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

4.2.2.4.2. Axle loading

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

4.2.2.4.3. Load securing

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

4.2.2.4.4. Kinematic envelope

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

4.2.2.4.5. Load covering

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

4.2.2.5. Train composition

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

Train Composition requirements must take into account the following elements:

— the vehicles — all vehicles in the train must be in compliance with all the requirements applicable on the routes over which the train will run; — all vehicles on the train must be fit to run at the maximum speed at which the train is scheduled to run; — all vehicles on the train must be currently within their specified maintenance interval and will remain so for the duration (in terms of both time and distance) of the journey being undertaken;

— the train — the combination of vehicles forming a train must comply with the technical constraints of the route concerned and be within the maximum length permissible for forwarding and receiving terminals. — the Railway Undertaking is responsible for ensuring that the train is technically fit for the journey to be undertaken and remains so throughout the journey

— the weight and axle load — the weight of the train must be within the maximum permissible for the section of route, the strength of the couplings, the traction power and other relevant characteristics of the train. Axle load limitations must be respected.

— the maximum speed of the train — the maximum speed at which the train can run must take into account any restrictions on the route(s) concerned, braking performance, axle load and vehicle type.

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

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

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

4.2.2.6. Train braking

4.2.2.6.1. Minimum requirements of the braking system

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

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

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

4.2.2.6.2. Brake performance

The Infrastructure Manager must decide whether to:

— provide the Railway Undertaking with the information necessary for calculating the required braking performance for the route(s) concerned, including information on the braking systems which can be accepted, and on the conditions of their use, or

— alternatively provide the actual performance required.

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

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

Further requirements are specified in Annex T.

4.2.2.7. Ensuring that the train is in running order

4.2.2.7.1. General requirement

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

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

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

4.2.2.7.2. Data required

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

— the 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 resuired for the transport of dangerous goods

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

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

4.2.3. SPECIFICATIONS RELATING TO TRAIN OPERATIONS

4.2.3.1. Train planning

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

4.2.3.2. Identification of trains

An unambiguous identification for all trains must exist.

These requirements are specified in Annex R.

4.2.3.3. Train departure

4.2.3.3.1. Checks and tests before departure

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

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

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

4.2.3.4. Traffic management

4.2.3.4.1. General requirements

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

The Infrastructure Manager must determine procedures and means for:

— 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) can be introduced after being agreed with the Infrastructure Manager.

4.2.3.4.2. Train reporting

4.2.3.4.2.1. Data required for train position reporting

The Infrastructure Manager must:

— 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;

— provide the specific data required in relation to train position reporting. Such information must include: — Train identification — Identity of reporting point — Line on which the train is running — Scheduled time at reporting point — Actual time at reporting point (and whether depart, arrive or pass — separate arrival and departure times must be provided in respect of intermediate reporting points at which the train calls) — Number of minutes early or late at the reporting point — Initial explanation of any single delay exceeding 10 minutes or as otherwise required by the performance monitoring regime — Indication that a report for a train is overdue and the number of minutes by which it is overdue — Former train identification(s), if any — Train cancelled for a whole or a part of its journey.

4.2.3.4.2.2. Predicted hand over time

The Infrastructure Manager must have a process, which enables an indication of the estimated number of minutes of deviation from the scheduled time a train is scheduled to be handed over from one Infrastructure Manager to another.

This must include information on service disruption (description and location of problem).

4.2.3.4.3. Dangerous goods

The Railway Undertaking must define the procedures to supervise the transport of dangerous goods.

These procedures must include:

— existing European standards as specified in EC directive 96/49 for identifying dangerous goods on board a train

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

— information the Infrastructure Manager requires for transport of dangerous goods

— determination of, in conjunction with the Infrastructure Manager, 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 the all the services concerned.

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

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

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

These processes shall be documented and subject to internal audit.

4.2.3.5. Data recording

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

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

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

— To record information relating to the performance of both the locomotive/traction unit and the person driving, including working time.

It must be possible to match recorded data to:

— the date and time of the recording

— the precise geographic location of the event being recorded (distance in kilometres from a recognisable location)

— the train identification

— the identity of the driver

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

— in which the Railway Undertaking is licensed (with regard to on-board recorded data), or

— of the Member State in which the infrastructure is located (with regard to data recorded outside the train).

4.2.3.5.1. Recording of supervision data outside the train

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

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

— the detection of an overheating axle bearing;

— communication between the train driver and Infrastructure Manager’s staff authorising train movements.

4.2.3.5.2. Recording of supervision data on-board the train

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

— the passing of signals at danger or ‘end of movement authority’ without authority

— application of the emergency brake

— speed at which the train is running

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

— operation of the audible warning device (horn)

— operation of door controls (release, closure)

— detection by on-board hot axle box detectors, if fitted

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

— data in order to record working time.

4.2.3.6. Degraded operation

4.2.3.6.1. Advice to other users

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

4.2.3.6.2. Advice to train drivers

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

4.2.3.6.3. Contingency arrangements

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

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

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

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

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

— extreme weather conditions

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

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

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

4.2.3.7. Managing an emergency situation

The Infrastructure Manager must, in consultation with:

— all Railway Undertakings operating over his infrastructure, or

— where appropriate, representative bodies of Railway Undertakings operating over his infrastructure, and

— neighbouring Infrastructure Managers, as appropriate, as well as

— local authorities and

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

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

Such measures shall typically cover:

— collisions,

— fires on train,

— evacuation of trains,

— accidents in tunnels,

— incidents involving dangerous goods

— derailments

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

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

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

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

4.3. FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE INTERFACES

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

4.3.1. INTERFACES WITH THE INFRASTRUCTURE TSI

RESERVED

4.3.2. INTERFACES WITH THE CONTROL/COMMAND AND SIGNALLING TSI

4.3.2.1. Recording of supervision data

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

4.3.2.2. Driver vigilance

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

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

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

4.3.2.4. Signal and lineside marker sighting

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

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

— that they are suitably sited so that train headlights 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 headlights easily allow the driver to read the information.

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

4.3.2.5. Train braking

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

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

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

4.3.2.7. Data recording and hot axle box detection

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

4.3.3. INTERFACES WITH THE ROLLING STOCK TSI

4.3.3.1. Vehicle identification

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

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

4.3.3.2. Braking

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

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

4.3.3.3. Requirements for passenger vehicles

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

— Compatibility between passenger vehicles and platforms at scheduled passenger stops must be sufficient in order to ensure safe access and egress.

— Passengers must not be able to open body-side doors intended for their use until the train is at a standstill and the doors have been released by a member of the train crew.

— Door release must be separate for each side of the train. The integrity of door closure and blocking on passenger trains must be permanently indicated.

— Activation of the door release must prevent traction power being applied.

— All vehicles carrying passengers must be equipped with exits that facilitate emergency egress.

— Vehicles intended for passenger use must have either a passenger activated alarm or emergency brake fitted. In the event of this being triggered, the driver must be immediately alerted but be able to retain control of the train.

4.3.3.4. Train visibility

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

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

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

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

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

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

4.3.3.4.2. On the rear end

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

4.3.3.5. Train audibility

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

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

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

4.3.3.6. Signal sighting

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

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

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

4.3.3.7. Driver vigilance

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

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

4.3.3.8. Train composition and annex B

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

4.3.3.9. Freight Vehicle loading

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

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

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

4.3.3.11. Train composition, annexes H and L

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

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

4.3.3.12. Contingency arrangements and Managing an emergency situation

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

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

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

4.3.3.13. Data recording

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

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

4.3.4. INTERFACES WITH THE TSI TELEMATIC APPLICATIONS

4.3.4.1. Identification of trains

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

4.3.4.2. Train composition

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

4.3.4.3. Train departure

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

4.3.4.4. Train running

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

4.3.4.5. Vehicle identification

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

4.4. OPERATING RULES

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

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

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

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

4.5. MAINTENANCE RULES

Not applicable

4.6. PROFESSIONAL QUALIFICATIONS

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

4.6.1. PROFESSIONAL COMPETENCY

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

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

4.6.1.1. Professional knowledge

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

— general railway operation with particular emphasis on safety-critical activity: — principles of operation of their organisation’s safety management system; — the roles and responsibilities of the key players involved in interoperable operations; — appreciation of hazards, especially in relation to the risks involving railway operation and electric traction supply

— appropriate knowledge of safety-related tasks in respect to procedures and interfaces for: — lines and lineside equipment; — rolling stock; — the environment.

4.6.1.2. Ability to put this knowledge into practice

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

— the method and principles for applying these rules and procedures

— the process for the use of lineside equipment and rolling stock, as well as any specific safety-related equipment

— the principles of the safety management system to avoid the introduction of any undue risk to people and process

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

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

4.6.2. LINGUISTIC COMPETENCY

4.6.2.1. Principles

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

Where the ‘operating’ language used by the Infrastructure Manager differs from that habitually used by the Railway Undertaking’s personnel, such linguistic and communications training must form a critical part of the Railway Undertaking’s overall competency management system.

Railway Undertaking staff whose duties require them to communicate with staff of the Infrastructure Manager in connection with safety critical matters, whether in routine, degraded or emergency situations, must have a sufficient level of knowledge in the ‘operating’ language of the Infrastructure Manager.

4.6.2.2. Level of knowledge

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

— As a minimum this must comprise of the driver being able to: — send and understand all the messages specified in annex C to the present TSI; — effectively communicate in routine, degraded and emergency situations; — complete the forms associated with the use of the Book of Forms

— Other members of the train crew whose duties require them to communicate with the Infrastructure Manager on safety critical matters, must as a minimum, be able to send and understand information describing the train and its operational status.

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

4.6.3. INITIAL AND ONGOING ASSESSMENT OF STAFF

4.6.3.1. Basic elements

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

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

A Selection of personnel — evaluation of individual experience and competence — evaluation of individual competence in the use of any required foreign language(s) or the aptitude to learn them

B Initial professional training — analysis of training needs; — training resources — training of the trainers

C Initial assessment — basic conditions (minimum age for drivers,…); — assessment programme, including practical demonstration; — qualification of the trainers. — deliver a certificate of competency.

D Competency retention — principles for retention of competency — in particular, for those staff undertaking the task of driving a train, re-assessment of competence shall be undertaken at least on an annual basis — methods to be followed — formalisation of the competency retention process. — assessment process.

E Refresher training — principles for ongoing training (including language)

4.6.3.2. Analysis of training needs

4.6.3.2.1. Development of the analysis of training needs

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

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

— differences in operating practices between Infrastructure Managers and the risks associated with changing between these;

— the differences between tasks, operating procedures and communication protocols;

— any difference in the ‘operating’ language used by the Infrastructure Manager’s personnel;

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

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

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

4.6.3.2.2. Updating the analysis of training needs

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

4.6.3.2.3. Specific elements for traincrew and auxiliary staff

4.6.3.2.3.1. Route knowledge

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

— based upon the route information provided by the Infrastructure Manager and

— in accordance with the process described in Subsection 4.2.1 of this TSI.

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

4.6.3.2.3.2. Knowledge of rolling stock

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

4.6.3.2.3.3. Auxiliary staff

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

4.7. HEALTH AND SAFETY CONDITIONS

4.7.1. INTRODUCTION

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

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

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

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

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

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

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

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

— Expertise in occupational medicine

— Knowledge of the hazards of the work concerned and of the railway environment;

— An understanding of how measures intended to eliminate or reduce the risks from those hazards could be affected by lack of medical fitness.

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

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

4.7.3.1. Certification of psychologists

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

4.7.3.2. Content and interpretation of psychological assessment

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

4.7.3.3. Selection of assessment tools

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

4.7.4. MEDICAL EXAMINATIONS AND PSYCHOLOGICAL ASSESSMENTS

4.7.4.1. Before appointment:

4.7.4.1.1. Minimum content of the medical examination

Medical examinations must cover:

— General medical examination;

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

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

— Screening for drugs of abuse.

4.7.4.1.2. Psychological assessment

The aim of the psychological assessment is to support the Railway Undertaking in the appointment and management of staff who have the cognitive, psychomotor, behavioural and personality capabilities to perform their roles safely.

In determining the content of the psychological assessment the psychologist must, as a minimum, take the following criteria into account relevant to the requirements of each safety function:

— Cognitive: — Attention and concentration — Memory — Perceptive capability — Reasoning — Communication

— Psychomotor: — Speed of reaction — Gestured co-ordination

— Behavioural and personality — Emotional self control — Behavioural reliability — Autonomy — Conscientiousness

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

4.7.4.2. After appointment

4.7.4.2.1. Periodicity of periodic medical examinations

At least one systematic medical examination must be performed:

— Every 5 years for staff aged up to 40;

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

— Every year for staff aged over 62.

Increased periodicity of examination must be set by the occupational doctor if the state of health of the member of the staff requires so.

4.7.4.2.2. Minimum content of the periodic medical examination

If the worker complies with the criteria required at the examination, which is carried out before practising an occupation, the periodic specialised examinations must include as a minimum:

— General medical examination;

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

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

— Screening for drugs of abuse where clinically indicated.

4.7.4.2.3. Additional medical examinations and/or psychological assessments

Besides the periodic medical examination, an additional specific medical examination and/or psychological assessment must be performed where there is reasonable ground for doubting the medical or psychological fitness of a member of staff or reasonable suspicion of use of drugs of abuse or abuse or inappropriate use of alcohol. This would be the case especially after an incident or accident caused by human error on the part of the individual.

The employer must request a medical examination after any sickness absence exceeding 30 days. In suitable cases such an examination can be limited to an assessment by the occupational doctor based on available medical information indicating that the employee’s fitness for work has not been affected.

The Railway Undertaking and the Infrastructure Manager must put systems in place to ensure that such additional examinations and assessments are undertaken as appropriate.

4.7.5. MEDICAL REQUIREMENTS

4.7.5.1. General requirements

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

— Sudden loss of consciousness;

— Impairment of awareness or concentration;

— Sudden incapacity;

— Impairment of balance or co-ordination;

— Significant limitation of mobility.

The following vision and hearing requirements must be met:

4.7.5.2. 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 recognised occupational doctor (as defined in Subsection 4.7.2) may allow values outside this range in exceptional cases and after having sought the opinion of an eye specialist.

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

— Contact lenses are allowed.

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

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

— Vision for both eyes: present

— Binocular vision: present

— Contrast sensitivity: good

— Absence of progressive eye disease

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

4.7.5.3. Hearing requirements

Sufficient hearing confirmed with tone audiogram, that is:

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

— The following values given for information should be taken as guidelines:

— The hearing deficiency must not be higher than 40 dB at 500 and 1 000 Hz;

— The hearing deficiency must not be higher than 45 dB at 2 000 Hz for the ear with the worst air conduction of sound.

4.7.5.4. Pregnancy

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

4.7.6. SPECIFIC REQUIREMENTS REGARDING THE TASK OF DRIVING A TRAIN

4.7.6.1. Periodicity of periodic medical examinations

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

At least one systematic medical examination must be performed:

— Every 3 years for staff aged up to 60;

— Every year for staff aged over 60.

4.7.6.2. Additional content of medical examination

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

4.7.6.3. Additional vision requirements

— Aided or unaided distance visual acuity 1,0 (binocularly); at least 0,5 for the worse eye.

— Coloured contact lenses and photochromatic lenses are not allowed. UV filter lenses are allowed.

4.7.6.4. Additional hearing and speaking requirements

— No anomaly of the vestibular system.

— No chronic speech disorder (given the necessity to exchange messages loudly and clearly).

— Hearing requirements as set out in Subsection 4.7.5.3 must be achieved without the use of hearing aids. Subject to medical opinion, the use of hearing aids is allowed in special cases.

4.7.6.5. Anthropometrics

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

4.7.6.6. Trauma Counselling

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

4.8. INFRASTRUCTURE AND ROLLING STOCK REGISTERS

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

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

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