Decision of 28 March 2006 concerning the technical specification for interoperability relating to the control-command and signalling subsystem of the trans-European conventional rail system

COMMISSION DECISION

of 28 March 2006

concerning the technical specification for interoperability relating to the control-command and

signalling subsystem of the trans-European conventional rail system

(notified under document number C(2006) 964)

(Text with EEA relevance)

(2006/679/EC)

THE COMMISSION OF THE EUROPEAN COMMUNITIES, subsystem of the trans-European conventional rail system

referred to in Directive 2001/16/EC of the European

Parliament and of the Council (2).

Having regard to the Treaty establishing the European Commu-

nity,

Having regard to Directive 2001/16/EC of the European (4) The draft TSI set up on the basis of the basic parameters

Parliament and of the Council of 19 March 2001 on the was accompanied by an introductory report containing a

interoperability of the conventional rail system (1), and in cost-benefit analysis as provided for in Article 6(5) of the

particular Article 6(1) thereof, Directive.

Whereas: (5) The draft TSI has been examined by the Committee set up

by Council Directive 96/48/EC of 23 July 1996 on the

(1) In accordance with Article 2(c) of Directive 2001/16/EC, interoperability of the trans-European high-speed rail

the trans-European conventional rail system is subdivided system (3)

into structural or functional subsystems. Each of these

subsystems is to be covered by a technical specification for

interoperability (TSI). (6) As is required by Article 1 of Directive 2001/16/EC, the

conditions for achieving interoperability of the trans-

(2) The first step in establishing a TSI is to have a draft TSI European conventional rail system concern the design,

drawn up by the European Association for Railway construction, commissioning, upgrading, renewal and

Interoperability (AEIF) which was appointed as the joint operation of the infrastructures and rolling stock con-

representative body. tributing to the functioning of the system to be put into

service . With regard to the infrastructures and rolling stock

already in service at the time of entry into force of this TSI,

(3) The AEIF has been given a mandate to draw up a draft TSI the TSI should be applied from the time when work is

for the control-command and signalling subsystem in envisaged on these infrastructures and rolling stock.

accordance with Article 6(1) of Directive 2001/16/EC. The However, the degree to which the TSI is applied will vary

basic parameters for this draft TSI were adopted by according to the scope and extent of the planned work and

Commission Decision 2004/447/EC of 29 April 2004 the costs and the benefits generated by the intended

modifying Annex A to Decision 2002/731/EC of 30 May applications. In order for such piecemeal tasks to achieve

2002 and establishing the main characteristics of the Class full interoperability, they need to be underpinned by a

A system (ERTMS) of the control-command and signalling coherent implementation strategy. In this context, a

(1) OJ L 110, 20.4.2001, p. 1. Directive as amended by Directive 2004/ (2) OJ L 155, 30.4.2004, p. 65, as corrected by L 193, 1.6.2004, p. 53.

50/EC (OJ L 164, 30.4.2004, p. 114, as corrected by OJ L 220, (3) OJ L 235, 17.9.1996, p. 6. Directive as last amended by Directive

21.6.2004, p. 40). 2004/50/EC

L 284/2 EN Official Journal of the European Union 16.10.2006

distinction should be made between upgrading, renewal European Railway Agency established under Regulation

and maintenance-related replacement. (EC) No 881/2004 of the European Parliament and of the

Council (4) once this is operational. Where appropriate, a

deeper and more comprehensive review or updating

(7) Directive 2001/16/EC and the TSIs do apply to renewals procedure which entails modifications to the due process

but not to maintenance-related replacements. However, identified in this TSI will be initiated in accordance with

Member States should be encouraged, where they are able Article 6(3) of Directive 2001/16/EC.

to do so and where it is justified by the scope of the

maintenance-related work, to apply the TSIs to main-

tenance-related replacements. (13) The application of the TSI to be adopted by this Decision

should take into account specific criteria relating to

technical and operational compatibility between the

(8) Existing conventional lines and rolling stock are already infrastructures and the rolling stock to be placed in service

equipped with control-command and signalling systems and the network into which they are to be integrated. These

meeting the essential requirements of Directive 2001/16/ compatibility requirements entail a complex technical and

EC. Such `legacy' systems were developed and implemented economical analysis that should be conducted on a case-by-

according to national rules. Basic information concerning case basis for specific applications. Such analysis should

legacy systems is provided in Annex B of the TSI. Given that take into account the interfaces between the different

verification of interoperability of the legacy systems has to subsystems referred to in Directive 2001/16/EC, the

be established by reference to the requirements of the TSI, different categories of lines and rolling stock referred to

in accordance with Article 16(2) of Directive 2001/16/EC, it in that Directive, and the technical and operational

is necessary, during the transitional period between the environments of the existing network.

publication of a Decision and the full implementation of

the attached TSI, to lay down the conditions with which the

legacy systems have to comply in addition to those (14) It is essential that such an analysis develops against a

explicitly referred to in the TSI. Member States are to framework of coherent implementation rules and guide-

provide each other and the Commission with information lines. The latter necessitates the establishment by Member

on the relevant national technical rules in use for achieving States of a national strategy for the implementation of the

interoperability and meeting the essential requirements of TSI which is the subject of this Decision, which should

Directive 2001/16/EC, on the bodies it appoints for indicate the stages required to move towards an interoper-

carrying out the procedure for the assessment of able network. Such national strategies should be brought

conformity or suitability for use, and on the checking together and reconciled within the framework of an EU

procedure for use in verifying the interoperability of master plan setting the reference for the implementation of

subsystems pursuant to Article 16(2) of Directive 2001/ the TSI in a EU-wide perspective.

16/EC.

(15) The target system described in the attached TSI (Class A

(9) For this purpose, Member States should apply, as far as system) builds upon computer-based technology with a life

possible, the principles and criteria provided for in expectancy significantly lower than current traditional

Directive 2001/16/CE for the implementation of Article 16 railway signalling and telecommunication facilities. As

(2), making use of the bodies notified under Article 20 of such, it calls for a pro-active rather than reactive

Directive 2001/16/EC. The Commission should carry out deployment strategy to avoid potential system obsolescence

an analysis of the information forwarded by the Member before system deployment reaches maturity. In addition, the

States, in the form of national rules, procedures, bodies in adoption of too fragmented a deployment throughout the

charge of implementing procedures, and duration of the European rail system would give rise to major costs and

procedures and, where appropriate, should discuss with the operational overheads. The development of a coherent

Committee the need for the adoption of any further trans-European implementation plan for the target system

measures. would contribute to a harmonious development of the

whole of the trans-European rail system in compliance with

the Community strategy for the TEN transport network.

(10) A similar procedure should also apply with regard to those

issues classified as `Open Points' in Annex G of the TSI. Such a plan should build upon the corresponding national

implementation plans and should provide an appropriate

knowledge base for decision support by the different

(11) The TSI should not demand the use of specific technologies stakeholders, and in particular by the Commission in the

or technical solutions except where this is strictly necessary allocation of financial support to railway projects. The

for the interoperability of the trans-European conventional Commission should co-ordinate the development of such a

rail system. plan, in accordance with Article 155(2) of the Treaty.

(12) The TSI is based on best available expert knowledge at the (16) The migration towards the Class A target system as defined

time of preparation of the corresponding draft. Develop- in the TSI requires appropriate measures to be taken at

ments in technology, operational, safety or social require- national level in order to facilitate such a migration. Such

ments may make it necessary to amend or supplement this measures should aim to permit the operation of Class A

TSI. For this purpose, a Change Control Management equipment compliant with existing legacy systems or to

process has been devised to consolidate and update the facilitate implementation of pro-active approaches serving

requirements of Annex A of the TSI. This updating process, to reduce the time-to-deployment of Class A facilities. As

which is currently placed under the auspices of the AEIF as

joint representative body will be transferred to the (4) OJ L 164, 30.4.2004, p. 1, corrected by OJ L 220, 21.6.2004, p. 3.

16.10.2006 EN Official Journal of the European Union L 284/3

regards the former, particular relevance has to be given to Article 3

external Specific Transmission Modules for the national

legacy Class B command-and-control systems. Member States shall establish a national implementation plan of

the TSI in accordance with the criteria specified in Chapter 7 of

the Annex.

(17) The TSI relating to the control-command and signalling

subsystem of the trans-European conventional rail system They shall forward this implementation plan to the other

should therefore be adopted. In consequence, Decision Member States and the Commission not later than one year after

2004/447/EC should be amended accordingly. the date on which this Decision becomes applicable.

(18) The measures provided for in this Decision are in On the basis of these national plans the Commission shall draft

accordance with the opinion of the Committee set up by an EU master plan following the principles set out in Chapter 7

Directive 96/48/EC, of the Annex.

HAS ADOPTED THIS DECISION: Article 4

Member States shall ensure that the functionality of the legacy

Article 1 Class B systems referred to in Annex B of the TSI as well as their

interfaces are kept in terms of scope as currently specified

The Technical Specification for Interoperability (hereinafter excluding those modifications that might be deemed necessary in

referred to as the TSI) relating to the control-command and order to mitigate safety-related flaws of these systems.

signalling subsystem of the trans-European conventional rail

system referred to in Article 6(1) of Directive 2001/16/EC, shall Member States shall make available such information regarding

be as set out in the Annex. their legacy systems as is required for purposes of development

and safety-certification of apparatus allowing interoperability of

Subject to Articles 2 and 3 of this Decision, the TSI shall be fully Class A equipment as defined in Annex A of the TSI with their

applicable to the infrastructure and rolling stock of the trans- legacy Class B facilities.

European conventional rail system as defined in Annex I to

Directive 2001/16/EC. Article 5

Member States shall make every effort for the availability of an

Article 2 external Specific Transmission Module (hereinafter referred to as

1. With regard to the systems referred to in Annex B of the TSI the STM), as defined in Chapter 7 of the Annex, for their legacy

and to those issues classified as `Open points' in Annex G of the Class B command-and-control systems enumerated in Annex B

TSI, the conditions to be complied with for the verification of of the TSI by 31 December 2007.

interoperability within the meaning of Article 16(2) of Article 6

Directive 2001/16/EC shall be those technical rules in use in

the Member State which authorises the bringing into service of Article 2 of Decision 2004/447/EC is deleted with effect from

the subsystem covered by this Decision. the date on which this Decision becomes applicable.

2. Each Member State shall notify the following items to the Article 7

other Member States and to the Commission within six months This Decision shall become applicable six months after the date

of the notification of this Decision: of its notification.

(a) the list of applicable technical rules mentioned in Article 8

paragraph 1 for the `Open points' referred to in Annex G

of the TSI; This Decision is addressed to the Member States

(b) the conformity assessment and checking procedures to be

applied with regard to the application of the applicable Done at Brussels, 28 March 2006.

technical rules referred to in paragraph 1; For the Commission

assessment and checking procedures. Vice-President

L 284/4 EN Official Journal of the European Union 16.10.2006

ANNEX

Technical specification for interoperability relating to the subsystem control-command and signalling of the trans-

European conventional rail system

CONTENTS

1. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1.1. TECHNICAL SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1.2. GEOGRAPHICAL SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

1.3. CONTENT OF THIS TSI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

2. SUBSYSTEM DEFINITION AND SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.1. GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2. OVERVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2.1. Interoperability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2.2. Classes of control-command systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2.3. Levels of application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.2.4. Infrastructure network borders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

3. THE ESSENTIAL REQUIREMENTS OF THE CONTROL-COMMAND SUBSYSTEM . . . . . . . . . . . . . . . 8

3.1. GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

3.2. SPECIFIC ASPECTS OF THE CONTROL-COMMAND SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

3.2.1. Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

3.2.2. Reliability and availability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

3.2.3. Health . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

3.2.4. Environmental protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

3.2.5. Technical compatibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

4. CHARACTERISATION OF THE SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

4.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

4.2. FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . 12

4.2.1. Control-command safety characteristics relevant to interoperability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

4.2.2. On-board ETCS functionality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

4.2.3. Track-side ETCS functionality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

4.2.4. EIRENE functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

4.2.5. ETCS and EIRENE air gap interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

4.2.6. On-board interfaces internal to control-command . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

4.2.7. Trackside interfaces internal to control-command . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

4.2.8. Key management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

4.2.9. ETCS-ID management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

4.2.10. HABD (hot axle box detector) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

16.10.2006 EN Official Journal of the European Union L 284/5

4.2.11. Compatibility with tTrack-side train detection systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

4.2.12. Electromagnetic compatibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

4.2.13. ETCS DMI (Driver machine interface) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

4.2.14. EIRENE DMI (Driver machine interface) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

4.2.15. Interface to data recording for regulatory purposes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

4.2.16. Visibility of track-side control-command objects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

4.3. FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE INTERFACES TO OTHER

SUBSYSTEMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

4.3.1. Interface to the subsystem traffic operation and management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

4.3.2. Interface to the subsystem rolling stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

4.3.3. Interfaces to subsystem infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

4.3.4. Interfaces to subsystem energy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

4.4. OPERATING RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

4.5. MAINTENANCE RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

4.5.1. Responsibility of manufacturer of equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

4.5.2. Responsibility of contracting entities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

4.5.3. Responsibility of infrastructure manager or railway undertaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

4.5.4. Maintenance plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

4.6. PROFESSIONAL QUALIFICATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

4.7. HEALTH AND SAFETY CONDITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

4.8. INFRASTRUCTURE AND ROLLING STOCK REGISTERS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

5. INTEROPERABILITY CONSTITUENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

5.1. DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

5.2. LIST OF INTEROPERABILITY CONSTITUENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

5.2.1. Basic interoperability constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

5.2.2. Grouping of interoperability constituents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

5.3. CONSTITUENTS PERFORMANCES AND SPECIFICATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

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

AND VERIFICATION OF THE SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

6.0. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

6.1. INTEROPERABILITY CONSTITUENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

6.1.1. Assessment procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

6.1.2. Modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

6.2. CONTROL-COMMAND SUBSYSTEM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

6.2.1. Assessment procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

6.2.2. Modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

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7. IMPLEMENTATION OF THE TSI CONTROL-COMMAND . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

7.1. GENERAL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

7.2. SPECIFIC ISSUES OF IMPLEMENTATION OF THE TSI CONTROL-COMMAND . . . . . . . . . . . . . . . . . 62

7.2.1. General migration criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

7.2.2. Timing criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66

7.2.3. Implementation: infrastructure (stationary equipment) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74

7.2.4. Implementation: rolling stock (on-board equipment) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76

7.2.5. Particular migration paths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

7.2.6. Conditions under which optional functions are required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

7.3. MANAGEMENT OF CHANGE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80

7.3.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80

7.3.2. Baselining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

7.3.3. The ERTMS consolidation phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

7.3.4. Baseline release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

7.3.5. Deployment of new baselines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

7.3.6. Change management process - the requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

7.3.7. Configuration management plan - the requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

7.3.8. Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

7.4. SPECIFIC CASES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

7.4.1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

7.4.2. List of specific cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

7.5. TRANSITIONAL PROVISIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88

ANNEX A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

ANNEX A - APPENDIX 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

ANNEX A - APPENDIX 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100

ANNEX B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

ANNEX C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179

GENERAL REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179

REGISTER OF INFRASTRUCTURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179

REGISTER OF ROLLING STOCK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

LISTS OF SPECIFIC CHARACTERISTICS AND REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . 180

ANNEX D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187

ANNEX E . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188

ANNEX F . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223

ANNEX G . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225

ANNEX H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227

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1. INTRODUCTION

1.1. Technical scope

This TSI concerns the control-command and signalling subsystem, shown in the list in point 1 of Annex II to

Directive 2001/16/EC. It is referred to in this document as `control-command subsystem'.

Further information about the control-command subsystem is provided in Chapter 2 (Subsystem definition and

scope).

1.2. Geographical scope

The geographical scope of this TSI is the trans-European conventional rail system as described in Annex I to

Directive 2001/16/EC.

1.3. Content of this TSI

In accordance with Article 5(3) of Directive 2001/16/EC, this TSI:

(a) indicates its intended scope (part of the network or rolling stock referred to in Annex I to the Directive;

subsystem or part of subsystem referred to in Annex II to the Directive) - Chapter 2 (Subsystem definition

and scope);

(b) lays down essential requirements for the control-command subsystem concerned and its interfaces vis--vis

other subsystems - Chapter 3 (The Essential Requirements Of The control-command subsystem);

other subsystems. If necessary, these specifications may vary according to the use of the subsystem, for

example according to the categories of line, hub and/or rolling stock provided for in Annex I to the

Directive - Chapter 4 (Characterisation of the subsystem);

(d) determines the interoperability constituents and interfaces covered by European specifications, including

European standards, which are necessary to achieve interoperability within the trans-European

conventional rail system - Chapter 5 (Interoperability constituents);

(e) states, in each case under consideration, the procedures for the assessment of conformity or suitability for

use. This includes in particular the modules defined in Decision 93/465/EEC or, where appropriate, the

specific procedures to be used to assess either the conformity or the suitability for use of interoperability

constituents and EC verification of subsystems - Chapter 6 (Assessment of conformity and/or suitability

for use of the constituents and verification of the subsystem);

(f) indicates the strategy for implementing the TSI. In particular, it is necessary to specify 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 TSI shall be the norm - Chapter 7 (Implementation of the TSI control-command);

(g) indicates, for the staff concerned, the professional qualifications and health and safety conditions at work

required for the operation and maintenance of the subsystem concerned, as well as for the implementation

of the TSI - Chapter 4 (Characterisation of the subsystem).

Moreover, in accordance with Article 5(5) of Directive 2001/16/EC, provision may be made for specific cases for

each TSI; these are indicated in Chapter 7 (Implementation of the TSI control-command).

Lastly, this TSI also comprises, in Chapter 4 (Characterisation of the subsystem), the operating and maintenance

rules specific to the scope indicated in sections 1.1 (Technical scope) and section 1.2 (Geographical scope).

L 284/8 EN Official Journal of the European Union 16.10.2006

2. SUBSYSTEM DEFINITION AND SCOPE

2.1. General

The control-command subsystem is defined as that set of functions and their implementation, which allow the

safe movement of trains.

The TSI control-command defines the essential requirements for those parts of the Control-command subsystem

that have relevance to interoperability, and therefore are subject to EC declaration of verification.

The features of the Control-command subsystem that are related to the interoperability of the trans-European

conventional rail system are determined by:

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 conditions.

2. INTERFACES.

3. The level of PERFORMANCE required to meet the essential requirements.

The specification of these functions, interfaces and performance requirements are provided in Chapter 4

(Characterisation of the Subsystem) where supporting standards are referenced.

2.2. Overview

The interoperability of the trans-European conventional rail network depends in part on the ability of the on-

board control-command equipment to work with various track-side equipment.

Because of the mobility of the onboard part, the control-command subsystem is divided in two parts: onboard

assembly and track-side assembly (see Figure 8 in Annex D).

2.2.1. Interoperability

This TSI defines the functions, interfaces and performance requirements to ensure the achievement of technical

interoperability. Technical interoperability is the prerequisite for operational interoperability, in which the driving

is based on consistent information displayed in the cabs and is in accordance with unified operational

requirements defined for the conventional network. This TSI also contains functions that are needed to achieve

operational interoperability (see section 4.3.1 Interface to the subsystem traffic operation and management).

2.2.2. Classes of control-command systems

Within the Control-command subsystem two classes of train protection and radio communication systems are

defined:

Class A: The unified Control-command system.

Class B: Control-command systems and applications existing before entry into force of the Directive 2001/

16/EC, limited to those described in Annex B.

In order to achieve interoperability, the trains' on-board control-command assembly will provide:

- the Class A radio and data communication interfaces to the infrastructure, in case of operation with

Class A infrastructure,

- the Class B radio and data communication interfaces to the infrastructure, in case of operation with Class B

infrastructure. For signalling data, this can be achieved with the use of a specific transmission module

(STM) that allows a Class A On-board system to operate on lines fitted with Class B track-side system using

the Class B data. The interface between the Class A on-board system and STM's is defined in this TSI.

Member States have the responsibility to ensure that Class B systems are managed during their lifetime; in

particular any changes to these specifications must not prejudice interoperability.

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2.2.3. Levels of application

The interfaces specified by this TSI define the means of data transmission to, and sometimes from, trains. The

Class A specifications referenced by this TSI provide options from which a project may choose the means of

transmission that meet its requirements. Three levels of application are defined:

Level 1: Data transmission is achieved by spot transmission (Eurobalise) and in some cases by semi-

continuous transmission (Euroloop or radio in-fill). The detection of trains is achieved by track-

based equipment, usually track-circuits or axle counters. Signalling information is communicated

to the driver by equipment in the driving cab and, optionally, lineside signals.

Level 2: Data transmission is achieved by continuous radio transmission (GSM-R). For some functions, the

radio transmission requires complementing by spot transmission (Eurobalise). The detection of

trains is achieved by track-based equipment, usually track-circuits or axle counters. Signalling

information is communicated to the driver by equipment in the driving cab and, optionally,

lineside signals.

Level 3: Data transmission is achieved by continuous radio transmission (GSM-R). For some functions, the

radio transmission requires complementing by spot transmission (Eurobalise). The detection of

trains is achieved by equipment on-board, reporting to the control-command track-side assembly.

Signalling information is communicated to the driver by equipment in the driving cab.

The requirements of this TSI apply to all levels of application. Implementation is addressed in Chapter 7

(Implementation of the TSI control-command). A train equipped with a Class A On-board system for a given

level of application shall be able to operate on that level and any lower one.

2.2.4. Infrastructure network borders

The local technical interfaces between the Track-side control-command Assemblies of neighbouring

infrastructures shall not restrict the uninterrupted passage of trains when crossing borders between them.

Any high-speed or conventional train fitted with Class A On-board system in accordance with the corresponding

TSI shall not, on grounds concerning anyone of both TSIs, be restricted in operating on any high-speed or

conventional route with infrastructure fitted with Class A track-side system in accordance with the corresponding

TSI, as soon as the register of rolling stock of that train and the register of Infrastructure of that route have been

cross-checked for interoperability.

3. THE ESSENTIAL REQUIREMENTS OF THE CONTROL-COMMANDCONTROL-COMMAND SUBSYSTEM

3.1. General

The interoperability Directive 2001/16/EC Article 4(1) requires that the trans-European conventional rail system,

subsystems and the interoperability constituents including interfaces meet the essential requirements set out in

general terms in Annex III to the Directive. The eEssential requirements are:

- safety,

- reliability and availability,

- health,

- environmental protection,

- technical compatibility.

The Directive allows that the essential requirements may be applied to the whole trans-European conventional

rail system or be specific to each subsystem and its interoperability constituents.

The Essential Requirements are taken in turn, below. Requirements on Class B systems are the responsibility of

the relevant Member State.

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3.2. Specific Aspects for the control-command subsystem

3.2.1. 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 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 4.2.1 (Control-command safety

characteristics relevant to interoperability) shall be respected.

For 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 4.2.1

(Control-command safety characteristics relevant to interoperability). This safety requirement must be met

together with the availability requirements as defined in Section 3.2.2 (Reliability and Availability).

For Class B systems used for conventional rail operation, it is the responsibility of the appropriate Member State

(defined in Annex B) to:

- ensure that the Class B system design meets national safety targets,

- ensure that the application of the Class B system meets national safety targets,

- define the safe operating parameters and conditions of use of the Class B system (including, but not limited

to, maintenance and degraded modes).

3.2.2. Reliability and Availability

(a) For 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 inthe Basic

Parameter defined in section 4.2.1 (control-command safety characteristics relevant to interoperability).

(b) The quality of the maintenance organisation for all systems comprising the control-command subsystem

shall ensure that the level of risk is controlled as constituents age and wear. The quality of the maintenance

shall ensure that safety is not prejudiced because of these activities. See section 4.5 (Maintenance rules).

3.2.3. 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 the materials used in and the design of Control-command

subsystems do not constitute a health hazard to persons having access to them.

3.2.4. Environmental protection

According to the European regulations and to the national regulations which are compatible with the European

legislation:

- the control-command 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,

- the control-command equipment shall not contain substances which may during their normal use

abnormally contaminate the environment,

- the control-command 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,

- the control-command equipment shall comply with existing regulations on noise pollution,

- the control-command 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).

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3.2.5. Technical compatibility

Technical compatibility includes the functions, interfaces and performances required to achieve interoperability.

The requirements of technical compatibility are subdivided in the following three categories:

- the first category sets out the general engineering requirements for interoperability, that is environmental

conditions, internal electromagnetic compatibility (EMC) within the railway boundaries, and installation.

These compatibility requirements are defined in this Chapter,

- the second category describes how the control-command subsystem has to be applied and what functions

it has to perform in order that interoperability is achieved. This category is defined in Chapter 4,

- the third category describes how the control-command subsystem has to be operated in order that

interoperability is achieved. This category is defined in Chapter 4.

3.2.5.1. Engineering compatibility

3.2.5.1.1. P h y s i c a l e n v i r o n m e n t a l c o n d i t i o n s

Systems complying with the Class A system requirements shall be capable of operating under the climatic and

physical conditions which exist along the relevant part of the trans-European conventional network. For the

interfaces to rolling stock see section 4.3.2.5 (Physical environmental conditions) and for the interfaces to

infrastructure see section 4.3.3.3 (Physical environmental conditions).

Systems complying with the Class B system requirements shall conform at least to the physical environmental

specifications applying to the corresponding Class B system, in order to be capable of operating under the

climatic and physical conditions which exist along the conventional lines concerned.

3.2.5.1.2. R a i l w a y i n t e r n a l e l e c t r o m a g n e t i c c o m p a t i b i l i t y

The Basic Parameter is described in section 4.2.12 (Electromagnetic compatibility). For the interfaces to rolling

stock see section 4.3.2.6 (Electromagnetic compatibility), for the interfaces to infrastructure see section 4.3.3.4

(Electromagnetic compatibility) and for the interfaces to Energy see section 4.3.4.1 (Electromagnetic

compatibility).

3.2.5.2. Control-command compatibility.

Chapter 4, supported by Annexes A and B, defines the requirements for the interoperability of the control-

command subsystem.

In addition, this TSI together with the control-command TSI for the trans-European high-speed rail system

ensures, as far as the control-command subsystem is concerned, the technical interoperability between trans-

European high- speed rail and conventional rail systems when both are fitted with Class A system.

4. CHARACTERISATION OF THE SUBSYSTEM

4.1. Introduction

The trans-European conventional rail system, to which the Directive 2001/16/EC applies and of which the

control-command subsystem is a part, is an integrated system whose consistency must be verified. This

consistency must be checked in particular with regard to the specifications of the subsystem, its interfaces vis--

vis the system in which it is integrated, as well as the operating and maintenance rules.

Taking account of all the relevant essential requirements, the control-command subsystem is characterised by the

following basic parameters:

- control-command safety characteristics relevant to interoperability (section 4.2.1),

- on-board ETCS functionality (section 4.2.2),

- track-side ETCS functionality (section 4.2.3),

- EIRENE functions (section 4.2.4),

- ETCS and EIRENE air gap interfaces (section 4.2.5),

L 284/12 EN Official Journal of the European Union 16.10.2006

- on-board Interfaces Internal to Control Command (section 4.2.6),

- track-side Interfaces Internal to Control Command (section 4.2.7),

- key management (section 4.2.8),

- ETCS-ID management (section 4.2.9),

- HABD (hot axle box detector) (section 4.2.10),

- compatibility with track-side Train Detection Systems (section 4.2.11),

- Electromagnetic compatibility (section 4.2.12),

- ETCS DMI (driver machine interface) (section 4.2.13)

- EIRENE DMI (driver machine interface) (section 4.2.14)

- interface to data recording for regulatory purposes (section 4.2.15)

- Visibility of track-side control-command objects (section 4.2.16)

The requirements of sections

- 4.2.10 (HABD (Hot axle box detector)),

- 4.2.11 (Compatibility with track-side train detection systems),

- 4.2.12 (Electromagnetic compatibility),

- 4.2.16 (Visibility of track-side Control-command objects)

shall always be applied, independently of the class of system.

All other requirements in section 4.2 (Functional and technical specifications of the subsystem) shall always be

applied to the Class A system only. Requirements of Class B systems are the responsibility of the appropriate

Member State. Annex B deals with the characteristics of the Class B system and defines the responsible Member

States.

The STMs, which enable the Class A on-board system to operate over Class B infrastructure, are subject to the

Class B requirements.

To achieve interoperability it is not necessary to standardise all the functions within the whole control-command

subsystem. The functionality for automatic train protection and automatic train control considered in chapter 4

is:

- on-board standard functions, ensuring that every train will react to data received from track-side in a

predictable way,

- track-side standard functions, able to process data from national interlocking and signalling systems and to

translate such data into standard messages for the trains,

- standard interfaces for track-to-train and train-to-track communication.

The control-command functions are classified in categories indicating, for example, whether they are optional or

mandatory. The categories are defined in Annex A, Index 1 and Annex A, Index 32 and the classification of the

functions are indicated within their text.

Annex A, Index 3 provides the Glossary of ETCS terms and definitions which are used in the specifications

referred in Annex A.

In light of the essential requirements in Chapter 3, the functional and technical specifications of the control-

command subsystem are as follows:

4.2. Functional and technical specifications of the subsystem

4.2.1 Control-command safety characteristics relevant to interoperability

This basic parameter describes the safety requirements on On-board assemblies and the safety requirements on

Track-side assemblies.

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With reference to the essential requirement `safety' (see section 3.2.1, Safety), this basic parameter establishes the

mandatory requirements for interoperability:

- to ensure that the solutions to achieve safety do not jeopardise interoperability the requirements of

Annex A, Index 47 shall be respected,

- for the safety related part of one on-board assembly as well as for one track-side assembly, the safety

requirement for ETCS level 1 or level 2 (1) is: tolerable hazard rate (THR) of 10-9/hour (for random failures)

corresponding to Safety Integrity Level 4. The detailed requirements for Class A equipment are specified in

Annex A, Index 27. Less restrictive safety requirements on THR values for track-side equipment may be

adopted, provided that the safety objective for the service is met.

- The reliability and availability requirements of Annex A, Index 28 shall be respected.

4.2.2. On-board ETCS functionality

This basic parameter describes the ETCS on-board functionality. It contains all functions to run a train in a safe

way. The performance of the functions shall conform to Annex A, Index 14. These functions shall be

implemented in accordance with Annex A, Index 1, 2, 4, 13, 23, 24, 53 and the technical specifications indicated

below:

- Communicating with the control-command track-side assembly. The in-fill data transmission function in

ETCS Level 1 applications is only mandatory on-board under the conditions defined in Chapter 7. Data

radio functionality for ETCS is only mandatory for ETCS Level 2 or ETCS Level 3 applications.

- Eurobalise reception. See Annex A, Index 9, 36, 43

- Euroloop reception. See Annex A, Index 15, 16, 50

- Radio transmission and radio messages protocol management. See Annex A, Index 10, 11, 12, 18, 19,

22, 39, 40.

- Communicating with the driver

- Supporting driving. See Annex A, Index 51

- Providing odometry information. See Annex A, Index 51.

- Communicating with the STM's. See Annex A, Index 8, 25, 26, 36, 52. This function includes:

- Managing the STM's output

- Providing data to be used by the STM

- Managing STM transitions.

- Providing the automatic train protection function and cab-signalling. See Annex A, Index 6, 7, 31, 37. This

function includes:

- Locating the train in a Eurobalise co-ordination system, which is the basis for supervising the

dynamic speed profile

- Calculating the dynamic speed profile for its mission

- Supervising the dynamic speed profile during its mission

- Selecting the speed supervision mode

- Supervising the train according national values

- Defining and providing the intervention function

- Setting the train characteristics.

- Demonstrating the completeness of the train (train integrity) - mandatory for level 3, not required for

level 1 or 2.

(1) The safety requirements for ERTMS/ETCS Level 3 still have to be established.

L 284/14 EN Official Journal of the European Union 16.10.2006

- Equipment health monitoring and failure mode support. This function includes:

- Initialising the on-board ETCS functionality

- Providing failure mode support.

- Isolation of the on-board ETCS functionality.

- Support data recording for regulatory purposes. See Annex A, Index 5, 41, 55.

- The vigilance function. See Annex A, Index 42. Implementation may be:

- Outside the ERTMS/ETCS On-board, interoperability constituent (see Chapter 5), with an optional

interface to the ERTMS/ETCS On-board, or

- Inside the ERTMS/ETCS On-board.

4.2.3. Track-side ETCS functionality

This basic parameter describes the ETCS track-side functionality. It contains all ETCS functionality to provide a

safe path to a specific train. The performance of the functions shall conform to Annex A, Index 14. These

functions shall be implemented in accordance with Annex A, Index 1, 2, 4, 13, 23, 24, 31, 37, 53 and the

technical specifications indicated below:

- Communication with track-side signalling equipment (interlocking, signal)

- Locating a specific train in a Eurobalise co-ordination system (levels 2 and 3)

- Translating the information from track-side signalling equipment into a standard format for the control-

command On-board Assembly.

- Generating movement authorities including track description and orders assigned to a specific train.

- Communicating with the Control-command On-board Assembly. This includes:

- Eurobalise transmission. See Annex A, Index 9, 43

- Radio in-fill. See Annex A, Index 18, 19, 21. Radio in-fill is only relevant in level 1 in which it is

optional. (see also section 7.2.6)

- Euroloop. See Annex A, Index 16, 50. Euroloop is only relevant in level 1 in which it is optional (see

also section 7.2.6)

- RBC radio communication. See Annex A, Index 10, 11, 12, 39, 40. RBC radio communication is only

relevant to level 2 and level 3.

- Providing track clearance information to the interlocking. This function is only required for level 3.

4.2.4. EIRENE functions

This basic parameter describes the EIRENE voice and data communication functions:

- Driver call related functions

- Operational radio functions

- Data communication.

These functions shall be implemented in accordance with the technical specifications indicated in Annex A,

Index 32, 33 and 48 and their performance shall conform to Annex A Index 54.

4.2.5. ETCS and EIRENE air gap interfaces

The complete specification of these interfaces consists of two parts:

- specification of the protocols for the transport of information from/to ERTMS functions and for ensuring

safety in the communication.

16.10.2006 EN Official Journal of the European Union L 284/15

- specification of the interfaces between pieces of equipment. The interfaces between the equipment are

described in:

- Section 4.2.6 (on-board interfaces internal to control-command) for on-board

- Section 4.2.7 (trackside interfaces internal to control-command) for track-side

This basic parameter describes the air gap between track-side and onboard control-command assemblies. It

includes:

- the physical, electrical and electromagnetic values to be respected to allow a safe functioning,

- the communication protocol to be used,

- the availability of the communication channel.

The following specifications apply:

- radio communications with the train.

Class A radio communication interfaces shall operate in the R-GSM Band. See Annex A, Index 35. The

protocols shall comply with Annex A Index 10, 18, 19, 39, 40

- Eurobalise and Euroloop communication with the train.

Eurobalise communication interfaces shall comply with Annex A Index 9, 43. Euroloop communication

interfaces shall comply with Annex A Index 16, 50.

4.2.6. On-board interfaces internal to control-command

This basic parameter consists of three parts.

4.2.6.1. Interface between ETCS and STM

The specific transmission module (STM) allows ETCS on-board to operate on lines fitted with Class B systems.

The interface between the on-board ETCS functionality and the STMs for Class B systems is defined in Annex A,

Index 4, 8, 25, 26. Annex A, Index 45 specifies the K interface. Implementation of the K interface is optional but

if done, must be in accordance with Annex A, Index 45.

4.2.6.1. GSM-R/ETCS

The interface between the Class A radio and the on-board ETCS functionality. These requirements are specified in

Annex A Index 4, 7, 20, 22, 34.

4.2.6.2. Odometry

The interface between the odometry function and ERTMS/ETCS on-board shall meet the requirements of

Annex A, Index 44. 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).

4.2.7. Trackside interfaces internal to control-command

This basic parameter consists of six parts.

4.2.7.1. Functional interface between RBCs

This interface is used to define the data to be exchanged between neighbouring radio block centres (RBC) to be

able to move in a safe way a train from one RBC area to another. It describes:

- information from the `handing over' RBC to the `accepting' RBC,

- information from the `accepting' RBC to the `handing over' RBC

These requirements are specified in Annex A, Index 12.

L 284/16 EN Official Journal of the European Union 16.10.2006

4.2.7.2. Technical interface between RBCs

This is the technical interface between two RBC's. These requirements are specified in Annex A, Index 58.

4.2.7.3. GSM-R/RBC

This is the interface between the Class A radio system and the track-side ETCS functionality. These requirements

are specified in Annex A, Index 4, 20, 22, 34.

4.2.7.4. Eurobalise/LEU

This is the interface between Eurobalise and the lineside electronic unit (LEU). These requirements are specified in

Annex A, Index 9. This interface only contributes to this basic parameter when Eurobalise and LEUs are supplied

as separate interoperability constituents (see section 5.2.2, Grouping of interoperability constituents).

4.2.7.5. Euroloop/LEU

This is the interface between Euroloop and the LEU. These requirements are specified in Annex A, Index 16. This

interface only contributes to this basic parameter when Euroloop and LEUs are supplied as separate

interoperability constituents (see section 5.2.2, Grouping of interoperability constituents).

4.2.7.6. Requirements on pre-fitting of ERTMS track side equipment

This is the interface between track-side Class A equipment and track-side control-command infrastructure. These

requirements are specified in Annex A Index 59. This Index describes means for track-side pre-fitting of Class A

equipment.

4.2.8. Key management

This basic parameter concerns the safety related data transmitted via radio that is protected by mechanisms that

need cryptographic keys. The infrastructure managers and railway undertakings shall provide a management

system that controls and manages the keys. A key management interface is required:

- between the key management systems of different infrastructure managers,

- between the key management systems of railway undertakings and the infrastructure managers,

- between the key management system and the on-board and track-side ETCS equipment.

The requirements to the key management between key management systems of interoperable regions are

specified in Annex A, Index 11.

4.2.9. ETCS-ID management

This basic parameter concerns the unique ETCS-identities for equipment in track-side and on-board assemblies.

The requirements are specified in Annex A, Index 23. The allocation of variables is defined in Annex A, Index 53.

Suppliers of on-board control-command equipment are responsible for the management of unique identities

within the allocated range as defined in Annex A, Index 53. Rolling stock keepers shall provide a management

system that controls and manages the identities during the life-cycle of the assembly.

In Annex A, Index 53 Member States are allocated ranges of identities. Member States are responsible for the

management of allocation of these ranges to the contracting entities in their State.

Contracting entities of track-side assemblies are responsible for the management of unique identities within their

allocated range. The infrastructure manager shall provide a management system that controls and manages the

identities during the life-cycle of the assembly.

4.2.10. HABD (Hot axle box detector)

This basic parameter specifies the requirements for the track-side equipment, used to check if the temperature of

passing rolling stock axle bearings has exceeded a certain value and to transmit this information to a control

centre. The requirements are defined in Annex A, Appendix 2.

16.10.2006 EN Official Journal of the European Union L 284/17

The treatment of rolling stock equipped with on-board detection is also described in TSI RS HS section 4.2.11.

4.2.11. Compatibility with track-side train detection systems

This basic parameter describes the characteristics of track-side train detection systems that are necessary to be

activated by rolling stock which conforms to the rolling stock TSI.

Rolling stock shall have the characteristics necessary for the operation of track-side train detection systems. In

Annex A, Appendix 1 the requirements related to the characteristics of a vehicle are specified. These

characteristics are defined in TSI rolling stock HS and TSI rolling stock freight wagons in the sections given in the

table, and will be included in future rolling stock TSI's.

TSI rolling

Appendix 1 TSI rolling stock traction TSI opera- TSI operations

Parameter TSI control- TSI rolling stock freight units locos, tions and and traffic

command stock HS wagons EMUs, traffic man- management

DMUs- and agement (HS) (CR)

coaches

Axle distances 2.1 incl. Not yet 4.2.3.2 ? -

Figure 6 specified

Wheel geometry 2.2 incl. 4.2.10 5.4.2.3 ? -

Figure 7

Vehicle mass (minimum axle 3.1 4.1.2 4.2.3.2 ? -

load)

Metal-free space around wheels 3.2 Not yet Chapter 6 ? -

specified (1)

Metal-mass of vehicle 3.3 Not yet Open point ? -

specified

Wheel material 3.4 Not yet 5.4.2.3 ? -

specified

Impedance between wheels 3.5 4.2.10e 4.2.3.3.1 ? -

Vehicle impedance 3.6 Not yet None ? -

specified

Use of sanding equipment 4.1 Not yet None ? Not yet

specified addressed

Use of composite brake blocks 4.2 Not yet Open point ? -

specified

Traction current 5.1 Not yet None ? -

specified

Use of electric/magnetic brakes 5.2 4.1.5, None ? (2)

4.2.15,

4.3.6

Electric, magnetic, electromag- 5.3 4.1.9 None ? -

netic fields

(1) This requirement shall be respected as RS design parameter and for RS subsystem assessment.

(2) Different level of specification: shall be part of driver training and route knowledge.

L 284/18 EN Official Journal of the European Union 16.10.2006

4.2.12. Electromagnetic compatibility

This basic parameter is split into two parts.

4.2.12.1. Internal control-command electromagnetic compatibility

Control-command equipment shall not interfere with other control-command equipment.

4.2.12.2. Electromagnetic compatibility between rolling stock and control-command track-side equipment

This includes the range of electromagnetic compatibility (EMC) emissions (conducted and induced traction

current and other train originated currents, electromagnetic field characteristics as well as static fields) to be

respected by rolling stock in order to ensure the correct functioning of the track-side control-command

equipment. It includes the description for measuring the values.

Track-side train detection systems shall have the characteristics necessary to be compatible with rolling stock that

conforms to the rolling stock TSI.

Annex A, Appendix 1 specifies the train detection systems characteristics necessary to be compatible with rolling

stock. These characteristics will be included in the rolling stock TSI's.

4.2.13. ETCS DMI (driver machine interface)

This basic parameter describes the information provided from the ETCS On-board system to the driver and

entered to the ERTMS/ETCS On-board by the driver. See Annex A, Index 51.

It includes:

- ergonomics (including visibility),

- ETCS functions to be displayed,

- ETCS functions triggered by driver input.

4.2.14. EIRENE DMI (driver machine interface)

This basic parameter describes the information provided from the EIRENE on-board system to the driver and

entered to the EIRENE on-board system by the driver. See Annex A, Index 32, 33, 51.

It includes:

- ergonomics (including visibility),

- EIRENE functions to be displayed,

- call related information outgoing,

- call related information incoming.

4.2.15. Interface to data recording for regulatory purposes

This basic parameter describes:

- data exchange between the juridical recorder and the downloading tool,

- communication protocols,

- physical interface,

- functional requirements for, and use of, data-recording.

16.10.2006 EN Official Journal of the European Union L 284/19

It shall be possible for investigatory authorities in each Member State to have access to the recorded data that

meets obligatory data-recording requirements for official and investigative purposes.

See Annex A Index 4, 5, 41, 55.

4.2.16. Visibility of track-side Control-command objects

This Basic parameter describes:

- the characteristics of retro-reflecting signs,

- driver's external field of view. Track-side control-command objects that need to be observed by the driver

must be sited taking into account the driver's external field of view as defined in the TSI Traffic Operations

and Management.

4.3. Functional and technical specifications of the interfaces to other subsystems

4.3.1. Interface to the subsystem traffic operation and management

All references to the TSI OPE CR are open points and remain to be confirmed, when this TSI will be approved.

4.3.1.1. Operating rules

The European conventional network will be subject to some unified operational requirements, which will be

described in the CR TSI `Traffic operation and management' (section 4.4 Operating rules of CCS TSI).

TSI OPE CR: section 4.4 (to be confirmed)

4.3.1.2. ETCS driver machine interface

This interface describes the information provided from the ERTMS ETCS On-board to the driver and entered to

the ERTMS ETCS On-board by the driver. The control-command basic parameter is described in section 4.2.13

(ETCS DMI (driver machine interface)).

This interface is relevant to Class A system. Requirements for Class B systems are defined by the appropriate

Member State (see Annex B).

TSI OPE CR: section 4.4 (to be confirmed)

4.3.1.3. EIRENE driver machine interface

This interface describes the information provided from the EIRENE on-board system to the driver and entered to

the EIRENE on-board system by the driver. The control-command basic parameter is described in section 4.2.14

(EIRENE DMI (Driver Machine Interface))

This interface is relevant to Class A systems. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).

TSI OPE CR: section 4.4 (to be confirmed)

4.3.1.4. Interface to data recording for regulatory purposes

This interface refers to the functional requirements for, and use of, data-recording. The control-command basic

parameter is described in section section 4.2.15 (Interface to data recording for regulatory purposes).

This interface is relevant to Class A systems. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).

TSI OPE CR: section 4.2.3.5 (to be confirmed)

L 284/20 EN Official Journal of the European Union 16.10.2006

4.3.1.5. Guaranteed train braking performance and characteristics

The control-command subsystem requires provision of the guaranteed train braking performance. The TSI traffic

operation and management will define the rules to determine the guaranteed braking performance of a train. The

rolling stock TSI's shall define the method of determining the braking performance of vehicles.

This interface is relevant to Class A system. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).

TSI OPE CR: section 4.2.2.4 (to be confirmed)

4.3.1.6. Isolation of on-board ETCS functionality

This interface refers to the operational requirements for the isolation of the On-board ETCS functionality in case

of failure. The control-command requirements are in section 4.2.2 (On-board ETCS functionality).

This interface is relevant to Class A system. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).

TSI OPE CR: section 4.4 (to be confirmed)

4.3.1.7. Key management

This interface refers to the operational requirements for Key Management. The control-command basic

parameter is described in section 4.2.8 (Key Management).

This interface is relevant to Class A system.

TSI OPE CR: To be confirmed

4.3.1.8. Hot Axle Box Detectors

This interface refers to the operational requirements for hot axle box detectors. The control-command basic

parameter is described in section 4.2.10 (HABD (Hot axle box detector)).

TSI OPE CR: section 4.2.3.5.1 (to be confirmed)

4.3.1.9. Driver Vigilance

This interface refers to the operational requirements for driver vigilance. The control-command basic parameter

is described in section 4.2.2 (On-board ETCS functionality).

TSI OPE CR: section 4.3.3.7 (to be confirmed)

4.3.1.10. Use of sanding

This interface refers to the operational requirements for drivers so that sand does not adversely affect the

performance of track-side train detection equipment. The control-command basic parameter is described in

section 4.2.11 (Compatibility with track-side train detection systems).

TSI OPE CR: Presently not addressed in OPE TSI because level of detail is different: to be confirmed

4.3.1.11. Driver's external field of view

This interface refers to the driver's field of view through the cab windscreen. The requirements on Control-

command are described in section 4.2.16 (Visibility of track-side Control-command objects).

TSI OPE CR: section 4.3.2.2 (to be confirmed)

16.10.2006 EN Official Journal of the European Union L 284/21

4.3.2. Interface to the subsystem rolling stock

All references to interfaces with the CR TSI rolling stock traction units and coaches remain open points. Traction

units mean locomotives, electric multiple units and diesel multiple units.

4.3.2.1. Compatibility with track-side train detection systems

Track-side train detection systems shall have the characteristics necessary to be activated by rolling stock which

conforms to the rolling stock TSI. The control-command basic parameter and the references to the relevant

rolling stock TSI's are described in section 4.2.11 (Compatibility with track-side train detection systems).

4.3.2.2. Electromagnetic compatibility between rolling stock and control-command track-side equipment.

This interface is the range of electromagnetic compatibility (EMC) emissions (conducted and induced traction

current and other train originated currents, electromagnetic field characteristics as well as static fields) to be

respected by rolling stock in order to ensure the correct functioning of the track-side control-command

equipment. The control-command basic parameter is described in section 4.2.12.2 (Electromagnetic

compatibility between rolling stock and control-command track-side equipment).

TSI Rolling stock freight wagons: not concerned.

TSI Rolling stock HS: Section 4.1.9

TSI Rolling stock traction units and coaches

4.3.2.3. Guaranteed train braking performance and characteristics

The control-commandsubsystem requires provision of the guaranteed train braking performance. The

rolling stock TSI's shall define the method of determining the braking performance of vehicles. The TSI traffic

operation and management will define the rules to determine the guaranteed braking performance of a train.

This interface is relevant to Class A system. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).

TSI Rolling stock freight wagons: Section 4.2.4.1.2

TSI Rolling stock HS: Section 4.1.5, 4.3.7, 4.3.9

TSI Rolling stock traction units and coaches

4.3.2.4. Position of control-command on-board antennae

The position of the Eurobalise and Euroloop antennae on the rolling stock shall be such that reliable data

communication is assured at the extremes of the track geometry capable of being traversed by the rolling stock.

The movement and behaviour of the rolling stock shall be taken into account. The control-command basic

parameter is described in section 4.2.2 (On-board ETCS functionality).

This interface is relevant to Class A system. Requirements for Class B systems are defined by the appropriate

Member State (see Annex B).

The position of the GSM-R antenna on the roof of vehicles is mainly dependent on measurements that have to be

carried out for any type of vehicle taking into account also the position of other (new or existing) antennas.

Under test conditions the output of the antenna has to comply with the requirements described in section 4.2.5

(ETCS and EIRENE air gap interfaces). The test conditions are also described in section 4.2.5 (ETCS and EIRENE

air gap interfaces).

TSI Rolling stock freight wagons not concerned.

TSI Rolling stock HS: Annex 0, 0.5, section 4.2.4

TSI Rolling stock traction units and coaches

L 284/22 EN Official Journal of the European Union 16.10.2006

4.3.2.5. Physical environmental conditions

The climatic and physical environmental conditions of control-command equipment expected on the train shall

be defined by reference to the Infrastructure Registers of the lines where the train is intended to operate and by

reference to Annex A, Index A4.

TSI Rolling stock HS: Section 4.3.12

TSI Rolling stock freight wagons not concerned

TSI Rolling stock traction units and coaches

4.3.2.6. Electromagnetic compatibility

To facilitate the universal use of the equipment for the control-command on-board Assembly on new rolling

stock accepted for operation upon the trans-European conventional network, the electromagnetic conditions

expected on the train shall be defined in accordance with Annex A, Index A6. For Eurobalise communication

system specific provisions in Annex A, Index 9 apply.

Requirements for Class B systems are defined by the appropriate Member State (see Annex B).

TSI Rolling stock HS:

TSI Rolling stock freight wagons not concerned.

TSI Rolling Stock traction units and coaches

4.3.2.7. Isolation of on-board ETCS functionality

This interface refers to the isolation of the on-board ETCS functionality. The control-command requirements are

in 4.2.2 (On-board ETCS functionality).

This interface is relevant to Class A system. Equivalent requirements for Class B subsystems are defined by the

responsible Member States (see Annex B).

TSI Rolling stock HS: Section 4.2.4 (to be added in)

TSI Rolling stock freight wagons not concerned.

TSI Rolling stock traction units and coaches

4.3.2.8. Data interfaces

The data interface between the train and control-command on-board assembly is defined in Annex A, Index 7.

This interface is relevant to Class A system. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).

TSI Rolling stock HS: Section 4.2.4, 4.3.13

TSI Rolling stock freight wagons are not concerned for ETCS level 1 and level 2.

TSI Rolling stock traction units and coaches

The interface requirements between the radio communications and the rolling stock subsystem are specified in

Annex A, Index 33.

This interface is relevant to Class A system. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).

The respective corresponding specification is laid down in

- TSI Rolling stock freight wagons: not concerned.

- TSI Rolling stock HS: Section

- TSI Rolling stock traction units and coaches

16.10.2006 EN Official Journal of the European Union L 284/23

4.3.2.9. Hot axle box detectors

This interface refers to the technical requirements for hot axle box detectors. The control-command basic

parameter is described in section 4.2.10 (HABD (Hot axle box detector)).

The respective corresponding specification is laid down in

- TSI Rolling stock freight wagons: Section 4.2.3.3.2

- TSI Rolling stock HS: Section 4.2.11, 4.3.13

- TSI Rolling stock traction units and coaches

4.3.2.10. Vehicle headlights

This interface refers to the technical requirements for the chromaticity and luminosity of vehicle headlights to

ensure the correct visibility of reflective lineside signage and reflective clothing. The control-command

requirements are described in section 4.2.16 (Visibility of track-side control-command objects).

TSI Rolling stock freight wagons not concerned.

TSI Rolling stock HS: Section: 4.2.20

TSI Rolling stock traction units and coaches

4.3.2.11. Driver vigilance

This interface refers to the technical requirements for driver vigilance. The control-command basic parameter is

described in section 4.2.2 (On-board ETCS functionality).

TSI Rolling stock freight wagons not concerned.

TSI Rolling stock HS: Section 4.2.2

TSI Rolling stock traction units and coaches

4.3.2.12. Odometry

This is the interface between the odometry device and the odometry functionality required for ETCS on-board

functions.

This interface to rolling stock TSI's is only relevant to the basic parameter described in section 4.2.6.3

(Odometry) when odometry equipment is supplied as a separate interoperability constituent (see section 5.2.2

Grouping of interoperability constituents).

This interface is relevant to Class A system. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).TSI Rolling stock HS: Section 4.2.4

TSI Rolling stock freight wagons not concerned.

TSI Rolling stock traction units and coaches

4.3.2.13. Interface to data recording for regulatory purposes

This interface refers to the technical requirements for data recording. The control-command basic parameter is

described in section 4.2.15 (Interface to data recording for regulatory purposes).

This interface is relevant to Class A system. Requirements for Class B systems are defined by the appropriate

Member State (see Annex B).

TSI Rolling stock freight wagons not concerned.

TSI Rolling stock HS: section 4.3.13

TSI Rolling stock traction units and coaches

L 284/24 EN Official Journal of the European Union 16.10.2006

4.3.2.14. Onboard pre-fitting

This interface refers to the extend of pre-fitting on a rolling stock with Class A equipment as described in

Annex A, Index 57.

This interface is relevant to Class A systems.

TSI Rolling stock HS: section 4.2.4

4.3.3. Interfaces to subsystem infrastructure

4.3.3.1. Train detection systems

The infrastructure installation shall ensure that the train detection system respects the requirements quoted in

section 4.2.11 (Compatibility with track-side train detection systems).

TSI Infrastructure: a reference to CCS TSI will be included in future TSI so that CCS requirements can be

respected by Infrastructure.

4.3.3.2. Track-side antennae

Track-side subsystems antennae must be positioned so that reliable data communication is assured at the

extremes of the track geometry capable of being traversed by the rolling stock. The movement and behaviour of

the rolling stock shall be taken into account. See section 4.2.5 (ETCS and EIRENE air gap interfaces).

This interface is relevant to Class A system. Equivalent requirements for Class B systems are defined by the

appropriate Member State (see Annex B).

TSI Infrastructure: tbd relative to the gauge

4.3.3.3. Physical environmental conditions

The climatic and physical environmental conditions expected in the infrastructure shall be indicated in the

Infrastructure Register, by reference to Annex A, Index A5.

4.3.3.4. Electromagnetic compatibility

The electromagnetic conditions expected in the infrastructure shall be defined by reference to Annex A,

Index A7. For the Eurobalise communication system the specific provisions in Annex A, Index 9 apply. A

control-command on-board assembly complying with Annex A, Index A6 and the specific requirements for

Eurobalise in Annex A, Index 9 shall be considered compliant with the relevant essential requirements.

4.3.4. Interfaces to subsystem energy

4.3.4.1. Electromagnetic compatibility

The electromagnetic conditions expected from the fixed installations shall be defined by reference to Annex A,

Index A7. For the Eurobalise communication system the specific provisions in Annex A, Index 9 apply. A

control-command on-board assembly complying with Annex A, Index A6 and the specific requirements for

Eurobalise in Annex A, Index 9 shall be considered compliant with the relevant essential requirements.

4.4. Operating rules

The operating rules specific to the control-command subsystem are detailed in the TSI Traffic operation and

management.

16.10.2006 EN Official Journal of the European Union L 284/25

4.5. 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 achieve

the values quoted in the basic parameters; the maintenance rules shall ensure that safety is not prejudiced during

these activities.

To achieve these results, the following shall be respected.

4.5.1. Responsibility of manufacturer of equipment

The manufacturer of equipment incorporated in the subsystem shall specify:

- all maintenance requirements and procedures (including supervision of well functioning, diagnosis and test

methods and tools) 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, de-

commissioning etc.),

- all the risk for health and safety that may affect the public and the maintenance staff,

- 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 substitution of failed LRUs, and e.g. the

conditions for storage of LRUs and for repair of failed LRUs,

- the technical conditions for running a train with failed equipment to the end of its mission or to the

workshop (degraded mode from a technical point of view, e.g. functions partially or fully switched off,

isolation from other functions etc.).

- the verifications to be performed in case equipment is subject to exceptional stress (e.g. exceedance of

environmental conditions or abnormal shocks)

4.5.2. Responsibility of contracting entities

The contracting entities shall:

- ensure that, for all components within the scope of this TSI (regardless if interoperability constituents or

not), the maintenance requirements as described in section 4.5.1 (Responsibility of manufacturer of

equipment) are defined.

- set up the necessary maintenance rules relevant for all components within the scope of this TSI taking

account of risks due to interactions of different equipment inside the subsystem and interfaces to other

subsystems.

4.5.3. Responsibility of infrastructure manager or railway undertaking

The infrastructure manager or railway undertaking responsible for operating the on-board or track-side

assembly:

- Shall set up a maintenance plan as specified in section 4.5.4 (Maintenance plan).

4.5.4. Maintenance plan

The maintenance plan shall be based on the provisions specified in section 4.5.1 (Responsibility of

manufacturer of equipment), section 4.5.2 (Responsibility of contracting entities) and section 4.5.3

(Responsibility of infrastructure manager or railway undertaking) and cover, at least:

- conditions for the use of equipment, according to the requirements indicated by the manufacturers,

- specification of the maintenance programs (e.g. definition of preventive and corrective maintenance

categories, maximum time between preventive maintenance actions and corresponding precautions to be

taken for the safety of the subsystem and the maintenance staff, considering interference of maintenance

actions with the operation of the Control-command subsystem),

L 284/26 EN Official Journal of the European Union 16.10.2006

- requirements for the storage of spare parts,

- definition of first line maintenance,

- rules for the management of failed equipment,

- requirements related to the minimum competence of maintenance staff, with reference to the risks for

health and safety,

- definition of responsibilities and authorisation of maintenance staff (e.g. for access to equipment,

management of limitations and/or interruptions of system operation, replacement of LRUs, repair of failed

LRUs, restore of normal system operation),

- procedures for the management of ETCS-identities. See section 4.2.9 (ETCS-ID Management),

- methods for reporting to the manufacturer of equipment information on safety-critical defects and

frequent system failures.

4.6. Professional qualifications

The professional qualifications required for the operation of the control-command subsystem are covered by the

TSI Traffic Operation and Management.

The competence requirements for the maintenance of the Control-command subsystem shall be detailed in the

maintenance plan (see section 4.5.4 Maintenance plan).)

4.7. Health and safety conditions

In addition to the requirements specified in the maintenance plans, see section 4.5 (Maintenance rules),

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.

4.8. Infrastructure and Rolling stock registers

The control-command subsystem is treated as two assemblies:

- the on-board assembly,

- the track-side assembly.

The requirements for the conventional rail infrastructure and rolling stock register content with regard to the

control-command assemblies are specified in Annex C (line specific and train specific characteristics).

5. INTEROPERABILITY CONSTITUENTS

5.1. Definitions

According to Article 2(d) of Directive 2001/16/EC:

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 trans-European conventional rail system depends directly or indirectly. The concept of a

constituent covers both tangible objects and intangible objects such as software.'

As described in Chapter 2, the control-command subsystem is divided into two assemblies therefore the general

definition of the Directive may therefore be adapted as follows:

16.10.2006 EN Official Journal of the European Union L 284/27

Control-command interoperability constituents are any elementary component, group of components or

subassembly of equipment incorporated or intended to be incorporated into the track-side assembly or into the

on-board assembly, and upon which the interoperability of the trans-European conventional rail system depends

directly or indirectly. The concept of a constituent covers both tangible objects and intangible objects such as

software.

5.2. List of interoperability constituents

5.2.1. Basic interoperability constituents

The interoperability constituents in the control-command subsystem are listed in:

- Table 5.1.a for the on-board assembly,

- Table 5.2.a for the track-side assembly.

The interoperability constituent `safety platform' is defined as a building block (generic product, independent of

the application) made of hardware and base software (firmware and/or operating system and/or support tools),

which can be used for building more complex systems (generic applications, i.e. classes of applications).

5.2.2. Grouping of interoperability constituents

The control-command basic interoperability constituents defined in Tables 5.1.a and 5.2.a may be combined to

form a larger unit. The group is then defined by the functions of the integrated interoperability constituents 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.

- Table 5.1.b lists the groups of interoperability constituents of the on-board assembly

- Table 5.2.b lists the groups of interoperability constituents of the track-side assembly

When the mandatory specifications indicated in this TSI are not available to support an interface, a declaration of

conformity may be possible by grouping interoperability constituents.

5.3. Constituents performances and specifications

For each basic interoperability constituent or group of interoperability constituents, the tables in chapter 5

describe:

- in column 3, the functions and interfaces. Note that some interoperability constituents have functions and/

or interfaces that are optional,

- 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,

- in column 5, the modules to be applied for conformity assessment, which are described in chapter 6 of this

TSI.

Note that the requirements of section 4.5.1 (Responsibility of manufacturer of equipment) apply to each basic

interoperability constituent or group of interoperability constituents.

L 284/28 EN Official Journal of the European Union 16.10.2006

Table 5.1.a

Basic interoperability constituents in the on-board control-command assembly

1 2 3 4 5

Specific

No Interoperability constituent IC Characteristics requirements to be

assessed by reference Module

to Annex A Index n

1. ERTMS ETCS on-board Safety 4.2.1

On-board ETCS functionality 4.2.2 H2

Excluding: B with D

- Odometry or

B with F

- Data recording for regu-

latory purposes

ETCS and EIRENE air gap inter- 4.2.5

faces

RBC (level 2 and 3)

Radio in-fill unit (optional

level 1)

Eurobalise airgap

Euroloop airgap (optional level

Interfaces

STM (implementation of 4.2.6.1

interface K optional)

ERTMS GSM-R on-board 4.2.6.2

Odometry 4.2.6.3

Key management system 4.2.8

ETCS ID Management 4.2.9

ETCS Driver Machine Interface 4.2.13

Key Management 4.3.1.7

Physical environmental condi- 4.3.2.5

tions

EMC 4.3.2.6

Data interface. This also 4.3.2.8

includes vigilance (optional)

and train integrity (only level

Safety Information recorder none

2. Safety platform on-board Safety 4.2.1 H2

or B with D

or B with F

3. Safety information recorder On-board ETCS functionality 4.2.2 H2

or B with D

Only Data recording for reg- or B with F

ulatory purposes

Interfaces

JRU downloading tool 4.2.15

ERTMS/ETCS on-board none

Environmental conditions 4.3.2.5

EMC 4.3.2.6

16.10.2006 EN Official Journal of the European Union L 284/29

1 2 3 4 5

Specific

No Interoperability constituent IC Characteristics requirements to be

assessed by reference Module

to Annex A Index n

4. Odometry Safety 4.2.1 H2

or B with D

On-board ETCS functionality 4.2.2 or B with F

Only odometry

Interfaces

ERTMS ETCS on-board 4.2.6.3

Environmental conditions 4.3.2.5

EMC 4.3.2.6

5. External STM Functions and safety none H2

or B with D

According to national specifi-

cations or B with F

Interfaces

ERTMS ETCS on-board 4.2.6.1

Class B system air gap none

According to national specifi-

cations

Environmental conditions none

According to national specifi-

cations

EMC none

According to national specifi-

cations

6. ERTMS/GSM-R on-board EIRENE functions 4.2.4 H2

or B with D

Data communication only in

level 2 or 3 or level 1 with or B with F

radio in-fill

Interfaces

ERTMS ETCS on-board 4.2.6.2

Only in level 2 or 3 or level 1

with radio in-fill

GSM-R 4.2.5

EIRENE Driver Machine Inter- 4.2.14

face

Environmental conditions 4.3.2.5

EMC 4.3.2.6

L 284/30 EN Official Journal of the European Union 16.10.2006

Table 5.1.b

Groups of interoperability constituents in the On-board control-command assembly

This table is an example to show the structure. Other groups may be proposed

1 2 3 4 5

Specific

No Interoperability constituent IC Characteristics requirements to be

assessed by reference Module

to Annex A Index n

1. Safety platform on-board Safety 4.2.1

ERTMS ETCS on-board On-board ETCS functionality 4.2.2 H2

safety information recorder or

ETCS and EIRENE air gap inter- 4.2.5

Odometry faces B with D

B with F

RBC (level 2 and 3)

Radio in-fill unit (optional

level 1)

Eurobalise airgap

Euroloop airgap (optional level

Interfaces

STM (implementation of 4.2.6.1

interface K optional)

ERTMS GSM-R on-board 4.2.6.2

Key management system 4.2.8

ETCS ID Management 4.2.9

ETCS Driver machine Interface 4.2.13

Physical environmental condi- 4.3.2.5

tions

EMC 4.3.2.6

JRU downloading tool 4.2.15

Data interface. This also 4.3.2.8

includes vigilance (optional)

and train integrity (only level

16.10.2006 EN Official Journal of the European Union L 284/31

Table 5.2.a

Basic interoperability constituents in the Track-side control-command assembly

1 2 3 4 5

Specific

No Interoperability constituent IC Characteristics requirements to be

assessed by reference Module

to chapter 4

1. RBC Safety 4.2.1

Track-side ETCS functionality 4.2.3 H2

or B with D

Excluded communication via or B with F

Eurobalises, radio in-fill and

Euroloop

ETCS and EIRENE air gap inter- 4.2.5

faces

Only radio communication

with train

Interfaces

Neighbouring RBC 4.2.7.1, 4.2.7.2

ERTMS GSM-R track-side 4.2.7.3

Key management system 4.2.8

ETCS-ID Management 4.2.9

Interlocking none

Environmental conditions 4.3.3.3

EMC 4.3.3.4

2. Radio in-fill unit Safety 4.2.1

Track-side ETCS functionality 4.2.3 H2

or B with D

Excluded communication via or B with F

Eurobalises, Euroloop and

level 2/3 functionality

ETCS and EIRENE air gap inter- 4.2.5

faces

Only radio communication

with train

Interfaces

ERTMS GSM-R track-side 4.2.7.3

Key management system 4.2.8

ETCS-ID Management 4.2.9

Interlocking and LEU 4.2.3

Environmental conditions 4.3.3.3

EMC 4.3.3.4

3. Eurobalise Safety 4.2.1

ETCS and EIRENE air gap inter- 4.2.5 H2

faces or B with D

or B with F

Only Eurobalise communica-

tion with train

Interfaces

LEU Eurobalise 4.2.7.4

ETCS-ID Management 4.2.9

Environmental conditions 4.3.3.3

EMC 4.3.3.4

L 284/32 EN Official Journal of the European Union 16.10.2006

1 2 3 4 5

Specific

No Interoperability constituent IC Characteristics requirements to be

assessed by reference Module

to chapter 4

4. Euroloop Safety 4.2.1

ETCS and EIRENE air gap inter- 4.2.5 H2

faces or B with D

Only Euroloop communica- or B with F

tion with train

Interfaces

LEU Euroloop 4.2.7.5

ETCS-ID Management 4.2.9

Environmental conditions 4.3.3.3

EMC 4.3.3.4

5. LEU Eurobalise Safety 4.2.1

Track-side ETCS functionality 4.2.3 H2

or B with D

Excluded communication via

radio in-fill, Euroloop and or B with F

level 2 and level 3 function-

ality

Interfaces

Track-side signalling None

Eurobalise 4.2.7.4

ETCS-ID Management 4.2.9

Environmental conditions 4.3.3.3

EMC 4.3.3.4

6. LEU Euroloop Safety 4.2.1

Track-side ETCS functionality 4.2.3 H2

or B with D

Excluded communication via

radio in-fill, Eurobalise and or B with F

level 2 and level 3 function-

ality

Interfaces

Track-side signalling None

Euroloop 4.2.7.5

ETCS-ID Management 4.2.9

Environmental conditions 4.3.3.3

EMC 4.3.3.4

7. Safety platform track-side Safety 4.2.1 H2

or B with D

or B with F

16.10.2006 EN Official Journal of the European Union L 284/33

Table 5.2.b

Groups of interoperability constituents in the track-side control-command assembly

This table is an example to show the structure. Other groups may be proposed

1 2 3 4 5

Specific

No Interoperability constituent IC Characteristics requirements to be

assessed by reference Module

to chapter 4

1. Safety platform track-side Safety 4.2.1

Eurobalise

LEU Eurobalise Track-side ETCS functionality 4.2.3 H2

or B with D

Excluded communication via or B with F

Euroloop and level 2 and level

3 functionality

ETCS and EIRENE air gap inter- 4.2.5

faces

Only Eurobalise communica-

tion with train

Interfaces

Track-side signalling None

ETCS-ID Management 4.2.9

Environmental conditions 4.3.3.3

EMC 4.3.3.4

2. Safety platform track-side Safety 4.2.1

Euroloop

LEU Euroloop Track-side ETCS functionality 4.2.3 H2

or B with D

Excluded communication via or B with F

Eurobalise and level 2 and

level 3 functionality

ETCS and EIRENE air gap inter- 4.2.5

faces

Only Euroloop communica-

tion with train

Interfaces

Track-side signalling None

ETCS-ID Management 4.2.9

Environmental conditions 4.3.3.3

EMC 4.3.3.4

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

VERIFICATION OF THE SUBSYSTEM

6.0. Introduction

In the scope of the present TSI, fulfilment of relevant essential requirements quoted in chapter 3 of this TSI will

be ensured by the compliance with the specification referenced in Chapter 4 and, as a follow up, in chapter 5 for

the interoperability constituents, as demonstrated by a positive result of the assessment of conformity and/or

suitability of use of the interoperability constituent and verification of the subsystem as described in Chapter 6.

Nevertheless, where part of the essential requirements are satisfied by national rules, because of:

(a) use of Class B systems (including national functions in STMs);

(b) open points in the TSI;

(d) specific cases described in Section 7.3.

L 284/34 EN Official Journal of the European Union 16.10.2006

then the conformity assessment shall be carried out under the responsibility of the Member States concerned

according to notified procedures.

6.1. Interoperability constituents

6.1.1. Assessment procedures

The manufacturer of an interoperability Constituent (IC) (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 Directive 2001/16/EC before placing them on the market.

The assessment procedure for conformity of interoperability constituents and/or groups of interoperability

constituents as defined in Chapter 5 of this TSI shall be carried out by application of modules as specified in

section 6.1.2 (Modules).

Some of the specifications in this TSI contain mandatory and/or optional functions. The notified body shall:

- verify that all mandatory functions relevant to the interoperability constituent are implemented;

- verify which optional functions are implemented,

and carry out the assessment of conformity.

The supplier shall indicate in the EC declaration which optional functions are implemented.

The notified body shall verify, that no additional functions, implemented in the constituent, lead to conflicts with

implemented mandatory or optional functions.

6.1.1.1. The specific transmission module (STM)

The STM has to meet national requirements, and its approval is a responsibility of the appropriate Member State

as stated in Annex B.

The verification of the STM interface to the ERTMS/ETCS on-board requires a conformity assessment carried out

by a notified body. The notified body shall verify that the Member State has approved the national part of the

STM.

6.1.1.2. EC declaration of suitability for use

An EC declaration of suitability for use is not required for interoperability constituents of the control-command

subsystem.

6.1.2. Modules

For the assessment of interoperability constituents within the control-command subsystem, the manufacturer, or

his authorised representative established within the Community, may choose the modules according to tables

5.1A, 5.1B, 5.2A and 5.2B:

- either the type-examination procedure (Module B) for the design and development phase in combination

with the production quality management system procedure (Module D) for the production phase, or

- the type-examination procedure (Module B) for the design and development phase in combination with the

product verification procedure (Module F), or

- the full quality management system with design examination procedure (Module H2).

The description of the modules is in Annex E of this TSI.

The Module D (production quality management system) may only be chosen where the manufacturer operates a

quality system for production, final product inspection and testing, approved and surveyed by a notified body.

The Module H2 (full quality management system with design examination) may only be chosen where the

manufacturer operates a quality system for design, production, final product inspection and testing, approved

and surveyed by a notified body.

16.10.2006 EN Official Journal of the European Union L 284/35

The following additional clarifications apply to the use of some of the modules:

- with reference to Chapter 4 of the Module B (type examination) description in Annex E:

(a) design review is requested;

(b) review of manufacturing process is not requested if Module B (type examination) is used together

with Module D (production quality management system);

Module F (product verification),

- With reference to chapter 3 of the Module F (product verification) description in Annex E, statistical

verification is not allowed, i.e., all interoperability constituents shall be individually examined,

- With reference to section 6.3 of the Module H2 (full quality management system with design examination),

a type test is required.

Independently of the selected module, provisions of Annex A Index 47, Index A1, Index A2 and Index A3 shall

be applied for the certification of interoperability constituents, for which requirements of the basic parameter

safety (section 4.2.1 Control-command safety characteristics relevant to interoperability) apply.

Independently of the selected module, it shall be checked that the indications of the supplier for the maintenance

of the interoperability constituent are compliant with the requirements of section 4.5 (Maintenance rules) of this

TSI.

If Module B (type examination) is used, this shall be made on the basis of the examination of the technical

documentation (see section 3 and 4.1 of the description of Module B (type examination)).

If Module H2 (full quality management system with design examination) is used, the application for design

examination shall include all elements supporting evidence that the requirements of section 4.5 (Maintenance

rules) of this TSI are fulfilled.

6.2. Control-command subsystem

6.2.1. Assessment procedures

This Chapter deals with EC declaration of verification of control-command subsystem. As stated in Chapter 2 the

application of the control-command subsystem is treated as two assemblies:

- the on-board assembly,

- the track-side assembly.

For each assembly, an EC declaration of verification is required.

At the request of the contracting entity or its representative established in the Community the notified body

carries out EC verification of an on-board or track-side assembly in accordance with Annex VI to Directive 2001/

16/EC.

The contracting entity shall draw up the EC declaration of verification for the control-command assembly in

accordance with Article 18(1) and Annex V of Directive 2001/16/EC.

The content of the EC declaration of verification shall conform to Annex V to Directive 2001/16/EC. This

includes the verification of the integration of the interoperability constituents that are part of the assembly; the

tables 6.1 and 6.2 define the characteristics to be verified and reference the mandatory specifications to be

applied.

Some of the specifications in this TSI contain mandatory and/or optional functions. The notified body shall:

- verify that all mandatory functions required to the Assembly are implemented,

- verify that all optional functions required by the track-side or on-board specific implementation are

implemented.

L 284/36 EN Official Journal of the European Union 16.10.2006

The notified body shall verify, that no additional functions, implemented in the assembly, lead to conflicts with

implemented mandatory or optional functions.

Information on the specific implementation of the track-side assembly and on-board assembly shall be provided

in the Register of Infrastructure and in the Register of Rolling Stock in accordance with Annex C.

The EC declaration of verification of track-side assembly or on-board assembly shall provide all the information

required for inclusion in the abovementioned registers. The Registers shall be managed in accordance with

Article 24 of Directive 2001/16/EC.

The EC declaration of verification of on-board and track-side assemblies, together with the certificates of

conformity, is sufficient to ensure that an track-side assembly will operate with a on-board assembly equipped

with corresponding characteristics as defined in the Register of Rolling Stock and in the Register of Infrastructure

without an additional subsystem EC declaration of verification.

6.2.1.1. Functional integration verification of on-board assembly

The verification is to be made for a control-command on-board assembly installed on a vehicle. For the control-

command equipment that is not defined as Class A only the verification requirements associated with

interoperability (for example STM/ERTMS ETCS on-board interface) are included in this TSI.

Before any on-board functional verification can take place, the interoperability constituents included in the

assembly shall have been assessed in accordance with section 6.1 above resulting in an EC declaration of

conformity. The notified body shall assess that they are suitable for the application (e.g. optional functions

implemented).

Class A functionality already verified at interoperability constituent level does not require additional verification.

The integration verification tests shall be performed to demonstrate that the components of the assembly have

been correctly interconnected and interfaced to the train to ensure that the required functionality and

performance required for that application of the assembly is achieved. When identical control-command on-

board assemblies are installed on identical items of rolling stock, the integration verification has to be done only

once on one item of rolling stock.

The following shall be verified:

- correctness of installation of the control-command on-board assembly (e.g. compliance with engineering

rules, co-operation of interconnected equipment, absence of unsafe interactions and, where required,

storage of application specific data),

- correctness of operations at the interfaces with rolling stock (e.g. train brakes, vigilance, train integrity),

- ability to interface with control-command track-side assembly with corresponding characteristics (e.g.

ETCS application level, optional functions installed),

- ability of reading and storing in the safety data recorder all required information (also provided by non-

ETCS systems, if required).

This verification may be made in a depot.

The verification of the ability of the on-board assembly to interface with a track-side assembly consists of the

verification of the ability to read a certified Eurobalise and (if the functionality is installed on-board) Euroloop

and the ability to establish GSM-R connections for voice and (if the functionality is installed) for data.

If class B equipment is also included, the notified body shall verify that the integration test requirements issued by

the appropriate Member State have been met.

6.2.1.2. Functional integration verification of track-side assembly

The verification is to be made for a control-command track-side assembly installed on an infrastructure. For the

control-command equipment that is not defined as Class A only the verification requirements associated with

interoperability (for example EMC) are included in this TSI.

16.10.2006 EN Official Journal of the European Union L 284/37

Before track-side functional verification can take place the interoperability constituents included in the assembly

shall have been assessed in accordance with section 6.1 (interoperability constituants) above and have an EC

declaration of conformity. The notified body shall verify that they are suitable for the application (e.g. optional

functions implemented).

Class A functionality already verified at interoperability constituent level does not require additional verification.

For the design of the ERTMS/ETCS part of the control-command track-side assembly, TSI requirements must be

complemented by national specifications covering e.g.:

- the description of the line, characteristics such as gradients, distances, positions of route elements and

Eurobalises/Euroloops, locations to be protected, etc.

- the signalling data and rules required to be handled by the ERTMS/ETCS system.

The integration verification tests shall be performed to demonstrate that the components of the assembly have

been correctly interconnected and interfaced to national track-side equipment to ensure that the required

functionality and performance of the assembly necessary for that application is achieved.

The following track-side interfaces shall be considered:

- between the Class A radio system and the ERTMS/ETCS (RBC or radio in-fill unit, if relevant),

- between Eurobalise and the LEU,

- between Euroloop and the LEU,

- between neighbouring RBCs,

- between the ERTMS/ETCS (RBC, LEU, radio in-fill unit) and interlocking or national signalling, as relevant.

The following shall be verified:

- correctness of installation of the ERTMS/ETCS part of the control-command track-side assembly (e.g.

compliance with engineering rules, co-operation of interconnected pieces of equipment, absence of unsafe

interactions and, where required, storage of application specific data according to the above mentioned

national specifications),

- correctness of operations at the interfaces with national track-side equipment,

- ability to interface with an on-board assembly with corresponding characteristics (e.g. ETCS application

level).

6.2.1.3. Assessment in migration phases

Upgrading an existing track-side or on-board control-command assembly may be performed in successive steps

in accordance with section and section 7.2.3 and section 7.2.4. In each step only compliance with the TSI

requirements relevant for the step is achieved, while other requirements of the remaining steps are not fulfilled.

The contracting entity may lodge an application for the assessment of the assembly at this step from a notified

body.

Independently of the modules chosen by the contracting entity the notified body shall verify that:

- the TSI requirements relevant for this step are respected,

- the TSI requirements already assessed are not prejudiced.

L 284/38 EN Official Journal of the European Union 16.10.2006

Functions already assessed and unchanged and not affected by this step do not need to be checked again.

The certificate(s) issued by the notified body after the positive assessment of the assembly is accompanied by

reservations indicating the limits of the certificate(s), which TSI requirements are fulfilled and which are not

fulfilled.

The reservations shall be indicated in the Rolling Stock Register and/or Infrastructure Register as appropriate.

6.2.2. Modules

All modules indicated below are specified in Annex E of this TSI.

6.2.2.1. On-board assembly

For the verification procedure of the On-board assembly, the contracting entity or its authorised representative

established within the Community may choose either:

- 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

- the type-examination procedure (Module SB) for the design and development phase in combination with

the product verification procedure (Module SF), or

- the full quality management system with design examination procedure (Module SH2).

6.2.2.2. Track-side assembly

For the verification procedure of the track-side assembly, the contracting entity or its authorised representative

established within the Community may choose either:

- the unit verification procedure (Module SG), or

- 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

- the type-examination procedure (Module SB) for the design and development phase in combination with

the product verification procedure (Module SF), or

- the full quality management system with design examination procedure (Module SH2).

6.2.2.3. Conditions for use of modules for on-board and track-side assemblies

The Module SD (production quality management system) may only be chosen where the contracting entity

contracts only with manufacturers, that operate a quality system for production, final product inspection and

testing, approved and surveyed by a notified body.

The Module SH2 (full quality management system with design examination) may only be chosen where all

activities contributing to the Subsystem project to be verified (design, manufacturing, assembling, installation)

are subject to a quality system for design, production, final product inspection and testing, approved and

surveyed by a notified body.

Independently of the selected module, the design review includes the verification that the requirements of

section 4.5 (Maintenance rules) of this TSI have been respected.

Independently of the selected module, the provisions of Annex A Index 47, Index A1, and where relevant

Index A2 and Index A3 shall be applied.

With reference to Chapter 4 of Module SB (type-examination), design review is requested.

With reference to section 4.3 of Module SH2 (full quality management system with design examination), a type

test is required.

16.10.2006 EN Official Journal of the European Union L 284/39

With reference to:

- Section 5.2 of Module SD (production quality management system),

- Chapter 7 of Module SF (product verification),

- Chapter 4 of Module SG (unit verification),

- Section 5.2 of Module SH2 (full quality management system with design examination), validation under

full operational conditions is defined in section 0 (on-board assembly validation) and section 0 (track-side

assembly validation).

On-board assembly validation

For an on-board assembly the validation under full operational conditions shall be a type test. It is acceptable to

be performed on a single instance of the assembly, and shall be performed by means of test runs with the scope

to verify:

- performances of the odometry functions,

- compatibility of the control-command assembly with rolling stock equipment and environment (e.g. EMC)

in order to be able to multiply the implementation of the On-board assembly on other locomotives of the

same type,

- compatibility of the rolling stock with control-command Track-side assembly (e.g. EMC aspects, operation

of track circuits and axle counters).

Such test runs shall be performed on an infrastructure allowing for verifications in conditions representative of

the characteristics that may be found in the European conventional rail network (e.g. gradients, train speed,

vibrations, traction power, temperature).

If the tests show that the specifications are not achieved in all cases (e.g. TSI compliance only up to a certain

speed), the consequences with regard to compliance with the TSI shall be recorded on the certificate of

conformity and in the rolling stock register.

Track-side assembly validation

For a Track-side assembly the validation under full operational conditions shall be performed by means of test

runs of a rolling stock of known characteristics and shall have the scope to verify compatibility between rolling

stock and control-command Track-side assembly (e.g. EMC aspects, operation of track circuits and axle counters).

Such test runs shall be performed with suitable rolling stock of known characteristics allowing for verifications in

conditions that may occur during service (e.g. train speed, traction power).

Test runs shall also validate the compatibility of the information provided to the train driver by the Track-side

assembly with the physical route (e.g. speed limits, etc.).

If specifications that are foreseen by, but not yet available in, this TSI for the verification of a Track-side assembly,

the Track-side assembly shall be validated by appropriate field tests (to be defined by the contracting entity of this

track-side assembly).

6.2.2.4. Assessment of maintenance

The conformity assessment of the maintenance is in the responsibility of a body authorised by the Member State.

The Annex F describes the procedure by which this body ascertains that maintenance arrangements meet the

provisions of this TSI and ensure the respect of the basic parameters and essential requirements during the

subsystem lifetime.

L 284/40 EN Official Journal of the European Union 16.10.2006

Table 6.1

Verification requirements for on-board control-command assembly

1 2 2a 3 4 5

Characteristics

to be assessed

No Description Remarks CC interfaces Interfacing TSI

subsystems by reference to

Chapter 4 of

this TSI

1. Safety The notified body shall ensure the 4.2.1

completeness of the safety approval

process, including safety case

2. On-board ETCS This functionality is performed by 4.2.2

functionality ERTMS/ETCS on-board IC

Notes:

Vigilance supervision If the vigilance OPE 4.3.1.9

supervision is RST 4.3.2.11

external, an

interface

between vigi-

lance device

and ERTMS/

ETCS on-board

for suppressing

may exist

Train integrity supervision: In the Interface RST 4.3.2.8

case, where the train is configured between

for Level 3, the train integrity ERTMS/ETCS

supervision function must be sup- on-board and

ported via detection equipment detection

rolling stock-side equipment

3. EIRENE functions This functionality is performed by 4.2.4

ERTMS/GSM-R on-board IC

Data communication only for level

1 with radio in-fill (optional) or

level 2 and level 3

4. ETCS and EIRENE This functionality is performed by CC trackside 4.2.5

air gap interfaces ERTMS/ETCS on-board and assembly

ERTMS/GSM-R on-board IC's

Radio communication with the

train only for level 1 with radio in-

fill (optional) or level 2 and level 3

Euroloop communication is

optional

5. Key management Security policy for key management OPE 4.2.8

4.3.1.7

6. ETCS-ID manage- Policy for ETCS-ID management OPE 4.2.9

ment

7. Interfaces

STM The notified body shall verify that ERTMS/ETCS 4.2.6.1

the integration test requirements on-board and

issued by the appropriate Member external STM

State have been met IC's

16.10.2006 EN Official Journal of the European Union L 284/41

1 2 2a 3 4 5

Characteristics

to be assessed

No Description Remarks CC interfaces Interfacing TSI

subsystems by reference to

Chapter 4 of

this TSI

ERTMS/GSM-R ERTMS/ETCS 4.2.6.2

on-board on-board and

ERTMS/GSM-R

on-board IC's

Odometry This interface is not relevant if ERTMS/ETCS MR 4.2.6.3

equipment is delivered as grouping on-board and

of constituents odometry IC's 4.3.2.12

ETCS DMI Part of ERTMS/ETCS on-board IC OPE 4.2.13

EIRENE DMI Part of ERTMS/GSM-R on-board IC 4.3.1.2

4.2.14

OPE 4.3.1.3

Interface to data Part of safety information recorder 4.2.15

recording for IC

regulatory pur-

poses OPE 4.3.1.4

RST 4.3.2.13

Train braking Verification of adaptation to the OPE 4.3.1.5

performances concerned rolling stock

RST 4.3.2.3

isolation OPE 4.3.1.6

RST 4.3.2.7

Antennae instal- RST 4.3.2.4

lation

Environmental Verification of correct operation off RST 4.3.2.5

conditions control-command assembly in the

environmental conditions.

This check has to be done in the

validation under full operational

conditions.

EMC Verification of correct operation off RST 4.3.2.6

control-command assembly in the

environmental conditions

This check has to be done in the

validation under full operational

conditions.

data interfaces Part of ERTMS/ETCS on-board IC. RST 4.3.2.8;

4.3.2.11

Correct operation of the interface to OPE 4.3.1.9

the train

This interface includes vigilance

(optional) and train integrity (only

level 3)

L 284/42 EN Official Journal of the European Union 16.10.2006

Table 6.2

Verification requirements for track-side control-command assembly

1 2 2a 3 4 5

Characteristics

to be assessed

No Description Remarks CC Interfaces Interfacing TSI

subsystems by reference to

chapter 4 of this

TSI

1. Safety The notified body shall ensure the 4.2.1

completeness of the safety approval

process, including safety case

2. Track side ETCS This functionality is performed by 4.2.3

functionality RBC's, LEU's and radio in-fill units

IC's, according to the implementa-

tion

3. EIRENE functions Data communication only for level 4.2.4

1 with radio in-fill or level 2/3

4. ETCS and EIRENE This functionality is performed by CC on-board 4.2.5

air gap interfaces RBC's, radio in-fill units, Euroba- assembly

lises, Euroloop's and GSM-R track-

side equipment, according to the

implementation.

Radio communication with the

train only for level 1 with radio in-

fill (optional) or level 2/3

Euroloop communication is

optional

5. Key management Security policy for key management OPE 4.2.8

4.3.1.7

6. ETCS ID manage- Policy for ETCS-ID management OPE 4.2.9

ment

7. HABD OPE 4.2.10

RST 4.3.1.8

4.3.2.9

16.10.2006 EN Official Journal of the European Union L 284/43

1 2 2a 3 4 5

Characteristics

to be assessed

No Description Remarks CC Interfaces Interfacing TSI

subsystems by reference to

chapter 4 of this

TSI

8. Interfaces Only for level 2/3 Between neigh- 4.2.7.1

RBC/RBC bouring RBC's

GSM-R track-side Only for level 2/3 or level 1 with Between RBC's 4.2.7.3

radio in-fill (optional) or radio In-fill

units and GSM-

R trackside

Eurobalise/LEU This interface is not relevant if Between Con- 4.2.7.4

equipment is delivered as grouping trol-command

of constituents IC's

Euroloop/LEU Euroloop is optional Between con- 4.2.7.5

trol-command

IC's

This interface is not relevant if

equipment is delivered as grouping

of constituents

Antennae instal- IN 4.3.3.2

lation

Environmental Verification of correct operation off IN 4.3.3.3

conditions control-command assembly in the

environmental conditions

This check has to be done in the

validation under full operational

conditions

EMC Verification of correct operation off IN 4.3.3.4

control-command assembly in the ENE 4.3.4.1

environmental conditions

This check has to be done in the

validation under full operational

conditions

9. Compatibility of Characteristics to be activated by RST 4.2.11

train detection sys- rolling stock 4.3.1.10

tems

IN 4.3.2.1

4.3.3.1

10. EM compatibility RST 4.2.12.2

between rolling 4.3.2.2

stock and train

detection systems

Compatibility Characteristics of retro reflecting RST 4.2.16

with train head- line-side signals and clothing 4.3.2.10

lights

Compatibility Installation of trackside equipment OPE 4.2.16

with driver's ex- that must be seen by the driver 4.3.1.11

ternal field of

view

L 284/44 EN Official Journal of the European Union 16.10.2006

7. IMPLEMENTATION OF THE TSI CONTROL-COMMAND

7.1. General

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.

Chapters 2 to 6 and any specific provisions in paragraph 7.3 below apply in full to control-command subsystem

as defined by Directive 2001/16/EC.

7.2. Specific issues of implementation of the TSI control-command

7.2.1. General migration criteria

Within the control-command subsystem two classes (A and B) of train protection and radio communication

systems are defined.

It is recognised that Class A cannot be installed on all existing conventional routes instantly for reasons which

include economic considerations and installation capacity aspects. In the migration-period between the current

(pre-unified) situation (Class B) and the application of Class A, there will be a number of possible interoperability

solutions that might be implemented in the framework of this TSI. These solutions apply to both the European

conventional rail infrastructure, including connecting lines, and to the European conventional rail trains. A

number of illustrative examples are given below:

- within ERTMS/ETCS provision is made for modules known as STMs (Specific Transmission Modules) to be

added to ETCS to enable a train fitted with appropriate STMs to operate over existing pre-unified

infrastructure. Another solution is that an infrastructure may be equipped with both Class A and Class B

systems,

- the implementation of GSM-R systems on a nation-wide basis has already started in a significant number

of countries of the former EU15. The first inter-connections of these national networks are due in 2004.

Other networks will follow shortly. Some railways have chosen a solution where mobile equipment is

designed in such a way that it can work in both systems (dual-mode = GSM-R and >=1 analogue radio),

others have taken the solution to have a double coverage on network-side but only single equipment on the

trains. GSM-R does not have `STMs'. Cab radios that have additional interface-units for Class B radio

systems (Dual-mode) are able to work also on lines in a Class B network if specially designed. This solution

is only an interim solution to allow early exchange of international trains.

7.2.1.1. Migration paths

The existing systems as well as the future unified system have system components infrastructure-side and on-

board. Therefore migration strategies have to be defined for both assemblies. This paragraph deals with migration

paths from Class B to Class A by giving examples.

Migration strategies must pay special attention to the following distinction:

- train radio (from Class B to Class A),

- train protection (from Class B to Class A),

- the train detection system,

- the hot axle-box detection system,

- EMC.

Each of the above can follow a different migration path.

Possible migration paths from Class B to Class A are explained by means of the following examples for the train

protection system.

16.10.2006 EN Official Journal of the European Union L 284/45

Figure 1

Figure 1 depicts the starting state, where only non compatible systems exist (denominated START) to the final

state (denominated TARGET).

The following two figures describe the two possible extreme migration paths from the present to the future state.

Figure 2

Figure 2 shows a migration process, where all the initial investment is made on-board only. A possible technical

solution is the so-called STM, which can be linked to the kernel of the ETCS on-board and which translates

information from existing systems to a form that can be processed by the ETCS kernel. After the equipment of all

vehicles of a railway fleet under consideration with the combination of ETCS kernel and respective Class B

systems, the wayside equipment can be altered to ETCS or newly equipped lines can be built based on the ETCS

system. The existing class B system on these lines can be removed.

L 284/46 EN Official Journal of the European Union 16.10.2006

Figure 3

Figure 3 shows the other extreme migration process. In this case, the respective railway would double equip

existing lines with the ETCS system. After all lines have ETCS in addition to the national system, the on-board

equipment of the rolling stock can be changed to ETCS. When all vehicles under consideration are equipped with

ETCS, the wayside equipment for the national system can then be removed.

Figure 4

Figure 4 shows the combination of both extremes described above. The possible migration paths have to be

between these two limits. In practical terms, there should to be a mixture of both ways.

16.10.2006 EN Official Journal of the European Union L 284/47

Figure 5

Figure 5 depicts an example, where ETCS on-board equipment in vehicles and ETCS wayside equipment on parts

of the lines is installed alternatively. This method minimises the inception investment necessary to take advantage

of the system as a whole (i.e. the on-board and trackside equipment in the sections where these are fitted). On the

other hand, it implies a certain restriction in usage of rolling stock on the network.

The selection of the appropriate migration strategy depends largely on the mix between lines equipped, rolling

stock equipped and planned purchase of new rolling stock and additional equipment of lines.

Also international corridors and international use of rolling stock should be considered. In case a line is not

foreseen for migration and is only equipped with Class B the interoperable operation can be ensured by a STM

for the Class B system concerned.

The migration steps, however, have to enable access of other railway undertakings to the network at any time. A

vehicle equipped with the appropriate ETCS on-board equipment and the existing system as described in

annexes B and C must always be able to run on the line under consideration.

7.2.2. Timing criteria

7.2.2.1. Introduction

ETCS and GSM-R are computer-based systems with a faster technology evolution and potentially a lower life

expectancy than current traditional railway signalling and telecommunication facilities. As such, they call for a

pro-active rather than reactive deployment strategy to avoid potential system obsolescence prior to system

deployment reaching maturity.

Notwithstanding this fact, the adoption of a too fragmented deployment throughout the European rail network,

mainly along the trans-European rail corridors, would give rise to major cost and operational overheads resulting

from the needs to ensure backward compatibility and interconnection with a diversity of legacy facilities.

Moreover, synergies in terms of time, cost and risk reduction might be reached by the reconciliation of common

elements of different national implementation strategies - e.g. through joint procurement initiatives,

collaboration in system validation and certification activities.

Whereas such pro-active implementation strategy does appears a must to underpin the whole of the migration

process, the specific modalities to be adopted for the conventional rail network have to account for the current

level and planned rate of deployment of these technologies as well as the relevant economic, operational,

technical and financial factors that influence such an implementation.

Within this context, it is evident that a clear distinction is to be made between ETCS and GSM-R in view of the

current status of migration throughout Europe and the magnitude and extent of the barriers underlying such a

migration, a fact that commands a different rationale for the implementation of GSM-R and of ETCS on the

conventional network. Such a distinct rationale will be delineated in fuller detail within the next paragraphs:

L 284/48 EN Official Journal of the European Union 16.10.2006

7.2.2.2. GSM-R - Rationale for Deployment

The current magnitude of the GSM-R deployment activity throughout the whole of the European rail network

(approximately 100 000 km nowadays in 11 out of the 15 States of the former EU15) and the four- to five-year

time horizon that generally underpins the conclusion of such deployment works indicates that any deployment

rationale will have to confront three main concerns:

- to ensure the continuity of GSM-R service across borders avoiding the establishment of `black spots' within

some regions of the Community,

- to reconcile the migration timings throughout Europe in order to significantly reduce the cost and time

overheads associated with the potential needs to sustain double analogue/digital telecommunication

infrastructures and on-board facilities,

- to avoid a `two speed' Europe between the former EU15 and the new Member States. Convergence needs to

be achieved a target that is facilitated by the on-going programmes for major upgrading of the railway

networks of the new Member States.

7.2.2.3. GSM-R - Implementation rules

Set against this background, and taking into account that a GSM-R infrastructure is a telecommunication bearer

for both high-speed and conventional rail applications, the implementation criteria now in force for the former

applications should equally apply for conventional rail, e.g.

Trackside installations:

The fitting of GSM-R is mandatory in the case of:

- new installations of radio part of a CCS assembly,

- an upgrade of radio part of a CCS assembly already in service that changes the functions or the

performance of the subsystem.

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:

- new installations of the radio part of a CCS assembly,

- an upgrade of the radio part of a CCS assembly already in service that changes the functions or the

performance of the subsystem.

Legacy systems:

Member States shall ensure that the functionality of the legacy systems referred to in Annex B to the TSI

as well as their interfaces is to remain as currently specified, excluding those modifications that might be

deemed necessary in order to mitigate safety-related flaws of these systems. Member States shall make

available the necessary information regarding their legacy systems that is required for purposes of

development and certification of apparatus allowing interoperability of Class A equipment with their

legacy Class B facilities.

In order to enable a pro-active implementation, Member States are also encouraged to promote and support the

fitting of GSM-R in any renewal or maintenance-related work affecting the whole of an infrastructure already in

service entailing an investment at least one order of magnitude higher than those associated with the installation

of GSM-R facilities.

7.2.2.4. ERTMS/ETCS - rationale for deployment

7.2.2.4.1. I n t r o d u c t i o n

As it stands nowadays, the case of ERTMS/ETCS on conventional applications has to be underlined by a different

deployment rationale that accounts for the manifold complexity associated to a migration of signalling systems,

to its associated costs and to the expected longer lifetime of the assets when compared to those of GSM-R.

However, in no way such barriers should detract from the generic deployment principles exposed in

paragraph 7.2.2.1, in particular, the necessity to keep the implementation momentum within acceptable levels

notably on the major corridors and trunk lines of the trans-European rail network (TEN).

16.10.2006 EN Official Journal of the European Union L 284/49

7.2.2.4.2. T h e E T C S - N e t c o r r i d o r c o n c e p t

In order to reconcile the apparent conflicting objectives of avoidance of fragmented approach with the perceived

constraints on investment it is deemed necessary to define a start-up core of rail projects where ERTMS/ETCS

deployment can be indeed justified on an `end-to-end' business/service perspective whereas not commanding

unacceptable barriers in terms of implementation costs. In view of such over-ridding objectives, and after

consultation of the sector, it was recognized that such core should be built upon a coherent set of priority

corridors of the trans-European rail network. The objectives to be achieved with such an approach are three-fold:

(i) to enable the creation of an interoperable rail backbone across Europe (coined hereafter as ETCS-Net)

enabling the development of new and improved quality rail services that can ultimately heighten the

competitive profile of rail transport notably in those market segments of major growth potential - e.g.

international freight transport;

(ii) to constitute a focus for trans-national co-ordination efforts and for concentration of financing

instruments in view of an accelerated and wider-ranging deployment of ERTMS/ETCS across the main

routes of the trans-European rail network;

(iii) to move towards the conditions of `critical mass' for ERTMS/ETCS to emerge as the natural market

selection solution for new and upgrade signalling projects of the conventional rail network across Europe.

An outline of the ETCS-Net is depicted below. A detailed listing of the corridors encompassed therein is attached

in annex H.

In order to ensure the development of a coherent network providing a backbone for the development of

enhanced end-to-end services the ETCS-Net as presented above builds upon both high-speed (2) and conventional

lines. The deployment of ERTMS/ETCS on the former is governed by Decision 2002/731/EC whereas the

implementation principles outlined below apply to the latter.

In view for such a backbone to contribute to a major re-engineering of international rail transport services in a

credible time horizon from the perspective of the customer it is necessary to attach a relatively ambitious

timeframe for its full realisation. Taking into account the range of parameters that impact on the latter (e.g. level

of investment resources, engineering/project management capability of the railways and supply industry, needs

for cross-border co-ordination of activities) a period of 10 to 12 years can be earmarked as an indicative

timeframe for such a purpose.

(2) The high-speed lines are identified by a dotted pattern.

L 284/50 EN Official Journal of the European Union 16.10.2006

7.2.2.4.3. T h e i n c e p t i o n k e r n e l

To enable the accomplishment of the implementation of the whole ETCS-Net within such a time horizon it is

deemed necessary to kick-start the deployment process by earmarking a sub-set of projects (hereafter referred to

as the inception kernel) where deployment of ETCS will be mandatory. The adoption of such an approach

basically reverts to the deployment of a three-tiered perspective as depicted below:

In order to minimise the financial impact of such a mandatory step the selection criteria for inclusion of projects

within such Inception Kernel should notably account for the availability of Community funding to a level well

above the amounts that can be normally earmarked for signalling works. The set of conventional rail priority

projects established within the Trans-European Network guidelines (Decision No 884/2004/EC of the European

Parliament and of the Council (3) as well as all those major rail construction/upgrading works funded under the

framework of the Structural Funds (Council Regulation (EC) No 1260/1999 (4) and/or Cohesion Funds (Council

Regulation (EC) No 1264/1999 (5) are to be considered as forming such an inception kernel.

The Inception Kernel is to constitute a steppingstone for the achievement of the full ETCS-Net deployment

scenario as described above. However, the fulfilment of this latter objective requires the visibility of the

deployment strategy (timing and planning of the works) that will underpin those national sections of the

different corridors not encompassed by the `Inception Kernel' criteria. In order to provide for such visibility,

Member States will be required to elaborate national ERTMS implementation plans addressing a range of

deployment issues which are outlined in paragraph 7.2.2.6.

The scope of the current ETCS-Net backbone might be revised in a subsequent phase (potentially during a future

revision of this TSI) to account for the real progress of its implementation and for the ever evolving needs of the

transportation markets.

The rationale in what regards rolling-stock has to account for the fact that ERTMS/ETCS is a system concept

composed of infrastructure and on-board elements. As such it is crucial that any emergent deployment rationale

considers these two system elements in a coherent manner as they both concur to enable system operation.

Moreover, as in the case for infrastructure, appropriate consideration must be given to the minimisation of the

financial impact of any mandatory step that might be imposed.

A `marginal cost' approach, linking the fitment of on-board ERTMS/ETCS with major investment decisions, does

constitute the best available route to ensure such a goal. This applies notably to the procurement of new rolling-

stock or major retrofitting operations for which the value of the signalling equipment and of its installation

represent only a limited percentage of the whole investment to be put in place. The adoption of such a policy will

push in the longer-term for the scenario of ETCS on-board equipment as a commodity asset in what regards new

rolling-stock.

7.2.2.4.4. A p r e - f i t m e n t s t r a t e g y

Pre-fitment covers the installation of any on-board or trackside ERTMS/ETCS and GSM-R equipment or other

enabling equipment for ETCS and GSM-R (e.g. installation of cabling and wiring, ducts, mechanical fixtures,

interfaces, power supply or other specific signalling or telecommunication facilities) aimed at reaching a certain

stage of ERTMS readiness without fully implementing the Class A requirements.

(3) OJ L 167, 30.4.2004, p. 1, corrected by OJ L 201, 7.6.2004, p. 1.

(4) OJ L 161, 26.6.1999, p. 1. Regulation as amended by Regulation (EC) No 173 (OJ L 29, 2.2.2005, p. 3).

(5) OJ L 161, 26.6.1999, p. 57).

16.10.2006 EN Official Journal of the European Union L 284/51

The aim of such an approach is to ensure such ERTMS readiness by piggybacking such pre-fitment activities on

major construction or upgrading operations of infrastructure assets or on factory-fit (6) of rolling-stock assets.

This shall allow for the reduction of the implementation cost of full-fledged ERTMS/ETCS or GSM-R facilities

complying Class A requirements at a later stage. However, the scope of ERTMS readiness has to set against the

specificities of each project from a technical, operational and economic viewpoint as well as to the time horizon

for the installation of the Class A compliant facilities.

It is therefore deemed necessary to establish a hierarchical approach to pre-fitment based on the concept of pre-

fitment stages. It is expected these should range from the simple reservation of space, ducting, and fitment of

mechanical fixtures (Stage 1) upwards to the installation of all components that are not affected by obsolescence

within the nominal lifetime of the installation (Stage 3). The details of pre-fitment are to be defined by subset 57

(on-board) and subset 59 (trackside equipment) to be appended to Annex A.

7.2.2.5. ERTMS/ETCS - Implementation Rules

All the implications enumerated in the previous paragraph are to be eventually qualified as follows:

Trackside installations:

The fitting of ERTMS/ETCS is mandatory in the case of:

- new installations of train protection as part of a CCS assembly,

- an upgrade of train protection as part of a CCS assembly already in service that changes the

functions or the performance of the subsystem.

for the set of railway infrastructure projects falling within one of the following criteria:

- being part of the set of conventional rail priority projects established under the Trans-European

Network guidelines included in Annex II of the Decision No 884/2004/EC,

- commanding a financial support from Structural Funds (Regulation (EC) No 1260/1999) and/or

Cohesion Funds (Regulation (EC) No 1264/1999) in excess of 30 % of the total project costs.

For any other new or upgrade projects not encompassed under these latter criteria and that are part of

the Trans-European conventional rail network, as defined by the Corrigendum of 7 June 2004 to

Decision No 884/2004/EC, the pre-fitting of equipment to pre-fitment stage 1 as defined under

Paragraphs 7.2.2.4.4 and 7.2.3.2 shall be performed. Those lines included in the ETCS-Net backbone

which are outside of the Inception Kernel shall comply with a Pre-fitment Stage 3 in what regards such a

pre-fitting.

In order to enable a pro-active implementation, Member States are also encouraged to promote and

support the fitting of ERTMS/ETCS in any renewal or maintenance-related work of the infrastructure

that entails investments at least one order of magnitude higher than those associated with the

installation of ERTMS/ETCS facilities.

On-board installations:

The fitment of rolling stock intended for operation on the conventional rail infrastructures where the

fitting of ERTMS/ETCS is mandatory shall be in accordance with the national migration strategy once

this is reconciled with the EU master plan as described in paragraph 7.2.2.6 with the exception referred

to underneath.

The fitting of ERTMS/ETCS, complemented where necessary by the relevant Specific Transmission

Modules (STM) to enable operation on Class B systems, is mandatory on.

- new installations of the train protection part of a CCS assembly,

- an upgrade of the train protection part of a CCS assembly already in service that changes the

functions or the performance of the subsystem,

(6) This includes the factory-fit like operations associated to major maintenance exercises.

L 284/52 EN Official Journal of the European Union 16.10.2006

- any `major retrofitting' of rolling stock already in service (7);

for rolling-stock for cross-border operations within the inception kernel.

A pre-fitting ERTMS/ETCS to Pre-fitment Stage 1 as defined under Paragraphs 7.2.2.4.4 and 7.2.4.4 on

- New installations of the train protection part of a CCS assembly;

- 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 those rolling stock assets earmarked for operation in the trans-European transport conventional rail

network as defined by the corrigendum of 7 June 2004 to Decision No 884/2004/EC. Pre-fitment stage

3 shall apply for those assets earmarked for operation on the ETCS-Net backbone.

Legacy systems:

Member States shall ensure that the functionality of the legacy systems referred to in Annex B to the TSI

as well as their interfaces is to remain as currently specified, excluding those modifications that might be

deemed necessary in order to mitigate safety-related flaws of these systems. Member States shall make

available the necessary information regarding their legacy systems that is required for purposes of

development and safety-certification of apparatus allowing interoperability of Class A equipment with

their legacy Class B facilities.

7.2.2.6. National ERTMS implementation plans and EU master plan

Set against the deployment rationale expos above and the mandatory rules specified in sections 7.2.2.3 and

7.2.2.4.4 Member States are deemed to prepare a formal national ERTMS implementation plan for the

conventional rail network addressing the deployment of both ERTMS/ETCS and GSM-R.

Regarding ERTMS/ETCS the realisation of the ETCS-Net backbone as described in paragraph 7.2.2.4 shall

constitute the reference baseline for the elaboration of such a national plan. The ultimate goal for the latter is to

define a tailor-made set of obligations regarding ERTMS/ETCS deployment in lieu of the generic prescriptions

now embodied in the inception kernel. However, such built-in flexibility cannot detract from the level of

obligation (8) already embodied in the inception kernel.

The national plans shall provide, in particular, the following elements:

- target lines: a clear identification of the national lines or sections which are earmarked for

implementation. This applies notably to the national sections of the trans-national corridors earmarked

in the ETCS-net blueprint (9). Appropriate consideration is to be given in this context to the national

ERTMS/ETCS implementation plans notified under Decision 2002/731/EC in what refers to the high-speed

sections covered by the ETCS-Net backbone,

- technical requirements: the essential technical characteristics of the different implementations (e.g. voice

or data-quality network for GSM-R implementations, functional level of ERTMS/ETCS, ERTMS/ETCS-only

or overlaid installations),

- deployment strategy and planning: an outline of the implementation plan (including sequencing and

timing of the works),

- migration strategy: the strategy envisaged for the migration of both the infrastructure and rolling-stock

subsystems of the earmarked national lines or sections (e.g. superposition of Class A and Class B systems,

switch from Class B to Class A facilities at a planned date, migration based on the implementation of ETCS-

based gap-filling solutions such as SCMT (10) or limited supervision),

(7) For purposes of fitment of ETCS equipment `major retrofitting' is defined as those maintenance operations that entail an investment at

least 10 times higher than the value of fitting the ETCS equipment on that specific type of rolling-stock.

(8) The level of obligation is to be defined in terms of the following criteria: (i) market relevance of the corridors targeted for ERTMS/ETCS

implementation; (ii) line coverage by ERTMS/ETCS.

(9) It is expected this will be the result of a corridor-by-corridor analysis to be jointly performed by the relevant stakeholders - namely

Member States, infrastructure managers, railway undertakings and potentially the supply industry.

(10) Sistema Controllo Marcia Treno. An Italian Class B system built upon ETCS components.

16.10.2006 EN Official Journal of the European Union L 284/53

- potential constraints: an overview of potential elements that might impact on fulfilment of the

implementation plan (e.g. signalling works integrating larger scope infrastructure works, assurance of

continuity of service across borders).

These national plans are to be finally aggregated within an EU master plan within six months of their

notification. Such a master plan should aim at providing an appropriate knowledge base for decision support to

the different stakeholders - in particular, to the Commission in the allocation of its financial support to railway

projects - and, where appropriate, at reconciling the different national implementations in terms of time or

implementation strategies where this is deemed necessary for the achievement of a coherent whole. This overall

process can be represented as depicted below:

In addition, the EU master plan shall include the outline of a rolling-programme to underpin the range of

foreseen implementation activities from planning-through-to-realisation.

The EU master plan will be appended to this TSI through a revision procedure replacing the field of mandatory

implementations now defined in the inception kernel. Subsequently,

- all activities related to installation of control-command subsystems have to be justified by the awarding

entities against this EU Master Plan in addition to all other applicable legislative requirements that are in

force,

- Member States will be requested to punctually adapt their national ERTMS implementation plans where

this is deemed necessary to ensure reconciliation with the EU Master Plan. In particular, such a revision

shall ensure that the migration strategy adopted by a Member State - notably for rolling stock - does not

hamper the fulfilment of the ETCS-Net strategic goal and the access of new entrants in accordance with the

timing and requirements called for by the EU master plan,

- whenever the reconciliation of a national plan and the EU master plan is not feasible the mandatory

prescriptions of the Inception Kernel shall remain of application for that particular Member State.

Necessarily, the EU master plan and the national ERTMS implementation plans will be evolving documents that

will have to be updated in order to reflect the real evolution of the deployment in each Member State and

throughout the European rail network.

7.2.3. Implementation: infrastructure (stationary equipment)

The following requirements apply to the categories of lines defined in Directive 2001/16/EC:

- lines intended for passenger services,

- lines intended for mixed traffic (passengers and freight),

L 284/54 EN Official Journal of the European Union 16.10.2006

- lines specially designed or upgraded for freight services,

- passenger hubs,

- freight hubs including intermodal terminals,

- lines connecting the above mentioned components.

The control-command subsystem concerns two classes (A and B) of train protection and radio communication

systems. The lines mentioned above presently not equipped with Class A shall be equipped either:

- with Class A functions and interfaces according to the specifications referenced in Annex A, or

- with Class A functions and interfaces according to the specifications referenced in Annex A and with

Class B functions and interfaces according to Annex B, or

- with Class B functions and interfaces according to Annex B and pre-fitting for Class A, or

- only with Class B functions and interfaces according to Annex B.

In case lines under the scope of the present TSI will not be equipped with Class A systems, the Member State

shall make every effort for the availability of an external specific transmission module (STM) for its legacy Class B

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.

7.2.3.1. Additional Class-B equipment on a Class A - equipped line

On a line equipped with 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 existing

Class B equipment on-board as a fallback arrangement to 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.

Where dual fitment and operation of Class A and B systems occurs, then both systems may be active

simultaneously onboard, provided that national technical requirements and operating rules support this manner

and that interoperability is not compromised. The national technical requirements and operating rules will be

provided by the Member State.

7.2.3.2. Pre-fitting for Class A

The track side pre-fitting is defined as the installation of any ETCS and GSM-R equipment or other enabling

equipment for ETCS and GSM-R (e.g. installation of cabling and wiring, interlocking interfaces, LEU or fibre optic

backbones) which is fitted but not necessarily put in service aimed at reducing the implementation cost of full-

fledged ERTMS/ETCS or GSM-R facilities complying with Class A requirements at a later stage. For ETCS the

scope of the pre-fitting for the three-tiered structure of pre-fitment stages defined in paragraph 7.2.2.4.4 should

adhere with the requirements set out in Index 59 of Annex A (pending).

The extent of the pre-fitting to be performed should be established during the implementation planning of the

signalling or telecommunication facilities that are to be deployed. In particular, the network planning for GSM-R

has to take into account at the earliest stage the inclusion of all services that have to be foreseen also in the future

(voice, non safety critical data, ETCS).

7.2.3.3. 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:

- radio-system (for class B, only renewal is possible) ,

- train protection system,

- train detection system interface,

(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.

(12) 31 December 2007.

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- hot axle box detection system,

- EMC characteristics.

Therefore different parts of the control-command track-side assembly may be upgraded or renewed separately (if

interoperability is not prejudiced) and concern:

- EIRENE functions and interfaces (see sections 4.2.4 and 4.2.5),

- ETCS/ERTMS functions and interfaces (see sections 4.2.1, 4.2.3, 4.2.5, 4.2.7, 4.2.8),

- train detection system (see section 4.2.11),

- hot axle-box detector (see section 4.2.10),

- EMC characteristics (see section 4.2.12).

After the upgrade to Class A system, the existing Class B equipment may remain in use simultaneously with

Class A.

7.2.3.4. Registers of Infrastructure

The Infrastructure Register shall provide railway undertakings with Class A and Class B information, following

Annex C requirements. The Infrastructure Register indicates if mandatory or optional (13) functions are

concerned; the constraints on onboard configuration have to be identified.

In case European specifications for some interface(s) between control-command and signalling and other

subsystems are not available at the moment of installation (e.g. electromagnetic compatibility between train

detection and rolling stock), the corresponding characteristics and the standards applied shall be indicated in the

Registers of Infrastructure. This shall be possible, in any case, only for the items listed in Annex C.

7.2.4. Implementation: rolling stock (on-board equipment)

According to Directive 2001/16/EC each of the categories of rolling stock which are likely to travel on all or part

of the trans-European conventional rail network must be subdivided into:

- rolling stock for international use,

- rolling stock for national use,

taking due account of the local, regional or long-distance use of the stock.

Rolling stock mentioned above shall be equipped either:

- with Class A functions and interfaces according to the specifications referenced in Annex A, or

- with Class A functions and interfaces according to the specifications referenced in Annex A and with

Class B functions and interfaces according to Annex B, or

- with Class B functions and interfaces according to Annex B and pre-fitment for Class A, or

- only with Class B functions and interfaces according to Annex B, or

- as in section 7.2.5.2.

such as to allow it to travel on any line on which it is expected to operate.

7.2.4.1. Rolling stock with Class A equipment only

The Class A assembly shall ensure that the onboard functions, interfaces and minimum performance required by

this TSI are matched to the lines concerned as described in Annex C. Installation of Class A equipment may take

advantage from additional interface specifications between rolling stock and control-command.

(13) Function classification: see section 4.

L 284/56 EN Official Journal of the European Union 16.10.2006

7.2.4.2. Rolling stock with Class B equipment only

The Class B equipment shall ensure that the onboard functions, interfaces and minimum performance required

by this TSI are matched to the lines concerned as described in Annex C.

7.2.4.3. 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. The

Class B systems may be implemented

- using an STM that may be plugged into the Class A assembly (external STM), or

- built into the Class A assembly.

Also, the Class B system could be implemented independently (or, in case of upgrade or renewal, be left as it is),

in case of Class B systems for which an STM is not an economically viable alternative, from the rolling stock

owner's point of view. However, if a STM is not used, the Railway Undertaking must ensure that the absence of a

`handshake' (= handling, by ETCS, of transitions between Class A and Class B on track-side) nevertheless is

properly managed. The Member State may put requirements on this in the Infrastructure Register.

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 and is not valid for GSM-R.

7.2.4.4. Pre-fitting for Class A

The on-board pre-fitting is defined as the installation of any ETCS and GSM-R equipment or other enabling

equipment for ETCS and GSM-R (e.g. installation of cabling and wiring, antennas, sensors, power supply or

installation fixtures) which is fitted but not necessarily put in service aimed at reducing the implementation cost

of full-fledged ERTMS/ETCS or GSM-R facilities complying with the Class A requirements at a later stage. For

ETCS the scope of the pre-fitting for the three-tiered structure of pre-fitment stages defined in paragraph 7.2.2.4.4

should adhere with the requirements set out in Index 57 of Annex A (pending).

The extent of the pre-fitting to be performed should be established during the engineering phase of the on-board

signalling or telecommunication facilities. Pre-fitting may take advantage from additional interface specifications

between the subsystems rolling stock and control-command.

7.2.4.5. Reverse STM

See section 7.2.5.2.

7.2.4.6. Upgrading or renewal the control-command on-board assembly or parts of it

Upgrading or renewal of the on-board assembly may concern separately:

- radio-system (Class B to Class A),

- train protection system (Class B to Class A).

Therefore different parts of the control-command on-board assembly may be performed or upgraded separately

(if interoperability is not prejudiced) and concern:

- EIRENE functions and interfaces (see sections 4.2.4 and 4.2.5),

- ETCS/ERTMS functions and interfaces (see sections 4.2.1, 4.2.3, 4.2.5, 4.2.7, 4.2.8).

After the upgrade to Class A system, the existing Class B equipment may remain in use simultaneously with

Class A.

7.2.4.7. Registers of rolling stock

The Rolling Stock Register shall provide information following Annex C requirements.

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In case TSI requirements for some interface(s) between control-command and signalling and other subsystems

are not available at the moment of installation (e.g. electromagnetic compatibility between train detection and

Rolling Stock, climatic conditions and physical conditions in which the train can work, geometric parameters of

the train like length, maximal distance of axles in the train, length of the nose of the first and of the last car of the

train, braking parameters), the corresponding characteristics and the standards applied shall be indicated in the

Registers of Rolling Stock. This shall be possible, only for the items listed in Annex C.

Remark: for every implementation of control-command subsystem on a given line, Annex C gives the list of the

requirements for the onboard, to be addressed in the Registers of Infrastructure, indicating if these requirements

concern mandatory or optional (14) functions and identifying constraints on train configuration.

7.2.5. Particular migration paths

7.2.5.1. Specific solution for partial additional use of Class A system

In a migration phase when only part of the fleet is equipped with an onboard system able to handle Class A, it

may be necessary to have both systems fully or partially installed on a line.

For ETCS there is no functional link between the two onboard systems except to manage transitions during train

operation (and with exception to satisfy the needs of the STMs for Class B systems when STMs are used).

For ETCS from a purely functional point, a system may also be built combining components from the unified

and a pre-unified system. An example is the combination of an ETCS Level 1 using Eurobalise as a spot

transmission means and an infill function not based on a unified solution, but on a national system. This

solution requires an on-board data link between the unified and the pre-unified system. Therefore, the solution is

not in accordance with either Class A or Class B and is not interoperable.

There is, however, the possibility to use the combination as a national enhancement of an interoperable line. This

is only permitted if trains not equipped with the data link between both systems can operate either on the unified

or on the pre-unified system without information from the other system. If this is not possible, the line cannot be

declared interoperable for the control-command subsystem.

7.2.5.2. Specific solution for partial alternative use of ETCS Class A airgap

An infrastructure may also be used for the movement of trains not compliant with the requirements of this TSI,

according to Article 5(6) of Directive 2001/16/EC, provided this does not create prejudice to the fulfilment of

essential requirements.

Such trains receive information from a Class B signalling infrastructure via Class A track-to-train communication.

7.2.5.3. Competition criteria

Any action to allow the movement of interoperable trains on other infrastructures or the movement of not

interoperable trains on interoperable infrastructures shall ensure that free competition between suppliers is not

prejudiced.

Specially, knowledge about relevant interfaces between already installed equipment and new equipment to be

purchased shall be put at the disposal of all the interested suppliers.

7.2.6. Conditions under which optional functions are required

According to the characteristics of the track-side control-command track-side assembly and its interfaces with

other subsystems, some track-side functionality 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 for a train that complies only with the mandatory requirements of Onboard Class A system except

as required for the following on-board optional functions:

- an ETCS Level 3 Track-side application requires train integrity supervision onboard,

(14) Function classification: see section 4.

L 284/58 EN Official Journal of the European Union 16.10.2006

- an ETCS Level 1 Track-side application with infill requires corresponding in-fill functionality onboard if the

release speed is set to zero for safety reasons (e.g. protection of danger points),

- when ETCS requires data transmission by radio, the data transmission services of GSM-R must fulfil the

ETCS data transmission requirements,

- an onboard assembly, which incorporates a KER STM, may require to implement the K-interface.

7.3. Management of change

7.3.1. Introduction

Change is a facet inherent to any kind of computer-based systems used in real-world environments. It is

prompted by the emergence of new requirements or by changes to existing requirements either due to errors

reported in operation or the need of improvements in performance or other non-functional characteristics.

But change has to be managed as it is underpinned by safety-critical considerations and by backward

compatibility objectives so as to provoke minimal time and cost overheads to the operation of already deployed

ERTMS (15) equipment (i.e. legacy ERTMS facilities). It is therefore crucial to define a clear strategy of how to

implement and manage change to legacy ERTMS equipment to avoid disruption to railway operations without

undermining the underlying objectives of guaranteeing safety and interoperability. Two main issues underpin the

definition of such a strategy:

- the establishment of a Configuration Management framework defining the standards and procedures for

managing system evolution. This should include how to record and process proposed system changes, how

to relate these changes to system components and how to track system releases,

- a policy for release of system baselines.

7.3.2. Baselining

System stability is essential so that actual implementation and deployment can be realistic. This need for stability

is akin to all parties:

- the infrastructure managers and the railway operators that will have to handle various versions of ERTMS/

ETCS or GSM-R,

- the industry that needs time to specify, develop and prove continued interoperability.

A baseline in essence embodies the concept of a stable kernel in terms of system functionality, performance and

other non-functional characteristics (e.g. RAMS) (16). However, past experience with this type of systems has

shown that a number of version releases (17) are needed to achieve a stable and implementation-suitable baseline.

This can be illustrated as a cascade process as follows: