ERTMS UNIT TRANS-EUROPEAN RAIL SYSTEM SUBSYSTEM CONTROL-COMMAND AND SIGNALLING

Transcription

1 EUROPEAN RAILWAY AGENCY ERTMS UNIT Reference: ERA/ERTMS/ Document type: Technical Specification for Interoperability Version : final draft 1.1 Date : 13/01/2011 Edited by Quality review Approved by Name Angelo Chiappini Angelo Chiappini P. GUIDO Rafal Lipinski Martin Schroeder Position Project Officers Project Officer Head of Unit Date & Signat. File : CCS TSI final EN RISC.doc PAGE 1 OF 71

2 AMENDMENT RECORD Version Date Section number Modification/description Author /07/10 all from Ch 1-2 v 0.6, Ch 3 v0.6 and Ch 4 7 July translation /08/10 all editorial improvements for publication /09/10 all review meeting /09/10 all review meeting /10/10 all improvements agreed in CCS WP meeting: deletion of on-board safety platform, note for Annex A index 5 and new version of some specifications /10/10 all deletion of 4.8 and other references to registers; editorial improvements; update of Annex G with open points from the Interface specification /10/10 7 review meeting /10/10 Annex G list of open points updated /11/ after ERA internal review: clarified link with CSM /12/10 different sections after legal check: improved reference to other legislation; reference to ECC/DC(02)05 deleted update of Annex A review meeting: clarification on the use of Index 27 for trackside equipment rules for transitions between Class A and Class B rules for migration of train detection systems /01/2011 section 4.1 Annex G editorial clarification update of list of open points ERA/ERTMS/ Version final draft 1.1 PAGE 2 OF 71

3 TABLE OF CONTENTS ERA ERTMS UNIT Amendment record... 2 Table of contents INTRODUCTION Technical scope Geographical scope Content of this TSI SUBSYSTEM DEFINITION AND SCOPE Introduction Scope Application Levels (ERTMS/ETCS) THE ESSENTIAL REQUIREMENTS OF THE CONTROL-COMMAND SUBSYSTEM General Specific Aspects for the Control-Command and Signalling Subsystem CHARACTERISATION OF THE SUBSYSTEM Introduction Functional and technical specifications of the Subsystem Functional and technical specifications of the interfaces to other Subsystems Operating rules Maintenance rules Professional competences Health and safety conditions INTEROPERABILITY CONSTITUENTS Definition List of interoperability constituents Constituents` performance and specifications ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITUENTS AND VERIFICATION OF THE SUBSYSTEM Introduction Interoperability constituents Control-Command and Signalling Subsystem Provisions for partial conformity ERA/ERTMS/ Version final draft 1.1 PAGE 3 OF 71

4 7. IMPLEMENTATION OF THE TSI CONTROL-COMMAND AND SIGNALLING Introduction Generally applicable rules Rules for ERTMS ANNEX A References Specifications ANNEX B ANNEX C ANNEX D ANNEX E ANNEX F ANNEX G ERA/ERTMS/ Version final draft 1.1 PAGE 4 OF 71

5 1. INTRODUCTION 1.1. TECHNICAL SCOPE This TSI concerns the Control Command and Signalling Subsystem GEOGRAPHICAL SCOPE The geographical scope of this TSI is the trans-european rail system, i.e., the trans- European conventional and high-speed rail systems as set out in points 1 and 2 of Annex I of Directive 2008/57/EC of the European Parliament and of the Council of 17 June 2008 on the interoperability of the rail system within the Community 1 (Railway Interoperability Directive) CONTENT OF THIS TSI In accordance with Article 5(3) of the Railway Interoperability Directive, this TSI: 1. indicates its intended scope Chapter 2 (Subsystem Definition and Scope); 2. lays down essential requirements for the Control-Command and Signalling Subsystem and its interfaces vis-a-vis other subsystems Chapter 3 (The Essential Requirements of The Control-Command and Signalling Subsystem); 3. establishes the functional and technical specifications to be met by the Subsystem and its interfaces vis-à-vis other Subsystems Chapter 4 (Characterisation of the Subsystem); 4. determines the interoperability constituents and interfaces which must be covered by European specifications, including European standards, which are necessary to achieve interoperability within the trans-european rail system Chapter 5 (Interoperability Constituents); 5. states, in each case under consideration, which procedures are to be used in order to assess the conformity or the suitability for use of the interoperability constituents, on the one hand, or the EC verification of the subsystem, on the other hand Chapter 6 (Assessment of Conformity and/or Suitability For Use of the Constituents and Verification of the Subsystem); 6. indicates the strategy for implementing this TSI. Chapter 7 (Implementation of the TSI Control-Command and Signalling Subsystem); 7. indicates, for the staff concerned, the professional competences and health and safety conditions at work required for the operation and maintenance of the Subsystem concerned, as well as for the implementation of the TSI Chapter 4 (Characterisation of the Subsystem). In accordance with Article 5(5) of the Railway Interoperability Directive, provisions for specific cases are indicated in Chapter 7 (Implementation of the TSI Control- Command and Signalling Subsystem). This TSI also sets out, in Chapter 4 (Characterisation of the Subsystem), the operating and maintenance rules specific to the scope indicated in paragraphs 1.1 and 1.2 above. 1 OJ L 191, , p.1 amended by Commission Directive 2009/131/EC of 16 October 2009, OJ L 273, , p. 12 ERA/ERTMS/ Version final draft 1.1 PAGE 5 OF 71

6 2. SUBSYSTEM DEFINITION AND SCOPE 2.1. INTRODUCTION The Control-Command and Signalling Subsystem is defined in Annex II of the Railway Interoperability Directive as all the equipment necessary to ensure safety and to command and control movements of trains authorised to travel on the network. The features of the Control-Command and Signalling Subsystem are: 1. the functions that are essential for the safe control of the railway traffic, and that are essential for the operation, including those required under degraded modes 2, 2. the interfaces, 3. the level of performance required to meet the essential requirements SCOPE The TSI Control-Command and Signalling specifies only those requirements which are necessary to assure the interoperability of the trans-european rail system and the compliance with the essential requirements. The Control-Command and Signalling subsystem is divided in on-board and trackside assembly and includes the following parts: 1. train protection, 2. radio communication, 3. train detection. Within each of the above items two classes are defined: 1. Class A: The unified Control-Command and Signalling functions, interfaces and performances, specified in this TSI, 2. Class B: Control-Command and Signalling functions, interfaces and performances existing before the entry in force of this TSI, under the responsibility of the corresponding Member State. The Class A train protection system is ERTMS/ETCS whilst the Class A radio system is GSM-R. For Class A train detection this TSI only specifies the requirements for the interface with other subsystems. For Class B train protection, Specific Transmission Modules (STMs) installed on board allow a train equipped with ERTMS/ETCS to operate on lines fitted with Class B train protection systems. The requirements for the Onboard Assembly are specified in relation to: 1. Class A radio mobiles, 2. Class A train protection, including requirements for the interface to be respected by STMs; if solutions other than the use of a standard STM 2 Degraded modes: modes of operation to deal with faults, which have been anticipated in the design of the Control-Command and Signalling Subsystem ERA/ERTMS/ Version final draft 1.1 PAGE 6 OF 71

7 interface are used, a specific (non standard) interface must be implemented for the Class A functions. The requirements for the Trackside Assembly are specified in relation to: 1. Class A radio network, 2. Class A train protection, 3. Interface requirements for train detection systems, to ensure their compatibility with rolling stock APPLICATION LEVELS (ERTMS/ETCS) The interfaces specified by this TSI define the means of data transmission to, and where appropriate, from trains. The ERTMS/ETCS specifications referenced by this TSI provide application levels from which a trackside implementation may choose the means of transmission that meet its requirements. This TSI defines the requirements for all application levels. A train equipped with Class A On-board train protection for a given application level shall be able to operate on that level and any lower one. ERA/ERTMS/ Version final draft 1.1 PAGE 7 OF 71

8 3. THE ESSENTIAL REQUIREMENTS OF THE CONTROL- COMMAND SUBSYSTEM 3.1. GENERAL The Railway Interoperability Directive requires that the Subsystems and the Interoperability Constituents including interfaces meet the Essential Requirements set out in general terms in Annex III to the Directive. The Essential Requirements are: 1. Safety, 2. Reliability and Availability, 3. Health, 4. Environmental Protection, 5. Technical compatibility. The Essential Requirements for Class A systems are described below. The requirements for Class B systems are the responsibility of the relevant Member State SPECIFIC ASPECTS FOR THE CONTROL-COMMAND AND SIGNALLING SUBSYSTEM Safety Every project to which this specification is applied shall put into effect the measures necessary to demonstrate that the level of risk of an incident occurring that is within the scope of the Control-Command and Signalling Subsystem, is not higher than the objective for the service. To ensure that the solutions to achieve safety do not jeopardise interoperability the requirements of the basic parameter defined in section (Control-Command and Signalling safety characteristics relevant to interoperability) shall be respected. For the ERTMS/ETCS Class A system the global safety objective for the Subsystem is apportioned between the On-board and Track-side Assemblies. The detailed requirements are specified in the Basic Parameter defined in section (Control- Command and Signalling safety characteristics relevant to interoperability). This safety requirement must be met together with the availability requirements as defined in Section (Reliability and Availability) Reliability and Availability For the Class A system, the global reliability and availability objectives for the Subsystem are apportioned between the On-board and Track-side Assemblies. The detailed requirements are specified in the Basic Parameter defined in section (Control-Command and Signalling safety characteristics relevant to interoperability). The level of risk shall be controlled as constituents of the subsystem age and wear. The requirements for maintenance stated in section 4.5 shall be respected Health According to the European regulations and to the national regulations which are compatible with the European legislation, precautions shall be taken to ensure that ERA/ERTMS/ Version final draft 1.1 PAGE 8 OF 71

9 the materials used in and the design of Control-Command and Signalling Subsystems do not constitute a health hazard to persons having access to them Environmental Protection According to the European regulations and to the national regulations which are compatible with the European legislation: Technical Compatibility 1. the Control-Command and Signalling equipment, if subjected to excessive heat or fire, shall not exceed limits for the emission of fumes or gases which are harmful to the environment, 2. the Control-Command and Signalling equipment shall not contain substances which may abnormally contaminate the environment during their normal use, 3. the Control-Command and Signalling equipment shall be subject to the European legislation in force controlling the limits to the emission of and the susceptibility to electromagnetic interference along the boundaries of railway property, 4. the Control-Command and Signalling equipment shall comply with existing regulations on noise pollution, 5. the Control-Command and Signalling equipment shall not give rise to any inadmissible level of vibration which could jeopardise the integrity of the infrastructure (when the infrastructure is in the correct state of maintenance). Technical compatibility includes the functions, interfaces and performances required to achieve interoperability. The requirements of technical compatibility are subdivided in the following three categories: Engineering Compatibility 1. The first category sets out the general engineering requirements for interoperability namely environmental conditions, internal electromagnetic compatibility (EMC) within the railway boundaries, and installation. These compatibility requirements are defined in this Chapter, 2. The second category describes how the Control Command and Signalling Subsystem has to be applied technically and what functions it has to perform in order that interoperability is achieved. This category is defined in Chapter 4, 3. The third category describes how the Control Command and Signalling Subsystem has to be operated in order that interoperability is achieved. This category is defined in Chapter Physical Environmental Conditions Control Command and Signalling equipment shall be capable of operating under the climatic and physical conditions which exist along the relevant part of the trans- European rail system. The requirements of the basic parameter (Environmental conditions) shall be respected. ERA/ERTMS/ Version final draft 1.1 PAGE 9 OF 71

10 Railway Internal Electromagnetic Compatibility According to the European regulations and to national regulations which are compatible with the European legislation, the Control Command and Signalling equipment shall neither interfere with nor be interfered by other Control Command and Signalling equipment or other Subsystems. The Basic Parameter related to Electromagnetic Compatibility between Rolling Stock and Control Command and Signalling track-side equipment is described in section (Electromagnetic Compatibility) Control-Command and Signalling Compatibility. Chapter 4 defines the requirements for the interoperability of the Control Command and Signalling Subsystem. In addition, this TSI ensures, as far as the Control Command and Signalling Subsystem is concerned, the technical interoperability between trans-european high speed rail and conventional rail systems when both are fitted with Class A systems. ERA/ERTMS/ Version final draft 1.1 PAGE 10 OF 71

11 4. CHARACTERISATION OF THE SUBSYSTEM 4.1. INTRODUCTION In accordance with the relevant Essential Requirements, the Control-Command and Signalling Subsystem is characterised by the following Basic Parameters: 1. Control-Command and Signalling safety characteristics relevant to interoperability (section 4.2.1) 2. On-board ERTMS/ETCS functionality (section 4.2.2) 3. Track-side ERTMS/ETCS functionality (section 4.2.3) 4. Mobile communication functions for railways GSM-R (section 4.2.4) 5. ERTMS/ETCS and GSM-R air gap interfaces (section 4.2.5) 6. On-Board Interfaces Internal to Control-Command and Signalling (section 4.2.6) 7. Track-side Interfaces Internal to Control-Command and Signalling (section 4.2.7) 8. Key Management (section 4.2.8) 9. ETCS-ID Management (section 4.2.9) 10. Train Detection Systems (section ) 11. Electromagnetic Compatibility between rolling stock and Control-Command and Signalling track-side equipment (section ) 12. ERTMS/ETCS DMI (driver machine interface) (section ) 13. GSM-R DMI (driver machine interface) (section ) 14. Interface to data recording for regulatory purposes (section ) 15. Visibility of track-side Control-Command and Signalling objects (section ) 16. Environmental conditions (sections ) All requirements in section 4.2 (Functional and technical specifications of the Subsystem) to fulfil these basic parameters shall be applied to the Class A system. Requirements of Class B systems as well as of STMs (which enable the Class A Onboard to operate over Class B infrastructure) are the responsibility of the appropriate Member State. This TSI is based on the principles of enabling the trackside assembly to be compatible with TSI compliant on-board assembliess. To achieve this goal: 1. functions, interfaces and performances of the on-board assembly are standardised, ensuring that every train will react to data received from track-side in a predictable way; 2. for the track-side assembly, track to train and train to track communication are fully standardised in this TSI. The specifications referenced in the sections below allow flexibility in the application of Control-Command and Signalling trackside functionality, to allow its optimal integration in the railway system; this flexibility shall be exploited without limitations for the movement of TSI compliant on-board assemblies. The Control-Command and Signalling functions are classified in categories indicating whether they are optional (O) or mandatory (M). The categories are defined in Annex A, 4.1a for ERTMS/ETCS and Annex A, 4.1b for GSM-R and the classification of the functions are indicated within their text. Annex A, 4.1c provides the Glossary of ERTMS/ETCS terms and definitions, which are used in the specifications referred to in Annex A. ERA/ERTMS/ Version final draft 1.1 PAGE 11 OF 71

12 According to section 2.2 (Scope) the Control-Command and Signalling subsystem includes three parts and is split between the On-board and Track-side Assemblies. The following table indicates which basic parameters are relevant for each part. Assembly Part Basic Parameters On-board train protection 4.2.1, 4.2.2, 4.2.5, 4.2.6, 4.2.8, 4.2.9, , , radio 4.2.4, 4.2.5, 4.2.6, , , communication Trackside train protection 4.2.3, 4.2.5, 4.2.7, 4.2.8, 4.2.9, , radio 4.2.4, 4.2.5, 4.2.7, communication train detection , , With respect to the essential requirements in Chapter 3, the functional and technical specifications of the Control-Command and Signalling Subsystem are as follows FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE SUBSYSTEM Control-Command and Signalling safety characteristics relevant to interoperability This Basic Parameter describes the requirements for On-board assemblies and Track-side assemblies with reference to section (Safety) and section (Availability and Reliability). In order to achieve interoperability, for the implementation of Control-Command and Signalling on-board and track-side assemblies the process specified in the Commission Regulation (EC) No 352/2009 of 24 April 2009 on the adoption of a common safety method on risk evaluation and assessment as referred to in Article 6(3)(a) of Directive 2004/49/EC of the European Parliament and of the Council 3 (Common Safety Method) shall be applied taking care that: 1. The design, implementation and use of a Control-Command and Signalling on-board or track-side assembly shall not export any requirements a) across the interface between on-board and track-side Control- Command and Signalling Assemblies in addition to the requirements specified in this TSI, b) to any other subsystem in addition to the requirements specified in the corresponding TSIs. 2. The requirements in the sections and below shall be respected Safety The on-board and trackside assemblies shall respect the requirements for ERTMS/ETCS equipment and installations stated in this TSI. The safety requirements are defined in Annex A a Availability / Reliability 3 OJ L 108, , p. 4 ERA/ERTMS/ Version final draft 1.1 PAGE 12 OF 71

13 The on-board and track-side assemblies shall respect the requirements stated in this TSI. The availability / reliability requirements are defined in Annex A b. The level of risk shall be controlled during the life of the assemblies. The requirements for maintenance stated in section 4.5 (Maintenance rules) shall be respected On-board ERTMS/ETCS functionality The Basic Parameter for ERTMS/ETCS on board functionality describes all of the functions to run a train in a safe way. The primary function is to provide automatic train protection and cab signalling: 1. setting the train characteristics (e.g., maximum train speed, braking performance), 2. selecting the supervision mode on the basis of information from track-side, 3. performing odometry functions, 4. locating the train in a co-ordinate system based on Eurobalise locations, 5. calculating the dynamic speed profile for its mission on the basis of train characteristics and of information from track-side, 6. supervising the dynamic speed profile during the mission, 7. providing the intervention function. These functions shall be implemented in accordance with Annex A b and their performance shall conform to Annex A a. The requirements for tests are specified in Annex A 4.2.2c. The ETCS identities of equipment shall be managed in accordance with section (ETCS-ID management). The main functionality is supported by other functions, to which Annex A 4.2.2a and Annex A 4.2.2b apply as well, together with the additional specifications indicated below: 1. Communication with the Control-Command and Signalling Track-side Assembly. a) Eurobalise data transmission. See section (Eurobalise communication with the train). b) Euroloop data transmission. See section (Euroloop communication with the train). This functionality is optional on-board unless Euroloop is installed track-side in ERTMS/ETCS Level 1 and the release speed is set to zero for safety reasons (e.g., protection of danger points). c) Radio data transmission for radio infill. See Annex A, d, section (Radio communications with the train), section (Interface between GSM-R Radio Data Communication and ERTMS/ETCS) and section (Key Management). This functionality is optional on-board unless Radio data transmission for radio infill is installed track-side in ERTMS/ETCS Level 1 and the release speed is set to zero for safety reasons (e.g., protection of danger points). d) Radio data transmission. See section (Radio communications with the train), section (Interface between GSM-R Radio Data Communication and ERTMS/ETCS) and section (Key Management). Only mandatory onboard for ERTMS/ETCS Level 2 or ETCS Level 3 applications. 2. Communicating with the driver. See Annex A, e and section (ERTMS/ETCS DMI). 3. Communicating with the STM. See section (Interface between ERTMS/ETCS and STM). This function includes: ERA/ERTMS/ Version final draft 1.1 PAGE 13 OF 71

14 a) managing the STM output, b) providing data to be used by the STM, c) managing STM transitions. 4. Managing information about the completeness of the train (train integrity) mandatory for level 3, not required for level 1 or Equipment health monitoring and degraded mode support. This function includes: a) initialising the on-board ERTMS/ETCS functionality, b) providing degraded mode support, c) isolating the on-board ERTMS/ETCS functionality. 6. Support data recording for regulatory purposes. See section (Interface to Data Recording for Regulatory Purposes). 7. Forwarding information/orders and receiving state information from rolling stock: a) to the DMI. See section (ERTMS/ETCS DMI) b) to/from the train interface unit. See Annex A, f Track-side ERTMS/ETCS functionality This Basic Parameter describes the ERTMS/ETCS track-side functionality. It contains all ERTMS/ETCS functionality to provide a safe path to a specific train. The main functionality is: 1. locating a specific train in a co-ordinate system based on Eurobalise locations (levels 2 and 3), 2. translating the information from track-side signalling equipment into a standard format for the Control-Command and Signalling On-board Assembly, 3. sending movement authorities including track description and orders assigned to a specific train. These functions shall be implemented in accordance with Annex A 4.2.3b and their performance shall conform to Annex A 4.2.3a. The requirements for tests are specified in Annex A 4.2.3c. The ETCS identities of equipment shall be managed in accordance with section (ETCS-ID management). The main functionality is supported by other functions, to which Annex A 4.2.3a and Annex A 4.2.3b also apply, together with the additional specifications indicated below: 1. communicating with the Control-Command and Signalling On-board Assembly. This includes: a) Eurobalise data transmission. See section (Eurobalise communication with the train) and section (Eurobalise/Line-side Electronic Unit (LEU)), b) Euroloop data transmission. See section (Euroloop communication with the train) and section (Euroloop/LEU). Euroloop is only relevant in level 1 in which it is optional, c) Radio data transmission for radio infill. See Annex A, 4.2.3d, section (Radio communications with the train), section (GSM-R/track-side ETCS functionality) and section (Key Management). Radio in-fill is only relevant in level 1 in which it is optional, d) Radio data transmission. See section (Radio communications with the train), section (GSM-R/track-side ETCS functionality) and section (Key Management). Radio data transmission is only relevant to level 2 and level 3. ERA/ERTMS/ Version final draft 1.1 PAGE 14 OF 71

15 2. generating information/orders to the on-board ERTMS/ETCS, e.g., information related to closing/opening the air flaps, lowering/raising the pantograph, opening/closing the main power switch, changing from traction system A to traction system B. Implementation of this functionality is optional for track-side. 3. managing the transitions between areas supervised by different Radio Block Centres (RBCs) (only relevant for level 2 and level 3). See section (Functional interface between RBCs) and section (Technical interface between RBCs) Mobile communication functions for railways - GSM-R This basic parameter describes the radio communication functions. Such functions shall be implemented in the on-board assembly and in the track-side assembly, according to the specifications indicated below Basic communication function The general requirements are specified in Annex A 4.2.4a. In addition the following specifications shall be respected: 1. ASCI features; Annex A 4.2.4b, 2. SIM card; Annex A 4.2.4c, 3. User to User Signalling; Annex A 4.2.4d, 4. location dependent addressing; Annex A 4.2.4e Voice and operational communication applications The general requirements are defined in Annex A 4.2.4f. The requirements for tests are specified in Annex A 4.2.4g In addition the following specifications shall be respected: 1. confirmation of high priority calls; Annex A 4.2.4h, 2. functional addressing; Annex A 4.2.4j, 3. presentation of functional numbers; Annex A 4.2.4k Data communication applications for ETCS The general requirements are defined in Annex A 4.2.4f. The requirements for tests are specified in Annex A 4.2.4g. This functionality is only mandatory in case of ETCS level 2 and 3 and radio in-fill applications ERTMS/ETCS and GSM-R air gap interfaces This Basic Parameter specifies the requirements for the air gap between track-side and on-board Control-Command and Signalling Assemblies and has to be taken into account in conjunction with the requirements for the interfaces between ERTMS/ETCS and GSM-R equipment, as specified in section (on-board Interfaces Internal to Control-Command and Signalling) and section (track-side Interfaces Internal to Control-Command and Signalling). This Basic Parameter includes: ERA/ERTMS/ Version final draft 1.1 PAGE 15 OF 71

16 1. the physical, electrical and electromagnetic values to be respected to allow safe functioning, 2. the communication protocol to be used, 3. the availability of the communication channel. The applicable specifications are listed below Radio communications with the train Class A radio communication interfaces shall operate in the GSM-R Band - see Annex A, 4.2.5a. The protocols shall comply with Annex A 4.2.5b. In case radio in-fill is implemented, the requirements stated in Annex A 4.2.5c shall be respected Eurobalise communication with the train Eurobalise communication interfaces shall comply with Annex A 4.2.5d Euroloop communication with the train Euroloop communication interfaces shall comply with Annex A 4.2.5e On-Board Interfaces Internal to Control-Command and Signalling This Basic Parameter consists of three parts ERTMS/ETCS and Class B train protection In case ERTMS/ETCS and Class B train protection functions are installed on-board, the transitions between them can be managed with a standardised interface as specified in Annex A, a. Annex A, 4.2.6b specifies the K interface (to allow certain STMs to read information from Class B balises through the ERTMS/ETCS on-board antenna) and Annex A 4.2.6c the G interface (air gap between ETCS on-board antenna and Class B balises). Implementation of the Interface 'K' is optional, but if done it must be in accordance with Annex A, 4.2.6b. Furthermore, if Interface 'K' is implemented, the on-board transmission channel functionality shall be able to handle the properties of Annex A, 4.2.6c. In case the transitions between ERTMS/ETCS and Class B train protection on-board are not managed according to the standardised interface specified in Annex A, a, it has to be ensured that the solution adopted does not impose any additional requirements to the trackside assembly Interface between GSM-R Radio Data Communication and ERTMS/ETCS The requirements for the interface between the Class A radio and the on-board ERTMS/ETCS functionality are specified in Annex A 4.2.6d. In case radio in-fill is implemented the requirements stated in Annex A 4.2.6e shall be respected. ERA/ERTMS/ Version final draft 1.1 PAGE 16 OF 71

17 Odometry ERA ERTMS UNIT The interface between the odometry function and ETCS on-board shall meet the requirements of Annex A, 4.2.6f. This interface only contributes to this Basic Parameter when odometry equipment is supplied as a separate interoperability constituent (see section 5.2.2, Grouping of interoperability constituents) Track-side Interfaces Internal to Control-Command and Signalling This Basic Parameter consists of five parts Functional interface between RBCs This interface defines the data to be exchanged between neighbouring RBCs to allow the safe movement of a train from one RBC area to the next: 1. Information from the Handing Over RBC to the Accepting RBC, 2. Information from the Accepting RBC to the Handing Over RBC, The requirements are specified in Annex A, 4.2.7a RBC/RBC This is the technical interface between two RBCs. The requirements are specified in Annex A, 4.2.7b GSM-R/track-side ETCS This is the interface between the Class A radio system and the track-side ETCS functionality. The requirements are specified in Annex A, 4.2.7c Eurobalise/LEU This is the interface between Eurobalise and the LEU. The requirements are specified in Annex A, 4.2.7d. This interface only contributes to this Basic Parameter when Eurobalise and LEU are supplied as separate interoperability constituents (see section 5.2.2, Grouping of interoperability constituents) Euroloop/LEU This is the interface between Euroloop and the LEU. The requirements are specified in Annex A, 4.2.7e. This interface only contributes to this Basic Parameter when Euroloop and LEU are supplied as separate interoperability constituents (see section 5.2.2, Grouping of interoperability constituents) Key Management This Basic Parameter specifies requirements for the management of cryptographic keys used for the protection of data transmitted via radio. Infrastructure managers and rolling stock keepers shall have a management system that controls and manages the keys, including the procedures and tools to install them in equipment belonging to the respective Control-Command and Signalling assembly. ERA/ERTMS/ Version final draft 1.1 PAGE 17 OF 71

18 Each item of ERTMS/ETCS equipment requiring a cryptographic key shall be associated to one Key Management Centre (KMC). This KMC is known as the Home-KMC. All key operations on this equipment shall be handled through its Home- KMC. A key management interface is required: 1. between the on-board ERTMS/ETCS equipment and its respective Home- KMC, 2. between the track-side ERTMS/ETCS equipment and its respective Home- KMC, 3. in the case that the on-board equipment and the track-side equipment have different Home-KMCs, between the Home-KMC for the on-board equipment and the Home-KMC for the track-side equipment, 4. in the case of on-board ERTMS/ETCS equipment containing only a single key, between the Home-KMCs for the track-side equipment. The requirements are specified in Annex A 4.2.8a. Only requirements related to the interfaces of Control-Command and Signalling equipment are in the scope of this TSI ETCS-ID Management This Basic Parameter concerns the ETCS-identities (ETCS-IDs) for equipment in track-side and on-board assemblies. 1. The European Railway Agency shall allocate values to Member States and suppliers of ERTMS/ETCS on-board equipment. 2. Member States shall manage the allocation of values to Infrastructure Managers. 3. Infrastructure Managers shall manage the values for track side assemblies until the putting into service and during the operation of the assembly. 4. Suppliers of on-board Control-Command and Signalling equipment shall manage the values for that equipment until placing it on the market. 5. Rolling Stock keepers shall manage the values as assigned to the Control- Command and Signalling on-board assemblies of their rolling stock from the time of putting it into service and during the whole life of the assembly. The requirements are specified in Annex A, 4.2.9a Track-side Train Detection Systems This Basic Parameter specifies the interface requirements between the track-side train detection systems and rolling stock. The interface requirements to be respected by the train detection systems are specified in Annex A a Electromagnetic Compatibility between Rolling Stock and Control-Command and Signalling track-side equipment This basic parameter specifies the interface requirements for electromagnetic compatibility between rolling stock and track-side Control-Command and Signalling equipment. ERA/ERTMS/ Version final draft 1.1 PAGE 18 OF 71

19 The interface requirements to be respected by the train detection system are specified in Annex A a ERTMS/ETCS DMI (Driver Machine Interface) This Basic Parameter describes the information provided from ERTMS/ETCS to the driver and entered into the ERTMS/ETCS on-board by the driver. See Annex A, a. It includes: 1. ergonomics (including visibility), 2. ERTMS/ETCS functions to be displayed, 3. ERTMS/ETCS functions triggered by driver input GSM-R DMI (Driver Machine Interface) This Basic Parameter describes the information provided from GSM-R to the driver and entered into the GSM-R on-board by the driver. See Annex A, a. It includes: 1. ergonomics (including visibility), 2. GSM-R functions to be displayed, 3. call related information outgoing, 4. call related information incoming Interface to Data Recording for Regulatory Purposes This Basic Parameter describes: 1. data exchange between the ERTMS/ETCS on-board and the rolling stock recording device, 2. communication protocols, 3. physical interface. See Annex A a Visibility of track-side Control-Command and Signalling objects This Basic Parameter describes: 1. the characteristics of retro-reflecting signs to ensure correct visibility, 2. the characteristics of interoperable marker boards. See Annex A a. In addition, the installation of track-side Control-Command and Signalling objects shall be compatible with the driver s field of view and the infrastructure requirements Environmental conditions The environmental conditions mandated in the specifications referenced in this TSI shall be respected FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE ERA/ERTMS/ Version final draft 1.1 PAGE 19 OF 71

20 INTERFACES TO OTHER SUBSYSTEMS Interface to the Subsystem Traffic Operation and Management Interface with Traffic Operation and Management TSI Reference CCS TSI Reference Traffic Operation and Management TSI Parameter Clause Parameter Clause Operating rules (normal and Rule book degraded conditions) Operating rules 4.4 Visibility of track-side Control- Signal and line-side marker Command and Signalling sighting objects Train braking performance and characteristics Braking performance Use of sanding equipment On-board flange lubrication Rule book Use of composite brake blocks Interface to Data Recording for Regulatory Purposes Data recording onboard ETCS DMI Train running number GSM-R DMI Train running number Interface to the Subsystem Rolling Stock Interface with Rolling Stock TSIs Reference CCS TSI Reference Rolling Stock TSIs Parameter Clause Parameter Clause Compatibility with trackside train detection systems: vehicle design Rolling stock characteristics to be compatible with train detection systems based on track circuits HS RS TSI wheelset location axle load sanding electrical resistance between wheels LOC & PAS TSI Rolling stock characteristics to be compatible with train detection systems based on axle counters Wagon TSI HS RS TSI wheelset geometry wheels LOC & PAS TSI Wagon TSI Electromagnetic compatibility between rolling stock and Control- Command and Signalling track-side equipment Rolling stock characteristics to be compatible with loop equipment Rolling stock characteristics to be compatible with train detection systems based on track circuits HS RS TSI LOC & PAS TSI Wagon TSI HS RS TSI LOC & PAS TSI Wagon TSI None None None Rolling stock characteristics to be compatible with train detection systems based on axle counters HS RS TSI LOC & PAS TSI Wagon TSI None Train braking performance and characteristics Emergency braking performance HS RS TSI Emergency braking Service braking LOC & PAS TSI Emergency braking Service braking Wagon TSI ERA/ERTMS/ Version final draft 1.1 PAGE 20 OF 71

21 Interface with Rolling Stock TSIs Reference CCS TSI Reference Rolling Stock TSIs Parameter Clause Parameter Clause Position of Control- Command and Signalling on-board antennas Kinematic gauge HS RS TSI LOC & PAS TSI Isolation of on-board ERTMS/ETCS functionality Wagon TSI Operating rules HS RS TSI LOC & PAS TSI Wagon TSI none none Data interfaces Monitoring and diagnostic concepts HS RS TSI LOC & PAS TSI Wagon TSI None Visibility of track-side Control-Command and Signalling objects External visibility Head lights HS RS TSI LOC & PAS TSI Wagon TSI None Driver s external field of view HS RS TSI line of sight windscreen b LOC & PAS TSI Wagon TSI line of sight windscreen None Interface to data recording for regulatory purposes Recording device HS RS TSI LOC & PAS TSI Wagon TSI none Commands to rolling stock equipment Phase separation HS RS TSI LOC & PAS TSI Wagon TSI none Emergency braking command Emergency braking command HS RS TSI LOC & PAS TSI none Wagon TSI none Interfaces to Subsystem Infrastructure Interface with Infrastructure TSI Reference CCS TSI Reference Infrastructure TSI Parameter Clause Parameter Clause Train detection systems (space for installation) Minimum infrastructure gauge HS Structure gauge CR Eurobalise communication (space for installation) Minimum infrastructure gauge HS Structure gauge CR Euroloop communication (space for installation) Minimum infrastructure gauge HS Structure gauge CR ERA/ERTMS/ Version final draft 1.1 PAGE 21 OF 71

22 Interface with Infrastructure TSI Reference CCS TSI Reference Infrastructure TSI Parameter Clause Parameter Clause Visibility of track-side Control-Command and Signalling objects Minimum infrastructure gauge Structure gauge HS CR Interfaces to Subsystem Energy Interface with Energy TSI Reference CCS TSI Reference Energy TSI Parameter Clause Parameter Clause Commands to rolling stock equipment Phase separation sections System separation sections HS ENE TSI Phase separation sections System separation sections CR ENE TSI OPERATING RULES The rules for the operation of railway service with ERTMS/ETCS are specified in the TSI Traffic Operation and Management MAINTENANCE RULES The maintenance rules of the subsystem covered by this TSI shall ensure that the values quoted in the Basic Parameters indicated in Chapter 4 are maintained within the required limits throughout the lifetime of the assemblies. However, during preventative or corrective maintenance, the subsystem may not be able to respect the values quoted in the Basic Parameters; the maintenance rules shall ensure that safety is not prejudiced during these activities. The entity in charge of the Control-Command and Signalling Subsystem shall set up maintenance rules to achieve the above objectives. To assist with the preparation of these rules, the following requirements shall be respected Responsibility of the manufacturer of equipment The manufacturer of equipment incorporated in the subsystem shall specify: 1. all maintenance requirements and procedures (including e.g., health monitoring, diagnosis of events, test methods and tools and also the required professional competence) necessary for the achievement of essential requirements and values quoted in the mandatory requirements of this TSI during the whole equipment life-cycle (transport and storage before installation, normal operation, failures, repair actions, verifications and maintenance interventions, decommissioning etc.), 2. the risks for health and safety that may affect the public and the maintenance staff, 3. the conditions for first line maintenance, i.e., the definition of Line Replaceable Units (LRUs), the definition of approved compatible versions of Hardware and Software, the procedures for substitution of failed LRUs, the conditions for storage of LRUs and for the repair of failed LRUs, 4. the verifications to be performed in case equipment is subject to exceptional stress (e.g., adverse environmental conditions or abnormal shocks), ERA/ERTMS/ Version final draft 1.1 PAGE 22 OF 71

23 5. the verifications to be performed in case non Control-Command and Signalling equipment with influence on the Control-Command and Signalling subsystem is subject to maintenance action (e.g., wheel diameter change ) Responsibility of the applicant for subsystem verification The applicant shall: 1. ensure that the maintenance requirements as described in section (Responsibility of the Manufacturer of Equipment) are defined for all components within the scope of this TSI (regardless of whether they are interoperability constituents or not), 2. complete the requirements above taking into account the risks due to interactions of different equipment inside the subsystem and interfaces to other subsystems PROFESSIONAL COMPETENCES The manufacturers of the equipment and of the subsystem shall provide information sufficient to define the professional competences required for the installation, the final inspection and the maintenance of the Control-Command and Signalling Subsystem. See section 4.5 (Maintenance rules) HEALTH AND SAFETY CONDITIONS Precautions shall be taken to ensure health and safety for maintenance and operations staff, in accordance with the European regulations and the National regulations that are compatible with the European legislation. Manufacturers shall indicate the risks for health and safety deriving from the use and maintenance of their equipment and of subsystems. See section 4.4 (Operating rules) and section 4.5 (Maintenance rules). ERA/ERTMS/ Version final draft 1.1 PAGE 23 OF 71

24 5. INTEROPERABILITY CONSTITUENTS 5.1. DEFINITION According to Article 2(f) of the Railway Interoperability Directive, interoperability constituents are 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 either directly or indirectly. The concept of a constituent covers both tangible objects and intangible objects such as software LIST OF INTEROPERABILITY CONSTITUENTS Basic interoperability constituents The basic interoperability constituents in the Control-Command and Signalling Subsystem are defined in: 1. Table 5.1.a for the On-board Assembly, 2. Table 5.2.a for the Track-side Assembly Grouping of interoperability constituents The functions of basic interoperability constituents may be combined to form a group. This group is then defined by those functions and the remaining interfaces to the outside of the group. If a group is formed this way, it shall be considered as an interoperability constituent. 1. Table 5.1.b lists the groups of interoperability constituents of the On-board Assembly 2. Table 5.2.b lists the groups of interoperability constituents of the Track-side Assembly 5.3. CONSTITUENTS` PERFORMANCE AND SPECIFICATIONS For each basic interoperability constituent or group of interoperability constituents, the tables in Chapter 5 describe: 1. in column 3, the functions and interfaces. Note that some interoperability constituents have functions and/or interfaces that are optional, 2. in column 4, the mandatory specifications for the conformity assessment of each function or interface, as far as relevant, by reference to the relevant section of Chapter 4. ERA/ERTMS/ Version final draft 1.1 PAGE 24 OF 71

25 Table 5.1.a Basic interoperability constituents in the On-board Control-Command and Signalling Assembly N Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to Chapter 4 1 ERTMS/ETCS on-board Reliability, Availability, Maintainability, Safety (RAMS) On-board ETCS functionality (Excluding Odometry) ERTMS/ETCS and GSM-R air gap interfaces RBC (level 2 and 3) Radio in-fill unit (optional level 1) Eurobalise airgap Euroloop airgap (optional level 1) Interfaces STM (implementation of interface K optional) ERTMS/ETCS GSM-R on-board Odometry Key management system ETCS ID Management ERTMS/ETCS Driver Machine Interface Train interface On-board recording device Physical environmental conditions Odometry Reliability, Availability, Maintainability, Safety (RAMS) On-board ERTMS/ETCS functionality: only Odometry Interfaces ERTMS/ETCS on-board Environmental conditions Interface of External STM Interfaces ERTMS/ETCS on-board ERA/ERTMS/ Version final draft 1.1 PAGE 25 OF 71

26 N Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to Chapter 4 4 GSM-R voice cab radio Note: SIM card, antenna, connecting cables and filters are not part of this interoperability constituent Reliability, Availability, Maintainability, Safety (RAMS) Note: no requirement for safety Basic communication functions Voice and operational communication applications Interfaces GSM-R air gap GSM-R Driver Machine Interface Environmental conditions GSM-R ETCS Data only Radio Note: SIM card, antenna, connecting cables and filters are not part of this interoperability constituent Reliability, Availability, Maintainability, Safety (RAMS) Note: no requirement for safety Basic communication functions ETCS data communication applications Interfaces ERTMS/ETCS on-board GSM-R air gap Environmental conditions GSM-R SIM card Basic communication functions Environmental conditions ERA/ERTMS/ Version final draft 1.1 PAGE 26 OF 71

27 Table 5.1.b Groups of interoperability constituents in the On-board Control-Command and Signalling Assembly This table is an example to show the structure. Other groups are allowed N Group of Interoperability Characteristics constituents 1 ERTMS/ETCS on-board Odometry Reliability, Availability, Maintainability, Safety (RAMS) Specific requirements to be assessed by reference to Chapter On-board ERTMS/ETCS functionality ERTMS/ETCS and GSM-R air gap interfaces RBC (level 2 and 3) Radio in-fill unit (optional level 1) Eurobalise airgap Euroloop airgap (optional level 1) Interfaces STM (implementation of interface K optional) ERTMS/ETCS - GSM-R on-board Key management system ETCS-ID Management ERTMS/ETCS Driver Machine Interface Train interface On-board recording device Physical environmental conditions ERA/ERTMS/ Version final draft 1.1 PAGE 27 OF 71

28 Table 5.2.a Basic interoperability constituents in the Track-side Control-Command and Signalling Assembly N Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to Chapter 4 1 RBC Reliability, Availability, Maintainability, Safety (RAMS) Track-side ERTMS/ETCS functionality, excluded communication via Eurobalises, radio in-fill and Euroloop ERTMS/ETCS and GSM-R air gap interfaces: only radio communication with train Interfaces Neighbouring RBC ERTMS/ETCS GSM-R track-side Key management system ETCS-ID Management , Environmental conditions Radio in-fill unit Reliability, Availability, Maintainability, Safety (RAMS) Track-side ERTMS/ETCS functionality, excluded communication via Eurobalises, Euroloop and level 2/3 functionality ERTMS/ETCS and GSM-R air gap interfaces: only radio communication with train Interfaces ERTMS/ETCS - GSM-R track-side Key management system ETCS-ID Management Interlocking and LEU Environmental conditions ERA/ERTMS/ Version final draft 1.1 PAGE 28 OF 71

29 N Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to Chapter 4 3 Eurobalise Reliability, Availability, Maintainability, Safety (RAMS) ERTMS/ETCS and GSM-R air gap interfaces: only Eurobalise communication with train Interfaces LEU - Eurobalise Environmental conditions Euroloop Reliability, Availability, Maintainability, Safety (RAMS) ERTMS/ETCS and GSM-R air gap interfaces: only Euroloop communication with train Interfaces LEU - Euroloop Environmental conditions LEU Eurobalise Reliability, Availability, Maintainability, Safety (RAMS) Track-side ERTMS/ETCS functionality, excluded communication via radio in-fill, Euroloop and level 2 and level 3 functionality Interfaces LEU - Eurobalise Environmental conditions ERA/ERTMS/ Version final draft 1.1 PAGE 29 OF 71

30 N Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to Chapter 4 6 LEU Euroloop Reliability, Availability, Maintainability, Safety (RAMS) Track-side ERTMS/ETCS functionality, excluded communication via radio in-fill, Eurobalise and level 2 and level 3 functionality Interfaces LEU - Euroloop Environmental conditions ERA/ERTMS/ Version final draft 1.1 PAGE 30 OF 71

31 Table 5.2.b Groups of interoperability constituents in the Track-side Control-Command and Signalling Assembly This table is an example to show the structure. Other groups are allowed N Group of interoperability constituents Characteristics 1 Eurobalise LEU Eurobalise Reliability, Availability, Maintainability, Safety (RAMS) Specific requirements to be assessed by reference to Chapter Track-side ERTMS/ETCS functionality, excluded communication via Euroloop and level 2 and level 3 functionality ERTMS/ETCS and GSM-R air gap interfaces: only Eurobalise communication with train Environmental conditions Euroloop LEU Euroloop Reliability, Availability, Maintainability, Safety (RAMS) Track-side ERTMS/ETCS functionality, excluded communication via Eurobalise and level 2 and level 3 functionality ERTMS/ETCS and GSM-R air gap interfaces: only Euroloop communication with train Environmental conditions ERA/ERTMS/ Version final draft 1.1 PAGE 31 OF 71

32 6. ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE OF THE CONSTITUENTS AND VERIFICATION OF THE SUBSYSTEM 6.1. INTRODUCTION General principles The fulfilment of the essential requirements quoted in Chapter 3 of this TSI is ensured through compliance with the Basic Parameters specified in Chapter 4. This compliance is demonstrated by: 1. the assessment of conformity of interoperability constituents specified in Chapter 5 (see section 6.2), 2. the verification of Assemblies (see section 6.3). Nevertheless, where part of the essential requirements are satisfied by National Rules, because of: 1. use of Class B systems, 2. open points in the TSI, 3. derogations under article 9 of the Railway Interoperability Directive, 4. specific cases described in section 7.2.9, then the assessment of conformity with such rules shall be carried out under the responsibility of the Member States concerned according to notified procedures Principles for testing of ERTMS/ETCS and GSM-R An on-board assembly with EC Declaration of verification shall be able to run on every track-side assembly with EC Declaration of verification, under the conditions specified in this TSI, with no additional verifications. The achievement of this goal is facilitated by: 1. rules for the design and installation of the on-board and the track-side assembly, 2. test specifications to prove compliance with the requirements of this TSI and the compatibility of on-board and track-side assemblies. In order to strengthen the effectiveness of the conformity assessment of ERTMS/ETCS and GSM-R equipment to achieve the goal mentioned above, each Member State shall ensure that the operational test scenarios, related to the verification of the ERTMS/ETCS and GSM-R part of the track-side assembly interacting with the corresponding part of the on-board assemblies, are made available to the European Commission: 1. The test scenarios shall be consistent with the specifications referenced in this TSI and provide a technical description of functions and performances (e.g., reaction times) as far as relevant for the interaction between on-board and track-side. 2. The test scenarios shall be submitted in a standard format. See Annex A 4.2.2c ERA/ERTMS/ Version final draft 1.1 PAGE 32 OF 71

33 The European Railway Agency shall: 1. make a preliminary publication of the operational test scenarios, allowing all interested parties to comment about the consistency of the test scenarios with the specifications referenced in this TSI and their impact on other implementations or developments. The period for comments shall be defined with each publication and not exceed 6 months, 2. in the case of negative impact, support and co-ordinate the involved parties, in order to find an agreement, e.g., a modification of the operational test scenarios, 3. progressively build and make publicly available a database of test scenarios that have successfully passed the step described above and representing the situations occurring in different implementations, 4. use the data base of test scenarios to evaluate the opportunity to complete the mandatory test specifications and to define additional engineering rules for the on-board and the track-side assembly INTEROPERABILITY CONSTITUENTS Assessment procedures for Control-Command and Signalling Interoperability Constituents The manufacturer of an interoperability constituent (and/or groups of interoperability constituents) or his authorised representative established within the Community shall draw up an EC declaration of conformity in accordance with Article 13.1 and Annex IV of the Railway Interoperability Directive /EC before placing them on the market. The assessment procedure shall be carried out by application of modules as specified in section (Modules for Control-Command and Signalling Interoperability Constituents). An EC declaration of suitability for use is not required for Control-Command and Signalling interoperability constituents, because they have to fully comply with all the relevant Basic Parameters, which is demonstrated by the EC Declaration of conformity and is sufficient for placing them on the market Modules for Control-Command and Signalling Interoperability Constituents For the assessment of interoperability constituents within the Control-Command and Signalling subsystem, the manufacturer, or his authorised representative established within the Community, may choose: 1. either the type-examination procedure (Module CB) for the design and development phase in combination with the production quality management system procedure (Module CD) for the production phase, or 2. the type-examination procedure (Module CB) for the design and development phase in combination with the product verification procedure (Module CF), or 3. the full quality management system with design examination procedure (Module CH1). In addition and only for the SIM card Interoperability Constituent, the selection of module CA is allowed. 4 The check that an Interoperability Constituent is used appropriately is part of the EC verification of on-board and track-side assemblies, as explained in and ERA/ERTMS/ Version final draft 1.1 PAGE 33 OF 71

34 The description of the modules is in the Commission Decision of 9 November 2010 on modules for the procedures for assessment of conformity, suitability for use and EC verification to be used in the technical specifications for interoperability adopted under Directive 2008/57/EC of the European Parliament and of the Council 5. The following clarifications apply to the use of some of the modules: 1. with reference to Chapter 2 of the Module CB, EC-type examination shall be carried out through a combination of production type and design type, 2. with reference to Chapter 3 of the Module CF (product verification) statistical verification is not allowed, i.e. all interoperability constituents shall be individually examined Assessment requirements Independently of the selected module: 1. the requirements stated in section of this TSI shall be respected for the interoperability constituent ERTMS/ETCS on-board, 2. the activities shown in table 6.1 shall be done for the conformity assessment of an interoperability constituent or a group of interoperability constituents as defined in Chapter 5 of this TSI. All verifications shall be done by reference to the applicable table in Chapter 5 and the basic parameters indicated there. Table 6.1 Aspect What to assess supporting evidence functions, that all mandatory functions, interfaces and design documentation and interfaces and performances as described in the basic running of test cases and test performances parameters referenced in the relevant table of Chapter 5 are implemented and that they comply with the requirements of this TSI scenarios, as described in the Basic Parameters referenced in the relevant table of Chapter 5 environment which optional functions and interfaces as described in the basic parameters referenced in the relevant table of Chapter 5 are implemented and that they comply with the requirements of this TSI which additional functions and interfaces (not specified in this TSI) are implemented and that they do not lead to conflicts with implemented functions specified in this TSI the compliance with mandatory environmental conditions, where specified in the basic parameters referenced in the relevant table of Chapter 5 in addition, the correct functioning in environmental conditions for which the interoperability constituent is designed design documentation and running of test cases and test scenarios, as described in the Basic Parameters referenced in the relevant table of Chapter 5 impact analysis tests, to ensure that the requirements of the Basic Parameters referenced in the relevant table of Chapter 5 are satisfied tests according to applicant s specifications 5 OJ L 319, , p. 1 ERA/ERTMS/ Version final draft 1.1 PAGE 34 OF 71

35 Aspect What to assess supporting evidence Reliability, the compliance with safety requirements calculations for the THRs Availability, Maintainability, described in the basic parameters referenced in the relevant table of Chapter 5, i.e. caused by random failures Safety (RAMS) 1. the respect of quantitative Tolerable Hazard documentation of: Rates (THRs) caused by random failures 1. the manufacturer quality 2. the adequacy of the development process and safety management to detect and eliminate systematic failures throughout design, manufacturing and testing. 2. the safety verification and validation process. 3. the functional and technical safety (correct operation under fault-free conditions, effects of faults and of external influences). that the quantitative reliability target indicated by the applicant is met the compliance with requirements about maintenance calculations document check Special issues The ERTMS/ETCS on-board Attention shall be given to the conformity assessment of the ERTMS/ETCS on-board interoperability constituent, because of its complexity and high relevance for the achievement of interoperability. Independently of the selection of module CB or CH1, the Notified Body shall check that a specimen of the interoperability constituent has passed, in a laboratory accredited in accordance with Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93 6 to carry out this type of tests, the full set of mandatory test sequences referenced in section (ETCS on-board functionality). In addition, to increase confidence on the correct operation of the ERTMS/ETCS onboard with different track-side applications, it is recommended to test the ERTMS/ETCS on-board with scenarios from the data base managed by the Agency and not part of the mandatory test specifications; see section (Principles for testing of ERTMS/ETCS and GSM-R). The documentation accompanying the certificate shall indicate against which scenarios from the data base the interoperability constituent has been verified The Specific Transmission Module (STM) The verification of conformity with national requirements for an STM is the responsibility of the appropriate Member State. 6 OJ L 218, , p. 30 ERA/ERTMS/ Version final draft 1.1 PAGE 35 OF 71

36 The verification of the STM interface to the ERTMS/ETCS on-board requires a conformity assessment carried out by a Notified Body Content of EC Declaration of conformity With reference to the content of the EC Declaration of conformity specified in Annex IV of the Railway Interoperability Directive, the descriptions met by the interoperability constituent shall include: 1. which optional and additional functions are implemented, 2. the applicable environmental conditions CONTROL-COMMAND AND SIGNALLING SUBSYSTEM Assessment procedures for Control-Command and Signalling Subsystem This Chapter deals with EC declaration of verification of Control-Command and Signalling Subsystem. As stated in Chapter 2, the Track-side and the On-board Assemblies are treated as two separate subsystems. For each Assembly, an EC declaration of verification is required. At the request of the applicant the Notified Body carries out EC verification of an Onboard or Track-side Assembly in accordance with Annex VI to the Railway Interoperability Directive. The applicant shall draw up the EC declaration of verification for the Control- Command and Signalling Assembly in accordance with Article 18(1) and Annex V of the Railway Interoperability Directive. The content of the EC declaration of verification shall conform to Annex V to the Railway Interoperability Directive. The assessment procedure shall be carried out by application of modules as specified in section (Modules for Control-Command and Signalling Assemblies). The EC declaration of verification of On-board and Track-side Assemblies, together with the Certificates of Conformity, is sufficient to ensure that an On-board Assembly will be compatible with a Track-side Assembly under the conditions specified in this TSI and without an additional EC Declaration of subsystem verification Modules for Control-Command and Signalling Assemblies For each On-board and Track-side Assembly the modules for EC subsystem verification are applicable. All modules indicated below are specified in the Commission Decision of 9 November 2010 on modules for the procedures for assessment of conformity, suitability for use and EC verification to be used in the technical specifications for interoperability adopted under Directive 2008/57/EC of the European Parliament and of the Council 7. 7 OJ L 319, , p. 1 ERA/ERTMS/ Version final draft 1.1 PAGE 36 OF 71

37 On-board Assembly For the verification procedure of the On-board Assembly, the applicant may choose either: Track-side Assembly 1. the type-examination procedure (Module SB) for the design and development phase in combination with the production quality management system procedure (Module SD) for the production phase, or 2. the type-examination procedure (Module SB) for the design and development phase in combination with the product verification procedure (Module SF), or 3. the full quality management system with design examination procedure (Module SH1). For the verification procedure of the track-side assembly, the applicant may choose either: 1. the unit verification procedure (Module SG), or 2. the type-examination procedure (Module SB) for the design and development phase in combination with the production quality management system procedure (Module SD)) for the production phase, or 3. the type-examination procedure (Module SB) for the design and development phase in combination with the product verification procedure (Module SF), or 4. the full quality management system with design examination procedure (Module SH1) Conditions for use of Modules for On-board and Track-side Assemblies With reference to section 4.2 of the Module SB (type-examination), design review is requested. With reference to section 4.2 of the Module SH1 (full quality management system with design examination), a type test is required Assessment requirements for an On-board Assembly The table 6-2 shows the checks that shall be done for the verification of an on-board assembly and the Basic Parameters that shall be respected. Independently of the selected module: 1. the verification shall demonstrate the compliance with Basic Parameters when the on-board assembly is integrated in the vehicle, 2. functionality and performances already checked at the level of interoperability constituents do not require additional verifications, ERA/ERTMS/ Version final draft 1.1 PAGE 37 OF 71

38 Table 6.2 Aspect What to assess supporting evidence Use of the existence of EC Declaration of conformity and existence and content of interoperability corresponding certificate for all interoperability documents constituents constituents to be integrated in the assembly restrictions for use of Interoperability Constituents against the characteristics of the assembly and of the environment in case of interoperability constituents certified against older versions of the CCS TSI, that the certificate still ensures compliance with the requirements in the TSI in force. analysis by documents check impact analysis by documents checks Integration of interoperability constituents in the assembly that the correct installation and functioning of the internal interfaces of the assembly - Basic Parameters that additional functions (not specified in this TSI) do not impact the mandatory ones that the values of ETCS IDs are within the allowed range Basic Parameter checks according to specifications impact analysis check of design specifications Integration with rolling stock the correct installation of equipment - Basic Parameters 4.2.2, 4.2.4, and conditions for installation of equipment, as specified by the manufacturer the compatibility of the equipment of the Control- Command and Signalling assembly with the rolling stock environment results of checks (according to specifications referenced in the Basic Parameters and installation rules of the manufacturer) documents check (certificates of interoperability constituents and possible integration solutions against characteristics of rolling stock) Integration with Class B the correct configuration of parameters (e.g., braking parameters) and that they are within the allowed range that the external STM is connected to ERTMS/ETCS on-board with TSI compliant interfaces that Class B functions implemented in the ERTMS/ETCS on-board Basic Parameter create no additional requirements for track-side assembly due to transitions documents check (values of parameters against characteristics of rolling stock) nothing to test: there is a standard interface already tested at interoperability constituent level functioning already tested at the level of integration of interoperability constituents in the assembly nothing to test: all already tested at interoperability constituent level ERA/ERTMS/ Version final draft 1.1 PAGE 38 OF 71

39 Aspect What to assess supporting evidence that separate Class B equipment not connected to ERTMS/ETCS on-board Basic Parameter creates no additional requirements for track-side assembly due to transitions nothing to test: no interface 8 Integration with track-side Control- Command and Signalling assemblies Reliability, Availability, Maintainability, Safety (RAMS) that separate Class B equipment connected to ERTMS/ETCS on-board with (partly) non TSI compliant interfaces basic parameter creates no additional requirements for track-side assembly due to transitions and that ERTMS/ETCS functions are not affected the ability to read Eurobalise telegrams (the scope of this test is limited to checking appropriate installation of the antenna and not repeating the tests already done at the level of Interoperability Constituent) Basic Parameter the ability to read Euroloop telegrams (if applicable) Basic Parameter the ability of managing a GSM-R call for voice and data (if applicable) Basic Parameter the compliance with safety requirements - Basic Parameter that the quantitative reliability target is met - Basic Parameter the compliance with requirements about maintenance section impact analysis test with a certified Eurobalise the ability to read correctly the telegram test with a certified Euroloop the ability to read correctly the telegram test with a certified GSM-R network the ability to set up, maintain and disconnect a connection Application of procedures specified in the Common Safety Method calculations documents check 8 In this case, the assessment of the management of transitions shall be according to national specifications. ERA/ERTMS/ Version final draft 1.1 PAGE 39 OF 71

40 Aspect What to assess supporting evidence Integration the behaviour of the assembly in different operational Reports of test runs. with CCS conditions (like line gradient, train speed, vibrations, Note: Indicate in the certificate trackside traction power, climatic conditions, design of CCS which conditions have been assembly and other subsystems: track-side functionality) as reasonably feasible. The test shall allow tested, which standards have been applied and the criteria to consider the tests terminated tests operational conditions under 1. the verification of performance of odometry functions - basic parameter the verification of compatibility of Control- Command and Signalling assembly with rolling stock environment basic parameter These tests will also increase confidence in the absence of systematic failures. The scope of these tests excludes tests already done in previous steps: tests performed at the level of interoperability constituents and tests performed on the assembly in a simulated environment shall be taken into account. Tests under operational conditions are not necessary for on-board GSM-R voice equipment Assessment requirements for a track-side assembly The assessments to be performed in the scope of this TSI are limited to the compliance with the requirements stated in Chapter 4. However, for the design of the ERTMS/ETCS part of the Control-Command and Signalling Track-side Assembly, application specific information is necessary, e.g., 1. the description of the line characteristics such as gradients, distances, positions of route elements and Eurobalises/Euroloops, locations to be protected, etc., 2. the signalling data and rules required to be handled by the ERTMS/ETCS system. The assessment of the correctness of application specific information is not in the scope of this TSI. Independently of the selected module: 1. the tables 6-3 show the checks that shall be done for the verification of a track-side assembly and the Basic Parameters that shall be respected. 2. functionality and performances already checked at the level of interoperability constituents do not require additional verifications. ERA/ERTMS/ Version final draft 1.1 PAGE 40 OF 71

41 Table 6.3 Aspect What to assess supporting evidence Use of the existence of EC Declaration of conformity and existence and content of interoperability corresponding certificate for all interoperability documents constituents constituents to be integrated in the assembly restrictions for use of interoperability constituents against the characteristics of the assembly and of the environment impact analysis by documents check Use of train detection systems Integration of interoperability constituents in the assembly Integration with infrastructure Integration with track-side signalling in case of interoperability constituents certified against older versions of the Control-Command and Signalling TSI, that the certificate still ensures compliance with the requirements in the TSI in force that the selected types comply with Control- Command and Signalling TSI requirements - Basic Parameters , the correct installation and functioning of the internal interfaces of the assembly - Basic Parameters 4.2.5, that additional functions (not specified in this TSI) do not impact the mandatory ones that the values of ETCS IDs are within the allowed range Basic Parameter the correct installation of equipment - basic parameters 4.2.3, and conditions for installation specified by the manufacturer the compatibility of the equipment of the Control- Command and Signalling assembly with track-side environment that all functions required by the application are implemented in accordance with specifications referenced in this TSI - basic parameter the correct configuration of parameters (Eurobalise telegrams, RBC messages, marker boards positions, etc.) the correct installation and functioning of the interfaces impact analysis by comparison of specifications referenced in the TSI and certificates of the interoperability constituents document check checks according to specifications impact analysis check of design specifications results of checks (according to specifications referenced in the Basic Parameters and installation rules of the manufacturer) document check (certificates of interoperability constituents and possible integration solutions against characteristics of trackside) document check (design specification of the applicant and certificates of interoperability constituents) document check (values of parameters against characteristic of track-side and of signalling) design verification and tests according to information by the applicant ERA/ERTMS/ Version final draft 1.1 PAGE 41 OF 71

42 Aspect What to assess supporting evidence the correctness of operation of the Control- design verification and tests Command and Signalling assembly according to information at the interfaces with track-side signalling according to information by the applicant (e.g., appropriate generation of Eurobalise telegrams by a LEU or of message by RBC) Integration with on-board CCS assemblies and with rolling stock Reliability, Availability, Maintainability, Safety (RAMS) Integration with on-board CCS assemblies and rolling stock: tests under operational conditions the GSM-R coverage - Basic Parameter the compliance of the train detection systems with the requirements of this TSI - Basic Parameter the compliance of the train detection systems with the compatibility requirements stated in this TSI - Basic Parameters and the compliance with safety requirements - Basic Parameter that quantitative reliability targets are respected - Basic Parameter the compliance with requirements about maintenance section the behaviour of the assembly in such different operational conditions (like train speed, number of trains on the line, climatic conditions) as reasonably feasible. The test shall allow 1. the verification of performance of train detection systems - Basic Parameters , , 2. the verification of compatibility of Control- Command and Signalling assembly with track-side environment Basic Parameter These tests will also increase confidence in the absence of systematic failures. The scope of these tests excludes tests already done in previous steps: tests performed at the level of interoperability constituents and tests performed on the assembly in a simulated environment shall be taken into account. on site measurements on site measurements check evidence from existing installations (for systems already in use); perform tests according to standards for new types Application of procedures specified in the Common Safety Method calculations document check Reports of test runs. Note: Indicate in the certificate which conditions have been tested, which standards have been applied and the criteria to consider the tests terminated PROVISIONS FOR PARTIAL CONFORMITY Introduction With reference to article 18(4) of the Railway Interoperability Directive, the Notified Body may issue Intermediate Statement Verifications (ISVs) to cover certain stages of the verification procedure or certain parts of the subsystem. ERA/ERTMS/ Version final draft 1.1 PAGE 42 OF 71

43 According to section 2.2 (Scope) of this TSI, the Control-Command and Signalling subsystem includes three parts, which are specified in section 4.1 (Introduction). Section refers to verification of these parts of the Control-Command and Signalling subsystem. Section refers to the verification of partial conformity of an interoperability constituent with the requirements of this TSI Assessment of parts of Control-Command and Signalling subsystem Assessment of compliance with the requirements of this TSI for a track-side or onboard Control-Command and Signalling Assembly may be performed in successive steps for the different parts. In each step only compliance with the TSI requirements for the relevant part is assessed, while other requirements related to the remaining parts are not. Independently of the modules chosen, the Notified Body shall verify that: 1. the TSI requirements relevant for the part are respected, 2. the TSI requirements already assessed are not prejudiced. Functions already assessed and unchanged and not affected by this step do not need to be checked again Partial conformity of Control-Command and Signalling assemblies A certificate of conformity for an interoperability constituent can be issued in case some function, interface or performance is not implemented, if: 1. the non implemented function, interface or performance is not required for the integration of the interoperability constituent into an assembly because of specific conditions of use, for example 9, a) ERTMS/ETCS on-board interface to STM in case the interoperability constituent is intended for installation on vehicles where no external STM is necessary, b) RBC interface to other RBCs, in case the RBC is intended for use in application where no neighbouring RBCs are foreseen, 2. the certificate indicates which functions, interfaces, performance are not implemented and the corresponding restrictions for the use of the interoperability constituent. This information will allow identifying the conditions under which the interoperability constituent can be used and the restrictions that will apply for the interoperability of a subsystem incorporating it. In any case, the conditions to issue such certificates with restrictions shall be coordinated between the Notified Bodies and the Agency in a working group set up under Article 21a(5) of Regulation (EC) No 881/2004 of the european parliament and of the council of 29 April 2004 establishing a European railway agency (Agency Regulation) The procedures described in this chapter do not prejudice the possibility of grouping of constituents. 10 OJ L 164, , p. 1, corrigendum OJ L 220, , p. 3, amended by Regulation (EC) No 1335/2008 of the European Parliament and of the Council of 16 December 2008 OJ L 354, , p. 51 ERA/ERTMS/ Version final draft 1.1 PAGE 43 OF 71

44 When the interoperability constituent is integrated into an assembly, in case the missing functions, interfaces, performances do not allow the assessment of full compliance with the requirements of this TSI, only an Intermediate Statement of Verification indicating which requirements have been assessed can be issued, including the corresponding restrictions for the use of the assembly and its compatibility with other assemblies or railway subsystems. ERA/ERTMS/ Version final draft 1.1 PAGE 44 OF 71

45 7. IMPLEMENTATION OF THE TSI CONTROL-COMMAND AND SIGNALLING 7.1. INTRODUCTION This chapter outlines the strategy and the associated technical solutions for implementation of the TSI, notably the conditions underpinning the migration to Class A systems. Account must be taken of the fact that the implementation of a TSI occasionally has to be co-ordinated with the implementation of other TSIs GENERALLY APPLICABLE RULES Upgrading or renewal of the Control-Command Track-side Assembly or parts of it Upgrading or renewal of the track-side assembly may concern separately: 1. Train protection 2. Radio communication 3. Train detection Therefore different parts of the Control-Command Track-side Assembly may be upgraded or renewed separately (if interoperability is not jeopardised) and concern: 1. GSM-R functions and interfaces 2. ERTMS/ETCS functions and interfaces 3. Train detection system compatibility with rolling stock See chapter 4.1 (Introduction) for the definition of the basic parameters relevant for each part Legacy systems Member States shall ensure that the functionality of the legacy systems as well as their interfaces is to remain unchanged, excluding those modifications that might be deemed necessary in order to mitigate safety-related flaws of these systems Availability of Specific Transmission Modules In case lines under the scope of the present TSI will not be equipped with Class A train protection systems, the Member State shall make best efforts for the availability of an external Specific Transmission Module (STM) for its legacy Class B train protection system or systems. In this context, due regard is to be given to the assurance of an open market for STM at fair commercial conditions. In those cases that due to technical or commercial reasons 11 the availability of an STM cannot be ensured within the appropriate time frame 12 the relevant Member State is deemed to inform the Committee of the reasons underpinning such a problem and the mitigation measures that it intends to put into place in order to allow access notably of foreign operators to its infrastructure. 11 e. g. the feasibility of the external STM concept cannot be technically guaranteed or potential issues relating to the ownership of the intellectual property rights of the Class B systems prevent a timely development of an STM product December ERA/ERTMS/ Version final draft 1.1 PAGE 45 OF 71

46 Additional Class B equipment on a line equipped with Class A On a line equipped with ERTMS/ETCS and/or GSM-R, additional Class B equipment is possible in order to allow the operation of rolling stock not compatible with Class A during the migration phase. It is allowed to use Class B equipment on-board as a fallback arrangement to a Class A system: this does not allow an infrastructure manager to require Class B systems onboard the interoperable trains for running on such a line. In addition, track-side shall support transitions between Class A and Class B without imposing requirements to the on-board assembly additional to those specified in this TSI, Rolling stock with Class A and Class B equipment Rolling stock may be equipped with both Class A and Class B systems to enable operations on several lines. When running on a line which is equipped with both Class A and Class B systems, the Class B systems may act as fallback arrangement for the Class A system if the train is equipped with both Class A and Class B systems. This cannot be a requirement for interoperability. The Class B train protection systems may be implemented: 1. using an STM operating by the standard interface ( external STM ), or 2. integrated within the ERTMS/ETCS equipment or connected with non standard interface. Also, the Class B train protection system could be implemented independently (or, in case of upgrade or renewal, be left as is ), in case of Class B train protection systems for which an STM is not an economically viable alternative, from point of view of the rolling stock business case. However, if an STM is not used, the Railway Undertaking must ensure that the transitions between Class A and Class B train protection behave according to the requirements of this TSI and the national rules for the Class B system. The Member State may put restrictions on the use of on-board Class B train protection on lines where the corresponding system is not installed track-side Conditions for mandatory and optional functions According to the characteristics of the track-side Control-Command and Signalling Assembly and its interfaces with other sub-systems, some track-side functionalities not classified as mandatory, may have necessarily to be implemented in certain applications to comply with the essential requirements. The track-side implementation of National or Optional-functions must not prevent the entry onto that infrastructure of a train that complies only with the mandatory requirements of an Onboard Class A system equipped with ERTMS/ETCS and GSM- R versions equal to or higher than the versions implemented track-side. Note that, under the conditions specified in chapter 4 of this TSI, some optional functions are recognised to be mandatory. ERA/ERTMS/ Version final draft 1.1 PAGE 46 OF 71

47 GSM-R specific implementation rules Trackside installations: The fitting of GSM-R is mandatory in the case of: 1. New installations of the radio part of a CCS trackside assembly; 2. An upgrade of the radio part of a CCS trackside assembly already in service that changes the functions or the performance of the subsystem, with the exception of those modifications that might be deemed necessary to mitigate safety-related defects in the legacy installation. It is recommended to install GSM-R whenever the infrastructure or energy subsystem of a section of line already in service is to be upgraded, renewed or maintained when this entails an investment higher than at least ten times those associated with the installation of GSM-R facilities on that section of line On-board installations: The fitting of GSM-R in rolling stock intended for use on a line including at least a section equipped with Class A interfaces (even if superimposed to a Class B system), is mandatory in the case of: 1. New installations of the radio part of a CCS on-board assembly; 2. An upgrade of the radio part of a CCS on-board assembly already in service that changes the functions or the performance of the subsystem, with the exception of those modifications that might be deemed necessary to mitigate safety-related defects in the legacy installation Train detection systems specific implementation rules In the context of this TSI, train detection system means the equipment installed track-side, which provides detection of presence or absence of vehicles either in a line of route or only in a localised part of it.. Trackside systems (e.g., interlocking or level crossing control systems) using information from such equipment are not considered parts of the train detection system. This TSI only specifies the interface requirements with rolling stock. The implementation of train detection systems compliant with the requirements of this TSI can be done independently of the installation of ERTMS/ETCS or GSM-R, but can be dependent on the Class B signalling systems or on special requirements, e.g., for level crossing equipment. The requirements of this TSI related to train detection systems shall be respected in each of the following cases: 1. upgrade of the train detection system, 2. renewal of the train detection system, when respecting the requirements of this TSI does not require unwanted modifications or upgrade of other trackside or on-board systems, 3. renewal of train detection system, where this is required by the upgrade or renewal of track-side systems using information from train detection system, 4. removal of Class B train protection systems (in case the train detection system is integrated with the train protection) ERA/ERTMS/ Version final draft 1.1 PAGE 47 OF 71

48 In the migration phase care shall be taken to minimise the negative impact of installation of TSI compliant train detection system on the existing non TSI compliant rolling stock. In this case, it is recommended that the Infrastructure Manager selects a TSI compliant train detection system that, at the same time, is compatible with the non TSI compliant rolling stock already operating on that infrastructure Specific Cases Introduction The following special provisions are permitted in the specific cases below. These specific cases belong to two categories: the provisions apply either permanently (case P ), or temporarily (case T ). In temporary cases, it is recommended that the Member States concerned should conform with the relevant subsystem either by 2010 (case T1 ), an objective set out in Decision No 1692/96/EC of the European Parliament and of the Council of 23 July 1996 on Community guidelines for the development of the trans- European transport network, or by 2020 (case T2 ). In this TSI temporary case T3 is defined as temporary cases which will still exists after List of specific cases Add table here 7.3. RULES FOR ERTMS The ERTMS European Deployment Plan This section outlines the strategy for the implementation (ERTMS European Deployment Plan) of the TSI and specifies the stages to be completed in order to make a gradual transition from the existing situation to the final situation in which compliance with the TSIs shall be the norm. The ERTMS European Deployment Plan does not apply to lines located in the territory of a Member State when its rail network is separated or isolated by the sea or separated as a result of special geographical conditions from the rail network of the rest of the Community. This strategy does not apply to locomotives running exclusively on such lines ERTMS Trackside Implementation The objective of the ERTMS European Deployment Plan is to ensure that, gradually, locomotives, railcars and other railway vehicles equipped with ERTMS can have access to an increased number of lines, ports, terminals and marshalling yards without needing national equipment in addition to ERTMS. ERA/ERTMS/ Version final draft 1.1 PAGE 48 OF 71

49 To that purpose, the deployment plan does not request the removal of the existing Class B systems on the lines included in the plan. However, by the date specified in the implementation plan, equipment with a Class B system shall not be a track access condition to lines included in the deployment plan for locomotives, railcars and other railway vehicles equipped with ERTMS. When terminal areas, such as ports or specific lines in a port for example, are not equipped with any Class B system, the requirements related to the "connection" of these terminal areas does not necessarily mean that these terminals or lines need to be equipped with ERTMS, as long as equipment with a Class B system is not requested as a track access condition. For lines consisting of a double track or more, the line is considered to be equipped as soon as a double track is equipped. When there is more than one line on a corridor section, at least one line has to be equipped on the section and the whole corridor is considered to be equipped as soon as at least one line is equipped on the whole length of the corridor Corridors The six corridors described in shall be equipped with ERTMS according to the timetable indicated in that section Connection to the main European ports, marshalling yards, freight terminals and freight transport areas. The ports, marshalling yards, freight terminals and freight transport areas listed in shall be linked to at least one of the six corridors specified in at the date and under the conditions specified in High speed network It is mandatory to fit an ERTMS/ETCS track-side assembly when: 1. New installations of the train protection part of a Control-Command and Signalling track-side assembly (with or without a Class B system), or 2. the existing train protection part of a Control-Command and Signalling trackside assembly is upgraded, where this would change the functions, performance and/or interoperability-relevant interfaces (air-gaps) of the existing legacy system, with the exception of those modifications that might be deemed necessary to mitigate safety-related defects in the legacy installation. It is recommended to install ERTMS/ETCS whenever the infrastructure or energy sub-system of a section of line already in service is to be upgraded, renewed or maintained when the installation of ERTMS/ETCS on that section of line represents less than 10% of the total upgrade/renewal/maintenance investment. 13 Section indicates the latest date for equipment, with a view to build a consistent ERTMS network on a step by step basis. In a number of cases, voluntary agreements as regards an earlier equipment date exist. ERA/ERTMS/ Version final draft 1.1 PAGE 49 OF 71

50 EU-funded projects Notification ERA ERTMS UNIT Without prejudice to sections , and , the fitting of ERTMS/ETCS is mandatory in the case of: 1. New installations of the train protection part of a CCS assembly or 2. An upgrade of the train protection part of a CCS assembly already in service that changes the functions or the performance of the subsystem for railway infrastructure projects receiving financial support from European Regional Development Funds and/or Cohesion Funds (EC Regulation 1083/ ) and/or the TEN-T funds (Decision 1692/96/EC of the European Parliament and of the Council 15 ). However, when signalling is renewed on short (less than 150 km) and discontinuous sections of a line, the Commission may grant derogation to this rule, provided ERTMS is installed before the earliest of these two dates: 1. 5 years after the end of the project 2. the time by which the section of the line is connected to another ERTMS equipped line. In this section, the earliest of these two dates is called "later date for equipment". The Member State concerned shall forward a file to the Commission. This file shall contain an economical analysis showing that there is a substantial economical and/or technical advantage in putting ERTMS into service at the later date for equipment rather than during the course of the EU-funded project. Such clause can only be advocated by a Member State when the tender covering the renewal or upgrade of the train protection system contains a clear option for the ERTMS equipment of the line, either in the course of the project or at the later date for equipment. The Commission shall analyse the file submitted and the measures proposed by the Member State and shall inform the committee referred to in Article 29 of the Railway Interoperability Directive / of the result of its analysis. When a derogation is granted, the Member State shall ensure that ERTMS is installed before the later date for equipment. For each corridor section described in 7.3.4, Member States shall either notify to the Commission a detailed timeline for the equipment with ERTMS of the corridor section or confirm that the corridor section is already equipped. The information shall be notified to the Commission at the latest three years before the latest equipment date of the corridor section specified in For each port, marshalling yard, freight terminal or freight transport area listed in 7.3.5, Member States shall notify the specific lines to be used to ensure its connection with one of the corridors listed in This information shall be notified to the Commission at the latest three years before the date specified in and shall indicate the latest equipment date for this port, marshalling yard, freight terminal or freight transport area. As necessary, the European Commission may request 14 OJ L 210, , p OJ L 228, , p. 1 ERA/ERTMS/ Version final draft 1.1 PAGE 50 OF 71

51 adjustments, in particular in order to ensure consistency between equipped lines at the borders. Member States shall either notify to the Commission a detailed timeline for the equipment with ERTMS of these specific lines or confirm that these specific lines are already equipped with ERTMS. This information shall be notified to the Commission at the latest three years before the date specified in and shall indicate the latest equipment date for this port, marshalling yard, freight terminal or freight transport area. The detailed timelines shall in particular indicate the date by which the tender for the equipment of the line will be concluded, the procedures put in place in order to ensure interoperability with the neighbouring countries on the corridor as well as the main milestones related to the project. Member States shall notify the Commission every twelve months on the progress made with the implementation on these lines by sending an updated timeline Delays When a Member State reasonably expects delays in fulfilling the deadlines laid down in the present Decision, it shall immediately inform the Commission. It shall communicate to the Commission a file containing a technical description of the project and an up to date planning. The file shall also explain the reasons for the delay and shall indicate the corrective measures put in place by the Member State. An additional delay of no more than three years can be granted to a Member State when the delay is caused by causes beyond Member State's reasonable control such as failure of suppliers or problems regarding the authorisation process due to the absence of appropriate test vehicles. Such clause can only be advocated by a Member State when the following conditions are fulfilled: 1. The notifications referred in section were received in time and were comprehensive. 2. The file referred to in section , first paragraph, contains clear evidence that the causes for the delay were beyond Member State's control. 3. A competent authority is responsible for the coordination, of on-board and trackside suppliers and integration and testing of products. 4. Appropriate use of existing laboratories has been made. 5. Evidence is given that appropriate measures have been implemented to minimise the additional delay. The Commission shall analyse the file submitted and the measures proposed by the Member State and shall inform the committee referred to in Article 29 of the Railway Interoperability Directive of the result of its analysis ERTMS - On-board implementation New locomotives, new railcars and other new railway vehicles able to run without traction equipped with a driving cab, ordered after 1 January 2012 or put into service after 1 January 2015, shall be equipped with ERTMS. This requirement does not apply to new shunting locomotives and to other new locomotives, new railcars and other new railway vehicles equipped with a driving cab, if they are designed exclusively for national service or regional border crossing service. Member States may however introduce additional requirements at national level, in particular with a view to: ERA/ERTMS/ Version final draft 1.1 PAGE 51 OF 71

52 High speed network ERA ERTMS UNIT 1. restrict the access to ERTMS equipped lines to ERTMS equipped locomotives, so that existing national systems can be decommissioned; 2. request that new shunting locomotives and/or other new railway vehicles equipped with a driving cab, even designed exclusively for national service or regional border crossing service, are equipped with ERTMS. It is mandatory to fit an ERTMS/ETCS onboard assembly when: 1. any new train protection part of a Control-Command and Signalling onboard assembly is installed, or 2. any existing train protection part of a Control-Command and Signalling onboard assembly is upgraded, where this would change the functions, performances and/or interoperability-relevant interfaces of the existing legacy system, with the exception of those modifications that might be deemed necessary to mitigate safety related defects in the legacy system. It is recommended to install ERTMS/ETCS whenever rolling stock already in service is upgraded when the installation of ERTMS/ETCS represents less than 10% of the total rolling stock upgrade investment. ERA/ERTMS/ Version final draft 1.1 PAGE 52 OF 71

53 Specific lines constituting the corridors Corridor A to be equipped by 2015 ERA/ERTMS/ Version final draft 1.1 PAGE 53 OF 71

54 to be equipped by 2020 To be equipped by 2015 To be equipped by 2020 ERA ERTMS UNIT Corridor B 16 Järna Stockholm Mjölby Linköping Nässjö Kolding Hallsberg Fredericia Katrineholm Ringsted København Alvesta Hässleholm Malmö Padborg Rødby Flensburg Puttgarden Hamburg Hannover Göttingen Würzburg Ansbach Treuchtlingen Augsburg Nürnberg Ingolstadt München Kufstein Innsbrück Brennero Bolzano Trento Verona Bologna Firenze Roma Napoli 16 Without prejudice of the legislation applicable to the Trans European high speed network, links can be provided through stretches of high speed lines, provided paths are allocated to freight trains. At least one ERTMS equipped link will be provided by 2020 between Denmark and Germany (Flensburg- Hamburg or Rødby Puttgarden) but not necessarily two. The Brenner base tunnel will be equipped with ERTMS once the infrastructure work completed (target date 2020). ERA/ERTMS/ Version final draft 1.1 PAGE 54 OF 71

55 Corridor C 17 Antwerpen Mechelen Aarschot Leuven Ottignies Fleurus Gembloux Namur To be equipped by 2015 Dinant Bertrix Athus Libramont Arlon Luxembourg Bettembourg 2020 To be equipped by 2020 Macon Lyon Perrache Sibellin Mont Saint Martin Longuyon Conflans-Jarny Pagny Lerouville Toul Chalindrey Dijon Nancy Gevrey Thionville Woippy Metz Saint Amour Amberieu en Bugey Remilly Reding Strasbourg Colmar Mulhouse Swiss border (Basel) 17 A link between Nancy and Reding will be provided by ERA/ERTMS/ Version final draft 1.1 PAGE 55 OF 71

56 Corridor D 18 To be equipped by 2015 To be equipped by 2020 Lyon Sibelin Avignon Nîmes Montpellier Narbonne Perpignan Figueras Barcelona Tarragona Castellon Sagunto Valencia Amberieu en Bugey Modane Bardonecchia Marseille 2020 Cerbère Port Bou To be equipped by 2015 Torino Novara Milano Verona Vicenza Cittadella Treviso Portogruaro Bivio Aurisina Villa Opicina Divača Padova Trieste Koper To be equipped by 2015 Györ Budapest Celldömölk Boba Zalalov Hodos Ljubljana Pivka 18 Two additional branches will be equipped by 2020: Montmélian Grenoble Valence and Lyon Valence Arles Miramas (left side of the Rhône). ERA/ERTMS/ Version final draft 1.1 PAGE 56 OF 71

57 Corridor E ERA/ERTMS/ Version final draft 1.1 PAGE 57 OF 71

58 Corridor F ERA/ERTMS/ Version final draft 1.1 PAGE 58 OF 71