Official Journal of the European Union

COMMISSION DECISION

of 1 February 2008

concerning the technical specification of interoperability relating to the operation subsystem of the trans-European high-speed rail system adopted referred to in Article 6(1) of Council Directive 96/48/EC and repealing Commission Decision 2002/734/EC of 30 May 2002

(notified under document number C(2008) 356)

(Text with EEA relevance)

(2008/231/CE)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European Community,

Having regard to Council Directive 96/48/EC of 23 July 1996 on the interoperability of the trans-European high-speed rail system (1), and in particular Articles 6(1) and 6(2) thereof,

Whereas:

In accordance with Article 6(2) of Directive 96/48/EC as modified by Directive 2004/50/EC (2) , amendments to technical specifications for interoperability (TSIs) are drafted by the European Railway Agency (ERA) under a mandate of the Commission.

The TSI attached to this Decision was drafted by the Joint Representative Body under a mandate delivered in 2001, in accordance with Article 6(1) of Directive 96/48/EC before entry into force of Directive 2004/50/EC. The European Association for Railway Interoperability (AEIF) was appointed as the joint representative body.

The draft TSI was accompanied by a presentation report containing a cost-benefit analysis as provided for in Article 6(5) of Directive 96/48/EC.

The draft TSI has been examined by the Committee set up by Directive 96/48/EC on the interoperability of the trans-European high-speed rail system in the light of the presentation report.

In its current version the TSI does not fully deal with all essential requirements. In accordance with Article 17 of Directive 96/48/EC as modified by Directive 2004/50/EC, technical aspects which are not covered are identified as ‘Open Points’ in Annex U of this TSI.

In accordance with Article 17 of Directive 96/48/EC as modified by Directive 2004/50/EC, individual Member States are to inform the other Member States and the Commission of the relevant national technical rules in use for implementing essential requirements related to these ‘open points’, as well as of the bodies it appoints for carrying out the procedure for the assessment of conformity or suitability for use and the checking procedure in use for verifying the interoperability of subsystems within the meaning of Article 16(2) of Directive 96/48/EC. For this latter purpose, Member States should apply, as far as possible, the principles and criteria provided for in Directive 96/48/EC and make use of the bodies notified under Article 20 of Directive 96/48/EC. The Commission should carry out an analysis of the information forwarded by the Member States, in the form of national rules, procedures, bodies in charge of implementing procedures, and duration of these procedures, and, where appropriate, should discuss with the Committee the need for the adoption of any 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 high-speed 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 96/48//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 Council Directive 96/48/EC,

HAS ADOPTED THIS DECISION:

Article 1

A revised version of Technical Specification for Interoperability (‘TSI’) relating to the ‘traffic operation and management’ subsystem of the trans-European high-speed rail system referred to in Article 6(1) of Directive 96/48/EC is hereby adopted by the Commission.

The TSI 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 to Directive 96/48/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 96/48/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

Commission Decision 2002/734/EC (3) shall no longer apply as from the date on which this Decision becomes applicable.

Article 6

This Decision shall apply from 1 September 2008.

Article 7

This Decision is addressed to the Member States.

(1) OJ L 235, 17.9.1996, p. 6. Directive as last amended by Directive 2007/32/EC (OJ L 141, 2.6.2007, p. 63).

(2) OJ L 164, 30.4.2004, p. 114

(3) JO L 245, 12.9.2002, p. 370.

ANNEX

DIRECTIVE 96/48/EC — INTEROPERABILITY OF THE TRANS-EUROPEAN HIGH SPEED RAIL SYSTEM

TECHNICAL SPECIFICATION FOR INTEROPERABILITY

‘Operations and traffic management’ Sub-System

1. INTRODUCTION

1.1. Technical scope

1.2. Geographical scope

1.3. Content of this TSI

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

4.2.2.2. 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. Requirements for Passenger vehicles

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

4.3.1.1. Signal Sighting

4.3.1.2. Passenger Vehicles

4.3.1.3. Professional Competences

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 competences 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. Braking

4.3.3.2. Requirements for passenger vehicles

4.3.3.3. Train visibility

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

4.3.3.3.2. On the rear end

4.3.3.4. Train audibility

4.3.3.5. Signal sighting

4.3.3.6. Driver vigilance

4.3.3.7. Train composition and annex B

4.3.3.8. Rolling Stock parameters which influence ground-based train monitoring systems and rolling stock dynamic behaviour

4.3.3.9. Sanding

4.3.3.10. Train composition, annexes H and J

4.3.3.11. Contingency arrangements and Managing an emergency situation

4.3.3.12. Data recording

4.3.3.13. Aerodynamic effects on ballast

4.3.3.14. Environmental conditions

4.3.3.15. Crosswinds

4.3.3.16. Maximum pressure variations in tunnels

4.3.3.17. Exterior noise

4.3.3.18. Fire safety

4.3.3.19. Lifting/rescue procedures

4.3.3.20. Monitoring and diagnostic concepts

4.3.3.21. Particular specification for long tunnels

4.3.3.22. Traction performance requirements

4.3.3.23. Traction adhesion requirements

4.3.3.24. Functional and technical specification related to power supply

4.3.4. Interfaces with the HS Energy TSI

4.3.5. Interfaces with the Safety in Rail Tunnels TSI

4.3.6. Interfaces with the Persons with Reduced Mobility TSI

4.4. Operating rules

4.5. Maintenance rules

4.6. Professional competences

4.6.1. Professional competence

4.6.1.1. Professional knowledge

4.6.1.2. Ability to put this knowledge into practice

4.6.2. Linguistic competence

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. Recommended 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 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 A: ERTMS/ETCS AND ERTMS/GSM-R OPERATING RULES

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

A. GENERAL

B. STAFF SAFETY AND SECURITY

C. OPERATIONAL INTERFACE WITH SIGNALLING AND COMMAND AND CONTROL EQUIPMENT

D. TRAIN MOVEMENTS

E. ANOMALIES, INCIDENTS AND ACCIDENTS

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: INFORMATIVE AND NOT MANDATORY 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 COMPETENCE FOR THE TASK OF DRIVING A TRAIN

ANNEX I: NOT USED

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

ANNEX K: NOT USED

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

ANNEX M: NOT USED

ANNEX N: INFORMATIVE AND NOT MANDATORY IMPLEMENTATION GUIDELINES

ANNEX O: NOT USED

ANNEX P: VEHICLE IDENTIFICATION

ANNEX Q: NOT USED

ANNEX R: TRAIN IDENTIFICATION

ANNEX S: NOT USED

ANNEX T: BRAKE PERFORMANCE

ANNEX U: LIST OF OPEN POINTS

ANNEX V: PREPARATION AND UPDATING RULES DOCUMENTATION FOR DRIVERS

GLOSSARY

1. INTRODUCTION

1.1. Technical scope

This TSI concerns the Traffic Operation and Management subsystem which is one of the subsystems listed in Annex II (1) to Directive 96/48/EC as modified by Directive 2004/50/EC and its maintenance.

This TSI is applicable to the following classes of trains, regardless of whether the trains consist of fixed formation trainsets (indivisible in service), or individual vehicles. It applies equally to passenger and/or non-passenger carrying vehicles:

— : class 1 : Trains having a maximum speed of at least 250 km/h, — : class 2 : Trains having a maximum speed of at least 190 km/h, but less than 250 km/h.

According to Annex I of the Directive, the specifications are defined for each of the following categories of line:

— category I: specially built high-speed lines equipped for speeds generally equal to or greater than 250 km/h,

— category II: specially upgraded high-speed lines equipped for speeds of the order of 200 km/h,

— category III: specially upgraded high-speed lines which have special features as a result of topographical, relief or town-planning constraints, on which the speed must be adapted to each case.]

1.2. Geographical scope

The geographical scope of this TSI is the trans-European high speed rail system as described in Annex I to Directive 96/48/EC as modified by Directive 2004/50/EC.

1.3. Content of this TSI

In accordance with Article 5(3) and Annex I (1) (b) of Directive 96/48/EC, as modified by Directive 2004/50/EC. In accordance with Article 5(3) of and with Annex I (1)(b) to Directive 96/48/EC, as modified by Directive 2004/50/EC, this TSI:

(a) indicates its intended scope (chapter 2);

(b) lays down essential requirements for the subsystem (chapter 3) and its interfaces vis-à-vis other subsystems (chapter 4);

(c) establishes the functional and technical specifications to be met by the target subsystem and its interfaces vis-à-vis other subsystems (chapter 4);

(d) determines the interoperability constituents and interfaces which must be covered by European specifications, including European standards, which are necessary to achieve interoperability within the trans-European high speed rail system (chapter 5);

(e) states, in each case under consideration, which procedures are to be used in order to assess the conformity or the suitability for use of the interoperability constituents, on the one hand, or the EC verification of the subsystems, on the other hand (chapter 6);

(f) indicates the strategy for implementing the TSI (chapter 7);

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

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

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

2. DEFINITION OF SUBSYSTEM/SCOPE

2.1. Subsystem

The Traffic Operation and Management subsystem is one of the subsystems constituting the trans-European high speed rail system as listed in annex II to Directive 96/48/EC.

2.2. Scope

In conjunction with Annex I of directive 96/48/EC (as modified in Annex I of directive 2004/50/EC), 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 high speed rail TEN lines.

The specifications laid down in this TSI on Traffic Operation and Management may be used as a reference document for the operation of other trains running on the high speed rail TEN lines even though they are not covered by the scope of this TSI.

2.2.1. Staff and trains

It should be noted that Art 5.3 (g) of Dir. 96/48/EC as modified by Directive 2004/50/EC and Art 5.3 (g) of Dir. 2001/16/EC as modified by Directive 2004/50/EC are at variance in that the first speaks of ‘professional competence’ in respect to staff on the High Speed rail system, whilst ‘professional qualification’ is used in the second one in connection with the Conventional rail system.

To differentiate between the CR and HS OPE TSIs would not be appropriate and so the assumption has been made that the use of the term ‘professional competence’ covers the intention of the legislator.

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 competences 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 Competences Medical Requirements Driving a Train and Accompanying a Train 4.6 4.7 Authorising Train movements Mutual recognition Mutual recognition Tdrain 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 Competences 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.

For cross border sections, agreements between neighbouring Infrastructure Managers or Member States referred in art. 7.1 describe:

— the safety rules to be applied between them concerning the protection of engineering worksites relating to the maintenance of the infrastructure subsystems concerned, and the content of the training of staff undertaking the safety critical tasks associated with the protection of these worksites,

— the safety rules to be applied between them concerning the operation and the protection of engineering worksites related to the maintenance of the fixed installations of the energy subsystems concerned, and the content of the training of staff undertaking the safety critical tasks associated with the operation and the protection of these installations.

2.2.2. Operating principles

The general objective of the present version of this TSI, which is the second one after the entry into force of Directive 96/48/EC but the first taking into account the modifications brought by Directive 2004/50/EC, is to enable a coherent operation of the structural subsystems intended to be used on the high speed network. In particular rules and procedures 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 high speed 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, detailed operating rules for the European Train Control System (ETCS) and the Global System for Mobile communication — Railways (GSM-R) are specified in Annex A to this TSI.

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 96/48/EC Article 14.3.

2.3. Link between this TSI and Directive 2004/49/EC

Although this TSI is being developed under Interoperability Directive 96/48/EC (as amended by Directive 2004/50/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 authorisation/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 96/48/EC, the trans-European high speed 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 96/48/EC, the essential requirements may be generally applicable to the whole trans-European high speed rail system or be specific to each subsystem and its constituents.

3.3. 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 96/48/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 96/48/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 96/48/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 96/48/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 96/48/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 96/48/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 96/48/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 96/48/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 96/48/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 96/48/EC:

‘The repercussions on the environment of the establishment and operation of the trans-European high speed 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 96/48/EC:

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

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

Essential requirement 1.4.3 of Annex III to Directive 96/48/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.

3.3.5. Technical compatibility

Essential requirement 1.5 of Annex III to Directive 96/48/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 high speed 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 2.7.1 of Annex III to Directive 96/48/EC:

‘Alignment of the network operating rules and the competences of drivers and on-board staff must be such as to ensure safe international operation. The operations and maintenance intervals, the training and qualifications of maintenance staff and the quality assurance system set up in the maintenance centres of the operators concerned 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)

— Requirements for passenger vehicles (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 competences (Subsections 2.2.1 and 4.6)

— Health and safety conditions (Subsections 2.2.1 and 4.7)

3.4.2. Reliability and availability

Essential requirement 2.7.2 of Annex III to Directive 96/48/EC:

‘The operation and maintenance periods, the training and qualifications of the maintenance staff and the quality assurance system set up by the operators concerned in the 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 competences (Subsection 4.6)

— Health and safety conditions (Subsection 4.7)

3.4.3. Technical compatibility

Essential requirement 2.7.3 of Annex III to Directive 96/48/EC:

‘The alignment of the operating rules of the networks and the qualifications of drivers, on-board staff and managers in charge of traffic must be such as to ensure operating efficiency on the trans-European high speed rail system.’

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)

— Requirements for passenger vehicles (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 high speed rail system (TEN), to which Directive 96/48/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 Railway Undertakings and Infrastructure Managers.

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

— Competences (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 in due time 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 Managers 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. Changes must be made known in time for the RU to process their impact, update documents and instruct staff. They 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 Managers 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 Protocol (annex C);

— the document entitled Book of Forms.

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.

4.2.2.2. 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. Requirements for Passenger vehicles

— 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 from being applied. (For the purposes of this requirement, ‘door release’ means the doors have been enabled by the traincrew for opening by passengers.)

— 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.

4.2.2.5. 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.

Train composition must be described in a harmonised 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 Railway Undertakings 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 requires for 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 clause 4.1 of this TSI and all applicable rules, 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 Railway Undertakings 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

Infrastructure Managers and Railway Undertakings 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 trans-European high speed rail system.

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 Undertakings 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.

— Recording information relating to the performance and where appropriate, the working time of both the locomotive/traction unit and the person driving.

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 of drivers.

4.2.3.6. Degraded operation

4.2.3.6.1. Advice to other users

Infrastructure Managers in conjunction with Railway Undertakings 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 Undertakings of any changes to his details.

4.2.3.7. Managing an emergency situation

The Infrastructure Manager shall, 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 shall provide the Infrastructure Manager with any specific information in respect to these circumstances, especially in respect to the recovery or re-railing of their trains. (See also clause 4.2.7.5 in the Conventional Rail Freight Wagon TSI).

Additionally, the Railway Undertaking shall 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 shall define appropriate procedures to assist the train crew in degraded situations in order to avoid or decrease delays caused by technical or other failures of the rolling stock (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

4.3.1.1. Signal Sighting

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

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

— 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 that they are fabricated so as to allow train headlights to allow the driver to read the information

4.3.1.2. Passenger Vehicles

The compatibility between passenger vehicles and platforms of scheduled passenger stops in order to ensure safe access and egress must be assured.

The minimum distance between platform surfaces and live electrical parts of vehicles must be respected.

4.3.1.3. Professional Competences

There is an interface with subsection 2.2.1 of this TSI and subsection 4.6 of the HS INS TSI.

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 HS CCS TSI) must comply.

4.3.2.2. Driver vigilance

Where the infrastructure supports the facility, this device shall be capable of automatically reporting an activation to the controlling signalling centre. There is an interface between this operational requirement and Subsection 4.2.2 in the HS CCS TSI associated with ERTMS.

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

Annex A of this TSI has an interface with the ERTMS/ETCS FRS and SRS, the ERTMS/GSM-R FRS and SRS detailed in annex A of the HS CCS TSI.

There is also an interface between Subsection 4.4 of this TSI and Annex A of the HS CCS TSI in respect to the informative guideline documents for the rules, principles and implementation of ERTMS.

There is also an interface with the ETCS Driver/Machine Interface (DMI) specifications (section 4.2.13 of the HS CCS TSI) and the EIRENE DMI specifications (section 4.2.14 of the HS CCS TSI).

There is an interface between annex A of this TSI and subsection 4.2.2 of the HS CCS TSI in respect to isolation of the 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 shall 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 HS 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 HS 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 HS CCS TSI.

4.3.2.6. Use of sanding. Minimum elements relevant to professional competences 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 HS 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 HS CCS TSI on the other hand. There will be a future interface with annex B of the OPE TSI, when the HS CCS open point is resolved.

4.3.3. Interfaces with the Rolling Stock TSI

4.3.3.1. Braking

Interfaces exists between Subsection 4.2.2.5.1, 4.2.2.6.1 and 4.2.2.6.2 of this OPE TSI, and subsection 4.2.4.1 and 4.2.4.3 of the HS RST TSI.

An interface also exists between subsection 4.2.4.5 (Eddy Current brakes) of the HS RST TSI and subsection 4.2.2.6.2 of this OPE TSI.

An interface also exists between subsection 4.2.4.6 (protection of an immobilised train) of the HS RST TSI and subsection 4.2.2.6.2 of this OPE TSI.

An interface also exists between subsection 4.2.4.7 (brake performance on steep gradients) of the HS RST TSI and subsections 4.2.2.6.2 and 4.2.1.2.2.3 of this OPE TSI.

4.3.3.2. Requirements for passenger vehicles

Interfaces exists between Subsection 4.2.2.4 of this OPE TSI and subsections 4.2.2.4 (doors), 4.2.5.3 (alarms), 4.3.5.16 (passenger alarm) and 4.2.7.1 (emergency exits) of the HS RST TSI.

4.3.3.3. 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.

4.3.3.3.1. 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 shall 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 shall not dazzle the drivers of oncoming trains.

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

An interface exists with subsection 4.2.7.4.1 of the HS RST TSI and Subsection 4.2.2.1.2 of this TSI.

4.3.3.3.2. On the rear end

An interface exists between subsection 4.2.2.1.3 of this TSI and subsection 4.2.7.4.1 of the HS RST TSI.

4.3.3.4. 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 shall be standardised.

An interface with subsection 4.2.7.4.2 of the HS RST TSI and Subsection 4.2.2.2 of this TSI.

4.3.3.5. 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 shall 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.

An interface exists between subsection 4.3.2.4 of this TSI and subsection 4.2.2.7 of the HS RST TSI.

4.3.3.6. 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.

An interface exists between subsections 4.3.3.2 and 4.3.3.7 of this TSI and subsection 4.2.7.9 of the HS RST TSI in respect to driver vigilance.

4.3.3.7. Train composition and annex B

There is an interface between:

— subsections 4.2.2.5, 4.2.3.6.3 and 4.2.3.7 of this TSI on one hand,

— and subsections 4.2.2.2.b (End couplers and coupling arrangements to rescue trains) of the HS RST TSI and its annex K, also subsection 4.2.3.5 (maximum train length) on the other hand,

in respect of:

— the maximum permissible weight of the train on the maximum gradient of the line concerned

— the maximum train length, and

— acceleration in case of banking.

4.3.3.8. Rolling Stock parameters which influence ground-based train monitoring systems and rolling stock dynamic behaviour

Interfaces exists between subsections 4.2.3.3.2 and 4.2.3.4 of the HS RST TSI and subsection 4.2.3.6 of this OPE TSI.

4.3.3.9. Sanding

An interface exists between annex H and annex B (§ C1) of this TSI on one hand, and subsection 4.2.3.10 the HS RST TSI on the other hand, in respect to the use of sanding.

4.3.3.10. Train composition, annexes H and J

Interfaces exist between subsection 4.2.2.5 and Annexes H and J of this TSI with subsections 4.2.1.2 (design of train) and 4.2.7.11 (Monitoring and diagnostic concepts) of the HS RST TSI in respect to train crew knowledge of rolling stock functionality.

4.3.3.11. Contingency arrangements and Managing an emergency situation

There is an interface between subsection 4.2.3.6.3 and 4.2.3.7 of this TSI and subsection 4.2.2.2 (end couplers and coupling arrangements to rescue trains) and Annex K of the HS RST TSI.

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 HS RST TSI.

4.3.3.12. Data recording

There is an interface between subsection 4.2.3.5.2 (Recording of supervision data on-board the train) of this TSI and subsection 4.2.7.11 of the HS RST TSI (Monitoring and diagnostic concepts).

4.3.3.13. Aerodynamic effects on ballast

An interface exists between subsection 4.2.3.11 of the HS RST TSI and subsection 4.2.1.2.2.3 of this TSI.

4.3.3.14. Environmental conditions

An interface exists between subsection 4.2.6.1 of the HS RST TSI and subsections 4.2.2.5 and 4.2.3.3.2 of this TSI.

4.3.3.15. Crosswinds

An interface exists between subsection 4.2.6.3 of the HS RST TSI and subsections 4.2.1.2.2.3 and 4.2.3.6 of this TSI.

4.3.3.16. Maximum pressure variations in tunnels

An interface exists between subsection 4.2.6.4 of the HS RST TSI and subsections 4.2.1.2.2.3 and 4.2.3.6 of this TSI.

4.3.3.17. Exterior noise

An interface exists between subsection 4.2.6.5 of the HS RST TSI and subsection 4.2.3.7 of this TSI.

4.3.3.18. Fire safety

An interface exists between subsection 4.2.7.2 of the HS RST TSI and subsection 4.2.3.7 of this TSI.

4.3.3.19. Lifting/rescue procedures

An interface exists between subsection 4.2.7.5 of the HS RST TSI and subsection 4.2.3.7 of this TSI.

4.3.3.20. Monitoring and diagnostic concepts

An interface exists between subsection 4.2.7.11 of the HS RST TSI and subsection 4.2.3.5.2 and Annexes H and J of this TSI.

4.3.3.21. Particular specification for long tunnels

An interface exists between subsection 4.2.7.12 of the HS RST TSI and subsections 4.2.1.2.2.1, 4.2.3.7 and 4.6.3.2.3.3 of this TSI.

4.3.3.22. Traction performance requirements

An interface exists between subsection 4.2.8.1 of the HS RST TSI and subsections 4.2.2.5 and 4.2.3.3.2 of this TSI.

4.3.3.23. Traction adhesion requirements

An interface exists between subsection 4.2.8.2 of the HS RST TSI and subsections 4.2.3.3.2, 4.2.3.6 and 4.2.1.2.2 of this TSI.

4.3.3.24. Functional and technical specification related to power supply

An interface exists between subsection 4.2.8.3 of the HS RST TSI and subsections 4.2.3.6 and 4.2.1.2.2 of this TSI.

4.3.4. Interfaces with the HS Energy TSI

There is an interface with subsection 2.2.1 of this TSI and subsection 4.6 of the HS ENE TSI.

4.3.5. Interfaces with the Safety in Rail Tunnels TSI

A number of requirements in the SRT TSI rely on elements within the OPE TSI as a complement. These are detailed in subsection 4.3.4 of the SRT TSI.

A specific interface exists between subsection 4.2.5.1.3.2 of the SRT TSI and subsection 4.6.3.2.3.3 of this TSI.

4.3.6. Interfaces with the Persons with Reduced Mobility TSI

A number of requirements in the PRM TSI rely on elements within the OPE TSI. These are detailed in subsections 4.1.4 and 4.2.4 of the PRM TSI.

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, shall be identical where identical situations exist.

To this end, operating rules for the European Train Control System (ETCS) and the Global System for Mobile communication — Railways (GSM-R) have been written. These are specified in Annex A.

AnnexA (ETCS and GSM-R rules and principles) is complemented by the two following informative documents:

— Presentation Report of ETCS/GSM-R Rules and Principles (EEIG Ref.: 05E374)

— Recommendations for the Implementation of ERTMS (EEIG Ref.: 05E375)

Other operating rules, which are able to be standardised across the TEN, are 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 ERA, which is responsible for the timely upkeep of Annexes A, B and C to this TSI.

4.5. Maintenance rules

Not applicable

4.6. Professional competences

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

4.6.1. Professional competence

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

Minimum elements relevant to professional competence 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 competence of their staff involved is assessed and maintained. Additionally, training shall 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 competence

4.6.2.1. Principles

Infrastructure Managers and Railway Undertakings 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 competence management system.

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

4.6.2.2. Level of knowledge

The level of knowledge in the Infrastructure Manager’s 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 competence 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; — trainer competence; — deliver a certificate of competence.

D. Competence retention — principles for retention of competence — 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 competence 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

Railway Undertakings and Infrastructure Managers 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 place 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 shall document those not deemed appropriate and the reasons why.

4.6.3.2.2. Updating the analysis of training needs

Railway Undertakings and Infrastructure Managers shall 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 shall define the process by which knowledge of train crew of the routes worked over is acquired and maintained, at the level that is deemed appropriate depending on the level of responsibilities. 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 shall 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 RU shall make sure that the auxiliary staff (e.g catering, cleaning) not forming part of the ‘traincrew’ is, in addition to their basic training, 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 shall set up and document the process they put in place to meet the medical, psychological and health requirements for their staff within their Safety Management System.

Medical examinations as specified in 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, Railway Undertakings and Infrastructure Managers shall have procedures in place 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. Recommended criteria for approval of occupational doctors and medical organisations

Railway Undertakings and Infrastructure Managers should 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 should 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

It is recommended that the psychologist should hold 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 shall 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 shall 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 shall cover:

— General medical examination;

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

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

— Screening for 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 shall, 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 shall be performed:

— Every 5 years for staff aged up to 40;

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

— Every year for staff aged over 62.

Increased periodicity of examination shall 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 shall be performed where there is reasonable ground for doubting the medical or psychological fitness of a member of staff or reasonable suspicion of use of drugs 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.

Railway Undertakings and Infrastructure Managers 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 shall not suffer from medical conditions or take medical treatment likely to cause:

— Sudden loss of consciousness;

— Impairment of awareness or concentration;

— Sudden incapacity;

— Impairment of balance or 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 shall be considered a temporary cause for exclusion as regards drivers in the event of poor tolerance or pathological condition. The employer shall 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. However, 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 accide