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.