ANNEX I

TABLE OF CONTENTS

1.

Introduction

10

1.1.

Technical scope

10

1.2.

Geographical scope

10

1.3.

Content of this TSI

10

2.

Description of subsystem/scope

11

2.1.

Subsystem

11

2.2.

Scope

11

2.2.1.

Staff and trains

11

2.2.2.

Principles

11

2.2.3.

Applicability to existing vehicles and infrastructure

12

3.

Essential requirements

12

3.1.

Compliance with the essential requirements

12

3.2.

Essential requirements — overview

12

4.

Characteristics of the subsystem

16

4.1.

Introduction

16

4.2.

Functional and technical specifications of the subsystem

16

4.2.1.

Specifications relating to staff

16

4.2.1.1.

General requirements

16

4.2.1.2.

Documentation for drivers

16

4.2.1.2.1

Driver’s Rule Book

17

4.2.1.2.2

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

18

4.2.1.2.2.1

Preparation of the Route Book

18

4.2.1.2.2.2

Modifications to information contained within the Route Book

19

4.2.1.2.2.3

Informing the driver in real time

19

4.2.1.2.3

Timetables

19

4.2.1.2.4

Rolling stock

20

4.2.1.3.

Documentation for railway undertaking staff other than drivers

20

4.2.1.4.

Documentation for infrastructure manager’s staff authorising train movements

20

4.2.1.5.

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

20

4.2.2.

Specifications relating to trains

20

4.2.2.1.

Train visibility

20

4.2.2.1.1

General requirement

20

4.2.2.1.2

Front end

20

4.2.2.1.3

Rear end

21

4.2.2.2.

Train audibility

22

4.2.2.2.1

General requirement

22

4.2.2.2.2

Control

22

4.2.2.3.

Vehicle identification

22

4.2.2.4.

Safety of passengers and load

23

4.2.2.4.1

Safety of load

23

4.2.2.4.2

Safety of passengers

23

4.2.2.5.

Train composition

23

4.2.2.6.

Train braking

24

4.2.2.6.1

Minimum requirements of the braking system

24

4.2.2.6.2

Braking performance and maximum speed allowed

24

4.2.2.7.

Ensuring that the train is in running order

25

4.2.2.7.1

General requirement

25

4.2.2.7.2

Data required

25

4.2.2.8.

Requirements for signal and line-side marker sighting

25

4.2.2.9.

Driver vigilance

26

4.2.3.

Specifications relating to train operations

26

4.2.3.1.

Train planning

26

4.2.3.2.

Identification of trains

26

4.2.3.2.1

Format of train running number

26

4.2.3.3.

Train departure

26

4.2.3.3.1

Checks and tests before departure

26

4.2.3.3.2

Informing the infrastructure manager of the train’s operational status

26

4.2.3.4.

Traffic management

26

4.2.3.4.1

General requirements

26

4.2.3.4.2

Train reporting

27

4.2.3.4.2.1

Data required for train position reporting

27

4.2.3.4.2.2

Predicted handover time

27

4.2.3.4.3

Dangerous goods

27

4.2.3.4.4

Operational quality

28

4.2.3.5.

Data recording

28

4.2.3.5.1

Recording of supervision data outside the train

29

4.2.3.5.2

Recording of supervision data on board the train

29

4.2.3.6.

Degraded operation

29

4.2.3.6.1

Advice to other users

29

4.2.3.6.2

Advice to train drivers

29

4.2.3.6.3

Contingency arrangements

29

4.2.3.7.

Managing an emergency situation

30

4.2.3.8.

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

31

4.3.

Functional and technical specifications of the interfaces

31

4.3.1.

Interfaces with the Infrastructure TSI

31

4.3.2.

Interfaces with the Control/Command and Signalling TSI

31

4.3.3.

Interfaces with the Rolling Stock TSI

32

4.3.3.1.

Interfaces with TSI LOC&PAS

32

4.3.3.2.

Interfaces with TSI WAG

32

4.3.4.

Interfaces with the TSI Energy

33

4.3.5.

Interfaces with TSI on Safety in Railway Tunnels

33

4.4.

Operating rules

33

4.5.

Maintenance rules

33

4.6.

Professional competences

33

4.6.1.

Professional competence

33

4.6.2.

Linguistic competency

34

4.6.2.1.

Principles

34

4.6.2.2.

Level of knowledge

34

4.6.3.

Initial and ongoing assessment of staff

34

4.6.3.1.

Basic elements

34

4.6.3.2.

Analysis and update of training needs

34

4.6.4.

Auxiliary staff

35

4.7.

Health and safety conditions

35

4.7.1.

Introduction

35

4.7.2.

Medical examinations and psychological assessments

35

4.7.2.1.

Before appointment

35

4.7.2.1.1

Minimum content of the medical examination

35

4.7.2.1.2

Psychological assessment

36

4.7.2.2.

After appointment

36

4.7.2.2.1

Periodicity of periodic medical examinations

36

4.7.2.2.2

Minimum content of the periodic medical examination

37

4.7.2.2.3

Additional medical examinations and/or psychological assessments

37

4.7.3.

Medical requirements

37

4.7.3.1.

General requirements

37

4.7.3.2.

Vision requirements

37

4.7.3.3.

Hearing requirements

38

4.8.

Registers of infrastructure and vehicles

38

4.8.1.

Infrastructure

38

4.8.2.

Rolling stock

38

5.

Interoperability constituents

39

5.1.

Definition

39

5.2.

List of constituents

39

6.

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

39

6.1.

Interoperability constituents

39

6.2.

Operation and Traffic Management Subsystem

39

6.2.1.

Principles

39

7.

Implementation

39

7.1.

Principles

39

7.2.

Implementation guidelines

40

7.3.

Specific cases

40

7.3.1.

Introduction

40

7.3.2.

List of specific cases

41

7.3.2.1.

Temporary specific case (T1) Estonia, Latvia and Lithuania

41

7.3.2.2.

Temporary specific case (T2) Ireland and United Kingdom

41

7.3.2.3.

Temporary specific case (T3) Finland

41

7.3.2.4.

Permanent specific case (P1) Finland

41

Appendix A:

ERTMS/ETCS operating rules

42

Appendix B:

Common operational principles and rules

43

Appendix C:

Safety-related communications methodology

47

Appendix D:

Elements the infrastructure manager has to provide to the railway undertaking for the Route Book and for the train compatibility over the route intended for operation

52

Appendix E:

Language and communication level

56

Appendix F:

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

57

Appendix G:

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

60

Appendix H:

Vehicle identification

62

Appendix I:

List of open points

65

Appendix J:

Glossary

66

1.   INTRODUCTION

1.1.   Technical scope

This Technical Specification for Interoperability (“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.

Where necessary the TSI distinguishes between requirements for conventional and high-speed rail as defined in Annex I, Section 2.1 of Directive 2008/57/EC.

1.2.   Geographical scope

The geographical scope of this TSI is the network of the whole rail system composed of:

—	the trans-European conventional rail system network (TEN) as described in Section 1.1 “Network” to Annex I of Directive 2008/57/EC,

—	the trans-European high-speed rail system network (TEN) as described in Section 2.1 “Network” to Annex I of Directive 2008/57/EC,

—	other parts of the network of the whole rail system, following the extension of scope as described in Section 4 to Annex I of Directive 2008/57/EC,

and excludes the cases referred to in Article 1(3) of 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 European 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 2.5 of Annex II to Directive 2008/57/EC as:

“The procedures and related equipment enabling a coherent operation of the various structural subsystems, during both normal and degraded operation, including in particular train composition 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 European rail system as defined in Chapter 1.2.

2.2.1.   Staff and trains

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

Point 4.6.2 applies to train drivers as provided for in point 8 of Annex VI to Directive 2007/59/EC.

For those staff undertaking the safety-critical tasks associated with despatching trains and authorising train movements, mutual recognition of professional qualifications and health and safety conditions between Member States 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 location(s) designated as the “frontier” in the network statement of an infrastructure manager and included in his safety authorisation, point 4.6 shall apply while mutual recognition between Member States shall apply for point 4.7. 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).

2.2.2.   Principles

This TSI covers those elements (as set out in Chapter 4) of the 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 (1). 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 Union rail system, its subsystems and their interoperability constituents must meet the essential requirements set out in general terms in Annex III to that Directive.

3.2.   Essential requirements — overview

The essential requirements cover:

—

safety,

—	reliability and availability,

—

health,

—	environmental protection,

—	technical compatibility,

—	accessibility.

According to Directive 2008/57/EC, the essential requirements may be generally applicable to the whole European 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 this 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

Timetables

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 line-side 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 handover 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 accordance with Directive 2012/34/EU (2), 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 contribute to the operation of the subsystem by performing safety-critical tasks involving a direct interface between a railway undertaking and an infrastructure manager.

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

(2)	Infrastructure manager’s staff undertaking the task of authorising the movement of trains The areas covered are: — documentation, — communication.

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

—	qualifications (see point 4.6 and Appendix G),

—	health and safety conditions (see point 4.7).

4.2.1.2.   Documentation for drivers

The railway undertaking operating the train 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 (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 a clear 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.

Predefined 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 complete and correct compilation of the Route Book, using the information supplied by the infrastructure manager(s).

The infrastructure manager must provide the railway undertaking with at least the information for the Route Book as defined in Appendix D.

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

(a)	the general operating characteristics: (a) type of signalling system and corresponding operational regime (double track, reversible working, left- or right-hand running, etc.), (b) type of power supply, (c) type of track to 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 areas 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 line-side 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.

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 G) and the staff authorising train movements is the operating language (as defined in Appendix J) used by the infrastructure manager on the route concerned.

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

In accordance with Directive 2012/34/EU, the infrastructure manager is responsible for publishing the “operating” language 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-end lights must optimise train detectability (marker lights), provide sufficient visibility for the train driver (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 Commission Regulation (EU) No 1302/2014 (the “rolling stock — locomotives and passenger rolling stock” TSI (LOC&PAS TSI)) (3).

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 two 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 the Commission which of the following rules will apply on the network of its Member State for trains that cross a border between Member States:

either

—	two steady red lights, or

—	two 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 two reflective plates must also accept two steady red lights as train rear-end indication.

Member States that require two steady red lights must also accept two reflective plates as train rear-end indication if the following two conditions are fulfilled in the whole network:

—	the operational rule for entering a possible occupied block section states that the train drivers shall be able to stop in front of any obstacle, and

—	there is no requirement that signallers must visually check the presence of a train rear-end device to verify that the train is complete.

4.2.2.1.3.3   Freight trains not crossing a border between Member States

The Member State must notify the Commission which rules will apply on its network for trains not crossing a border.

In addition, the notified rules for freight trains in international traffic described in 4.2.2.1.3.2 shall also be accepted for trains not crossing a border.

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 H.

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;

(b)	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;

(c)	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;

(d)	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;

(e)	the weight and axle load;

(f)	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;

(g)	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;

(h)	the kinematic envelope;

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

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

The infrastructure manager must inform the railway undertaking of the changes on characteristics of the allocated path change, as soon as these changes occur. The elements that must be checked in order to ensure the train’s compliance with the allocated path are set out in Appendix D.

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 and maximum speed allowed

(1)

The infrastructure manager shall provide the railway undertaking with all relevant line characteristics for each route: — signalling distances (warning, stopping) containing their inherent safety margins, — gradients, — maximum permitted speeds, and — conditions of use of braking systems possibly affecting the infrastructure such as magnetic, regenerative and eddy-current brake.

(2)

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

(3)

The railway undertaking shall, in the planning stage, determine the braking capability of the train and corresponding maximum speed taking into account: — the relevant line characteristics as expressed in point (1) above or, if available, the information provided by the infrastructure manager in accordance to point (2) above. If the infrastructure manager has provided the information of point (2), the railway undertaking has to express the braking capability by using the same information, and — the rolling-stock-related margins derived from reliability and availability of the braking system.

Furthermore, the railway undertaking shall ensure that during operation each train achieves at least the necessary braking performance. The railway undertaking shall set up and implement corresponding rules and shall manage them within its safety management system.

In particular the railway undertaking has to set up rules to be used if a train does not reach the necessary braking performance during operation. In this case, the railway undertaking must immediately inform the infrastructure manager. The infrastructure manager may take appropriate measures to reduce the impact on the overall traffic on its network.

4.2.2.7.   Ensuring that the train is in running order

4.2.2.7.1   General requirement

The railway undertaking 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 line-side marker sighting

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

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

4.2.3.   Specifications relating to train operations

4.2.3.1.   Train planning

In accordance with Directive 2012/34/EU the infrastructure manager 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 Commission Decision 2012/88/EU (4), as amended (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 predefined 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 handover 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 (5),

—	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 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,

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

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

It must be possible to match recorded data to:

—	the date and time of the recording,

—	the precise geographic location of the event being recorded,

—	the train identification,

—	the identity of the driver.

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

The data must be securely sealed and stored and accessible to authorised bodies including National Investigation Bodies in carrying out their role pursuant to Article 19 of Directive 2004/49/EC.

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, if fitted,

—	safety-related communication between the train driver and signaller.

4.2.3.5.2   Recording of supervision data on board the train

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

—	the detection of passing of signals at danger or “end of movement authority”,

—	application of the emergency brake,

—	speed at which the train is running,

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

—	operation of the audible warning device,

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

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

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

Further technical specifications concerning the recording device are set out in the TSI Loc & Pas.

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 on-board emergency and safety procedures.

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

The railway undertaking 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 operation TSI		Reference infrastructure TSI
Parameter	Point	Parameter	Point
Braking performance and maximum speed allowed	4.2.2.6.2	Longitudinal track resistance	4.2.6.2
Modifications to information contained in the Route Book	4.2.1.2.2.2	Operating rules	4.4
Degraded operation	4.2.3.6

4.3.2.   Interfaces with the control-command and signalling TSI

Reference operation TSI		Reference control-command and signalling TSI
Parameter	Point	Parameter	Point
Rule Book	4.2.1.2.1	Operating rules	4.4
Operating rules	4.4
Requirements for line-side signal and marker sighting	4.2.2.8	Visibility of track-side control-command objects	4.2.15
Train braking	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 on board	4.2.3.5	Interface to data recording for regulatory purposes	4.2.14

4.3.3.   Interfaces with the rolling stock TSIs

4.3.3.1.   Interfaces with TSI on locomotives and passenger rolling stock

Reference operation TSI		Reference LOC&PAS TSI
Parameter	Point	Parameter	Point
Contingency arrangements	4.2.3.6.3	Rescue coupling	4.2.2.2.4
		End coupling	4.2.2.2.3
Train composition	4.2.2.5	Axle load parameter	4.2.3.2
Train braking	4.2.2.6	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
Requirements for line-side signal and marker sighting	4.2.2.8	External visibility	4.2.9.1.3
		Optical characteristics of the windscreen	4.2.9.2.2
		Internal lighting	4.2.9.1.8
Driver vigilance	4.2.2.9	Driver’s activity control function	4.2.9.3.1
Recording of supervision data on board the train	4.2.3.5.2	Recording device	4.2.9.6
Managing an emergency situation	4.2.3.7	Lifting diagram and instructions	4.2.12.5
		Rescue-related descriptions	4.2.12.6
Train composition	4.2.2.5	Operating documentation	4.2.12.4
Minimum elements relevant to professional qualification for the tasks associated with “accompanying trains”	Appendix F
Sanding	Appendix B	Isolating emissions	4.2.3.3.1.1

4.3.3.2.   Interfaces with TSI on freight wagons

Reference operation TSI		Reference freight wagon 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 signal	Appendix E
Train composition	4.2.2.5	Gauging	4.2.3.1
Train composition	4.2.2.5	Compatibility with load-carrying capacity of lines	4.2.3.2
Contingency arrangements	4.2.3.6.3	Strength of unit — Lifting and jacking	4.2.2.2
Train braking	4.2.2.6	Brake	4.2.4

4.3.4.   Interfaces with the Energy TSI

Reference operation TSI		Reference energy TSI
Parameter	Point	Parameter	Point
Train composition	4.2.2.5	Maximum train current	4.2.4.1
Preparation of the Route Book	4.2.1.2.2.1
Train composition	4.2.2.5	Separation sections:
Preparation of the Route Book	4.2.1.2.2.1	Phase	4.2.15
		System	4.2.16

4.3.5.   Interfaces with TSI on Safety in Railway Tunnels

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

4.4.   Operating rules

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

The operational principles and rules specific to the European Rail Traffic Management System (ERTMS/ETCS) and for ERTMS/GSM-R radio system are specified in Appendix A.

Operational principles and rules, which are common across the European Union rail system, are specified in Appendix B.

4.5.   Maintenance rules

Not applicable

4.6.   Professional competences

4.6.1.   Professional competence

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

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

4.6.2.   Language competence

4.6.2.1.   Principles

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

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

Railway undertaking staff whose duties require them to communicate with staff of the infrastructure manager in connection with safety-critical matters, whether in normal, 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 operating 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, — 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.

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

4.6.3.   Initial and ongoing assessment of staff

4.6.3.1.   Basic elements

Railway undertakings and infrastructure managers are required to define the assessment process for their staff in order to meet the requirements specified in Commission Regulations (EU) 1158/2010 (6) and (EU) 1169/2010 (7).

4.6.3.2.   Analysis and update of training needs

Railway undertakings and infrastructure managers must undertake an analysis of training needs for their relevant staff and define a process for reviewing and updating their individual training needs in order to meet the requirements specified in Regulations (EU) 1158/2010 and (EU) 1169/2010.

This analysis must set out both scope and complexity and take into account the risks associated with the operation of trains, traction and rolling stock. The railway undertaking 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.

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

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

4.6.4.   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 4.7.2 and any associated decisions on the individual fitness of staff must be conducted by a medical doctor.

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

4.7.2.   Medical examinations and psychological assessments

4.7.2.1.   Before appointment

4.7.2.1.1   Minimum content of the medical examination

Medical examinations 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 abuse of drugs.

4.7.2.1.2   Psychological assessment

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

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

(a)	Cognitive: — attention and concentration, — memory, — perceptive capability, — reasoning, — communication.

(b)	Psychomotor: — speed of reaction, — gestured coordination.

(c)	Behavioural and personality — emotional self-control, — behavioural reliability, — autonomy, — conscientiousness.

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

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

4.7.2.2.   After appointment

4.7.2.2.1   Frequency of periodic medical examinations

At least one systematic medical examination 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 frequency of examination must be set by the medical doctor if the state of health of the member of the staff requires so.

4.7.2.2.2   Minimum content of the periodic medical examination

If the worker complies with the criteria required at the examination, which is carried out before practising an occupation, the periodic specialised examinations 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 abuse of drugs where clinically indicated.

4.7.2.2.3   Additional medical examinations and/or psychological assessments

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

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

4.7.3.   Medical requirements

4.7.3.1.   General requirements

Staff 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 coordination,

—	significant limitation of mobility.

The following vision and hearing requirements must be met:

4.7.3.2.   Vision requirements

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

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

—	intermediate and near vision: sufficient whether aided or unaided,

—	contact lenses are allowed,

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

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

—	vision for both eyes: effective,

—	binocular vision: effective,

—	contrast sensitivity: good,

—	absence of progressive eye disease,

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

4.7.3.3.   Hearing requirements

Sufficient hearing confirmed with tone audiogram, that is:

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

—	the use of hearing aids is allowed.

4.8.   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 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),

—	total length of the vehicle, including buffers if existing.

5.   INTEROPERABILITY CONSTITUENTS

5.1.   Definition

As defined in 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 accordance 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 lines, — applicable to all trains running on the network;

(d)	the relationship with implementation of 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 and 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, etc. (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 2030 (case “T1”, by 2024 (case “T2”) or by 2018 (case “T3”).

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 and 4.2.2.1.3.3, 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 point 4.2.3.2.1, Ireland and United Kingdom are using alphanumeric numbers in the existing systems. The MS set out the requirements and time schedule for the transition from alphanumeric train running numbers to numeric train running numbers in the target system.

7.3.2.3.   Temporary specific case (T3) Finland

For the implementation of the common operational rule 5 of Appendix B, Finland may use another rule to mitigate the effect of a complete failure of train rear-end signal of passenger trains.

7.3.2.4.   Permanent specific case (P1) Finland

For the implementation of point 4.2.2.1.3.3 and the implementation of common operational rule 5 of Appendix B, Finland is not using any rear-end signal device for freight trains. The means to indicate the train rear-end signal for freight trains as stated in point 4.2.2.1.3.2 are also accepted in Finland.

Appendix A

ERTMS/ETCS operating rules

The operating rules for ERTMS/ETCS and ERTMS/GSM-R are specified in the Technical Document “ETCS and GSM-R rules and principles — version 4” published on the ERA website (www.era.europa.eu).

Appendix B

Common operational principles and rules

In case of degraded operation, the contingency arrangements set out in point 4.2.3.6.3 shall also be considered.

1.   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 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,

—	when required to test the sanding equipment on the traction unit.

2.   DEPARTURE OF THE TRAIN

At the initial station or after a scheduled stop the driver is allowed to depart when the following conditions are fulfilled:

—	after the driver has received an authorisation for train movement,

—	after train service conditions are fulfilled,

—	when it is time to depart, except when allowed to start before the scheduled time.

3.   NO AUTHORISATION FOR TRAIN MOVEMENT AT THE EXPECTED TIME

If the driver has not received an authorisation for train movement at the expected time, and has no information as to the reason, the driver shall inform the signaller.

4.   COMPLETE FAILURE OF FRONT-END LIGHTS

If the driver is not able to display any front-end light:

4.1.   During good visibility

The driver shall inform the signaller about the failure. The train shall proceed at the maximum permitted speed to the nearest location where the front-end light can be repaired/replaced or the affected vehicle replaced. When proceeding, the driver shall use the train audible warning device as necessary or as instructed by the signaller.

4.2.   During darkness or poor visibility

The driver shall inform the signaller about the failure. As long as a portable front-end light displaying a white light is fitted on the front of the train, the train shall proceed at the maximum allowable speed for that failure to the nearest location where the front-end light can be repaired/replaced or the affected vehicle replaced.

If a portable front-end light is not available, the train shall not proceed, unless formal instructions are given by the signaller to continue to the nearest suitable location to where the line can be cleared.

When proceeding, the driver shall use the train audible warning device as necessary or as instructed by the signaller.

5.   COMPLETE FAILURE OF A REAR-END SIGNAL

(1)

If the signaller becomes aware of the complete failure of the train rear-end signal, the signaller shall make arrangements to stop the train in an appropriate location and inform the driver.

(2)

The driver shall then check the completeness of the train and if necessary repair/replace the train rear-end signal.

(3)

The driver shall report to the signaller that the train is ready to proceed. Otherwise, if the repair is not possible, the train may not proceed, unless special arrangements are made between signaller and driver.

6.   FAILURE OF THE AUDIBLE WARNING DEVICE OF A TRAIN

If the audible warning device fails, the driver shall inform the signaller about the failure. The train shall not exceed the permitted speed for the failure of an audible warning device to the nearest location where the audible warning device can be repaired or the affected vehicle replaced. The driver shall be able to stop before passing over any level crossing where the audible warning device must be sounded and then proceed over the level crossing only when it is safe to do so. If a multi-tone audible warning device is defective but at least one tone is functioning, the train may proceed normally.

7.   FAILURE OF LEVEL CROSSING

7.1.   Stopping trains passing over a defective level crossing

When a technical failure affecting safety of running trains over a level crossing has been detected and as long as the safe operation has not been restored, the normal passing of trains over the level crossing must be prevented.

7.2.   Passing trains over the defective level crossing (if authorised)

(1)

Where the nature of the failure permits train movements to continue, the driver of each train shall be authorised to continue and to pass over the level crossing.

(2)

After being instructed to pass over the level crossing with a failure, the driver shall pass the level crossing as instructed. If the level crossing becomes obstructed the driver shall take all possible measures necessary to stop.

(3)

When approaching the level crossing, the driver shall use the audible warning device when necessary or when formal instructions have been given by the signaller. If the level crossing is clear, the driver shall proceed and accelerate the train as soon as the front of the train has passed clear the level crossing.

8.   FAILURE OF VOICE RADIO COMMUNICATION

8.1.   Failure of train radio detected during train preparation

In case of on board radio failure a train shall not be permitted to start a service on lines where a radio is required.

8.2.   Failure of train radio when the train has entered service

When the driver becomes aware that the voice radio is failed, the driver shall inform the signaller as soon as practicable. The driver shall then carry out the formal instructions given by the signaller concerning the further movement of the train. A train with a failed train radio may continue the service:

—	as long as another means of emergency communication is provided between the driver and the signaller, or

—	to the nearest location where the radio can be repaired or the affected vehicle replaced as long as another means of communication is provided between the driver and the signaller.

9.   RUNNING ON SIGHT

When a driver has to run on sight, the driver shall:

—	proceed with caution, controlling the speed, taking into account the line visible in advance, such that it is possible to stop short of any vehicle, stop aspect or obstacle, and

—	not exceed the maximum speed for running on sight.

10.   ASSISTANCE TO A FAILED TRAIN

(1)

If a train is stopped by failure, the driver must immediately inform the signaller about the failure and the circumstances of the failure.

(2)

When an assisting train is needed, the driver and signaller must agree at least all of the following: — the type of assisting train needed, — if a specific direction is required (front or rear), — the location of the failed train. After the driver has asked for assistance, the train must not be moved even if the defect is rectified until: — the assisting train has arrived, or — the driver and signaller have agreed alternative arrangements.

(3)

The signaller must not allow the assisting train to enter the section occupied by the failed train unless confirmation has been received that the failed train will not be moved. When the assisting train is ready to enter the section occupied by the failed train, the signaller shall inform the driver of the assisting train at least the following: — the location of the failed train, — the location where the failed train is to be taken to

(4)

The driver of the combined train must make sure that: — the assisting train is coupled to the failed train, and — the brake performance of the train is checked, the automatic brake, if compatible, is connected and a brake test has been carried out.

(5)

When the combined train is ready to continue, the driver in control must contact the signaller and inform the signaller of any restrictions and move the train in accordance with any instructions given by the signaller.

11.   AUTHORISATION TO PASS A SIGNAL SHOWING A STOP ASPECT/INDICATION

The driver of the train concerned must have authorisation to pass a signal showing stop aspect/indication.

When giving authorisation, the signaller must give the driver any instructions concerning the movement.

The driver must apply the instructions and must not exceed any speed restriction, where one is imposed, until reaching the location where the normal operation can be resumed.

12.   ANOMALIES IN LINE-SIDE SIGNALLING

If any of the following anomalies are observed:

—	no signal aspect is shown where there should be one,

—	an irregular aspect is shown at the signal,

—	an irregular signal aspect sequence is received on the approach to the signal,

—	the aspect of the signal is not clearly visible.

The driver shall act according to the most restrictive aspect that could be presented by the signal.

In all cases the driver must report to the signaller the abnormal signalling aspect when observed.

13.   EMERGENCY CALL

When receiving an emergency call the driver shall assume that there is a dangerous situation and perform all actions necessary in order to avoid or reduce the effect of this situation.

In addition, the driver shall:

—	immediately reduce the speed of the train to the appropriate speed for running on sight, and

—	run on sight unless otherwise instructed by the signaller, and

—	obey the instructions given by the signaller.

Drivers that have been ordered to stop shall not restart without authorisation from the signaller. Other drivers shall continue running on sight until the signaller informs them that running on sight is no longer necessary.

14.   IMMEDIATE ACTIONS TO PREVENT DANGER TO TRAINS

(1)

Any RU/IM staff who become aware of a danger to trains must take immediate action to stop any trains which may be affected and take any other action as necessary to avoid harm or loss.

(2)

Any driver made aware of a danger to their train must stop and alert the signaller immediately to the danger.

Appendix C

Safety-related communications methodology

1.   SCOPE AND PURPOSE

1.1

This Appendix sets out the rules for safety-related communications, between train crew, mainly the train driver, and signaller, in particular to define its structure and methodology. Safety-related communication has priority over all other communication.

2.   COMMUNICATIONS STRUCTURE

2.1

The voice transmission of safety-related messages shall be short and clear without abbreviation. In particular it shall cover the following points to ensure it is understood and the necessary action can be undertaken, whoever is giving the message shall: — give their exact location, — state the task they are carrying out and information on the action that is needed, — make sure the message is received and repeated back as required, — if necessary, correct a mistake that has been made in the message, — if necessary, let the person know how they can be contacted.

2.2

Emergency messages are intended to give urgent operational instructions that are directly linked with the safety of the railway. For such messages the repetition of the message can be omitted.

3.   COMMUNICATION METHODOLOGY

3.1

Drivers shall identify themselves by the train running number and the location. Signallers shall identify themselves by the control area or the location of the signal box.

3.2

For communication between signallers and drivers it is the signallers’ responsibility to ensure that they are talking to the driver within their control area. This is critical when communication is taking place in areas where communications boundaries overlap. This principle shall apply even after an interruption during transmission.

3.3

The following messages shall be used for this purpose by the different parties. — by the signaller: Train running number … this is … (control area/location of the signal box) — by the driver: this is train running number … at … (location)

4.   COMMUNICATION RULES

4.1

In order that safety-related communication is correctly understood, whatever the communication mean is used, the following rules must be adopted:

4.2

The International Phonetic Alphabet shall be used: — to identify letters of the alphabet, — to spell words and location names that are difficult to say, or may be misunderstood, — in case of interference on the radio or phone, — when quoting the identity of signals or points. 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

4.3

The 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

5.   TERMS (GENERAL)

Standard terminology to be used in the communication procedure

5.1   Speech transmission procedure

5.1.1   Term transferring the opportunity to speak to the opposite party:

5.2   Message receiving procedure

5.2.1   Upon receiving a direct message

Term confirming that the sent message has been received:

5.2.2   Term used to have the message repeated in the event of poor reception or misunderstanding

5.2.3   Upon receipt of a message that has been read back

Terms used to ascertain whether a read-back message exactly matches the sent message:

5.2.4   or not:

5.3   Communications breaking procedure

5.3.1   If the message has ended:

5.3.2   If break is temporary and the connection is not broken

Term used to keep the other party waiting:

5.3.3   Term used to tell the other party that the communication might be broken but should be resumed later on:

6.   WRITTEN ORDERS

6.1

A written order must only be issued when the train is at a standstill and shall be attributed with a unique identification or authorisation number provided by the signaller.

6.2

A written order takes precedence over the related indications provided by trackside signals and/or the DMI except when a lower permitted speed or a lower release speed than the maximum speed prescribed in the written order is applicable.

6.3

A written order should be issued as close as practicable to the affected area.

6.4

A written order must only be issued when the driver has identified the train running number and the location of the train / shunting movement.

6.5

A written order must state the following as a minimum: — from where it was issued (signal box …), — at what time and date it was issued, — to which train / shunting movement it refers, — where that train / shunting movement is located, — at which location it applies, — clear, precise, unambiguous instructions, — unique identification or an authorisation number.

6.6

A written order may be transmitted: — physically on paper, or — as verbal instructions to the driver to write down, or — other safe methods of communication to meet the abovementioned requirements.

6.7

When the driver receives a written order the driver shall check that this written order refers to his train/shunting movement and its current location.

6.8

A written order that has been issued can only be revoked by a new written order explicitly referring to the previous one.

7.   TERMS (WRITTEN ORDERS)

Standard terminology to be used in the communication procedure

Cancelling a written order

7.1

Term used to cancel the written order procedure underway: cancel procedure …

7.2

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

Error during transmission

7.3

When a transmission error is discovered by the sender, 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

7.4

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

Misunderstanding

7.5

If one of the parties does not fully understand a message he must ask the other party to repeat the message by using the following text: say again (+ speak slowly)

8.   BOOK OF FORMS

8.1

The infrastructure manager is responsible for drawing up the Book of Forms and the forms themselves in its operating language.

8.2

All the forms to be used shall be assembled in a document or a computer medium called the Book of Forms.

8.3

In order to identify the forms, a unique code word or number relating to the procedure shall be developed.

8.4

This Book of Forms shall be used by both the driver and the staff authorising the movement of trains. The Book used by the driver and the Book used by the staff authorising the movement of trains shall be structured and numbered in the same way.

8.5

The Book of Forms shall comprise two parts.

8.5.1

The first part contains at least the following items: — an index of written order forms, — a list of situations to which each form applies, — the table containing the international phonetic alphabet.

8.5.2

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

9.   GLOSSARY OF RAILWAY TERMINOLOGY

9.1

The railway undertaking shall produce a glossary of railway terminology for each network over which its 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 the railway undertaking operates on.

9.2

The glossary shall be composed of two parts: — a listing of terms by subject matter, — a listing of the terms in alphabetical order.