TSI OPERATION AND TRAFFIC MANAGEMENT, CONVENTIONAL RAIL SYSTEM FINAL REPORT ON THE REVISION

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1 INTEROPERABILITY UNIT TSI OPERATION AND TRAFFIC MANAGEMENT, CONVENTIONAL RAIL SYSTEM FINAL REPORT ON THE REVISION Reference: IU-OPE_final report Document type: Final report Version : 1.5 Date : Edited by Approved by Name Sandra Scheufens J-C. PICHANT Position Date & Signature INTEROPERABILITY Unit Project Officer (signed) Sandra Scheufens INTEROPERABILITY Head of unit (signed) Jean-Charles Pichant The following document has been produced by the European Railway Agency as final report and on the revision of the and serves as Annex 1 to the recommendation ERA/REC/ /INT on the revision of the.

2 Amendment record Version Date Section number Modification/description Author /01/09 First draft based on the intermediate report All Update according to the discussions in the WP SaS SaS Update SaS All Update SaS All Update, comments included SaS All Updates, comments from the WP members All Updates, comments from the WP members SaS SaS Economic Evaluation GG Update of the section SaS All Update, corrections, links to legislation corrected and updated SaS IP All Spelling SaS Update as result of ERA-internal discussion SaS ,4.3, 4.6, 4.17,4.18, Insertion of results of consultation according to Articles 4 and 5 of Agency Regulation Clarification about text proposal for revised TSI on chapter Clarification Clarification of CER s and EIM s comments SaS SaS Update after internal consultation: Amendment of TSI-chapter 5.1 SaS

3 ANNEXES Annex Reference Version Date Author 1 CER position paper as answer to social consultation CER 2 EIM position paper as answer to social consultation EIM IU-OPE_final report Version 1.5 PAGE 3 OF 71

4 TABLE OF CONTENT Amendment record INTRODUCTION SUBJECT REFERENCES, TERMS AND ABBREVIATIONS REFERENCE DOCUMENTS ABBREVIATION CARRYING OUT OF ACTIVITIES Working Parties set up for the revision of the Call for experts Working Program Working Procedures RESULTS Consistency with European legislation Consistency with Interoperability Directive [1] Consistency with Safety Directive 2004/49/EC [2] Consistency with Directive 2008/68/EC [7] on dangerous goods Glossary Preparation of the Rule book ( ) Preparation of the Route book ( ) Modified Elements ( ) Informing the driver in real time ( ) Freight vehicle loading ( ) Train composition Document ( ) Data required ( ) Train planning ( ), link to Directive 2001/14/EC [6] Recording of supervision data on-board the train ( , ) Driver vigilance survey and its alert to the traffic control centre ( , ) Signal and lineside marker sighting ( ) Use of sanding. ( ) Minimum elements relevant to professional qualification for the task of driving a train Requirements for passenger vehicles ( ) Train audibility ( ) IU-OPE_final report Version 1.5 PAGE 4 OF 71

5 4.17 Train visibility On the leading vehicle of a train facing in the direction of travel ( ) On the rear end ( , Annex S) Route knowledge ( ) Other rules enabling a coherent operation of the new different structural subsystems (Annex B) Safety related communication (Annex C) Book of Forms (Annex C, 2.3) Train identification (Annex R) Interfaces to other TSIs Interfaces with TSI ENE Interfaces with TSI INF Interfaces with TSIs RST Interfaces with TSI TAF/TAP Requirements concerning maintenance staff Shunting ECONOMIC EVALUATION General Overview for the Annex S, freight train rear end signal CONSULTATION ACCORDING TO ARTICLES 4 AND 5 OF AGENCY REGULATION 881/2004/EC IU-OPE_final report Version 1.5 PAGE 5 OF 71

6 1. INTRODUCTION 1.1. SUBJECT The Commission mandated ERA by the framework mandate (notified ) to revise the. The following document has been produced by the European Railway Agency as final report and on the revision of the and serves as Annex 1 to the recommendation on the revision of the. It gives an overview about the work done in 2008 and 2009, the process and conclusions of the revision and sets out the recommended amendments to the IU-OPE_final report Version 1.5 PAGE 6 OF 71

7 2. REFERENCES, TERMS AND ABBREVIATIONS 2.1. REFERENCE DOCUMENTS Ref. N Document Reference Official Journal Last amendment [1] Directive 2008/57/EC L 191, Directive 2009/131/EC (Interoperability) [2] Directive 2004/49/EC (Safety) L 164, Directive 2008/110/EC [3] TSI Traffic Operation and Management CR 2006/920/EC [4] TSI Traffic Operation and Management HS 2008/231/EC [5] Directive 2001/16/EC (Interoperability for TEN Conventional rail) [6] Directive 2001/14/EC (Train path allocation) [7] Directive 2008/68/EC (inland transport of dangerous goods) L359, Decision 2009/107/EC L84, L110, Directive 2008/57/EC L75, Directive 2007/58/EC L260, Decision 2009/240/EC [8] Regulation (EC) 881/2004 (Agency Regulation) L 220, Regulation (EC) 1335/2008 IU-OPE_final report Version 1.5 PAGE 7 OF 71

8 2.2. ABBREVIATION Table 1 : Abbreviations Abbreviation IM NSA RU Definition Infrastructure Manager National Safety Authority Railway Undertaking IU-OPE_final report Version 1.5 PAGE 8 OF 71

9 3. Carrying out of activities 3.1 Working Parties set up for the revision of the ERA is mandated to revise the TSI Operation and Traffic Management for conventional rail system (framework mandate notified on the 13/07/07). ERA set up a draft Working Program. Based on this draft Working Program, ERA decided to call for three Working Parties for the revision of the : A Working Party for the subject of vehicle identification (Annex P) A Working Party for the subject of Brake performance (Annex T) A Working Party Core Group for the other operational subjects in the These working parties are independent Working Parties with different expert nominations and different time schedules. The Core group as dealing with the biggest piece of the TSI OPE is informed about the findings of the Working Parties for Annex P and Annex T. The coordination of works is done by ERA project officers. In the following it will be reported about the results of the Core Group. The results of the Working Parties for Annex P and Annex T have been transferred into recommendations for Annex P and Annex T. These have already been given to the EC / DG TREN independently. For the consistency of Annex A of the with the TSI OPE HS a recommendation has been given to the EC independently in June 2008; it is not mentioned again in this report. 3.2 Call for experts ERA sent out the call for experts for the different Working Parties on the 25/07/07 and received several nominations; ERA is assisted by representatives of the Sector Organisations CER, EIM, ERFA, ETF, UIRR, UITP and UNIFE as well as representatives of the NSAs AT, BE, CZ, DE, FI, FR, IT, NO, SE and UK in the Core Group. The Working Party had two meetings in 2007, both dedicated to a revision of the Working Program. In 2008, eight meetings have been scheduled. In meetings were scheduled and took place. The NSAs ES and DK have also sent representatives in IU-OPE_final report Version 1.5 PAGE 9 OF 71

10 3.3 Working Program ERA drafted a Working Program for the revision of the. It is based on the open points listed in the TSI, requests for technical opinions, questions for clarifications that ERA received, and subjects discussed inside ERA at the interfaces between TSI OPE and other TSIs. This Working Program was discussed with the members of the Working Party and finalised after the first two meetings. This final Working Program was sent to the European Commission/DG TREN for approval. No objections were given by the Commission. The Working Program is the following with its status: (Note: The subjects closed in 2008 are indicated with *.) Working Program Core Group as presented to Article 21 Committee Subject Status Result supported by all members of the WP Open points : Train composition document* Finalised No Annex B: Other rules enabling a coherent operation of the new different structural subsystems Finalised Yes Annex R: identification of trains Finalised No Annex S: train visibility, rear end Finalised Yes Revisions Consistency with Safety Directive 2004/49/EC (including updates of Annexes F, G and N) Annex C, 4: Additional other emergency messages according to the need of his operation. Can this be filled with minimum requirements?* : Preparation of the Rule book and Preparation of the Route book language requirement : Route book: Information about the responsible signaller in the Route book necessary? Finalised Finalised Finalised Finalised Yes Yes Yes Yes TSI interfaces Finalised NA IU-OPE_final report Version 1.5 PAGE 10 OF 71

11 Informing the driver in real time Finalised yes Freight vehicle loading Finalised No Route knowledge Finalised yes Annex C: Safety related communication Finalised yes Users questions Modified elements and relation to written orders / signals* Finalised Yes Recording of supervision data on-board the train clarifications needed : Recording of working time change wording for clarification to driving time Automatic reporting of driver vigilance survey to the controlling signalling centre only for ERTMS? * : What is the driver s normal position? Only sitting or also standing?* Finalised Finalised Finalised Yes Yes Yes Definition of driver s external field of view link to TSI RST* Finalised Yes in combination with Annex B, C1: Use of sanding Minimum elements relevant to professional qualifications for the task of driving a train. to be revised. Use of sanding is not mandatory the functional requirement is to stop at a required point of the track, requirement not to damage, effect the infrastructure is also related to magnetic and eddy current brakes* : Activation of the door release must prevent traction power being applied. - technical and/or operational solution? Train visibility - head lights of the train or marker lights or both? Intensity of lights should be solved in the RST/LOC TSIs or defined as functional requirement (e.g. to be seen at least 1 km ahead)* Train audibility frequency and intensity should be solved in the RST/LOC TSIs or defined as functional requirement (e.g. to be heard when motors are running) Activation method for the horn must be standardised by RST /LOC or OPE?* Finalised Finalised Finalised Finalised Yes No Yes Yes IU-OPE_final report Version 1.5 PAGE 11 OF 71

12 4.4 The only organisation able to make modifications to these rules shall be the entity responsible for the upkeep of Annexes A, B and C to this TSI. to be clarified. Finalised Yes Revision of Glossary (e.g. train, block, station) Finalised Yes Orthographical checks Finalised Yes Subjects for discussion to be added in the TSI OPE Information exchange between IM and RU* Finalised Yes Requirements for maintenance staff on the track in relation to Operation OPE principles: maintenance staff* Finalised Yes Relation between 2001/14/EC and TSI OPE * Finalised Yes The following subjects were not treated in the Core Group, but affect the revised : Working Party Annex P : o Revision of Annex P: Vehicle identification Working Party Brake performance : o Closure of open point Annex T: brake performance Input from other Working Parties / organisations: ERA WP Driver s licence directive / Vocational competences: o Consistency with Driver s licence directive / Vocational competences (incl. level of operating language knowledge required) ERA WP ERTMS: o Annex A1: ERTMS/ETCS operating rules (revision) o Annex A2: ERTMS/GSM-R operating rules (open point) These subjects have been treated in other recommendations to the European Commission and are therefore not reflected in this report. IU-OPE_final report Version 1.5 PAGE 12 OF 71

13 3.4 Working Procedures The subjects treated were discussed in the Working Party. The findings of the Working Party were discussed in the Sector Organisations and NSAs mirror groups. Each subject was finalised after the agreement of the members of the Working Party. The discussions of the subjects in ERA s Working Party take into account the conditions / inputs: The report concerning the first (2006/920/EC[3]) The TSI OPE HS (2008/231/EC[4]) The Safety Directive (2004/49/EC) The Interoperability Directives (2001/16/EC [5], from : 2008/57/EC [1]) The Train Path Allocation Directive (2001/14/EC [6]) The SMS assessment criteria The work on TSIs for other subsystems (Energy, Infrastructure, Rolling Stock, Control Command and Signalling, Safety in Railway Tunnels) Developments in the railway Sector For some of the subjects an economic evaluation was regarded as necessary. The first subject to be listed here is the train rear end signal (train visibility). For other subjects (where clarifications have been made without new requirements or where requirements have been deleted because there was no interoperability issue from an operational point of view) an economic evaluation was not regarded as necessary. It should be noted that the earlier has been based on ETCS as target system; therefore Annex B and other requirements were rather focussed on new subsystems. Latest developments have shown that the target system in full extent will not be reached in short time. Therefore it is felt to be necessary to widen the scope of the also on existing subsystems. This is reflected in some suggested amendments (like the title of Annex B. 4. Results Some of the subjects have been closed; some of the subjects need to be taken to the next revision to ensure consistency between the CR and the HS TSI OPE. In the following information about the subjects included in the Working Program is given. Please note that in this chapter the subjects are organised in the structure according to the TSI, not according to the Working Program listed above. 4.1 Consistency with European legislation Consistency with Interoperability Directive [1] The TSI OPE refers in several clauses to the Interoperability Directive 2001/16/EC [5]. This Directive is repealed by the recast Interoperability Directive 2008/57/EC [1]. IU-OPE_final report Version 1.5 PAGE 13 OF 71

14 Reliability &Availability Technical compatibility Interoperability Unit All references to the Interoperability Directive 2001/16/EC [5] must of course be updated. One major part is the update of the references to the essential requirements and the presentation according to the requested format of a table. Clause Clause Title Safety Health Environmental protection Operation and Traffic Management Documentatio n for drivers x X x Rule book x X x Route book X X Preparation of the Route 1 book X Modification to Information contained within the route book Informing the driver in real time X X X x X Time tables X x X Rolling stock x X X Documentation for Railway Undertaking staff other than drivers x X X Documentatio n for Infrastructure Manager s staff authorising train movements X X X IU-OPE_final report Version 1.5 PAGE 14 OF 71

15 Reliability &Availability Technical compatibility Interoperability Unit Clause Clause Title Safety Health Environmental protection Operation and Traffic Management Safety-related communicatio n between traincrew, other Railway Undertaking staff and staff authorising train movements X X X X General requirement X X X Front end X X X Rear end X X X Train X X audibility X X General requirement X X X Control X X Vehicle identification X X X Safety of passengers X and load Train composition X Train braking X X X Minimum requirements of the braking X X X system Braking performance X X X Ensuring that the train is in running order X X X IU-OPE_final report Version 1.5 PAGE 15 OF 71

16 Reliability &Availability Technical compatibility Interoperability Unit Clause Clause Title Safety Health Environmental protection Operation and Traffic Management General requirement X X Data required X X Requirements for Signal and lineside X X marker sighting Driver vigilance X Train planning X X X Identification of trains Train departure Checks and tests before departure Informing the Infrastructure Manager of the train's operational status Traffic management General requirements Train reporting Data required for train position reporting Predicted hand over time X X X X X X X X X X X IU-OPE_final report Version 1.5 PAGE 16 OF 71 X X X X X X X X X X X X X X X

17 Reliability &Availability Technical compatibility Interoperability Unit Clause Clause Title Safety Health Environmental protection Operation and Traffic Management Dangerous goods X X Operational quality X X Data recording X X Recording of supervision data outside X X the train Recording of supervision data on-board the train X X Degraded operation X X X Advice to other users X X Advice to train drivers X Contingency arrangements X X X Managing an emergency X X X situation Aid to traincrew in the event of an incident or X of a major rolling stock malfunction 4.4 ERTMS operating X X rules 4.6 Professional qualifications X X X 4.7 Health and X IU-OPE_final report Version 1.5 PAGE 17 OF 71

18 safety conditions Furthermore the chapters about Interoperability constituents, assessment and national registers must be revised to match with the European legislation. The amendment of references from Directive 2001/16/EC [5] to 2008/57/EC [6] is not explicitly shown here for the sake of clarity. The sense of the provisions has not changed. Therefore the formal changes (also due to other directives) are not displayed in the following to facilitate reading. Only the target text is presented in the following but one exception. We would like to highlight that the status of the TSI OPE regarding assessments by Notified Bodies has been confirmed by the suggested solution for train rear end signal; this change is highlighted in the text. The chapters concerning Interoperability Constituents, assessment procedures and national registers should be read in future as follows: 4.8 Registers of Network and Vehicles In accordance with Article 33(1) of Directive 2008/57/EC on the National Vehicle Register, each Member State shall keep a register of the vehicles authorised on its territory [...] it shall be kept updated by a body independent of any railway undertakings. In accordance with Article 34 of Directive 2008/57/EC on the European register of authorised types of vehicles, the Agency shall set up and keep a register of types of vehicles authorised by the Member States for placing in service on the Community rail network. In accordance with Article 35 of Directive 2008/57/EC on register of infrastructure each Member State shall ensure that a register of infrastructure is published and updated on the basis of the revision cycle referred to in paragraph 2. This register shall indicate the main features of each subsystem or part subsystem involved (e.g. the basic parameters) and their correlation with the features laid down under the applicable TSIs. To that end, each TSI shall indicate precisely what information must be included in the register of infrastructure. Due to the nature of these registers, they 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. In both cases the data concerned must be complete and accurate Infrastructure The requirements for the conventional rail infrastructure related data items with regard to the Operation and Traffic Management subsystem, and which must be made available to railway undertakings, are specified in Annex D. The Infrastructure Manager is responsible for the correctness of the data Rolling stock IU-OPE_final report Version 1.5 PAGE 18 OF 71

19 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 (e.g. asbestos) length over buffers 5 Interoperability constituents 5.1 Definition According to Article 2(f) of Directive 2008/57/EC: Interoperability constituents means any elementary component, group of components, subassembly or complete assembly of equipment incorporated or intended to be incorporated into a subsystem, upon which the interoperability of the rail system depends directly or indirectly. The concept of a constituent covers both tangible objects and intangible objects such as software. An interoperability constituent is: a product which can be placed on the market before integration and use in the subsystem; in this respect, it must be possible to verify its conformity independently of the subsystem into which it will be incorporated, or an intangible object such as software or a process, organisation, procedure, etc. which has a function in the subsystem and the conformity of which must be verified to ensure that the essential requirements are met. 5.2 List of constituents The interoperability constituents are covered by the relevant provisions of Directive 2008/57/EC. In respect to the Operation and Traffic Management Subsystem, there are, at present, no interoperability constituents. 5.3 Constituents performances and specifications Once a solution for indicating the rear end of the train has been established, it is possible that this will become an interoperability constituent. It might then be the case that an additional annex will be required to define the luminosity, retro-reflectivity and attachment arrangements. There may also be some additional interfaces with the RST TSIs in a future version. 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 Principles The Operation and Traffic Management subsystem is a functional subsystem according to annex II to Directive 2008/57/EC. IU-OPE_final report Version 1.5 PAGE 19 OF 71

20 In conformity with Articles 10 and 11 of the Safety Directive, the Railway Undertakings and Infrastructure Managers shall demonstrate compliance with the requirements of this TSI within their SMS when applying for any new or amended safety certificate or safety authorisation. The CSM on conformity assessment requires NSAs to set up an inspection regime to supervise and monitor the day to day compliance with the SMS including all TSIs. It should be noted that none of the elements contained within this TSI require separate assessment by a Notified Body. We would like to highlight that the CSMs on conformity assessment are at the date of this recommendation not adopted by the European Commission but are expected to be adopted by the moment of adoption of the revised. Consistency with Safety Directive 2004/49/EC [2] The TSI OPE refers in several clauses to the Safety Directive [2]. Some of these links are obsolete; some need an amendment to be consistent with the Safety Directive. It must be understood that the assessment of the TSI OPE is done under the SMS-assessment as required by the Safety Directive, not by a list of links to the Safety Directive. This should be clarified in the chapters 2 and 6 as well as in the Application guide. The link to the Safety Directive should be clarified as follows: Operating principles... Initially, this TSI has only covered those elements (as set out in Chapter 4) of the conventional rail "Traffic Operation and Management" subsystem, where principally there are operational interfaces between Railway Undertakings and Infrastructure Managers or where there is a particular benefit to interoperability. In doing this, due consideration was given to the requirements of Directive 2004/49/EC (the Railway Safety Directive), Principles: This TSI covers those elements (as set out in Chapter 4) of the conventional rail Operation and Traffic Management subsystem, where principally there are operational interfaces between RU and IM and where there is a particular benefit to interoperability. RU and IM must ensure that all requirements concerning rules and procedures as well as documentation are met by the establishment of the appropriate processes. The set up of these processes must be a relevant part of RU s and IM s SMS as required in Annex III of the Safety Directive. The SMS itself is assessed by the relevant NSA before granting safety certificate/authorisation. IU-OPE_final report Version 1.5 PAGE 20 OF 71

21 6.2 Operation and Traffic Management Subsystem Principles... The Operation and Traffic Management subsystem is a functional subsystem according to annex II of Directive 2008/57/EC. In conformity with Articles 10 and 11 of the Safety Directive, the Railway Undertakings and Infrastructure Managers shall demonstrate compliance with the requirements of this TSI within their SMS when applying for any new or amended safety certificate or safety authorisation.. The CSM on conformity assessment requires NSAs to set up a inspection regime to supervise and monitor the day to day compliance with the SMS including all TSIs.... All other references to the Safety Directive should be deleted from functional requirements as they are covered by these general clauses. The requirements shall of course be kept. This results in the following amendments (if not listed in other chapters of this report and recommendation): 2.3 Link between This TSI and Directive 2004/49/EC Although this TSI is developed under the Interoperability Directive 2001/16/EC, it addresses requirements closely related to the operational procedures and processes required from an Infrastructure Manager or Railway Undertaking when applying for a safety certificate under the Safety Directive 2004/49/EC Managing an emergency situation The Infrastructure Manager must, in consultation with: all Railway Undertakings operating over his infrastructure, or where appropriate, representative bodies of Railway Undertakings operating over his infrastructure, and neighbouring Infrastructure Managers, as appropriate, as well as local authorities and representative bodies at either local or national level as appropriate, of the emergency services including fire fighting and rescue and in conformity with Directive 2004/49/EC, define, publish and make available appropriate measures to manage emergency situations and restore the line to normal operation. IU-OPE_final report Version 1.5 PAGE 21 OF 71

22 Ability to put this knowledge into practice The ability to apply this knowledge in routine, degraded and emergency situations will require staff to be fully acquainted with: the method and principles for applying these rules and procedures the process for the use of lineside equipment and rolling stock, as well as any specific safety-related equipment the principles of the safety management system to avoid the introduction of any undue risk to people and process as well as a general ability to adapt to the different circumstances an individual may encounter. In conformity with Annex III clause 2 of Directive 2004/49/EC, Railway Undertakings and Infrastructure Managers are required to establish a competence management system to ensure that the individual competency of their staff involved is assessed and maintained. Additionally, training must be provided, as necessary, to ensure that knowledge and skills are kept current up to date, especially in relation to weaknesses or deficiencies in system or individual performance Rules and procedures documentation In respect to the assessment of the documentation described in Subsection of this TSI, assurance that the process for preparing the documentation provided by both Infrastructure Manager and Railway Undertaking is sufficient in terms of completeness and accuracy, is the responsibility of the Competent Authority Assessment procedure Decision by the Competent Authority In conjunction with Annex G, the Infrastructure Manager and the Railway Undertaking shall submit a description of any proposed new or amended operational process(es). In respect to those items shown as being under Part A of the Safety Certificate/Authorisation as defined by Directive 2004/49/EC, these shall be presented to the Competent Authority of the Member State in which the company is established. In respect to items shown as being under Part B of the Safety Certificate/Authorisation as defined by Directive 2004/49/EC, these shall be presented to the Competent Authority of each Member State concerned. This shall be provided in sufficient detail to allow the Competent Authority(ies) to make a judgement as to whether a formal assessment will be required. IU-OPE_final report Version 1.5 PAGE 22 OF 71

23 If an assessment is required Where the Competent Authority(ies) decides that such an assessment is required, then this shall be carried out as part of the assessment leading to granting/renewal of the safety certificate/authorisation in conformity with Directive 2004/49/EC. The assessment procedures shall be in compliance with the Common Safety Method to be established for assessment and certification/authorisation of Safety Management Systems required by Articles 10 and 11 of Directive 2004/49/EC. Some guidelines as to how this assessment could be conducted are contained in Annex F System performance Article 14 paragraph 2 of Directive 2001/16/EC requires Member States to check at regular intervals that interoperability subsystems are being operated and maintained in accordance with the essential requirements. In respect to the Traffic Operation and Management subsystem, such checks will be conducted in conformity with Directive 2004/49/EC. 7.1 Principles... In conformity with Articles 10 and 11 of Directive 2004/49/EC, the certification/authorisation is required to be renewed every 5 years. Once this TSI has been put into force and as part of the review process leading to this certification/authorisation renewal, the Railway Undertaking and the Infrastructure Manager must be able to demonstrate that they have taken the contents of this TSI into account and provide justification for any elements of it with which they do not yet comply. Annex C, Introduction The purpose of this document is to set out the rules for safety-related ground-to-mobile and mobile-to-ground communications applicable to information transmitted or exchanged for safety critical situations on the interoperable network and in particular to: - define the nature and structure of the safety-related messages; - define the methodology for voice transmission of those messages. This annex is to serve as the basis: IU-OPE_final report Version 1.5 PAGE 23 OF 71

24 - to enable the Infrastructure Manager to draw up the messages and Books of Forms. These elements shall be addressed to the Railway Undertaking at the same time as the rules and regulations are made available; - for the Infrastructure Manager and the Railway Undertaking to draw up the documents for their staff (Books of Forms), instructions for staff authorising train movements and Appendix 1 to the Driver s Rule book Manual of communication procedures. The extent to which forms are used and their structure may vary. For some risks the use of forms will be appropriate, whilst for others it will not be appropriate. In the context of a given risk, the Infrastructure Manager shall, acting in compliance with Article 9(3) of 2004/49/EC, decide whether the use of a form is appropriate. A form should only be used if the value of its safety and performance benefits exceeds that of any safety and performance disbenefits. Furthermore it is recommended to delete the Annexes F, G, N and V from the TSI OPE. The content of Annexes F and G should be transferred to the SMS guidelines. The content of Annexes N and V are transferred after an update - to the Application guide of TSI OPE. Therefore the references to the Annexes must be deleted: 7.2 Implementation guidelines: The table shown in Annex N, which is informative and not mandatory, has been prepared as a guide to what the Member State could identify as the trigger for implementation of each of the elements in Chapter Consistency with Directive 2008/68/EC [7] on dangerous goods TSI OPE refers in to the Directive for dangerous goods. Directive 96/49 has been repealed. The reference to the Directive on dangerous goods must obviously be updated. The existing TSI reads: Dangerous goods The Railway Undertaking must define the procedures to supervise the transport of dangerous goods. These procedures must include: existing European standards as specified in EC directive 96/49 for identifying dangerous goods on board a train advice to the driver of the presence and position of dangerous goods on the train information the Infrastructure Manager requires for transport of dangerous goods IU-OPE_final report Version 1.5 PAGE 24 OF 71

25 determination of, in conjunction with the Infrastructure Manager, lines of communication and planning of specific measures in case of emergency situations involving the goods. The text should be amended as follows: 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 on the inland transport of dangerous goods 96/49 for identifying dangerous goods on board a train advice to the driver of the presence and position of dangerous goods on the train information the Infrastructure Manager requires for transport of dangerous goods determination of, in conjunction with the Infrastructure Manager, lines of communication and planning of specific measures in case of emergency situations involving the goods. 4.2 Glossary The glossary needs some adjustments. Those have been done whenever results of the topics treated need an amendment. The work is going on and has been rechecked at the end of the revision of TSI OPE CR. The following entries should be amended: Dangerous goods As defined covered by Article 2 of Directive 96/49by Directive 2008/68/EC of 24 September 2008 on the inland transport of dangerous goods Despatch (=dispatch) Driver Book of Forms See Train despatch A person qualified and authorised to drive trains. As defined in Article 3 of Directive 2007/59 A book of forms that describes the sequence of action to be taken by the Infrastructure Manager s staff and the Railway Undertaking s staff when moving trains in degraded situations. Each separate activity requires a separate form. The Book of Forms is prepared in the languages of both the Infrastructure Manager and the Railway Undertaking and the relevant Infrastructure Managers and Railway Undertakings staff holds copies. IU-OPE_final report Version 1.5 PAGE 25 OF 71

26 Member State Length of train When used in connection with this TSI it refers to the Member State which issues the safety authorisation/ certificate as set out in Articles 10 and 11 of Directive 2004/49/EC. Total length over all vehicles including locomotive(s) over buffers Route may be held in documentation, which those staff can rapidly access based on an assessment of the route by the Railway Undertaking or by the requirements of the National Safety Authority. Train Train identification Vehicle Vehicle identification A train is defined as (a) traction unit(s) with or without coupled railway vehicles, or a self-propelled set of vehicles, with train data available operating between two or more defined points. on the TENs. The means to unambiguously identify a particular train. Any single item of rolling stock, for example a locomotive, carriage or wagon. A number applied to a vehicle to uniquely identify it from any other vehicles 4.3 Preparation of the Rule book ( ) The text in the is the following: 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 Railway Undertaking must write the driver s Rule book in either the language of one of the Member States or the operating language of one of the Infrastructure Manager(s) to which the rules will apply. This will not apply for messages and forms which must remain in the operating language of Infrastructure Manager(s). This requirement has been interpreted in more than one way. Based on this experience it is considered that the requirement should be examined to determine what the TSI should actually specify and then re-drafted to ensure that the meaning is completely clear. Based on the first experience this should be revised or confirmed. It must be taken into account that a standard language for operations has not been suggested, so the driver must have language competency for all lines, he shall operate on. IU-OPE_final report Version 1.5 PAGE 26 OF 71

27 The discussion in the Working Party led to the following conclusion: Different countries follow different philosophies in training their drivers for operating trains in other countries. This is among other things due to the Member States official languages (compare the situation in Belgium to the situation to Spain for example). Each RU s competence management has to take the various circumstances into account. One RU might decide to train and examine the drivers in the different languages to be used, another RU might decide to train the drivers in their mother tongue and deliver translations in the Rule book. Relevant is that the driver is competent to apply the rules correctly and that he is able to communicate. How this is ensured should be left open to the RU. The revised text to be recommended is therefore the following: Rule book All the necessary procedures for the driver must be included in a document or a computer medium called the Driver s Rule book. The Driver's Rule book must state the requirements for all the routes worked and the rolling stock used on those routes according to the situations of normal operation, degraded operation and in emergency situations which the driver may encounter. The Driver s Rule book must cover two distinct aspects: one which describes the set of common rules and procedures valid across the TEN (taking into account the contents of Annexes A, B and C) another which sets out any necessary rules and procedures specific to each Infrastructure Manager It must include procedures covering, as a minimum, the following aspects: Staff Safety and Security Signalling and Control Command Train Operation including degraded mode Traction and Rolling Stock Incidents and accidents The Railway Undertaking is responsible for compiling this document. The Railway Undertaking must present the Driver's Rule book in the same format for the entire infrastructure over which their drivers will work. The RU shall compile the driver s Rule book in such a way that the driver s application of all operational rules is enabled. IU-OPE_final report Version 1.5 PAGE 27 OF 71

28 It shall have two appendices: appendix 1 : Manual of communication procedures; appendix 2 : Book of Forms The Railway Undertaking must write the driver s Rule book in either the language of one of the Member States or the operating language of one of the Infrastructure Manager(s) to which the rules will apply. This will not apply for mmessages and forms which must remain in the operating language of Infrastructure Manager(s). The process for preparing and updating the Driver's Rule book shall include the following steps: the Infrastructure Manager (or the organisation responsible for the preparation of the operating rules) must provide the Railway Undertaking with the appropriate information in the Infrastructure Manager s operating language, the Railway Undertaking must draw up the initial or updated document; if the language chosen by the Railway Undertaking for the Driver s Rule book is not the language in which the appropriate information was originally supplied, it is the responsibility of the Railway Undertaking to arrange for any necessary translation and/or provide explanatory notes in another language.... Annex V outlines this process in flowchart format and provides an overview to the process. 4.4 Preparation of the Route book ( ) The TSI OPE lists the following requirements:... The Route Book must be prepared in either a language of one of the Member States chosen by the Railway Undertaking or the operating language used by the Infrastructure Manager. The following information must be included (this list is not exhaustive): the general operating characteristics: - type of signalling and corresponding running regime (double track, reversible working, left or right hand running, etc.) - type of power supply - type of ground-train radio equipment. IU-OPE_final report Version 1.5 PAGE 28 OF 71

29 indication of rising and falling gradients: - gradient values and their precise location detailed line diagram: - names of stations on the line and key locations and their location; - tunnels, including location, name, length, specific information such as the existence of walkways and points of safe egress as well as the location of safe places where evacuation of passengers can take place - essential locations such as neutral sections - permissible speed limits for each track, including, if necessary, differential speeds relating to certain types of train, - the name of the organisation responsible for traffic management control and the name(s) of the traffic management control areas; - the names and areas of control of traffic management centres such as signal boxes; - identification of the radio channels to be used;... - The format of the Route Book must be prepared in the same manner for all the infrastructures worked over by the trains of an individual Railway Undertaking. - The Railway Undertaking is responsible for the preparation of the Route Book using the information supplied by the Infrastructure Manager(s). - In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Infrastructure Manager s Safety Management System must contain a validation process to ensure that the content of the documentation provided to the Railway Undertaking(s) is complete and accurate. - In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Railway Undertaking s Safety Management System must contain a validation process to ensure the content of the Route Book is complete and accurate. The discussion on the Route book had two aspects: The language used and the names and areas of control of traffic management centres. First a brief result of the language issue: The discussions in the Working Party led to the following conclusion that is the same as for the Rule book preparation: Different countries follow different philosophies in training their drivers for operating trains in other countries. This is among others due to the Member States official languages (compare the situation in Belgium to the situation to Spain for example). Each RU s competence management has to take the IU-OPE_final report Version 1.5 PAGE 29 OF 71

30 various circumstances into account. One RU might decide to train and examine the drivers in the different languages to be used, another RU might decide to train the drivers in their mother tongue and deliver translations in the Rule book. Relevant is that the driver is competent to apply the rules correctly and that he is able to communicate. How this is ensured should be left open to the RU. Here the result of the discussion on the names and areas of control of traffic management centres CER claimed that this information can change due to operational reasons and signal boxes that are remote controlled. Therefore this information could be unreliable. The discussion concerning this request focused on the use of the information concerning the signal boxes (and thereby responsible signaller) on the question: Is the driver obliged to check that he is speaking to the right signaller or may he rely on the signaller s confirmation? If the driver has to verify that he is speaking to the right signaller, the driver needs the information; if not, then the requirement is not necessary. The discussion in connection with Annex C (safety related communication) showed that the information about the signaller is first of all linked with means of communication available. Furthermore the driver has to be informed about the IM operating the line / section to identify which operational rules have to be applied. To clarify the requirements and the linked information it is recommended to amend the requirement as follows: The Route book must be prepared in either a language of one of the Member States chosen by the Railway Undertaking or the operating language used by the Infrastructure Manager. The 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 RU is responsible for the competent and correct compilation and application of the Route book (e.g. arranging for any necessary translation and/or providing explanatory notes); The Railway Undertaking is responsible for the preparation of the Route book using the information supplied by the Infrastructure Manager(s). The following information must be included (this list is not exhaustive): the general operating characteristics: - type of signalling and corresponding running regime (double track, reversible working, left or right hand running, etc.) - type of power supply - type of ground-train radio equipment. indication of rising and falling gradients: IU-OPE_final report Version 1.5 PAGE 30 OF 71

31 - gradient values and their precise location detailed line diagram: - names of stations on the line and key locations and their location; - tunnels, including location, name, length, specific information such as the existence of walkways and points of safe egress as well as the location of safe places where evacuation of passengers can take place - essential locations such as neutral sections permissible speed limits for each track, including, if necessary, differential speeds relating to certain types of train, the responsible IM means of communication with the traffic management / control centre in normal and degraded mode - the name of the organisation responsible for traffic management control and the name(s) of the traffic management control areas; - the names and areas of control of traffic management centres such as signal boxes; - identification of the radio channels to be used; In conformity with Annex III paragraph 2 of Directive 2004/49/EC, The Infrastructure Manager s Safety Management System must contain a validation process to ensure that the content of the documentation provided to the Railway Undertaking(s) is complete and accurate. In conformity with Annex III paragraph 2 of Directive 2004/49/EC, The Railway Undertaking s Safety Management System must contain a validation process to ensure that the content of the Route book is complete and accurate. The Application guide should indicate that means of communication shall be indicated track-to-trainradio or signal post phone. 4.5 Modified Elements ( ) The text in the is the following: Modified Elements The Infrastructure Manager must advise any elements modified either permanently or temporarily to the Railway Undertaking. These changes must be grouped by the Railway Undertaking into a dedicated document or computer medium whose format must be the same for all the infrastructures worked over by the trains of an individual Railway Undertaking. IU-OPE_final report Version 1.5 PAGE 31 OF 71

32 In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Infrastructure Manager s Safety Management System must contain a validation process to ensure that the content of the documentation provided to the Railway Undertaking(s) is complete and accurate. In conformity with Annex III paragraph 2 of Directive 2004/49/EC, the Railway Undertaking s Safety Management System must contain a validation process to ensure the content of the document of modified elements is complete and accurate. Having received some requests for clarification it seems that some IMs and RUs understand this requirement differently: some see a link to the information in the Route book; others understand that this information can replace written orders that are necessary in some cases. The intended meaning is that modifications of line side characteristics must be advised to the RU who has to ensure that the driver receives an update of the Route book information. The Route book and its modified elements must be understood as a preparation for the train run, they do not replace the operational procedures related to Control Command and Signalling. To clarify that, the text is recommended to be modified as follows: Modifications to Information contained within the Route book The Infrastructure Manager must advise any elements modified either permanent or temporary modifications to information supplied in accordance with to the Railway Undertakings. These changes must be grouped by the Railway Undertaking into a dedicated document or computer medium whose format must be the same for all the infrastructures worked over by the trains of an individual Railway Undertaking. In conformity with Annex III paragraph 2 of Directive 2004/49/EC, The Infrastructure Manager s Safety Management System must contain a validation process to ensure that the content of the documentation provided to the Railway Undertaking(s) is complete and accurate. In conformity with Annex III paragraph 2 of Directive 2004/49/EC, The Railway Undertaking s Safety Management System must contain a validation process to ensure the content of the document of modifications to information contained within the Route book modified elements is complete and accurate. The TSI OPE HS contains also the following phrase: Changes must be made known in time for the RU to process their impact, update documents and instruct staff. As this clause is not assessable for the NSA within the SMS assessment the time necessary can vary from hours to weeks, depending on the modification itself - it seems to be preferable to explain this in the Application Guide related to the. IU-OPE_final report Version 1.5 PAGE 32 OF 71

33 4.6 Informing the driver in real time ( ) The text in the is the following: Informing the driver in real time The procedure for advising drivers in real time about all modifications to safety arrangements on the route must be defined by the Infrastructure Manager concerned (the process must be unique where ERTMS/ETCS is in use). This procedure is one possibility to inform the driver about changes of the line worked over. It is not linked to the procedures for degraded mode according to This needs to be clarified. Furthermore it is necessary to see that not only safety arrangements may cause information to the driver, but all information provided for the Route book. It is expected that the IM has only one procedure to inform drivers about the changes. The requirement of a unique procedure for ERTMS/ETCS lines is rather a requirement for harmonisation at European level and should therefore be deleted from the TSI. It is understood as a request for harmonisation to be fulfilled by revising/filling Annex B or C of the TSI OPE. The text has to be amended according to the alignment with the Safety Directive. Additionally the text is recommended to be rephrased for the sake of clarity. The recommended clarification is therefore the following text: Informing the driver in real time The IM must inform drivers of any changes to the line or relevant lineside equipment that have not been advised as modifications to information for the Route book as set out in The procedure for advising drivers in real time about all modifications to safety arrangements on the route must be defined by the Infrastructure Manager concerned (the process must be unique where ERTMS/ETCS is in use). A clarification that this requirement is not linked to rules and procedures for degraded operation will be given in the Application guide. It will also be clarified that the information that cannot be covered by modifications to the information for the Route book as real time information means unplanned events like environmental disaster. 4.7 Freight vehicle loading ( ) The text in the is the following: IU-OPE_final report Version 1.5 PAGE 33 OF 71

34 Freight vehicle loading The Railway Undertaking must ensure that vehicles are safely and securely loaded and remain so throughout the journey, taking into account the following: Weight distribution Vehicles must be loaded so as to evenly distribute the weight of the load over all the axles. Where, due to the size or shape of a particular load, this is not possible the Railway Undertaking must apply special conditions of travel to the load for the entire journey Axle loading The Railway Undertaking must ensure that vehicles are not loaded beyond their axle load limit. They must also ensure that vehicles are not loaded beyond the axle load limit of any part of the planned route (unless the Infrastructure Manager(s) concerned have authorised the movement) Load securing Railway Undertakings must ensure that loads and any unused load securing equipment on or in vehicles are secured in a safe manner to prevent unnecessary movement during the journey Kinematic envelope The kinematic gauge of each vehicle (inclusive of any load) in the train must be within the maximum permissible for the section of route Load covering RUs must ensure that any materials used to provide a cover for a load on a vehicle are safely attached either to the vehicle or to the load. These coverings must be made of materials that are suitable to cover the load in question taking in to account the forces that are liable to be experienced during the journey. When discussing the requirements for passenger vehicles ( ), it was found that the requirements for freight vehicle loading are too detailed for a TSI. The requirements should be revised to reach the same level of detail as for passenger trains. The conclusions were that the requirements for departure are in principle identical but the way how to fulfil these requirements differs. Furthermore such a list in the TSI might even be critical as it could be regarded as exhaustive. This is definitely not the case. Before operating a train the RU has not only to ensure that the load is secured but also that the vehicles (including the traction unit with its CCS-equipment) may run on the routes, as well as other aspects. Therefore the list should be reduced to a high-level requirement. To reach the same level of detail, it was agreed to transfer the details into the Application guide. The recommended text is the following: Freight vehicle loading Safety of passengers and load Safety of load IU-OPE_final report Version 1.5 PAGE 34 OF 71

35 The RU must ensure that freight vehicles are safely and securely loaded and remain so throughout the journey Safety of passengers The RU must ensure that passenger transport is undertaken safely at the departure and throughout the journey. The Railway Undertaking must ensure that vehicles are safely and securely loaded and remain so throughout the journey, taking into account the following: Weight distribution Vehicles must be loaded so as to evenly distribute the weight of the load over all the axles. Where, due to the size or shape of a particular load, this is not possible the Railway Undertaking must apply special conditions of travel to the load for the entire journey Axle loading The Railway Undertaking must ensure that vehicles are not loaded beyond their axle load limit. They must also ensure that vehicles are not loaded beyond the axle load limit of any part of the planned route (unless the Infrastructure Manager(s) concerned have authorised the movement) Load securing Railway Undertakings must ensure that loads and any unused load securing equipment on or in vehicles are secured in a safe manner to prevent unnecessary movement during the journey Kinematic envelope The kinematic gauge of each vehicle (inclusive of any load) in the train must be within the maximum permissible for the section of route Load covering RUs must ensure that any materials used to provide a cover for a load on a vehicle are safely attached either to the vehicle or to the load. These coverings must be made of materials that are suitable to cover the load in question taking in to account the forces that are liable to be experienced during the journey 4.8 Train composition Document ( ) The TSI OPE states in : The train composition must be described in a harmonised train composition document (see Annex U). IU-OPE_final report Version 1.5 PAGE 35 OF 71

36 The necessity for a harmonised train composition document caused one of the few controversial discussions. The results of the discussion and the other points of view are presented in the following. The train composition document is a common way to inform the driver about the train composition, including information about dangerous goods. The information for the driver is regarded as a RUinternal procedure which must be considered in the RU s Safety Management System. As the TSI OPE treats first of all requirements concerning the interface between IM and RU (as stated in the report for the 2006/920/EC), this purpose is not satisfactory to introduce a standardised train composition document. The train composition document can also be used to inform the IM about the train composition. On the other hand, the IM requires certain data for the train path allocation; it is up to the IM to request all data he needs for the allocation. If the characteristics change, the RU is obliged to inform the IM by clause General requirement The Railway Undertaking must define the process to ensure that all safety-related ontrain 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. As the format for other data exchange between IM and RU is not standardised in the TSI OPE it does not seem to be appropriate to define a standard format for only one case of data exchange. Also as the use of Telematic Applications can be one way to exchange the information, a train composition document needs not to be mandatory for this purpose. On the contrary, it could cause additional costs for already existing IT-systems if the document form needed to be standardised compared to its doubtful benefit for the sector. Another purpose raised by NSA DE was the SMS assessment. NSA DE stated The contents and the form of the train composition document are not consistent between different member states because the train driver needs different information as consequence of different operational procedures. In Germany e.g. the train driver gets information about the door systems of the coaches in a passenger trains in the train composition document. On the basis of this information the procedure of despatching a train at a platform can vary. Based on this fact a uniform train composition document is difficult to define within a RU running trains in several member states. To achieve a uniform train composition document the international operating RU must transfer the requirements of all concerned member states into an appropriate form of its own train composition document. If the safety authority has to check this train composition document and there are no common assessment criteria the safety authority can only assess the requirements of the own member state. If other contents of the train composition document of a certain RU are contrary to national requirements the safety authority will refuse this train composition document. As a consequence the RU must use different train composition documents for different member states to prevent a conflict with the safety authority. This could be a barrier for interoperability. If we want to solve this problem it would be better to have common assessment criteria for the train composition document. This would make the work easier as well for RU as for safety authorities. IU-OPE_final report Version 1.5 PAGE 36 OF 71

37 This point of view was not shared, especially as the SMS-assessment gives more requirements than the train composition document prescribed in the TSI OPE could. The subject was presented to NSAs and to the RISC in March All comments received shared the position that the train composition document would be nice to be standardised. FR suggested that ERA should support the railway sector in developing a common standard for the train composition document instead of requiring it in the TSI. It is recommended to delete the requirement for a harmonised train composition document: The train composition must be described in a harmonised train composition document (see Annex U). 4.9 Data required ( ) The TSI OPE requires: The Railway Undertaking must define a process in order to ensure that this data is made available to the Infrastructure Manager(s) prior to the departure of the train. The Railway Undertaking must define a process for advising the Infrastructure Manager(s) if a train will not occupy its allocated path or is cancelled. The RU must not only define a process, but must ensure in a reliable manner that the process is really applied. This requirement needs to be stressed more; therefore a different wording is recommended: The Railway Undertaking must define a process in order to ensure that this data is made available to the Infrastructure Manager(s) prior to the departure of the train. The Railway Undertaking must define a process for advising advise the Infrastructure Manager(s) if a train will not occupy its allocated path or is cancelled Train planning ( ), link to Directive 2001/14/EC [6] The states the following: The Infrastructure Manager must advise what data is required when a train path is requested. Further aspects of this element are set out in Directive 2001/14/EC. This interface to the Directive is not completely correct. The Directive on allocation of railway infrastructure capacity and the levying of charges for the use of railway infrastructure and safety certification deals mainly with commercial aspects for the request and allocation of train paths. A discussion took place concerning the possibility and necessity of standardised or harmonised requirements for the train path request. IU-OPE_final report Version 1.5 PAGE 37 OF 71

38 It was stated by representatives from RU- as well as IM-sector organisations that the requirement for data necessary for a path request cannot be harmonised they depend too much on infrastructure characteristics. Examples given were different temperatures, different gradients which lead to different requirements, different paths for dangerous goods and more. The RUs stated not to have experienced any problems with too much information required or being discriminated by different information requests. Therefore a need for a standardisation seems not to be necessary. It was nevertheless regarded as useful to change the wording into the following: In accordance with 2001/14/EC the Infrastructure Manager must advise what data is required when a train path is requested. Further aspects of this element are set out in Directive 2001/14/EC Recording of supervision data on-board the train ( , ) Data recording Data pertaining to the running of a train must be recorded and retained for the purposes of: Supporting systematic safety monitoring as a means of preventing incidents and accidents. Identifying driver, train and infrastructure performance in the period leading up to and (if appropriate) immediately after an incident or accident, to enable the identification of causes related to train driving or train equipment, and supporting the case for new or changed measures to prevent recurrence. To record information relating to the performance of both the locomotive/traction unit and the person driving, including working time Recording of supervision data outside the train As a minimum, the Infrastructure Manager must record the following data: the failure of lineside equipment associated with the movement of trains (signalling, points etc.); the detection of an overheating axle bearing; communication between the train driver and Infrastructure Manager s staff authorising train movements Recording of supervision data on-board the train As a minimum, the Railway Undertaking must record the following data: the passing of signals at danger or end of movement authority without authority IU-OPE_final report Version 1.5 PAGE 38 OF 71

39 application of the emergency brake speed at which the train is running any isolation or overriding of the on-board train control (signalling) systems operation of the audible warning device (horn) operation of door controls (release, closure) detection by on-board hot axle box detectors, if fitted identity of the cab for which data is being recorded to be checked data in order to record working time. The requires a set of data to be recorded. The list has to be revised against the current requirements. First of all the requirements for accident investigation have to be understood. ERA ensures a link not only between the relevant TSIs (OPE, RST and CCS), but also contacts the network of investigation bodies to ensure a global view on the subject of recording device. The first results of these contacts have shown that detailed assessment of each requirement is necessary to ensure that all requirements to be listed in TSIs are linked to essential requirements and are not a simple repetition of currently used requirements. This task cannot be performed in short time and is therefore postponed to the next revision of the TSI. The requirement of recording working time was requested by trade unions. Discussions in the Working Party concerning this requirement lead to the conclusion that a) a Driver s Working Time is not limited to an active traction unit b) the employer has to respect all regulations concerning Working Time. c) The rules for Working Time must be respected for all drivers, not only for those operating on the TEN-network. Therefore it is agreed also by the ETF-representatives in the Working Party to delete the requirement on recording of Working Time from the TSI OPE. Instead the Application Guide will highlight the employer s obligation to respect all existing regulations concerning Working Time. Apart from the onboard recording, the trackside data recording must also be analysed. According to the TSI OPE in force, the IM is obliged to record data from hot axle box detector. It must be discussed if this requirement is appropriate. The RU is responsible for the safe running of its trains including the prevention of hot axle boxes and other damages. To oblige the IM by European legislation to record hot axle box detections means to impose RU s obligations on the IM which seems to be in contradiction to the Safety Directive. Before further investigations, this requirement is therefore softened by the clause if fitted taking into account that in most countries hot axle box detectors are still operated by the IMs. The recommended text is the following: IU-OPE_final report Version 1.5 PAGE 39 OF 71

40 Data recording Data pertaining to the running of a train must be recorded and retained for the purposes of: Supporting systematic safety monitoring as a means of preventing incidents and accidents. Identifying driver, train and infrastructure performance in the period leading up to and (if appropriate) immediately after an incident or accident, to enable the identification of causes related to train driving or train equipment, and supporting the case for new or changed measures to prevent recurrence. To record information relating to the performance of both the locomotive/traction unit and the person driving,including working time Recording of supervision data outside the train As a minimum, the Infrastructure Manager must record the following data: the failure of lineside equipment associated with the movement of trains (signalling, points etc.); the detection of an overheating axle bearing, where this equipment is provided; communication between the train driver and Infrastructure Manager s staff authorising train movements Recording of supervision data on-board the train As a minimum, the Railway Undertaking must record the following data: the passing of signals at danger or end of movement authority without authority application of the emergency brake speed at which the train is running any isolation or overriding of the on-board train control (signalling) systems operation of the audible warning device (horn) operation of door controls (release, closure) detection by on-board hot axle box detectors, if fitted identity of the cab for which data is being recorded to be checked data in order to record working time Driver vigilance survey and its alert to the traffic control centre ( , ) The requires the following: Driver vigilance A means of monitoring the reactions of the driver, intervening to bring the train to a stand if the driver does not react within a time to be specified and where the infrastructure supports the facility, automatically reporting this to the controlling signalling centre. IU-OPE_final report Version 1.5 PAGE 40 OF 71

41 There is an interface between this operational requirement and Subsection in the CR CCS TSI associated with ERTMS Driver vigilance A means of monitoring the reactions of the driver, intervening to bring the train to a stand if the driver does not react within a time to be specified and where the infrastructure supports the facility, automatically reporting this to the controlling signalling centre. There will be an interface with future versions of the RST TSI when it deals with driving cabs. Basically, the need for a driver vigilance device was agreed and not drawn into question. What seemed necessary to be thought about was the following: Is this requirement necessary in the TSI OPE? Is the reporting to the controlling signalling centre appropriate to be stated in the TSI OPE? The requirement concerning the driver vigilance is only listed in chapter 4.3, in the interfaces to other TSIs. There is no requirement stipulated in chapter 4.2. A necessity in the can thereby be doubted. Nevertheless it seems preferable to keep the requirement in the TSI OPE. As it is a requirement that can be derived from the requirement that RUs have to comply with to ensure the safe running of trains in certain cases on certain infrastructure(s), but has no direct operational impact, it is recommended to keep it. It must be listed as a requirement in chapter 4.2 instead of chapter 4.3. The requirements itself is transferred to chapter 4.2, the interface to TSI RST is kept. The more difficult question concerned the function of automatic reporting to the controlling signalling centre. The phrase where the infrastructure supports the facility, automatically reporting this to the controlling signalling centre can be read in two different ways: If the infrastructure supports it, the reporting function can be used. If the infrastructure supports it, the reporting function must be used. It is obvious that these different interpretations exclude each other. Therefore a clarification was regarded as necessary. In the Working Party members coming from 20 different countries represent different organisations. From the 20 countries, only 3 experts informed us that the function is in use and necessary: France, Italy, and United Kingdom. Also in these three countries the reporting function is not available on each line because train radio of an appropriate type must be installed to use this function. The WP received the information that also Portugal uses the function; operational rules are not known to the WP. Experts coming from these countries explained also that on lines without the report to the traffic control centre other operational measures must be taken nowadays, like an additional driver or competent staff member in each train. This has led to the conclusion: the driver vigilance reporting is an operational matter linked to the RU s Safety Management System. The report to the signalling centre is currently used to minimise certain risks such as an incapacitated driver and passengers leaving the train onto the track without any information to the signaller about this incident. Such risks are understood as to be covered by operational rules established by the RU. If the RU decides to IU-OPE_final report Version 1.5 PAGE 41 OF 71

42 implement other operational rules to minimise those risks or prevents such events by other measures, shall be decided by the RU. Current practice shows that trains from the countries concerned run also in other countries - where the report function does not exist - without additional operational measures. Therefore the reporting function is not an interoperability issue. To avoid further misunderstandings it is recommended to delete this part of the description in the TSI OPE. As the driver vigilance device is linked to the TSI RST this link is to be kept; the link to the TSI CCS is to be cut. The next step taken was the question if the driver vigilance device is an operational requirement. For the moment, it is regarded as an operational requirement. The requirement itself is therefore transferred to chapter 4.2 of the TSI; chapter 4.3 will only indicate the interface between chapter 4.2 and the TSI RST in the table of interfaces. The result is the following text: Driver vigilance A means of onboard monitoring of driver vigilance is necessary. This shall intervene to bring the train to a stand if the driver does not react within a certain time; the relevant time range is specified in the TSI RST Driver vigilance A means of monitoring the reactions of the driver, intervening to bring the train to a stand if the driver does not react within a time to be specified and where the infrastructure supports the facility, automatically reporting this to the controlling signalling centre. There is an interface between this operational requirement and Subsection in the CR CCS TSI associated with ERTMS Driver vigilance There is an interface between chapter of this TSI and chapter xxx of the TSI RST. [To be replaced by an entry in the interface table.] A means of monitoring the reactions of the driver, intervening to bring the train to a stand if the driver does not react within a time to be specified and where the infrastructure supports the facility, automatically reporting this to the controlling signalling centre Signal and lineside marker sighting ( ) The requires the following: IU-OPE_final report Version 1.5 PAGE 42 OF 71

43 Signal and lineside marker sighting The driver must be able to observe signals and lineside markers, and they must be observable by the driver from his normal driving position. The same applies for other types of lineside signs if they are safety related. Lineside markers, signs and information boards must be designed in such a consistent way to facilitate this. Issues that must be taken into account include: - that they are suitably sited so that train headlights allow the driver to read the information, - suitability and intensity of lighting, where required to illuminate the information, - where retro-reflectivity is employed, the reflective properties of the material used are in compliance with appropriate specifications and the signs are fabricated so that train headlights easily allow the driver to read the information. There is an interface with subsection of the CR CCS TSI in respect to driver s external field of view. There will also be a new item in a future version of Annex A of the CR CCS TSI in respect to lineside markers on ETCS-fitted lines. The team in charge of the TSI Rolling Stock requested a clarification concerning the driver s normal position. The discussion showed that the normal position is to be understood as each position offered by the technical installations in the driver s cab. A more precise explanation cannot be given because the position is depending on the Rolling Stock s design (locomotive or train set), its purpose (e.g. shunting loco or high speed train). It is recommended to delete the phrase from his normal driving position from the TSI OPE. As the driver s external field of view and his normal position will be defined in the TSI Rolling Stock, the link to the TSI CCS has to be deleted. Furthermore it was discussed if this subject is an operational requirement. As this was agreed, the requirement needs to be shifted to chapter 4.2. Doing this, it is acknowledged that some of the details listed in are not operational requirements, but requirements for Rolling Stock and the installation of signals and lineside signs. The text was accordingly amended. The recommended results for the are as follows: Requirements for Signal and lineside marker sighting The driver must be able to observe signals and lineside markers, and they must be observable by the driver. The same applies for other types of lineside signs if they are safety related. Therefore, signals, lineside markers, signs and information boards must be designed and positioned in such a consistent way to facilitate this. Issues that must be taken into account include: that they are suitably sited so that train headlights allow the driver to read the information, suitability and intensity of lighting, where required to illuminate the information, IU-OPE_final report Version 1.5 PAGE 43 OF 71

44 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 Concerning signs for control command and signalling there is an interface between of this TSI and xxxx of the CR CCS TSI. There is an interface between subsection of this TSI and section xxxx of the RST TSI Use of sanding. ( ) Minimum elements relevant to professional qualification for the task of driving a train The states: Use of sanding. Minimum elements relevant to professional qualifications for the task of driving a train An interface exists between annex H (and Annex B(C1)) of this TSI on one hand, and subsection (compatibility with track-side Train Detection Systems) and 4.1 of appendix 1 of Annex A (as quoted in subsection ) of the CR CCS TSI on the other hand, in respect to the use of sanding. As the professional task of driving a train is covered by the Train driver s licence directive 2007/58/EC, Annex H of the will be recommended to be deleted. The interface has to be updated accordingly. The second topic is the question for the need of such rules in the. The subject was discussed in detail. The result is that Annex B of the TSI OPE could be regarded as a starting point for a European Rule book : rules that are identical in whole Europe should be collected in Annex B. Thereby the harmonisation of operational rules can be extended slowly but steadily. (See also Working Program for 2009: revision of Annex B) The need for the rules of sanding in Annex B was agreed. Based on this agreement, it was briefly discussed if the rules must be extended to cover braking systems that possibly affect the infrastructure (like magnetic brakes).the rules for this kind of braking systems cannot be standardised like the rules for sanding. The IM must indicate the conditions of use to the RU; this is stipulated in Annex T (braking performance). An extension of the requirement in Annex B is not regarded as necessary. The updated interface description is recommended to be amended as follows: IU-OPE_final report Version 1.5 PAGE 44 OF 71

45 Use of sanding. Minimum elements relevant to professional qualifications for the task of driving a train An interface exists between annex H (and Annex B(C1)) of this TSI on one hand, and subsection (compatibility with track-side Train Detection Systems) and 4.1 of appendix 1 of Annex A (as quoted in subsection ) of the CR CCS TSI on the other hand, in respect to the use of sanding. Nevertheless the text in Annex B, C1 must be clarified in one point: sanding in not a requirement to the RST. The rule in Annex B is the clear indication that the driver shall be allowed to sand if necessary. Nevertheless he shall take into account the possible negative effects of sanding as listed in Annex B, C1. The text is recommended to be amended as follows: C1 Sanding The application of sand is an effective way of improving the adhesion of wheels to the rail, to aid braking and starting away especially in conditions of inclement weather. A build-up of sand on the railhead can however cause a number of problems especially in connection with the activation of track circuits and the effective operation of points and crossings. If the train is equipped with manually activated sanding device, the driver must always be able to shall always be allowed to apply sand but shall avoid it wherever possible: - in the area of points and crossings - during braking at speeds less than 20 km/h. - when at a standstill. The exceptions to this are - if there is a risk of SPAD (Signal Passed at Danger), or other serious incident and the application of sand would assist adhesion - when starting away or - when required to test the sanding equipment on the traction unit. (Testing should normally be undertaken in areas specifically designated in the Infrastructure Register). These restrictions are nevertheless not applicable. The deleted clauses are recommended to be transferred to the Application guide: The application of sand is an effective way of improving the adhesion of wheels to the rail, to aid braking and starting away especially in conditions of inclement weather. A build-up of sand on the railhead can cause a number of problems especially in connection with the activation of track circuits and the effective operation of points and crossings. IU-OPE_final report Version 1.5 PAGE 45 OF 71

46 4.15 Requirements for passenger vehicles ( ) The requires the following: Requirements for passenger vehicles It should be noted that an interface will exist, in respect to the following, with other CR RST TSIs when they are created. Compatibility between passenger vehicles and platforms at scheduled passenger stops must be sufficient in order to ensure safe access and egress. Passengers must not be able to open body-side doors intended for their use until the train is at a standstill and the doors have been released by a member of the train crew. Door release must be separate for each side of the train. The integrity of door closure and blocking on passenger trains must be permanently indicated. Activation of the door release must prevent traction power being applied. All vehicles carrying passengers must be equipped with exits that facilitate emergency egress. This interface has currently no reference in chapter 4.2. Members of the AEIF- Working Party who are also members of ERA s Working Party report that the requirements were only stated as a reminder. The operational interoperability issue of the subjects listed is to be doubted; most subjects are linked to RU s internal procedures. The Interoperability Directive states already in the essential requirements most of the technical aspects listed in the passenger vehicle s requirements. Thereby the necessity of such technical solutions is already ensured. Nevertheless it was understood that a high-level requirement for train departure is helpful in the TSI OPE, clause 4.2. This would put requirements for passenger trains on the same level as the requirements for freight trains that are already listed in the TSI OPE. In fact this requirement is already stipulated in the TSI OPE in chapter A revising of this chapter is regarded as sufficient for this subject. Thereby chapter can be deleted completely. NSA DE does not support the conclusions and prefers to have specific requirements in the TSI OPE. The recommended texts are the following: Checks and tests before departure The Railway Undertaking must, in accordance with the requirements set out in the third paragraph of Subsection 4.1 of this TSI, define the checks and tests to ensure that any departure is undertaken safely (e.g. doors, load, brakes). (especially in relation to brakes) that must be undertaken before train departure Requirements for passenger vehicles IU-OPE_final report Version 1.5 PAGE 46 OF 71

47 It should be noted that an interface will exist, in respect to the following, with other CR RST TSIs when they are created. Compatibility between passenger vehicles and platforms at scheduled passenger stops must be sufficient in order to ensure safe access and egress. Passengers must not be able to open body-side doors intended for their use until the train is at a standstill and the doors have been released by a member of the train crew. Door release must be separate for each side of the train. The integrity of door closure and blocking on passenger trains must be permanently indicated. Activation of the door release must prevent traction power being applied. All vehicles carrying passengers must be equipped with exits that facilitate emergency egress. In addition it was found out that the TSI OPE does not contain an important requirement: To ensure smooth operation, it is necessary for the IM to know when a train is ready for departure. The requirement is recommended to be added in clause of the : Informing the Infrastructure Manager of the train's operational status The RU shall inform the IM as soon as 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 Train audibility ( ) The current TSI lists the following interface: The Traffic Operation and Management subsystem determines that the basic requirements for train audibility with which the Rolling Stock subsystem must comply is that a train must be able to provide an audible warning of its presence. The sounds emitted by this warning device, the frequency and intensity of these sounds and the method of activation by the driver must be standardised. There will be an interface with future versions of the RST TSI when it deals with driving cabs and Subsection of this TSI. IU-OPE_final report Version 1.5 PAGE 47 OF 71

48 The requirement itself is stated in chapter of the. The standardisation of frequencies, intensity of the sounds and activation are a technical subject which is treated by the TSI RST. Therefore the interface has to be adapted to the current situation. The result is that the clause should be deleted: The Traffic Operation and Management subsystem determines that the basic requirements for train audibility with which the Rolling Stock subsystem must comply is that a train must be able to provide an audible warning of its presence. The sounds emitted by this warning device, the frequency and intensity of these sounds and the method of activation by the driver must be standardised are defined in the TSI RST. There will be is an interface with chapter xxx future versions of the RST TSI when it deals with driving cabs and Subsection of this TSI Train visibility On the leading vehicle of a train facing in the direction of travel ( ) The requirement in the is stated as follows: On the leading vehicle of a train facing in the direction of travel The forward facing front-end of the leading vehicle of a train must be fitted with three lights, in the shape of an isosceles triangle, as shown below. These lights must always be lit when the train is being driven from that end. The front lights must optimise train detectability (e.g. to track workers and those using public crossings), provide sufficient visibility for the train driver (illumination of the line ahead, lineside information markers/boards, etc) by night and during low light conditions and must not dazzle the drivers of oncoming trains. The spacing, the height above rails, the diameter, the intensity of the lights, the dimensions and shape of the emitted beam in both day and night time operation must be standardised. IU-OPE_final report Version 1.5 PAGE 48 OF 71

49 There will be an interface with future versions of the RST TSI when it deals with driving cabs and Subsection of this TSI. The requirement itself was briefly drawn into question by NSA UK but no evidence for a need of amending this requirement was given. As the requirement has already been accepted by adoption of the in 2006 and is regarded as an operational requirement, ERA is not willing to reopen this subject. What had to be discussed was the wording of the requirement. The wording shape of an isosceles triangle seemed to be understood in the way that there must be three white round lights. What is intended by the requirement is to ensure three white light sourced arranged in the form on an isosceles triangle. If one of the lights is made by two light bulbs or LEDs, is not of importance for the operational purpose. To clarify, it is suggested to replace shape by form. As the TSI Rolling Stock (Loc & Pas) requires head lights and marker lights, it is recommended to introduce these words also in the TSI OPE to ensure consistency and clear understanding of both requirements. Of course the interface to the TSI RST must be updated. Furthermore it must be taken into account that the requirement on the train front end signal is in the chapter 4.3, so the interface description. As the description is a part of the functional requirement, it should be transferred to chapter 4.2, where the basic principle of a train front end signal is already stated. The recommended amendments are the following: Front end The Railway Undertaking must ensure that an approaching train is clearly visible and recognisable as such, by the presence and layout its lit white frond-end lights. This is to enable it to be distinguished as an approaching train from nearby road vehicles or other moving objects. The detailed specification can be found in Subsection 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. IU-OPE_final report Version 1.5 PAGE 49 OF 71

50 The front lights must optimise train detectability (e.g. to track workers and those using public crossings) (marker lights), provide sufficient visibility for the train driver (illumination of the line ahead, lineside information markers/boards, etc (head lights) by night and during low light conditions and must not dazzle the drivers of oncoming trains. The spacing, the height above rails, the diameter, the intensity of the lights, the dimensions and shape of the emitted beam in both day and night time operation must be standardised are defined in the TSI RST There will be is an interface with section xxx of the RST TSI when it deals with driving cabs and Subsection of this TSI. The requirement in of the was regarded as appropriate, but the explanation of the purpose seems appropriate to be transferred to the Application guide. On the rear end ( , Annex S) The states as follows: An interface between subsection of this TSI and subsection and annex BB of the CR RST (Freight Wagons) will exist, if the open point in annex S of the OPE TSI is concluded by specifying a rear signal that requires a bracket. Annex S is listed as an open point. For conventional rail the discussions led up to the following: IU-OPE_final report Version 1.5 PAGE 50 OF 71

51 Due to pragmatic (logistics and historical development), but not operational reasons a continued distinction between passenger trains and freight trains seems to be the most viable solution for the moment. For passenger trains the same solution as for high speed passenger trains (two red lights) can be introduced in the. Eventually, UK will request a specific case. This recommendation is based on the answers received on a questionnaire sent to all NSAs. Thereby half of the open point is solved. For freight trains the investigations went on. The requirements differ from no train rear end signal necessary in Finland to one red lamp in Belgium and to two red lamps in France, Italy and Spain. Also reflective and non-reflective plates are currently in use. Some Member States permit nearly all train rear end signals to avoid problems of stopping trains or complex logistics; these are countries like Germany and the Netherlands who have a lot of cross-border traffic. Such a pragmatic solution seems not to be possible all over Europe due to different operational philosophies and rules. In some countries permissive driving is a day-by-day operation, in others it is regarded as degraded mode. Even the understanding of permissive driving is different throughout Europe. The link between operational philosophies and train rear end signals makes the subject very complex. Therefore a standardisation has not yet been reached. It is regarded as necessary to focus on the purpose of the train rear end signal: To indicate the completeness of a train (in general to the signaller, exemptions exist) to indicate the rear end of a train (e.g. to indicate the point where certain movements have to stop (e.g. permissive driving)) Starting from this assumption the visibility for the following train driver is essential. ERA is assessing the link between the train rear end signal and the head lights of the following train as well as the visibility of reflective plates and different types of lamps in comparison. These assessments include the operational circumstances for driving on sight as the train rear end signal is only observed by the following driver in these situations. ERA thinks that a detailed study including a risk analysis and tests on visibility seems to be necessary that will not finish before the end of this revision cycle. Nevertheless an improvement for freight trains can be reported: the Working Party decided to develop one requirement for a train rear end signal using lamp(s) and one requirement for a train rear end signal of plate(s). By reducing the requirements from 18 different (see below) to two different which are accepted across borders within the region of plateia (countries accepting plates) and inside lampia (countries requiring lamps) the hurdles for trains passing borders without stops due to changes of the rear end signal will be lowered significantly. The trains crossing the border between plateia and lampia will still have to be equipped with lamps, but the lamps shall be accepted in plateia. IU-OPE_final report Version 1.5 PAGE 51 OF 71

52 After the discussion of several different possibilities CER, EIM and ERFA presented a common proposal for the requirements for freight train rear end signals on a standard lamp based on the UIC-leaflet 452 (1975) and a standard plate. This proposal is intended to be an intermediate solution until one standard requirement for Europe is developed. It must be understood that this proposal takes into account the current situation for freight train rear end signals. As the requirements for passenger trains are already specified in the (draft) RST (PAS and LOC) TSIs, a distinction between freight and passenger train related requirements is acceptable from an operational point of view. The common proposal is supported as follows: Rear end The railway undertaking shall 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 shall be displayed as shown below. IU-OPE_final report Version 1.5 PAGE 52 OF 71

53 Passenger trains 2 steady red lights at the same height above buffer on the transversal axis. (Interface to the TSI LOC+PAS) Freight trains in international traffic The Member State shall notify which of the following requirements will apply on the network of its Member State for trains that do cross a border between member states: Either 2 steady red lights, or 2 reflective plates of the following shape with white side triangles and red top and bottom triangle: IU-OPE_final report Version 1.5 PAGE 53 OF 71

54 The lamps or plates shall be on the same height above buffer on the transversal axis. Member States that require 2 reflective plates must also accept 2 steady red lights as train rear end indication. Chapter 4.3 of TSI OPE The specifications for the attachment to the vehicle are set out in of TSI WAG; the specifications for the lights and reflective plates are set out in the TSI WAG, Annex xx. To be replaced by an entry in the interface table For freight trains not crossing a border between Member States the train rear end indication is an open point. See annex U Annex S Left intentionally blank To ensure a common acceptance of the standardised lamp/plate, it is recommended to stipulate more technical details in a TSI. They are suggested to be listed in an Annex of the TSI WAG which is currently also under revision: TSI WAG Annex for Train rear end signal Specification for rear end lamps and reflective plates Lamps 1 Optical system The colour of tail lamps shall be in accordance with EN :2010, clause (values). The lamp must display a luminous area of at least 170 mm diameter. The reflector system must be designed to display a lighting strength of at least 15 candela of red light along the axis of the lighting surface for an angle of opening of 15 horizontally and 5 vertically. The intensity must be at least 7.5 candela of red light. 2 Casing IU-OPE_final report Version 1.5 PAGE 54 OF 71

55 The casing must withstand the environmental conditions as set out in the TSI RST (LOC-PAS), section It must be fitted with means of attaching it on the bracket of the vehicle specified in and Annex BB of this TSI. It must withstand radio field systems likely to be typically met in Railway premises and surroundings. The lamp must be equipped with: - a switch (see 3 below); - a warning light which indicates the battery status. 3 Working The lamp must become lit only as a result of the action of attaching the lamp to the bracket and then operating the switch. Under such conditions, the lamp must remain permanently lit. 4 Battery The battery system must be designed to guarantee a minimum 20 hours-lighting once the lamp is attached to the bracket. Plates 1. Overall size The plate shall be at least 385 mm x 165 mm including the handle and the means of attaching it on the bracket of the vehicle specified in and Annex BB of this TSI. 2. Reflective section The reflective section must be as illustrated. The side triangles shall be white, the top and the bottom triangles shall be red. 150 mm x 200 mm. IU-OPE_final report Version 1.5 PAGE 55 OF 71

56 150 mm 200 mm 3. Reflectivity The plate shall be retro-reflective according to European norm Class Ref. 2. Placing in service and maintenance For both lamps and reflective plates, the manufacturer shall be responsible for declaring the product to be in conformance (see Chapter 6 of this TSI) before the product is placed on the market. This is to ensure that lamps and plates become Interoperability Constituents Route knowledge ( ) The requires the following: Route knowledge The Railway Undertaking must define the process by which knowledge of train crew of the routes worked over is acquired and maintained. This process must be: based upon the route information provided by the Infrastructure Manager and in accordance with the process described in Subsection of this TSI. Drivers must learn these routes through both theoretical and practical elements. Once the recommendation on consistency of the TSI OPE with the Train driver s licence directive is adopted (end 2009), this requirement will not be applicable to drivers, but to other members of the train crew. The terms route knowledge and infrastructure as well as their definition for different members of the train crew is not reflected correctly and should be revised. IU-OPE_final report Version 1.5 PAGE 56 OF 71

57 The recommended amendments are the following: RouteInfrastructure knowledge The Railway Undertaking must ensure that the on board staff has appropriate knowledge for the relevant infrastructure. The Railway Undertaking must define the process by which knowledge of train crew of the routes worked over is acquired and maintained. This process must be: based upon the route information provided by the Infrastructure Manager and in accordance with the process described in Subsection of this TSI Other rules enabling a coherent operation of the new different structural subsystems (Annex B) The title and scope and content of Annex B are currently not correctly described in its heading and must be revised to fulfil its intended purpose. After such a decision the identification of suitable items for Annex B will be possible. The discussion led to the following conclusions: It is important to develop harmonised operational rules on a rather detailed level under two aspects: Harmonised rules for the operation of new structural subsystems (to avoid diverging technical solutions when placing these subsystems in service) Existing rules that can be harmonised (to reduce divergence and thereby increase common operational procedures that lead to facilitated training) Therefore it is recommended to change the title as follows: Other rules enabling a coherent operation of the new different structural subsystems (Annex B) It is not regarded as necessary to declare Annex B an open point; it will evolve within the next revisions of the TSI. A methodology has been agreed that ERA will apply to prepare the next revision of the Safety related communication (Annex C) The status of Annex C seems to need to be clarified; much of it was written for the first edition of the HS OPE TSI, its content must be revised. The discussion about this subject was very brief. It was agreed that the content must be revised to update it to today s language; the content itself is not wrong. On the other hand it is important for safe operation that the rules for communication including detailed messages are identical for IU-OPE_final report Version 1.5 PAGE 57 OF 71

58 conventional and for high-speed rail. This principle is already applied with the recommendation for a common Annex A for the TSIs OPE CR and HS. As it is envisaged to merge the TSIs OPE HS and CR from mid 2010 on, the revision of Annex C has been postponed to the next revision of the TSI OPE. Nevertheless the introduction of Annex C (chapter ) should be amended to clarify the split of responsibilities between signaller and driver Identification It is very important that before each communication, other than very urgent top priority safety messages, the persons who are going to communicate identify themselves. Not only is this a polite thing to do it, more importantly, provides a confidence that the person authorising train movements is in communication with the driver of the correct train and the driver knows he is speaking with the correct signalling or control centre. This is especially critical when communication is taking place in areas where communications boundaries overlap. This principle shall apply even after an interruption during transmission. Therefore the following amendment is suggested: Identification It is very important that before at the beginning of each communication, other than very urgent top priority safety emergency messages, the persons who are going to communicate identify themselves. Drivers identify themselves by train running number and position. For communication between signaller and driver it is the signaller s lead responsibility to ensure that the right signaller and driver are in communication. Not only is this a polite thing to do it, more importantly, provides a confidence that the person authorising train movements is in communication with the driver of the correct train and the driver knows he is speaking with the correct signalling or control centre. This is especially critical when communication is taking place in areas where communications boundaries overlap. This principle shall apply even after an interruption during transmission Book of Forms (Annex C, 2.3) The TSI OPE contains some requirements concerning the Book of Forms. The current text in the is the following: IU-OPE_final report Version 1.5 PAGE 58 OF 71

59 Having identified all the forms to be used, the whole set must be collected into a document or a computer medium called the Book of Forms. It is a joint document that will be used by the driver and the staff authorising the movement of trains when they communicate with each other. It is important therefore that the book used by the driver and the one used by the staff authorising the movement of trains are constructed and numbered in the same manner. The Infrastructure Manager is responsible for drawing up the Book of Forms and the forms themselves in his operating language. The Railway Undertaking may add translations of the forms and associated information contained in the Book of Forms, if he thinks that would help his drivers both during training and in real-time situations. The language to be used when transmitting the messages shall always be the operating language of the Infrastructure Manager.... The second part contains the Procedure Forms themselves. Several examples of each form should be included in the Book of Forms and it is suggested that dividers should be used to separate the sections. The Railway Undertaking may include explanatory text relevant to each form and the situations covered, in the drivers Book of Forms. Some of the statements seem more to be recommendations than requirements. Therefore the phrases including wordings like if he thinks that would help, should be are recommended to be cut from the TSI OPE and transferred to the Application Guide. The result is the following: Having identified all the forms to be used, the whole set must be collected into a document or a computer medium called the Book of Forms. It is a joint document that will be used by the driver and the staff authorising the movement of trains when they communicate with each other. It is important therefore that the book used by the driver and the one used by the staff authorising the movement of trains are constructed and numbered in the same manner. The Infrastructure Manager is responsible for drawing up the Book of Forms and the forms themselves in his operating language. The Railway Undertaking may add translations of the forms and associated information contained in the Book of Forms, if he thinks that would help his drivers both during training and in real-time situations. The language to be used when transmitting the messages shall always be the operating language of the Infrastructure Manager.... The second part contains the Procedure Forms themselves. These must be collected by the RU and given to the driver. Several examples of each form should be included in the Book of Forms and it is suggested that dividers should be used to separate the sections. IU-OPE_final report Version 1.5 PAGE 59 OF 71

60 The Railway Undertaking may include explanatory text relevant to each form and the situations covered, in the drivers Book of Forms. A brief discussion took place concerning the need for additional messages to be required in the Annex C. As the Annex C seems to be listed as informative in the, the need for additional messages will be investigated when rethinking the status of Annex C in whole informative or mandatory. The result is that the principles laid down in Annex C are mandatory Train identification (Annex R) The train identification is listed as an open point in the. It refers to a CEN Workshop Agreement of 2005 which has been developed to answer requirements from the TSI TAF. A survey of the CWA concluded that there is a loop-reference in the TSI TAF, the regulations in the CWA cannot be used for a solution of the train identification in the TSI OPE. The solution must fit with existing technical systems and be implemented as soon as possible. Several sector organisations claimed that this subject must be solved very soon, so a waiting for the implementation of new systems would not be helpful. This lead to the following constraints: The train identification number must have maximum five digits, all numerical. (UK uses an alphanumerical system, but all other existing systems work with numerical digits; also GSM-R and ETCS train identification are based on numerical train identification numbers). The number must be unique in each country. This means that the numbers used by domestic trains can be used in once per Member State; the number of a train crossing several borders should be used only once in Europe. An intelligent number would be nice but is less important than a unique number. The UIC-leaflet 419-1(Analytical numbering of international passenger trains) and (Analytical numbering of international freight trains) were taken into account, but do not ensure unique numbers. Furthermore they do not seem to be extendable to further countries. A new approach is understood as necessary. A splitting the range of numbers available seems to be the most appropriate way to ensure unique train numbers: a) A range for trains crossing more than one border b) A range for trains crossing one border (which can be used more than once per day, but its use must be coordinated) c) A range for domestic trains (can be used once per Member State) The idea has been translated into a table: IU-OPE_final report Version 1.5 PAGE 60 OF 71

61 The solution is currently under discussion in the sector organisations mirror groups. The solution seems to have the following advantages: IU-OPE_final report Version 1.5 PAGE 61 OF 71

TSI OPERATION AND TRAFFIC MANAGEMENT FINAL REPORT ON THE MERGING OF CONVENTIONAL RAIL AND HIGH SPEED TSIS

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