2011D0314 — MT — 24.01.2013 — 001.001

Dan id-dokument ġie magħmul bil-ħsieb li jintuża bħala għodda ta’ dokumentazzjoni u l-istituzzjonijiet ma jassumu l-ebda responsabbiltà għall-kontenut tiegħu

►B DEĊIŻJONI TAL-KUMMISSJONI tat-12 ta’ Mejju 2011 dwar l-ispeċifikazzjoni teknika għall-interoperabbiltà relatata mas-subsistema ta' “l-operat u l-immaniġġjar tat-traffiku” tas-sistema ferrovjarja konvenzjonali trans-Ewropea (notifikata bid-dokument numru C(2011) 3099) (Test b’relevanza għaż-ŻEE) (2011/314/UE) (ĠU L 144, 31.5.2011, p.1)

Emendat bi:









▼B

DEĊIŻJONI TAL-KUMMISSJONI

tat-12 ta’ Mejju 2011

dwar l-ispeċifikazzjoni teknika għall-interoperabbiltà relatata mas-subsistema ta' “l-operat u l-immaniġġjar tat-traffiku” tas-sistema ferrovjarja konvenzjonali trans-Ewropea

(notifikata bid-dokument numru C(2011) 3099)

(Test b’relevanza għaż-ŻEE)

(2011/314/UE)







IL-KUMMISSJONI EWROPEA, Wara li kkunsidrat it-Trattat dwar il-Funzjonament tal-Unjoni Ewropea, Wara li kkunsidrat id-Direttiva 2008/57/KE tal-Parlament Ewropew u tal-Kunsill tas-17 ta' Ġunju 2008 dwar l-interoperabbiltà tas-sistema ferrovjarja fil-Komunità ( 1 ), u b’mod partikolari l-Artikolu 6(1) tagħha, Billi: (1) L-Artikolu 12 tar-Regolament (KE) Nru 881/2004 tal-Parlament Ewropew u tal-Kunsill tad-29 ta' April 2004 li jistabbilixxi Aġenzija Ewropea tal-Ferroviji [Aġenzija Ferrovjarja Ewropea] ( 2 ) jeħtieġ li l-Aġenzija Ferrovjarja Ewropea (minn hawn ‘il quddiem, “l-Aġenzija”) għandha tiżgura illi l-ispeċifikazzjonijiet tekniċi għall-interoperabbiltà (minn hawn ‘il quddiem, “TSIs”) jiġu addattati għall-progress tekniku u x-xejriet tas-suq u għall-ħtiġijiet soċjali u illi tipproponi lill-Kummissjoni l-emendi għat-TSIs li tikkunsidra meħtieġa. (2) Bid-Deċiżjoni C(2007) 3371 tat-13 ta' Lulju 2007, il-Kummissjoni tat mandat ta' qafas lill-Aġenzija biex twettaq ċerti attivitajiet taħt id-Direttiva tal-Kunsill 96/48/KE tat-23 ta' Lulju 1996 fuq l-interoperabbiltà tas-sistema ferrovjarja trans-Ewropea ta' veloċità għolja ( 3 ) u d-Direttiva 2001/16/KE tal-Parlament Ewropew u tal-Kunsill tad-19 ta' Marzu 2001 dwar l-interoperabbiltà tas-sistema ferrovjarja konvenzjonali trans-Ewropea ( 4 ). Skont it-termini tal-mandat ta’ qafas, l-Aġenzija ntalbet tirrevedi t-TSI adottata permezz tad-Deċiżjoni tal-Kummissjoni 2006/920/KE tal-11 ta' Awwissu 2006 dwar l-ispeċifikazzjoni teknika tal-interoperabbiltà relatata mas-subsistema ta' “l-Operat u l-Immaniġġjar tat-Traffiku” tas-sistema ferrovjarja konvenzjonali trans-Ewropea ( 5 ). (3) Fis-17 ta' Lulju 2009, l-Aġenzija ppubblikat erba' rakkomandazzjonijiet dwar, rispettivament, ir-regoli operattivi tas-Sistema Ewropea tal-Ġestjoni tat-Traffiku Ferrovjarju (ERTMS) (ERA/REC/2009-02/INT), ir-reviżjoni tal-Anness P għat-TSIs relatati mal-operat u l-immaniġġjar tat-traffiku (ERA/REC/2009-03/INT), ir-reviżjoni tal-Anness T għat-TSIs relatati mal-operat u l-immaniġġjar tat-traffiku tas-sistema ferrovjarja konvenzjonali (ERA/REC/2009-04/INT), u l-konsistenza mad-Direttiva 2007/59/KE fir-rigward tal-kompetenzi tas-sewwieqa tal-ferroviji (ERA/REC/2009-05/INT). Dawn l-erba' rakkomandazzjonijiet wasslu għall-abbozz ta' Deċiżjoni tal-Kummissjoni li temenda d-Deċiżjonijiet 2006/920/KE u 2008/231/KE fir-rigward tat-TSIs relatati mal-operat u l-immaniġġjar tat-traffiku. Fil-25 ta' Frar 2010, il-Kumitat stabbilit skont l-Artikolu 29(1) tad-Direttiva 2008/57/KE iddikjara opinjoni favur dan l-abbozz ta' Deċiżjoni tal-Kummissjoni. (4) Ir-rakkomandazzjoni tal-Aġenzija tas-7 ta' Mejju 2010 (ERA/REC/03-2010/INT) tipproponi aktar emendi għat-TSI relatata mal-operat u l-immaniġġjar tat-traffiku tas-sistema ferrovjarja konvenzjonali, fir-rigward ta', fost l-oħrajn, il-viżibbiltà tal-ferroviji (in-naħa ta' wara tal-ferrovija), l-identifikazzjoni tal-ferroviji, u l-konsistenza mad-Direttiva 2004/49/KE tal-Parlament Ewropew u tal-Kunsill tad-29 ta' April 2004 fuq is-sigurtà tal-linji tal-ferrovija tal-Komunità u li temenda d-Direttiva tal-Kunsill 95/18/KE fuq l-għoti tal-liċenzji tal-impriżi tal-linji tal-ferrovija u d-Direttiva 2001/14/KE dwar l-allokazzjoni ta' kapaċità ta' infrastruttura tal-ferroviji u t-tqegħid ta' piżijiet għall-użu ta' infrastruttura tal-ferroviji u ċertifikazzjoni tas-sigurtà ( 6 ). (5) Għal raġunijiet ta' ċareżża u sempliċità, ikun xieraq li d-Deċiżjoni 2006/920/KE tiġi ssostitwita. (6) It-TSI stipulata fl-Anness ma għandhiex tirrikjedi l-użu ta' teknoloġiji jew soluzzjonijiet tekniċi speċifiċi għajr fejn dan ikun strettament meħtieġ għall-interoperabbiltà tas-sistema ferrovjarja trans-Ewropea konvenzjonali. (7) L-implimentazzjoni tat-TSI stipulata fl-Anness u ż-żamma ta' konformità mal-punti rilevanti ta' dik it-TSI għandhom jiġu ddeterminati skont pjan ta' implimentazzjoni li kull Stat Membru għandu jżomm aġġornat fir-rigward tal-linji li jkun responsabbli għalihom. (8) Attwalment, it-traffiku ferrovjarju jopera skont ftehimiet eżistenti ta' natura nazzjonali, bilaterali, multinazzjonali jew internazzjonali. Huwa importanti li dawk il-ftehimiet ma jtellfux il-progress kurrenti u futur lejn l-interoperabbiltà. Għal dan il-għan, jeħtieġ li l-Kummissjoni teżamina dawk il-ftehimiet biex tiddetermina jekk it-TSI stipulata fl-Anness jeħtiġilhiex tiġi riveduta skont dan. (9) Il-miżuri previsti f'din id-Direttiva huma skont l-opinjoni tal-Kumitat stabbilit skont l-Artikolu 29(1) tad-Direttiva 2008/57/KE, Billi: ADOTTAT DIN ID-DEĊIŻJONI:







Artikolu 1

1. L-ispeċifikazzjoni teknika għall-interoperabbiltà (TSI) relatata mas-subsistema ta' “l-operat u l-immaniġġjar tat-traffiku” tas-sistema ferrovjarja konvenzjonali trans-Ewropea, kif stipulata fl-Anness, hija adottata.

2. It-TSI stipulata fl-Anness għal din id-Deċiżjoni għandha tkun applikabbli għas-subsistema ta' “l-operat u l-immaniġġjar tat-traffiku” kif deskritt fil-punt 2.4 tal-Anness II għad-Direttiva 2008/57/KE.

Artikolu 2

1. L-Aġenzija għandha tippubblika l-elenki tal-kodiċi msemmija fil-parti 9, 10, 11, 12 u 13 tal-Appendiċi Pa fuq is-sit elettroniku tagħha.

2. L-Aġenzija għandha żżomm l-elenki tal-kodiċi msemmija fil-paragrafu 1 aġġornati u tinforma lill-Kummissjoni dwar l–iżvilupp tagħhom.

Il-Kummissjoni għandha tinforma lill-Istati Membri dwar l-iżvilupp ta' dawn il-kodiċi, permezz tal-Kumitat stabbilit skont l-Artikolu 29 tad-Direttiva 2008/57/KE.

Artikolu 3

Sal-31 ta' Diċembru 2013, f'każ li vettura, kif definita fl-Artikolu 2(c) tad-Direttiva 2008/57/KE, tiġi mibjugħa jew mikrija għal perjodu kontinwu ta' aktar minn sitt xhur u jekk il-karatteristiċi tekniċi kollha li bihom tkun ġiet awtorizzata għat-tqegħid fis-servizz ma jinbidlux, in-Numru Ewropew tal-Vettura (minn hawn 'il quddiem, “EVN”) jista' jiġi mibdul permezz ta' reġistrazzjoni mill-ġdid tal-vettura u bl-irtirar tal-ewwel reġistrazzjoni.

F'każ li dik ir-reġistrazzjoni mill-ġdid tkun tikkonċerna Stat Membru li jkun differenti minn dak tal-ewwel reġistrazzjoni, l-entità ta' reġistrazzjoni responsabbli għar-reġstrazzjoni mill-ġdid tal-vettura tista' titlob għal kopja tad-dokumentazzjoni relatata mar-reġistrazzjoni ta' qabel.

F'dak li jirrigwardja il-proċeduri tal-awtorizzazzjoni, dan it-tibdil tal-EVN huwa bla preġudizzju għall-applikazzjoni tal-Artikoli 21 sa 26 tad-Direttiva 2008/57/KE.

L-ispejjeż amministrattivi li jsiru minħabba t-tibdil tal-EVN għandhom jitħallsu mill-applikant li jitlob għat-tibdil tal-EVN.

Artikolu 4

Fi żmien sitt xhur mid-dħul fis-seħħ tat-TSI stipulata fl-Anness, l-Istati Membri għandhom jinnotifikaw lill-Kummissjoni dwar dawn it-tipi ta' ftehimiet, sakemm dawn il-ftehimiet ma jkunux diġà ġew notifikati fl-ambitu tad-Deċiżjoni 2006/920/KE:

(1) ftehimiet nazzjonali bejn l-Istati Membri u impriżi ferrovjarji jew amministraturi tal-infrastruttura, maqbula fuq bażi permanenti jew temporanja u meħtieġa minħabba n-natura speċifika ħafna jew lokali tas-servizz ferrovjarju maħsub;

(2) ftehimiet bilaterali jew multilaterali bejn impriżi ferrovjarji, amministraturi tal-infrastruttura jew awtoritajiet tas-sikurezza li jrendu livelli sinifikanti ta' interoperabbiltà lokali jew reġjonali;

(3) ftehimiet internazzjonali bejn wieħed jew aktar mill-Istati Membri u talanqas pajjiż terz wieħed, jew bejn impriżi ferrovjarji jew amministraturi tal-infrastruttura tal-Istati Membri u talanqas impriża ferrovjarja waħda jew amministratur tal-infrastruttura wieħed ta' pajjiż terz, li jrendu livelli sinifikanti ta' interoperabbiltà lokali jew reġjonali.

Artikolu 5

Kull Stat Membru għandu jaġġorna l-pjan nazzjonali ta' implimentazzjoni tat-TSI li stabbilixxa skont l-Artikolu 4 tad-Deċiżjoni 2006/920/KE. It-tfassil tal-pjan ta' implimentazzjoni aġġornat għandu jsir skont il-Kapitolu 7 tal-Anness għal din id-Deċiżjoni.

Kull Stat Membru għandu jressaq l-pjan ta' implimentazzjoni aġġornat lill-Istati Membri l-oħra u lill-Kummissjoni sa mhux aktar tard mill-31 ta' Diċembru 2012.

Artikolu 6

Id-Deċiżjoni tal-Kummissjoni 2006/920/KE hi revokata b'effett mill-1 ta' Jannar 2012.

Artikolu 7

Din id-Deċiżjoni għandha tkun applikabbli mill-1 ta’ Jannar 2012.

Iżda,

(1) L-Appendiċi P għandu jkun applikabbli mill-1 ta’ Jannar 2012 sal-31 ta’ Diċembru 2013,

(2) L-Appendiċi Pa għandu jkun applikabbli mill-1 ta’ Jannar 2014.

Artikolu 8

Din id-Deċiżjoni hija indirizzata lill-Istati Membri.









ANNEX

TECHNICAL SPECIFICATION FOR INTEROPERABILITY FOR THE ‘OPERATION AND TRAFFIC MANAGEMENT’ SUBSYTEM

TABLE OF CONTENTS 1. INTRODUCTION 1.1. Technical scope 1.2. Geographical scope 1.3. Content of this TSI 2. DESCRIPTION OF SUBSYSTEM/SCOPE 2.1. Subsystem 2.2. Scope 2.2.1. Staff and trains 2.2.2. Principles 2.2.3. Applicability to existing vehicles and infrastructure 3. ESSENTIAL REQUIREMENTS 3.1. Compliance with the essential requirements 3.2. Essential requirements — overview 4. CHARACTERISTICS OF THE SUBSYSTEM 4.1. Introduction 4.2. Functional and technical specifications of the subsystem 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. Driver’s Rule Book 4.2.1.2.2. Description of the line and the relevant line-side equipment associated with the lines worked over 4.2.1.2.2.1. Preparation of the Route Book 4.2.1.2.2.2. Modifications to information contained within the Route Book 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 train crew, other railway undertaking staff and staff authorising train movements 4.2.2. Specifications relating to trains 4.2.2.1. Train visibility 4.2.2.1.1. General requirement 4.2.2.1.2. Front end 4.2.2.1.3. Rear end 4.2.2.2. Train audibility 4.2.2.2.1. General requirement 4.2.2.2.2. Control 4.2.2.3. Vehicle identification 4.2.2.4. Safety of passengers and load 4.2.2.4.1. Safety of load 4.2.2.4.2. Safety of passengers 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. Braking 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 4.2.2.8. Requirements for signal and lineside marker sighting 4.2.2.9. Driver vigilance 4.2.3. Specifications relating to train operations 4.2.3.1. Train planning 4.2.3.2. Identification of trains 4.2.3.2.1. Format of train running number 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 train crew in the event of an incident or of a major rolling stock malfunction 4.3. Functional and technical specifications of the interfaces 4.3.1. Interfaces with the infrastructure TSI 4.3.2. Interfaces with the control-command and signalling TSI 4.3.3. Interfaces with the rolling stock TSI 4.3.3.1. Interfaces with TSI on locomotives and passenger rolling stock TSI 4.3.3.2. Interfaces with TSI on freight wagons 4.3.4. Interfaces with the Energy TSI 4.4. Operating rules 4.5. Maintenance rules 4.6. Professional qualifications 4.6.1. Professional competency 4.6.1.1. Professional knowledge 4.6.1.2. Ability to put this knowledge into practice 4.6.2. Linguistic competency 4.6.2.1. Principles 4.6.2.2. Level of knowledge 4.6.3. Initial and ongoing assessment of staff 4.6.3.1. Basic elements 4.6.3.2. Analysis of training needs 4.6.3.2.1. Development of the analysis of training needs 4.6.3.2.2. Updating the analysis of training needs 4.6.3.2.3. Specific elements for train crew and auxiliary staff 4.6.3.2.3.1. Infrastructure 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. Deleted 4.7.3. Deleted 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 4.8. Registers of infrastructure and vehicles 4.8.1. Infrastructure 4.8.2. Rolling stock 5. INTEROPERABILITY CONSTITUENTS 5.1. Definition 5.2. List of constituents 6. ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITUENTS AND VERIFICATION OF THE SUBSYSTEM 6.1. Interoperability constituents 6.2. Operation and traffic management subsystem 6.2.1. Principles 7. IMPLEMENTATION 7.1. Principles 7.2. Implementation guidelines 7.3. Specific cases 7.3.1. Introduction 7.3.2. List of specific cases 7.3.2.1. Temporary specific case (T1) Estonia, Latvia and Lithuania 7.3.2.2. Temporary specific case (T2) Ireland and United Kingdom Appendix A: ERTMS/ETCS operating rules Appendix B: Other rules enabling a coherent operation Appendix C: Safety related communications methodology Appendix D: Information to which the Railway Undertaking must have access in connection with the route(s) over which he intends to operate Appendix E: Language and communication level Appendix F: Appendix G: Appendix H: Appendix I: Appendix J: Minimum elements relevant to professional qualification for the tasks associated with ‘accompanying trains’ Appendix K: Appendix L: Minimum elements relevant to professional qualification for the task of preparing trains Appendix M: Appendix N: Appendix O: Appendix P: Appendix Pa: Appendix Q: Appendix R: Appendix S: Appendix T: Braking performance Appendix U: List of open points Appendix V: Appendix W: Glossary

1. INTRODUCTION

1.1. Technical scope

This Technical Specification for Interoperability (hereinafter referred to as ‘TSI’) concerns the ‘operation and traffic management’ subsystem shown in the list contained in point 1 of Annex II to Directive 2008/57/EC. Further information on this subsystem is provided in Chapter 2.

1.2. Geographical scope

The geographical scope of this TSI is the trans-European conventional rail system as described in Annex I to Directive 2008/57/EC.

1.3. Content of this TSI

In accordance with Article 5(3) of Directive 2008/57/EC, this TSI:

(a) indicates its intended scope for the ‘operation and traffic management’ subsystem — Chapter 2;

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

(c) establishes the functional and technical specifications to be met by the target subsystem and its interfaces vis-à-vis other subsystems. If necessary, these specifications may vary according to the use of the subsystem, for example according to the categories of line, hub and/or rolling stock provided for in Annex I to Directive 2008/57/EC — Chapter 4;

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

(e) states, in each case under consideration, which procedures are to be used in order to assess the conformity or suitability for use of the interoperability constituents — Chapter 6;

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

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

Moreover, in accordance with Article 5(5) of Directive 2008/57/EC, provision may be made for specific cases for each TSI. These are indicated in Chapter 7.

This TSI also comprises, in Chapter 4, the operating and maintenance rules specific to the scope indicated in points 1.1 and 1.2 of this Annex.

2. DESCRIPTION OF SUBSYSTEM/SCOPE

2.1. Subsystem

The ‘operation and traffic management’ subsystem is described in point 2.4. of Annex II to Directive 2008/57/EC as:

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

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

2.2. Scope

This TSI applies to the ‘operation and traffic management’ subsystem of infrastructure managers (hereinafter referred to as ‘IM’) and railway undertakings (hereinafter referred to as ‘RU’) related to the operation of trains on the conventional rail TEN lines.

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

2.2.1. Staff and trains

Points 4.6 and 4.7 apply to those staff undertaking the safety-critical tasks of 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.

Point 4.6.2 also applies to train drivers as stipulated by point 8 of Annex VI to Directive 2007/59/EC. 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 in the first paragraph of this point.

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

For those staff undertaking the safety-critical tasks associated with the last preparation of a train before it is scheduled to cross a border(s) and work beyond any ‘frontier’ location(s) as described in the first paragraph of this point, point 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 in the first paragraph of this point.

This can be summarised in the tables below:







Staff involved with the working of trains that will cross-state borders and proceed beyond the frontier location Task Professional Qualifications Medical Requirements Accompanying a Train 4.6 4.7 Authorising Train movements Mutual recognition Mutual recognition Train Preparation 4.6 Mutual recognition Train Despatch Mutual recognition Mutual recognition







Staff working trains that do not cross state borders or do so as far as frontier locations Task Professional Qualifications Medical Requirements 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

2.2.2. Principles

This TSI covers those elements (as set out in Chapter 4) of the conventional rail ‘operation and traffic management’ subsystem, where principally there are operational interfaces between RU and IM and where there is a particular benefit to interoperability.

RU and IM must ensure that all requirements concerning rules and procedures as well as documentation are met by the establishment of the appropriate processes. The set up of these processes is a relevant part of RU’s and IM’s safety management system (hereinafter referred to as ‘SMS’) as required by Directive 2004/49/EC. The SMS itself is assessed by the relevant national safety authority (hereinafter referred to as ‘NSA’) before granting safety certificate/authorisation.

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 this TSI it is their operational function that is considered.

3. ESSENTIAL REQUIREMENTS

3.1. Compliance with the essential requirements

In accordance with Article 4(1) of Directive 2008/57/EC, the trans-European conventional rail system, its subsystems and their interoperability constituents must meet the essential requirements set out in general terms in Annex III to the Directive.

3.2. Essential requirements — overview

The essential requirements cover:

— safety,

— reliability and availability,

— health,

— environmental protection,

— technical compatibility.

According to Directive 2008/57/EC, the essential requirements may be generally applicable to the whole trans-European conventional rail system or be specific to each subsystem and its constituents.

The following table summarises the correspondence between the essential requirements set out in Annex III to Directive 2008/57/EC and the present TSI.







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

4. CHARACTERISTICS OF THE SUBSYSTEM

4.1. Introduction

Taking into account all the relevant essential requirements, the ‘operation and traffic management’ subsystem, as described in point 2.2, covers only the elements specified in this Chapter.

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 in this Chapter.

4.2. Functional and technical specifications of the subsystem

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

— specifications relating to staff,

— specifications relating to trains,

— specifications relating to train operations.

4.2.1. Specifications relating to staff

4.2.1.1. General requirements

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

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

2. Infrastructure manager’s staff undertaking the task of authorising the movement of trains

The areas covered are:

— Documentation

— Communication

In addition, for the staff as defined in point 2.2.1., this TSI sets out requirements on:

— Qualifications (see point 4.6. and Appendix L)

— Health and safety conditions (see point 4.7)

4.2.1.2. Documentation for drivers

The railway undertaking operating the train must supply the driver with all the necessary information and documentation 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. Driver’s 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 Appendices 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 the Driver’s Rule Book.

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

The railway undertaking must compile the Driver’s Rule Book in such a way that the driver’s application of all operational rules is enabled.

It must have two appendices:

— Appendix 1: Manual of communication procedures;

— Appendix 2: Book of Forms.

Messages and forms must remain in the ‘operating’ language of infrastructure manager(s).

The process for preparing and updating the Driver's Rule Book must 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 and/or provide explanatory notes in another language.

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

The railway undertaking must ensure that the content of the Driver’s Rule Book is complete and accurate.

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

Drivers must be provided with a description of the lines and the associated line-side 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 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 competent and correct compilation of the Route book (for example, arranging for any necessary translation and/or providing explanatory notes), using the information supplied by the infrastructure manager(s).

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

(a) 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.

(b) indication of rising and falling gradients with their gradient values and location;

(c) 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 responsible infrastructure manager — means of communication with the traffic management/control centre in normal and degraded mode

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

The railway undertaking must ensure that the content of the Route Book is complete and accurate.

4.2.1.2.2.2. Modifications to information contained within the route book

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

These changes 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.

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

The railway undertaking must ensure that the content of the document grouping the modifications to information contained within the Route book is complete and accurate.

4.2.1.2.2.3. Informing the driver in real time

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

4.2.1.2.3. Timetables

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

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

— the train identification;

— the train running days (if necessary);

— the stopping points and the activities associated with them

— other timing points;

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

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

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

4.2.1.2.4. Rolling stock

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

4.2.1.3. Documentation for railway undertaking staff other than drivers

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

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

4.2.1.4. Documentation for infrastructure manager’s staff authorising train movements

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

— documents describing the Communications Principles (Appendix 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 train crew, other railway undertaking staff and staff authorising train movements

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

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

In 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.

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

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

The spacing, the height above rails, the diameter, the intensity of the lights, the dimensions and shape of the emitted beam in both day and night time operation are defined in the rolling stock TSI(hereinafter referred to as ‘RST TSI’).

4.2.2.1.3. Rear end

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

4.2.2.1.3.1. Passenger trains

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

4.2.2.1.3.2. Freight trains in international traffic

The Member State must notify which of the following requirements will apply on the network of its Member State for trains that cross a border between Member States:

Either

— 2 steady red lights, or

— 2 reflective plates of the following shape with white side triangles and red top and bottom triangle: —

The lamps or plates must be on the same height above buffer on the transversal axis. Member States that require 2 reflective plates must also accept 2 steady red lights as train rear end indication.

4.2.2.1.3.3. Freight trains not crossing a border between member states

For freight trains not crossing a border between Member States the train rear end indication is an open point (see Appendix U).

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 activation of 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 Appendix P.

4.2.2.4. Safety of passengers and load

4.2.2.4.1. Safety of load

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

4.2.2.4.2. Safety of passengers

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

4.2.2.5. Train composition

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

Train composition requirements must take into account the following elements:

(a) 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;

(b) 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

(c) 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.

(d) 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.

(e) 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.

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. Braking performance

The infrastructure manager must provide the railway undertaking with the actual performance required. This data shall include, if necessary, conditions of use of braking systems possibly affecting the infrastructure such as magnetic, regenerative and eddy-current brake.

The railway undertaking is responsible for ensuring that the train has sufficient braking performance by providing braking rules for its staff to be followed.

The rules concerning braking performance have to be managed within the infrastructure manager’s and railway undertaking’s safety management system.

Further requirements are specified in Appendix 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 the transport of dangerous goods.

The railway undertaking must ensure that this data is made available to the infrastructure manager(s) prior to the departure of the train.

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

4.2.2.8. Requirements for signal and lineside marker sighting

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

Therefore, signals, lineside markers, signs and information boards must be designed and positioned 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.

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

4.2.2.9. Driver vigilance

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

4.2.3. Specifications relating to train operations

4.2.3.1. Train planning

In accordance with Directive 2001/14/EC the infrastructure manager must advise what data is required when a train path is requested.

4.2.3.2. Identification of trains

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

4.2.3.2.1. Format of train running number

The train running number format is defined in the control-command and signalling TSI (hereinafter referred to as ‘CCS TSI’)

4.2.3.3. Train departure

4.2.3.3.1. Checks and tests before departure

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

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

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

The railway undertaking must inform the infrastructure manager of any anomaly affecting the train or its operation having possible repercussions on the train's running prior to departure and during the journey.

4.2.3.4. Traffic management

4.2.3.4.1. General requirements

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

The infrastructure manager must determine procedures and means for:

— the real time management of trains,

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

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

Any additional processes required by the railway undertaking and which affect the interface with the infrastructure manager(s) can be introduced after being agreed with the infrastructure manager.

4.2.3.4.2. Train reporting

4.2.3.4.2.1. Data required for train position reporting

The infrastructure manager must:

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

(b) 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:

— the provisions as specified in Directive 2008/68/EC of the European Parliament and of the Council ( 7 )

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

4.2.3.4.4. Operational quality

The infrastructure manager and the railway undertaking must have processes in place to monitor the efficient operation of the all the services concerned.

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

Where such improvement actions would have network-wide benefits, involving other infrastructure managers and railway undertakings, they must, subject to commercial confidentiality, be communicated accordingly.

Events that have significantly disrupted operations must 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 must invite those railway undertaking(s) involved in the event concerned to participate in the analysis. Where the result of such analysis leads to network improvement recommendations designed to eliminate or mitigate against causes of accidents/incidents, these must be communicated to all relevant infrastructure managers and railway undertakings concerned.

These processes shall be documented and subject to internal audit.

4.2.3.5. Data recording

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

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

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

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

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 line-side equipment associated with the movement of trains (signalling, points etc.);

— the detection of an overheating axle bearing, where this equipment is provided;

— 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.

4.2.3.6. Degraded operation

4.2.3.6.1. Advice to other users

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

4.2.3.6.2. Advice to train drivers

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

4.2.3.6.3. Contingency arrangements

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

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

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

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

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

— extreme weather conditions.

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

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

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

4.2.3.7. Managing an emergency situation

The infrastructure manager must, in consultation with:

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

— neighbouring infrastructure managers, as appropriate,

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

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

Such measures shall typically cover:

— collisions,

— fires on train,

— evacuation of trains,

— accidents in tunnels,

— incidents involving dangerous goods

— derailments

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

Additionally, the railway undertaking must have processes to inform passengers about onboard emergency and safety procedures.

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

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

4.3. Functional and technical specifications of the interfaces

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

4.3.1. Interfaces with the infrastructure TSI







Reference conventional rail operation TSI Reference conventional rail infrastructure TSI Parameter Point Parameter Point Braking performance 4.2.2.6.2 Longitudinal track resistance 4.2.7.2 Modifications to information contained in the route book 4.1.2.2.2 Operating rules 4.4 Degraded operation 4.2.3.6

4.3.2. Interfaces with the control-command and signalling TSI







Reference conventional rail operation TSI Reference conventional rail CCS draft TSI Parameter Point Parameter Point Rule book 4.2.1.2.1 Operating rules 4.4 Operating rules 4.4 Signal and lineside marker sighting 4.2.2.8 Visibility of track-side control-command objects 4.2.16 Braking performance 4.2.2.6 Train braking performance and characteristics 4.3.2.3 Rule Book 4.2.1.2.1 Use of sanding equipment 4.2.10 Train running number 4.2.3.2.1 ETCS DMI 4.2.12 GSM-R DMI 4.2.13 Data recording onboard 4.2.3.5 Interface to data recording for regulatory purposes 4.2.15

4.3.3. Interfaces with the rolling stock TSI

4.3.3.1. Interfaces with TSI on locomotives and passenger rolling stock TSI







Reference conventional rail operation TSI Reference conventional rail locom. and pass. TSI Parameter Point Parameter Point Contingency arrangements 4.2.3.6.3 Rescue coupling 4.2.2.2.4 Train composition 4.2.2.5 Interface with infrastructure: axle load parameter 4.2.3.2 Minimum requirements of the braking system 4.2.2.6.1 Braking performance 4.2.4.5 Train visibility 4.2.2.1 External front and rear lights 4.2.7.1 Train audibility 4.2.2.2 Horn 4.2.7.2 Signal sighting 4.2.2.8 External visibility 4.2.9.1.3 Optical characteristics of the windscreen 4.2.9.2.2 Internal lighting 4.2.9.1.8 Driver vigilance 4.2.2.9 Driver's activity control function 4.2.9.3.1 Data recording 4.2.3.5.2 Recording device 4.2.9.5

4.3.3.2. Interfaces with TSI on freight wagons







Reference conventional rail operation TSI Reference conventional freight wagon draft TSI Parameter Point Parameter Point Rear end 4.2.2.1.3.2 Attachment devices for rear-end signal 4.2.6.3 Rear end 4.2.2.1.3.2 Rear-end signal Annex E Train composition 4.2.2.5 Gauging 4.2.3.1 Train composition 4.2.2.5 Axle load parameter 4.2.3.3.2 Contingency arrangements 4.2.3.6.3 Lifting and jacking 4.2.2.2 Train braking 4.2.2.6 Brake 4.2.4

4.3.4. Interfaces with the Energy TSI







Reference conventional rail operation TSI Reference conventional rail energy TSI Parameter Point Parameter Point Description of the line and the relevant line side equipment associated with the lines worked over 4.2.1.2.2 Management of power supply 4.4.2 Informing the driver in real time 4.2.1.2.2.3 Modifications to information contained within the route book 4.2.1.2.2.2 Execution of works 4.4.3

4.4. Operating rules

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

To this end, the operating rules for the European Rail Traffic Management System (ERTMS/ETCS) and for ERTMS/GSM-R radio system are specified in Appendix A.

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

4.5. Maintenance rules

Not applicable

4.6. Professional qualifications

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

4.6.1. Professional competency

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

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

4.6.1.1. Professional knowledge

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

(a) 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.

(b) appropriate knowledge of safety-related tasks in respect to procedures and interfaces for: — lines and line-side 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 line-side 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.

Staff must also possess a general ability to adapt to the different circumstances an individual may encounter.

Railway undertakings and infrastructure managers are required to establish a competence management system to ensure that the individual competency of their staff involved is assessed and maintained. Additionally, training must be provided, as necessary, to ensure that knowledge and skills are kept up to date, especially in relation to weaknesses or deficiencies in system or individual performance.

4.6.2. Linguistic competency

4.6.2.1. Principles

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

Where the operating language used by the infrastructure manager differs from that habitually used by the railway undertaking’s personnel, such linguistic and communications training must form a critical part of the railway undertaking’s overall competency management system.

Railway undertaking staff whose duties require them to communicate with staff of the infrastructure manager in connection with safety-critical matters, whether in routine, degraded or emergency situations, must have a sufficient level of knowledge in the operating language of the infrastructure manager.

4.6.2.2. Level of knowledge

The level of knowledge in the infrastructure manager’s language must be sufficient for safety purposes.

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

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

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

4.6.3. Initial and ongoing assessment of staff

4.6.3.1. Basic elements

Railway undertakings and infrastructure managers are required to define the assessment process for their staff.

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;

— assessment programme, including practical demonstration;

— qualification of the trainers.

— deliver a certificate of competency.

D. Competency retention

— principles for retention of competency

— methods to be followed

— formalisation of the competency retention process.

— assessment process.

E. Refresher training

— principles for ongoing training (including language)

4.6.3.2. Analysis of training needs

4.6.3.2.1. Development of the analysis of training needs

The railway undertaking and the infrastructure manager must undertake an analysis of training needs for their relevant staff.

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

— differences in operating practices between infrastructure managers and the risks associated with changing between these;

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

— any difference in the ‘operating’ language used by the infrastructure manager’s personnel;

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

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

It is possible that due to the type of operation envisaged by a railway undertaking or the nature of the network being run by an infrastructure manager, some of the elements in the appendices referred to in point 4.6.1. will not be appropriate. The analysis of training needs must document those not deemed appropriate and the reasons why.

4.6.3.2.2. Updating the analysis of training needs

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

4.6.3.2.3. Specific elements for train crew and auxiliary staff

4.6.3.2.3.1. Infrastructure knowledge

The railway undertaking must ensure that the on board staff has appropriate knowledge for the relevant infrastructure.

The railway undertaking must define the process by which knowledge of on board staff of the routes worked over is acquired and maintained. This process must be:

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

— in accordance with the process described in point 4.2.1.

4.6.3.2.3.2. Knowledge of rolling stock

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

4.6.3.2.3.3. Auxiliary staff

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

4.7. Health and safety conditions

4.7.1. Introduction

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

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

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

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

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

4.7.2. Deleted

4.7.3. Deleted

4.7.4. Medical examinations and psychological assessments

4.7.4.1. Before appointment

4.7.4.1.1. Minimum content of the medical examination

Medical examinations must cover:

— General medical examination;

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

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

— Screening for drugs of abuse.

4.7.4.1.2. Psychological assessment

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

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

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

(b) Psychomotor: — Speed of reaction — Gestured co-ordination

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

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

4.7.4.2. After appointment

4.7.4.2.1. Periodicity of periodic medical examinations

At least one systematic medical examination must be performed:

— Every 5 years for staff aged up to 40;

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

— Every year for staff aged over 62.

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

4.7.4.2.2. Minimum content of the periodic medical examination

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

— General medical examination;

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

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

— Screening for drugs of abuse where clinically indicated.

4.7.4.2.3. Additional medical examinations and/or psychological assessments

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

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

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

4.7.5. Medical requirements

4.7.5.1. General requirements

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

— Sudden loss of consciousness;

— Impairment of awareness or concentration;

— Sudden incapacity;

— Impairment of balance or co-ordination;

— Significant limitation of mobility.

The following vision and hearing requirements must be met:

4.7.5.2. Vision requirements

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

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

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

— Contact lenses are allowed.

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

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

— Vision for both eyes: 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.

4.8. Registers of infrastructure and vehicles

Due to the characteristics of the registers of infrastructure and vehicles, as defined in Articles 33, 34 and 35 of Directive 2008/57/EC, these registers are not suitable for the particular requirements of the operation and traffic management subsystem. Therefore this TSI specifies nothing in respect of these registers.

However, there is an operational requirement for certain infrastructure related data items to be made available to a railway undertaking and conversely for certain rolling stock related items to be made available to an infrastructure manager, as specified in point 4.8.1 and point 4.8.2. In both cases the data concerned must be complete and accurate.

4.8.1. Infrastructure

The requirements for the conventional rail infrastructure related data items with regard to the operation and traffic management subsystem, and which must be made available to railway undertakings, are specified in Appendix D. The infrastructure manager is responsible for the correctness of the data.

4.8.2. Rolling stock

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

— whether the vehicle is constructed from materials which can be hazardous in case of accidents or fire (for example, asbestos)

— length over buffers.

5. INTEROPERABILITY CONSTITUENTS

5.1. Definition

According to Article 2(f) of Directive 2008/57/EC, ‘interoperability constituents’ means ‘any elementary component, group of components, subassembly or complete assembly of equipment incorporated or intended to be incorporated into a subsystem, upon which the interoperability of the rail system depends directly or indirectly. The concept of a “constituent” covers both tangible objects and intangible objects such as software’.

5.2. List of constituents

In respect to the operation and traffic management subsystem, there are no interoperability constituents.

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

6.1. Interoperability constituents

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

6.2. Operation and traffic management subsystem

6.2.1. Principles

The operation and traffic management subsystem is a functional subsystem according to Annex II to Directive 2008/57/EC.

In conformity with Articles 10 and 11 of Directive 2004/49/EC, railway undertakings and infrastructure managers must demonstrate compliance with the requirements of this TSI within their safety management system when applying for any new or amended safety certificate or safety authorisation.

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

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

7. IMPLEMENTATION

7.1. Principles

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

This plan must take into account:

(a) the specific human factors issues associated with operating any given line;

(b) the individual operating and safety elements of each line involved; and

(c) whether implementation of the element(s) under consideration is to be: — for all trains on the line, or not, — only for certain lines, — applicable on all TEN lines, — applicable to all trains running on TEN lines

(d) the relationship with implementation with the other subsystems (control-command and signalling, rolling stock, etc.).

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

The implementation plan must take into account the various levels of potential for implementation from any of the following events, namely when:

(a) a railway undertaking or infrastructure manager commences operations,

(b) a renewal or upgrade to the existing operational systems of a railway undertaking or infrastructure manager is introduced,

(c) new or upgraded infrastructure, energy, rolling stock or command control & signalling subsystems, requiring a corresponding set of operating procedures, are put into service.

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

7.2. Implementation guidelines

There are three distinct elements to implementation:

(a) Confirmation that any existing systems and processes comply with the requirements of this TSI

(b) Adaptation of any existing systems and processes to comply with the requirements of this TSI

(c) New systems and processes arising from implementation of other subsystems — New/upgraded conventional lines (infrastructure/energy) — New or upgraded ETCS signalling installations, GSM-R radio installations, Hot Axle Box Detectors, … (control-command and signalling) — New rolling stock (rolling stock)

7.3. Specific cases

7.3.1. Introduction

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

These specific cases belong to two categories:

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

(b) In temporary cases Member States shall conform with the relevant subsystem either by 2016 (case ‘T1’), or by 2024 (case ‘T2’).

7.3.2. List of specific cases

7.3.2.1. Temporary specific case (T1) Estonia, Latvia and Lithuania

For the implementation of point 4.2.2.1.3.2 of this TSI, trains which are operated solely on the 1 520 mm gauge network of Estonia, Latvia and Lithuania may use another specified train rear end signal.

7.3.2.2. Temporary specific case (T2) Ireland and United Kingdom

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

▼M1









Appendiċi A

Regoli operazzjonali tal-ERTMS

Ir-regoli operazzjonali għall-ERTMS/ETCS u ERTMS/GSM-R huma speċifikati fid-dokument tekniku P“rinċipji u regoli operazzjonali tal-ERTMS — verżjoni 2” ippubblikat fuq is-sit elettroniku tal-ERA (http://www.era.europa.eu).

▼B









Appendix B

OTHER RULES ENABLING A COHERENT OPERATION

A. GENERAL

Reserved

B. STAFF SAFETY AND SECURITY

Reserved

C. OPERATIONAL INTERFACE WITH SIGNALLING AND COMMAND AND CONTROL EQUIPMENT

C1. Sanding

If the train is equipped with manually activated sanding device, the driver shall always be allowed to apply sand but shall avoid it wherever possible:

— in the area of points and crossings

— during braking at speeds less than 20 km/h.

— when at a standstill.

The exceptions to this are

— if there is a risk of SPAD (Signal Passed at Danger), or other serious incident and the application of sand would assist adhesion

— when starting away or

— when required to test the sanding equipment on the traction unit. (Testing should normally be undertaken in areas specifically designated in the Infrastructure Register).

C2. Activation of Hot Axle Box Detectors

Reserved

D. TRAIN MOVEMENTS

D1. Normal conditions

D2. Degraded conditions

Reserved

E. ANOMALIES, INCIDENTS AND ACCIDENTS

Reserved









Appendix C

SAFETY RELATED COMMUNICATIONS METHODOLOGY

INTRODUCTION

This Appendix sets out the rules for safety-related ground-to-mobile and mobile-to-ground communications applicable to information transmitted or exchanged for safety-critical situations on the interoperable network and in particular to:

— define the nature and structure of the safety-related messages;

— define the methodology for voice transmission of those messages.

This Appendix is to serve as basis:

— in order to enable the infrastructure manager to draw up the messages and books of forms. These elements shall be addressed to the railway undertaking at the same time as the rules and regulations are made available; for the Infrastructure Manager and the Railway Undertaking to draw up the documents for their staff (Books of Forms), instructions for staff authorising train movements and Appendix 1 to the Driver’s Rule Book ‘Manual of communication procedures’.

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

In the context of a given risk, the Infrastructure Manager shall decide whether the use of a form is appropriate. A form should only be used if the value of its safety and performance benefits exceeds that of any safety and performance disadvantage.

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

— urgent (emergency) verbal messages;

— written orders;

— additional performance messages.

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

1. COMMUNICATIONS METHODOLOGY

1.1. Elements and principles of the methodology

1.1.1. Standard terminology to be used in the procedures

1.1.1.1. Speech transmission procedure

Term transferring the opportunity to speak to the opposite party:

over

1.1.1.2. Message receiving procedure

— upon receiving a direct message — Term confirming that the sent message has been received: — received — Term used to have the message repeated in the event of poor reception or misunderstanding — say again (+ speak slowly)

— upon reception of a message that has been read-back — Terms used to ascertain whether a read-back message exactly matches the sent message: — correct — or not: — error (+ I say again)

1.1.1.3. Communications breaking procedure

— if the message has ended: — out

— if break is temporary and does not break the connection — Term used to keep the other party waiting: — wait

— if break is temporary but the connection is broken — Term used to tell the other party that the communication is going to be broken but will be resumed later on: — I call again

1.1.1.4. Cancelling a written order

Term used to cancel the written order procedure underway:

cancel procedure …

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

1.1.2. Principles to be applied in the event of error or misunderstanding

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

1.1.2.1. Errors

— error during transmission — When a transmission error is discovered by the sender himself, the sender must request cancellation by sending the following procedure message: — error (+ prepare new form … ) — or: — error + I say again — and then send the initial message again.

— error during read-back — When the sender discovers an error whilst the message is being read back to him, the sender shall send the following procedure messages: — error + I say again — and send the initial message again.

1.1.2.2. Misunderstanding

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

say again (+ speak slowly)

1.1.3. Word, number, time, distance, speed and date spelling code

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

The following spelling rules shall apply:

1.1.3.1. Spelling out of words and letter groups

The International Phonetic Alphabet shall be used.







A Alpha B Bravo C Charlie D Delta E Echo F Foxtrot G Golf H Hotel I India J Juliet K Kilo L Lima M Mike N November O Oscar P Papa Q Quebec R Romeo S Sierra T Tango U Uniform V Victor W Whisky X X-ray Y Yankee Z Zulu

Example:

Points A B = points alpha-bravo.

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

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

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

1.1.3.2. Expression of numbers

Numbers shall be spoken digit by digit.







0 Zero 1 One 2 Two 3 Three 4 Four 5 Five 6 Six 7 Seven 8 Eight 9 Nine

Example: train 2183 = train two-one-eight-three.

Decimals shall be expressed by the word ‘point’.

Example: 12.50 = one-two-point-five-zero

1.1.3.3. Expression of time

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

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

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

1.1.3.4. Expression of distances and speeds

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

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

1.1.3.5. Expression of dates

Dates shall be expressed in the usual manner.

Example: 10 December

1.2. Communications structure

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

— identification and request for instructions;

— transmission of the message itself and termination of the transmission.

The first phase may be cut back or entirely skipped for top priority safety messages.

1.2.1. Rules for identification and requests for instruction

To enable the parties to identify one another, define the operational situation and transmit procedural instructions, the following rules shall apply:

1.2.1.1. Identification

It is very important that at the beginning of each communication, other than very urgent top priority emergency messages, the persons who are going to communicate identify themselves. Drivers identify themselves by train running number and position. For communication between signaller and driver it is the signaller's lead responsibility to ensure that the right signaller and river are in communication. This is especially critical when communication is taking place in areas where communications boundaries overlap.

This principle shall apply even after an interruption during transmission.

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

— by the staff authorising train movements: — Train … (number) this is … Signals (name)

— by the driver: — … Signals (name) this is train … (number)

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

1.2.1.2. Request for instructions

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

The following terms shall be used to request instructions:

prepare procedure …

1.2.2. Rules for transmission of written orders and verbal messages

1.2.2.1. Top priority safety messages

Due to their urgent and imperative nature, these messages:

— may be sent or received while running;

— may skip the identification part;

— shall be repeated;

— shall, as soon as possible, be followed by further information.

1.2.2.2. Written Orders

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

1.2.2.2.1. Message sending

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

1.2.2.2.2. Message receiving

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

1.2.2.2.3. Read-back

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

1.2.2.2.4. Acknowledgement of correct read-back

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

correct

or

error + I say again

followed by a repeat sending of the initial message

1.2.2.2.5. Acknowledgement

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

received

or

negative, say again (+ speak slowly)

1.2.2.2.6. Traceability and verification

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

— if the message concerns an action for which the driver requires a specific authorisation (e.g. passing a signal at danger, …): — authorisation … (number)

— in all other cases (e.g. proceeding with caution, …): — message … (number)

1.2.2.2.7. Reporting Back

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

1.2.2.3. Additional messages

Additional messages

— shall be preceded by the identification procedure;

— shall be short and precise (limited wherever possible to information to be communicated and where it applies);

— shall be read back and followed by an acknowledgement of correct read-back, or not

— may be followed by a request for instructions or a request for further information.

1.2.2.4. Information messages with a variable non-predetermined content

Information messages with a variable content shall be:

— preceded by the identification procedure;

— prepared before sending;

— read back and followed by an acknowledgement of correct read-back, or not.

2. PROCEDURAL MESSAGES

2.1. Nature of the messages

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

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

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

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

2.2. Forms

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

Their purpose is to:

— provide a common working document used in real-time by the staff authorising train movements and by the drivers;

— provide the driver (especially when working in an unfamiliar or rare environment) with a reminder of the procedure he will required to follow

— enable traceability of communications.

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

2.3. Book of Forms

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

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

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

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

The Book of Forms shall comprise two parts.

The first part contains the following items:

— a reminder about the utilisation of the Book of Forms;

— an index of ground-originated Procedure Forms;

— an index of driver-originated Procedure Forms, where appropriate;

— the list of situations cross-referencing to which procedure form is to be used;

— a glossary giving the situations to which each procedure form applies;

— the code for spelling out messages (phonetic alphabet etc.).

The second part contains the Procedure Forms themselves. These must be collected by the RU and given to the driver.

3. ADDITIONAL MESSAGES

Additional messages are information messages used to inform about situations of a rare nature and for which therefore a pre-determined form is considered unnecessary, or related to train running or to the technical condition of the train or the infrastructure, either;

— by the driver to inform the staff authorising train movements, or

— by the staff authorising train movements to advise the driver

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

3.1. Guideline structure for messages

These messages may be structured along the following lines:







Stage in the communication flow Message element Reason for passing the information  for information  for action Observation  There is  I saw  I had  I hit Position — along the line  at … (station name)  … (characteristic point)  at mile post/kilometre point … (number) — in respect to my train  power car … (number)  trailer car … (number) Nature — object — person … (see glossary) State — static  standing on  lying on  fallen on — moving  walking  running  towards Location with respect to the tracks

These messages may be followed by a request for instructions.

The elements of the messages are provided in both the language chosen by the Railway Undertaking and in the operating language(s) of the Infrastructure Managers concerned.

3.2. Glossary of Railway Terminology

The Railway Undertaking shall produce a glossary of railway terminology for each network over which his trains operate. It shall supply the terms in regular use in the language chosen by the Railway Undertaking and in the ‘operating’ language of the Infrastructure Manager(s) whose infrastructure is worked over.

The glossary shall be composed of two parts:

— a listing of terms by subject matter;

— a listing of the terms in alphabetical order.

3.3. Descriptive diagram of the rolling stock

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

3.4. Descriptive statement of the characteristics of the infrastructure equipment (track, traction supply, etc.)

If the Railway Undertaking feels it would benefit his operation a descriptive statement of the characteristics of the infrastructure equipment (track, traction supply, etc.) on the route worked over shall be prepared. This shall show the names of the various components that may be the subject of communications with the