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,

Having regard to the Treaty establishing the European Community,

Having regard to Directive 2001/16/EC of the European Parliament and of the Council of 19 March 2001 on the interoperability of the conventional rail system (1), and in particular Article 6(1) thereof,

Whereas:

In accordance with Article 2(c) of Directive 2001/16/EC, the trans-European conventional rail system is subdivided into structural or functional subsystems. Each of these subsystems is to be covered by a technical specification for interoperability (TSI).

The first step in establishing a TSI is to have a draft TSI drawn up by the European Association for Railway Interoperability (AEIF) which was appointed as the joint representative body.

The AEIF has been given a mandate to draw up a draft TSI for the control-command and signalling subsystem in accordance with Article 6(1) of Directive 2001/16/EC. The basic parameters for this draft TSI were adopted by Commission Decision 2004/447/EC of 29 April 2004 modifying Annex A to Decision 2002/731/EC of 30 May 2002 and establishing the main characteristics of the Class A system (ERTMS) of the control-command and signalling subsystem of the trans-European conventional rail system referred to in Directive 2001/16/EC of the European Parliament and of the Council (2) .

The draft TSI set up on the basis of the basic parameters was accompanied by an introductory report containing a cost-benefit analysis as provided for in Article 6(5) of the Directive.

The draft TSI has been examined by the Committee set up by Council Directive 96/48/EC of 23 July 1996 on the interoperability of the trans-European high-speed rail system (3)

As is required by Article 1 of Directive 2001/16/EC, the conditions for achieving interoperability of the trans-European conventional rail system concern the design, construction, commissioning, upgrading, renewal and operation of the infrastructures and rolling stock contributing 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, the TSI should be applied from the time when work is envisaged on these infrastructures and rolling stock. However, the degree to which the TSI is applied will vary according to the scope and extent of the planned work and the costs and the benefits generated by the intended applications. In order for such piecemeal tasks to achieve full interoperability, they need to be underpinned by a coherent implementation strategy. In this context, a distinction should be made between upgrading, renewal and maintenance-related replacement.

Directive 2001/16/EC and the TSIs do apply to renewals but not to maintenance-related replacements. However, Member States should be encouraged, where they are able to do so and where it is justified by the scope of the maintenance-related work, to apply the TSIs to maintenance-related replacements.

Existing conventional lines and rolling stock are already equipped with control-command and signalling systems meeting the essential requirements of Directive 2001/16/EC. Such ‘legacy’ systems were developed and implemented according to national rules. Basic information concerning legacy systems is provided in Annex B of the TSI. Given that verification of interoperability of the legacy systems has to be established by reference to the requirements of the TSI, in accordance with Article 16(2) of Directive 2001/16/EC, it is necessary, during the transitional period between the 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 explicitly referred to in the TSI. Member States are to provide each other and the Commission with information on the relevant national technical rules in use for achieving interoperability and meeting the essential requirements of Directive 2001/16/EC, on the bodies it appoints for carrying out the procedure for the assessment of conformity or suitability for use, and on the checking procedure for use in verifying the interoperability of subsystems pursuant to Article 16(2) of Directive 2001/16/EC.

For this purpose, Member States should apply, as far as possible, the principles and criteria provided for in Directive 2001/16/CE for the implementation of Article 16(2), making use of the bodies notified under Article 20 of Directive 2001/16/EC. The Commission should carry out an analysis of the information forwarded by the Member States, in the form of national rules, procedures, bodies in charge of implementing procedures, and duration of the procedures and, where appropriate, should discuss with the Committee the need for the adoption of any further measures.

A similar procedure should also apply with regard to those issues classified as ‘Open Points’ in Annex G of the TSI.

The TSI should not demand the use of specific technologies or technical solutions except where this is strictly necessary for the interoperability of the trans-European conventional rail system.

The TSI is based on best available expert knowledge at the time of preparation of the corresponding draft. Developments in technology, operational, safety or social requirements may make it necessary to amend or supplement this TSI. For this purpose, a Change Control Management process has been devised to consolidate and update the requirements of Annex A of the TSI. This updating process, which is currently placed under the auspices of the AEIF as joint representative body will be transferred to the European Railway Agency established under Regulation (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 procedure which entails modifications to the due process identified in this TSI will be initiated in accordance with Article 6(3) of Directive 2001/16/EC.

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 infrastructures and the rolling stock to be placed in service and the network into which they are to be integrated. These compatibility requirements entail a complex technical and economical analysis that should be conducted on a case-by-case basis for specific applications. Such analysis should take into account the interfaces between the different subsystems referred to in Directive 2001/16/EC, the different categories of lines and rolling stock referred to in that Directive, and the technical and operational environments of the existing network.

It is essential that such an analysis develops against a framework of coherent implementation rules and guidelines. The latter necessitates the establishment by Member States of a national strategy for the implementation of the TSI which is the subject of this Decision, which should indicate the stages required to move towards an interoperable network. Such national strategies should be brought together and reconciled within the framework of an EU master plan setting the reference for the implementation of the TSI in a EU-wide perspective.

The target system described in the attached TSI (Class A system) builds upon computer-based technology with a life expectancy significantly lower than current traditional railway signalling and telecommunication facilities. As such, it calls for a pro-active rather than reactive deployment strategy to avoid potential system obsolescence before system deployment reaches maturity. In addition, the adoption of too fragmented a deployment throughout the European rail system would give rise to major costs and operational overheads. The development of a coherent trans-European implementation plan for the target system 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. Such a plan should build upon the corresponding national implementation plans and should provide an appropriate knowledge base for decision support by the different stakeholders, and in particular by the Commission in the allocation of financial support to railway projects. The Commission should co-ordinate the development of such a plan, in accordance with Article 155(2) of the Treaty.

The migration towards the Class A target system as defined in the TSI requires appropriate measures to be taken at national level in order to facilitate such a migration. Such measures should aim to permit the operation of Class A equipment compliant with existing legacy systems or to facilitate implementation of pro-active approaches serving to reduce the time-to-deployment of Class A facilities. As regards the former, particular relevance has to be given to external Specific Transmission Modules for the national legacy Class B command-and-control systems.

The TSI relating to the control-command and signalling subsystem of the trans-European conventional rail system should therefore be adopted. In consequence, Decision 2004/447/EC should be amended accordingly.

The measures provided for in this Decision are in accordance with the opinion of the Committee set up by Directive 96/48/EC,

HAS ADOPTED THIS DECISION:

Article 1

The Technical Specification for Interoperability (hereinafter referred to as the TSI) relating to the control-command and signalling subsystem of the trans-European conventional rail system referred to in Article 6(1) of Directive 2001/16/EC, shall be as set out in the Annex.

Subject to Articles 2 and 3 of this Decision, the TSI shall be fully applicable to the infrastructure and rolling stock of the trans-European conventional rail system as defined in Annex I to Directive 2001/16/EC.

Article 2

1. With regard to the systems referred to in Annex B of the TSI and to those issues classified as ‘Open points’ in Annex G of the TSI, the conditions to be complied with for the verification of interoperability within the meaning of Article 16(2) of Directive 2001/16/EC shall be those technical rules in use in the Member State which authorises the bringing into service of the subsystem covered by this Decision.

2. Each Member State shall notify the following items to the other Member States and to the Commission within six months of the notification of this Decision:

the list of applicable technical rules mentioned in paragraph 1 for the ‘Open points’ referred to in Annex G of the TSI;

the conformity assessment and checking procedures to be applied with regard to the application of the applicable technical rules referred to in paragraph 1;

the bodies it appoints for carrying out those conformity-assessment and checking procedures.

Article 3

Member States shall establish a national implementation plan of the TSI in accordance with the criteria specified in Chapter 7 of the Annex.

They shall forward this implementation plan to the other Member States and the Commission not later than one year after the date on which this Decision becomes applicable.

On the basis of these national plans the Commission shall draft an EU master plan following the principles set out in Chapter 7 of the Annex.

Article 4

Member States shall ensure that the functionality of the legacy 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 excluding those modifications that might be deemed necessary in order to mitigate safety-related flaws of these systems.

Member States shall make available such information regarding their legacy systems as is required for purposes of development and safety-certification of apparatus allowing interoperability of Class A equipment as defined in Annex A of the TSI with their legacy Class B facilities.

Article 5

Member States shall make every effort for the availability of an external Specific Transmission Module (hereinafter referred to as the STM), as defined in Chapter 7 of the Annex, for their legacy Class B command-and-control systems enumerated in Annex B of the TSI by 31 December 2007.

Article 6

Article 2 of Decision 2004/447/EC is deleted with effect from the date on which this Decision becomes applicable.

Article 7

This Decision shall become applicable six months after the date of its notification.

Article 8

This Decision is addressed to the Member States

(1) OJ L 110, 20.4.2001, p. 1. Directive as amended by Directive 2004/50/EC (OJ L 164, 30.4.2004, p. 114, as corrected by OJ L 220, 21.6.2004, p. 40).

(2) OJ L 155, 30.4.2004, p. 65, as corrected by L 193, 1.6.2004, p. 53.

(3) OJ L 235, 17.9.1996, p. 6. Directive as last amended by Directive 2004/50/EC

(4) OJ L 164, 30.4.2004, p. 1, corrected by OJ L 220, 21.6.2004, p. 3.

ANNEX

Technical specification for interoperability relating to the subsystem control-command and signalling of the trans-European conventional rail system

CONTENTS

1. INTRODUCTION

1.1. TECHNICAL SCOPE

1.2. GEOGRAPHICAL SCOPE

1.3. CONTENT OF THIS TSI

2. SUBSYSTEM DEFINITION AND SCOPE

2.1. GENERAL

2.2. OVERVIEW

2.2.1. Interoperability

2.2.2. Classes of control-command systems

2.2.3. Levels of application

2.2.4. Infrastructure network borders

3. THE ESSENTIAL REQUIREMENTS OF THE CONTROL-COMMAND SUBSYSTEM

3.1. GENERAL

3.2. SPECIFIC ASPECTS OF THE CONTROL-COMMAND SUBSYSTEM

3.2.1. Safety

3.2.2. Reliability and availability

3.2.3. Health

3.2.4. Environmental protection

3.2.5. Technical compatibility

4. CHARACTERISATION OF THE SUBSYSTEM

4.1. Introduction

4.2. FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE SUBSYSTEM

4.2.1. Control-command safety characteristics relevant to interoperability

4.2.2. On-board ETCS functionality

4.2.3. Track-side ETCS functionality

4.2.4. EIRENE functions

4.2.5. ETCS and EIRENE air gap interfaces

4.2.6. On-board interfaces internal to control-command

4.2.7. Trackside interfaces internal to control-command

4.2.8. Key management

4.2.9. ETCS-ID management

4.2.10. HABD (hot axle box detector)

4.2.11. Compatibility with tTrack-side train detection systems

4.2.12. Electromagnetic compatibility

4.2.13. ETCS DMI (Driver machine interface)

4.2.14. EIRENE DMI (Driver machine interface)

4.2.15. Interface to data recording for regulatory purposes

4.2.16. Visibility of track-side control-command objects

4.3. FUNCTIONAL AND TECHNICAL SPECIFICATIONS OF THE INTERFACES TO OTHER SUBSYSTEMS

4.3.1. Interface to the subsystem traffic operation and management

4.3.2. Interface to the subsystem rolling stock

4.3.3. Interfaces to subsystem infrastructure

4.3.4. Interfaces to subsystem energy

4.4. OPERATING RULES

4.5. MAINTENANCE RULES

4.5.1. Responsibility of manufacturer of equipment

4.5.2. Responsibility of contracting entities

4.5.3. Responsibility of infrastructure manager or railway undertaking

4.5.4. Maintenance plan

4.6. PROFESSIONAL QUALIFICATIONS

4.7. HEALTH AND SAFETY CONDITIONS

4.8. INFRASTRUCTURE AND ROLLING STOCK REGISTERS

5. INTEROPERABILITY CONSTITUENTS

5.1. DEFINITIONS

5.2. LIST OF INTEROPERABILITY CONSTITUENTS

5.2.1. Basic interoperability constituents

5.2.2. Grouping of interoperability constituents

5.3. CONSTITUENTS PERFORMANCES AND SPECIFICATIONS

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

6.0. INTRODUCTION

6.1. INTEROPERABILITY CONSTITUENTS

6.1.1. Assessment procedures

6.1.2. Modules

6.2. CONTROL-COMMAND SUBSYSTEM

6.2.1. Assessment procedures

6.2.2. Modules

7. IMPLEMENTATION OF THE TSI CONTROL-COMMAND

7.1. GENERAL

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

7.2.1. General migration criteria

7.2.2. Timing criteria

7.2.3. Implementation: infrastructure (stationary equipment)

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

7.2.5. Particular migration paths

7.2.6. Conditions under which optional functions are required

7.3. MANAGEMENT OF CHANGE

7.3.1. Introduction

7.3.2. Baselining

7.3.3. The ERTMS consolidation phase

7.3.4. Baseline release

7.3.5. Deployment of new baselines

7.3.6. Change management process — the requirements

7.3.7. Configuration management plan — the requirements

7.3.8. Governance

7.4. SPECIFIC CASES

7.4.1. Introduction

7.4.2. List of specific cases

7.5. TRANSITIONAL PROVISIONS

ANNEX A

ANNEX A — APPENDIX 1

ANNEX A — APPENDIX 2

ANNEX B

ANNEX C

GENERAL REQUIREMENTS

REGISTER OF INFRASTRUCTURE

REGISTER OF ROLLING STOCK

LISTS OF SPECIFIC CHARACTERISTICS AND REQUIREMENTS

ANNEX D

ANNEX E

ANNEX F

ANNEX G

ANNEX H

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

(c) establishes the functional and technical specifications to be met by the subsystem and its interfaces vis-à-vis other subsystems. If necessary, these specifications may vary according to the use of the subsystem, for example according to the categories of line, hub and/or rolling stock provided for in Annex I to 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).

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.

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.

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).

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. Physical environmental conditions

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. Railway internal electromagnetic compatibility

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-à-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),

— 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.

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.

— 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.

— 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.

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.

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.

Parameter Appendix 1 TSI control-command TSI rolling stock HS TSI rolling stock freight wagons TSI rolling stock traction units –locos, EMUs, DMUs- and coaches TSI operations and traffic management (HS) TSI operations and traffic management (CR) Axle distances 2.1 incl. Figure 6 Not yet specified 4.2.3.2 ? — Wheel geometry 2.2 incl. Figure 7 4.2.10 5.4.2.3 ? — Vehicle mass (minimum axle load) 3.1 4.1.2 4.2.3.2 ? — Metal-free space around wheels 3.2 Not yet specified Chapter 6 (2) ? — Metal-mass of vehicle 3.3 Not yet specified Open point ? — Wheel material 3.4 Not yet specified 5.4.2.3 ? — Impedance between wheels 3.5 4.2.10e 4.2.3.3.1 ? — Vehicle impedance 3.6 Not yet specified None ? — Use of sanding equipment 4.1 Not yet specified None ? Not yet addressed Use of composite brake blocks 4.2 Not yet specified Open point ? — Traction current 5.1 Not yet specified None ? — Use of electric/magnetic brakes 5.2 4.1.5, 4.2.15, 4.3.6 None ? (3) Electric, magnetic, electromagnetic fields 5.3 4.1.9 None ? —

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.

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)

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)

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

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

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

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.

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),

— 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:

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.

Table 5.1.a

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

1 2 3 4 5 No Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to Annex A Index n Module 1. ERTMS ETCS on-board Safety 4.2.1 On-board ETCS functionality 4.2.2 H2 or B with D or B with F Excluding: — Odometry — Data recording for regulatory purposes ETCS and EIRENE air gap interfaces 4.2.5 RBC (level 2 and 3) Radio in-fill unit (optional level 1) Eurobalise airgap Euroloop airgap (optional level 1) Interfaces STM (implementation of interface K optional) 4.2.6.1 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 conditions 4.3.2.5 EMC 4.3.2.6 Data interface. This also includes vigilance (optional) and train integrity (only level 3) 4.3.2.8 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 or B with F Only Data recording for regulatory purposes Interfaces JRU downloading tool 4.2.15 ERTMS/ETCS on-board none Environmental conditions 4.3.2.5 EMC 4.3.2.6 4. Odometry Safety 4.2.1 H2 or B with D or B with F On-board ETCS functionality 4.2.2 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 or B with F According to national specifications Interfaces ERTMS ETCS on-board 4.2.6.1 Class B system air gap According to national specifications none Environmental conditions According to national specifications none EMC According to national specifications none 6. ERTMS/GSM-R on-board EIRENE functions 4.2.4 H2 or B with D or B with F Data communication only in level 2 or 3 or level 1 with radio in-fill Interfaces ERTMS ETCS on-board Only in level 2 or 3 or level 1 with radio in-fill 4.2.6.2 GSM-R 4.2.5 EIRENE Driver Machine Interface 4.2.14 Environmental conditions 4.3.2.5 EMC 4.3.2.6





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 No Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to Annex A Index n Module 1. Safety platform on-board ERTMS ETCS on-board safety information recorder Odometry Safety 4.2.1 On-board ETCS functionality 4.2.2 H2 or B with D or B with F ETCS and EIRENE air gap interfaces 4.2.5 RBC (level 2 and 3) Radio in-fill unit (optional level 1) Eurobalise airgap Euroloop airgap (optional level 1) Interfaces STM (implementation of interface K optional) 4.2.6.1 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 conditions 4.3.2.5 EMC 4.3.2.6 JRU downloading tool 4.2.15 Data interface. This also includes vigilance (optional) and train integrity (only level 3) 4.3.2.8





Table 5.2.a

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

1 2 3 4 5 No Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to chapter 4 Module 1. RBC Safety 4.2.1 Track-side ETCS functionality 4.2.3 H2 or B with D or B with F Excluded communication via Eurobalises, radio in-fill and Euroloop ETCS and EIRENE air gap interfaces 4.2.5 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 or B with F Excluded communication via Eurobalises, Euroloop and level 2/3 functionality ETCS and EIRENE air gap interfaces 4.2.5 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 interfaces 4.2.5 H2 or B with D or B with F Only Eurobalise communication 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 4. Euroloop Safety 4.2.1 ETCS and EIRENE air gap interfaces 4.2.5 H2 or B with D or B with F Only Euroloop communication 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 or B with F Excluded communication via radio in-fill, Euroloop and level 2 and level 3 functionality 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 or B with F Excluded communication via radio in-fill, Eurobalise and level 2 and level 3 functionality 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





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 No Interoperability constituent IC Characteristics Specific requirements to be assessed by reference to chapter 4 Module 1. Safety platform track-side Eurobalise LEU Eurobalise Safety 4.2.1 Track-side ETCS functionality 4.2.3 H2 or B with D or B with F Excluded communication via Euroloop and level 2 and level 3 functionality ETCS and EIRENE air gap interfaces 4.2.5 Only Eurobalise communication 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 Euroloop LEU Euroloop Safety 4.2.1 Track-side ETCS functionality 4.2.3 H2 or B with D or B with F Excluded communication via Eurobalise and level 2 and level 3 functionality ETCS and EIRENE air gap interfaces 4.2.5 Only Euroloop communication 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;

(c) derogation’s under Article 7 of Directive 2001/16/EC;

(d) specific cases described in Section 7.3.

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.

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); (c) review of manufacturing process is requested if Module B (type examination) is used together with 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.

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.

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.

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.

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