Intended for

Ministerie van Infrastructure en Milieu
Document type

Report
Date

August 2013

TECHNOLOGICAL
MATURITY OF ERTMS
ON THE READINESS OF
ERTMS BASED
SIGNALLING

CONTENTS
Executive Summary
1.
INTRODUCTION
1.1
Abbreviations
2.
Review of the Danish Signalling Programme
2.1
Strategic Study
2.2
Programme Phase
2.3
Operational Preparations
2.4
Procurement Phase
2.5
Generic Design Phase
2.6
Early Deployment Phase
3.
Assessment of Maturity
3.1
Introduction
3.2
Methodology
3.2.1
Maturity of Signalling
3.2.2
System Readiness Scale
3.2.3
Capacity Considerations
3.3
ERTMS Projects
3.4
Evaluation of the Technical Maturity of ERTMS
3.5
Results
3.5.1
System readiness results
3.5.2
ERTMS Maturity Conclusion
3.5.3
Readiness of ETCS SRS 2.3.0
3.5.4
Readiness of ETCS SRS 3
3.5.5
openETCS
3.6
Other aspects
3.6.1
Effects of ETCS on Capacity
3.6.2
Impacts on Migration Planning
3.6.3
Impacts on GSM-R Capacity
3.6.4
Impacts of Overlay of ETCS with national Train Control
3.6.5
Braking Curves harmonised in Baseline 3
3.6.6
Key Management System Scalability Issue
3.6.7
Adaptability of current ERTMS Products
3.6.8
Impacts on Maintenance
3.7
Recommendations
4.
Synthesis

APPENDICES
Appendix 1
Operational Maturity Issues

1
2
2
4
4
4
5
5
7
8
10
10
10
10
10
12
12
33
34
34
35
36
36
37
38
38
38
39
39
39
39
40
40
40
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ON THE READINESS OF ERTMS BASED SIGNALLING

1

EXECUTIVE SUMMARY
This report contains an update of the Maturity study elaborated in 2008 and includes the main
findings experienced during the various phases of the project up to date.
It also contains an assessment on the evolution of ERTMS based on the System Readiness Level
of various projects and technical features. Experience gained by Denmark, Switzerland and other
countries are taken into consideration.
The Danish Signalling Programme is progressing according the plan. The goals and scope remain
unchanged. Thus, it is assumed that the planning methods applied and the organisation put in
place covered all relevant aspects. This was only achievable by a detailed study of all factors of
importance for this unprecedented project.
The factors to be considered for migrating to ERTMS/ETCS are different in every country. Thus, a
global common strategy cannot be applied.
Maintaining transparency and traceability between operational scenarios, functional requirements
and future system specifications prove to be a challenging task. Modelled scenarios sometimes
become superseded by the maturing operational rules.
The report documents that ERTMS/ETCS has matured, it performs perfectly on lines but it still
takes time to bring it to the stations/nodes.
Many projects are currently in the design and lab testing phase. A substantial gain on experience
on the more complex applications (e.g. large stations, shunting) can be expected within the next
3-5 years.
Today ERTMS is used in 38 nations throughout the world. Thus, it can be stated, that ERTMS has
become « the » global signalling standard.
The main reasons for the implementation of ERTMS are Punctuality, Safety (reduces the
incidence and consequences of Signals passed at danger), Interoperability (greater mobility for
trains across Europe), Capacity and Performance.
Introduction of ERTMS has already facilitated the cross-border movements of freight trains in
Europe and lead to enhancement of the reliability, quality and competitiveness of the freight train
operator’s services.

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1.

2

INTRODUCTION
The Dutch Ministry of Infrastructure and the Environment has initiated a process for introduction
of ERTMS. The current process is described in the “ERTMS Railway Map”. For the continuous
updating of the planning experience and lessons learnt outside the Netherlands shall be taken
into consideration. The approach to and experience with the implementation of ERTMS in
Denmark, Belgium and Switzerland is of particular interest for the programme envisaged in the
Netherlands.
The implementation of ERTMS in Denmark is on-going. In 2008 the implementation plan for a
complete replacement of the existing signalling systems on the Danish railway network was
approved. Following a tendering phase contracts with suppliers for delivery, installation and
maintenance were signed early 2011.
A comprehensive package of documents dealing with all aspects related to the implementation of
ERTMS was prepared for the Danish Infrastructure Manager, Banedanmark. One of these
documents, “Technological Maturity of ERTMS” dealt with assessment of the readiness of ERTMS
based signalling. The report was prepared in 2008 using the “System Readiness Level”
methodology.
This report contains an update of the study prepared for Banedanmark with addition to:
a) The main findings from the Danish Signalling Programme regarding the technical
maturity, supplemented with relevant developments in other countries
b) Overview on the maturity of "other" technical aspects as (possibilities for) enlargement of
capacity compared to the current system, ERTMS on yards, On-line Key Management,
GSM-R capacity, evolution of European standardisation, railway capacity considerations,
ERTMS Regional, level crossings, etc.
The study deals with conventional rail in the same way as was the case for the initial study
prepared for Banedanmark as Banedanmark’s network only comprise conventional lines.
Section 2 contains a review of the main phases of the Danish Signalling Programme with focus on
the development in the period 2008 – 2013. In the subsequent section 3 the maturity of ERTMS
is assessed bringing the information contained in the initial report from 2008 up to date.
Throughout the report implications and recommendations for the Dutch ERTMS process are
included wherever applicable.

1.1

Abbreviations
Throughout the report the following railway and signalling abbreviations have been utilised:
Abbreviation

Explanation

ATC

Automatic Train Control

BAFO

Best and final offer

DBM

Design build maintain

CR

Change Request

DMI

Driver machine interface

DMU

Diesel Multiple Unit

DSB

Danish State Railways

EMC

Electromagnetic Compatibility

EMU

Electric Multiple Unit

ERTMS

European Rail Traffic Management System

ESR

Emergency Speed Restriction

ESTW

Electronic Interlocking

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ON THE READINESS OF ERTMS BASED SIGNALLING

Abbreviation

Explanation

ETCS

European Train Control System

EVC

European Vital Computer

FRS

Functional Requirement Specification

GPRS

General Packet Radio Service

GSM-R

Global System for Mobile Communications – Railway application

HSL

High Speed Link

IP

Internet Protocol

IXL

Interlocking

KMS

Key Management System

LEU

Lineside Electronic Unit

MA

Movement Authority

MPLS

Multiprotocol Label Switching

OBU

Onboard Unit

PKI

Public key infrastructure

PPP

Public Private Partnership

RBC

Radio Block Controller

SBB

Swiss Federal Railways

SPAD

Signal passed at danger

SR-75

Banedanmark Rule book SR-75

SRL

System Readiness Level

SRS

System Requirements Specification

STM

Specific Transmission Module

TEN-T

Trans-European Transport Network

TCC

Train Control Centre

TMS

Train Management System

TRU/JRU

Train Recording Unit / Juridical Recording Unit

TSR

Temporary Speed Restriction

UNISIG

Union Industry of Signalling (a UNIFE work group)

V&V

Verification and Validation

VDE

German unification transport projects

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ON THE READINESS OF ERTMS BASED SIGNALLING

2.

4

REVIEW OF THE DANISH SIGNALLING PROGRAMME
The scope of the Danish Signalling Programme is a total replacement of all Banedanmark’s
signalling assets. The introduction of ETCS is a part of the programme which includes
introduction of a wide range of new signalling system components.
The Dutch Government has decided to introduce ERTMS in phases. The programme has identified
four scenarios for the introduction on the infrastructure and will begin with the rolling stock.
Additional work will be needed to figure out in detail to what extent experience from the Danish
Signalling Programme may be relevant for the Dutch ETCS programme.
The Signalling Programme in Denmark is implemented in a number of phases. The following
sections contain the main experiences of each of these phases with a focus on the issues of
relevance for the Dutch ETCS programme.

2.1

Strategic Study
As the strategic decision of introducing ETCS on the Dutch railway network has been made there
is no need for a review of this phase of the Signalling Programme.

2.2

Programme Phase
Banedanmark performed the Programme Phase in 2007 and 2008. The aim of the Programme
Phase was to carry out the necessary investigations and prepare the necessary document for the
parliamentary decision for the investment required for the replacement of all Banedanmark’s
signalling assets.
As part of the process all relevant aspects were analysed for such an unprecedented move in
order to demonstrate the feasibility of the programme. The following main aspects were
investigated:


Overall technical solution and scope: ETCS Level 2 without optical signalling
on the Fjernbane, CBTC on the S-Bane



Initial considerations on operation of a railway without optical signalling



How to perform migration for infrastructure and rolling stock



The need for an early deployment line to iron out issues before rolling out
over the whole network and the use of a test laboratory to prepare the
systems for deployment on the early deployment line.



Preparation of a realistic time schedule for the realistic design and roll-out
phases



Elaboration of a procurement strategy reflecting the size of the programme
and aiming at getting the most value for money



Identification of the kind and scope of business changes needed within
Banedanmark caused by the implementation of the Signalling Programme and
how to address them



Systematic risk analysis



Preparation of a programme budget covering all costs related to the
implementation of the Signalling Programme

The goals of the Programme Phase were fully realised. No unexpected important issues have
popped up so far during the continued implementation of the Signalling Programme. Thus, it is
assumed that the Programme Phase covered all relevant aspects.
The preparation of a credible budget proved to be the main challenge, as no project comparable
in size and scope had been implemented before in any country. The available cost examples were
all based on much smaller projects. The envisaged impact of economy of scale could not be

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5

assessed. The size of the programme led to fierce competition during the tender phase leading to
final bids substantially below the budget prepared during the Programme Phase.
The key success factor for realising the goals of the Programme Phase was the setting up of an
integrated organisation comprising spearhead staff from Banedanmark and international experts
with different skills, backgrounds and experiences. The staffing mixture paved the way for
covering all relevant aspects without leaving gaps. The integrated organisation enabled open
discussions on all aspects of the Signalling Programme without limitations caused by varied
business interests of the different participants.
Ramboll (DK) and Emch+Berger (CH) were consultants to Banedanmark for the assignment.

2.3

Operational Preparations
While waiting for the political approval of the Signalling Programme investment and procurement
of consultancy for the upcoming phases, the Signalling Programme launched a project with the
task of preparing a formal description of the future railway operations and to initiate the
preparation of new operational rules. During the previous phases it was realised that the
preservation of the current national operational rules should be avoided as far as these
operational rules could deter the implementation of standard technical solutions.
The operational scenarios that constitute the running of the Danish railway were identified,
modelled and detailed to a level indicating the message flows that make up the scenarios.
On the basis of the modelled scenarios it could be identified whether an action were attributed to
a person or a technical system, and thus where an action called for an operator action or a
technical functionality. The message flow between persons and technical systems indicated the
necessary operational rules.
The modelled scenarios were put into context by an operational concept in the form of a clear
text description of how the railway currently is operated with line side signals as compared to the
expected future operation with an ERTMS level 2 baseline 3 system without line side signals. This
operational concept in combination with the modelled scenarios gave confidence that the
captured description of the future railway operations was complete as far as possible from
information available at the time. Thus, it could form the basis for preparation of both functional
requirements and early drafts of the new operational rules.
Maintaining transparency and traceability between operational scenarios, functional requirements
and future system specifications have proven a huge challenge. The modelled scenarios have
been superseded by the maturing operational rules. The experience gained during the Generic
Design Phase (section 2.5) shows that careful documentation of design decisions and continuous
maintenance of the operational concept can ease the assessment of design suggestions.

2.4

Procurement Phase
Following the political approval the implementation of the Signalling Programme was initiated.
The first phase was the Procurement Phase which had the following goals:


Elaboration of a detailed plan for implementation of the procurement strategy
prepared during the Programme Phase



Preparation of tender documents



Carrying out of the procurement process



Negotiation and signing of contracts

Following an assessment of the opportunities and risks of large lots which has been unknown to
the signalling industry so far it was decided to carry out the tendering in the following four main
lots:

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ON THE READINESS OF ERTMS BASED SIGNALLING



Fjernbane Infrastructure West



Fjernbane On-Board



S-Bane Infrastructure and On-Board

6

The activities were initiated in September 2009 and the contracts were signed in December 2011
and January 2012. The procurement was carried out in accordance with the EU directives with a
prequalification followed by a two stage tendering phase comprising a first negotiation tender and
a best and final offer (BAFO). All tenders were for design, build and maintain contracts. The six
UNISIG suppliers were prequalified and submitted tenders. Banedanmark has simultaneously
initiated other projects which deal with other aspects needed in order to realise the objectives of
the abovementioned four main projects. These projects covered amongst others:


GSM-R data



Fixed Transmission Network (laying down of necessary fibres, creating back
loops and converting the fibre network to a MPLS network)



Enterprise Service Bus (to simplify the interfacing of the new signalling
system to none safety and/or time critical systems)



Civil Works for the Traffic Control Centres



Training of personnel



Maintenance Preparation Coordination between projects and the bas
organisation

The Procurement Phase is seen as a full success as the main result has been that in all four lots,
the contracted prices are significantly lower than budgeted and unit prices lower than seen in the
industry hitherto. Despite the huge complexity of the procurement, the phase could be completed
almost on time.
The following success factors have contributed to this result and may be applied to the Dutch
ERTMS programme:


Large lots with committed funding have been defined to allow for
industrialising the signalling work and generate economy of scale benefits.



Opening up the competition as far as possible, by avoiding special Danish
requirements to the new signalling system and by allowing the suppliers to
use their own processes and methods for implementation.



The requirements specification has been set up at functional level, allowing
the suppliers to make best use of their existing products.



The risks have been carefully distributed between the suppliers and the
customer. Attention has been given to put only those risks on the suppliers
that the suppliers can actually assess and manage. The collaboration in the
area of risk is still in its infancy and currently the majority of identified risks
are still assigned to the customer.



The negotiations following the submission and evaluation of the first
negotiation tender resulted in significant improvement of the tender material
by removal of potential ambiguities. This paved the way for the bidder’s sharp
price calculation in the BAFO.



Maintenance has been included in the contract scope, thus incentivising the
suppliers in delivering a system with optimum life cycle costs and fulfilment of
the RAMS requirements throughout the systems’ lifetime.



An integrated organisation comprising of Banedanmark staff and international
experts was divided into four core teams, one for each lot with support at
programme level for strategic, administrative, legal and political tasks.



Flat hierarchies and strong support from upper management allowed for
timely decisions.

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7

Due to the long time period until the Signalling Programme is completed, careful contract
Management will be crucial in order to limit the scope of Change Orders and mitigation of the
associated risks.

2.5

Generic Design Phase
The Generic Design Phase was initiated immediately after contract signature. The Generic Design
Phase is divided into two sub phases for Conceptual Design and for Preliminary Design. The
Conceptual Design sub phase was completed in the autumn 2012. The Preliminary Design sub
phase is planned to finish in the autumn 2013.
The main goals of the Conceptual Design sub phase were:


All plans for project management and technical processes in place
Clarification of the customer requirements. Customer and suppliers go
through the customer requirements in order to identify ambiguities of
requirements and ensure a common understanding of all requirements.
Further, the test required for verification of the fulfilment of each requirement
should also be agreed upon.

The main goals of the Preliminary Design sub phase are:


Preparation and review of the suppliers’ system and subsystem
requirements



Preparation and review of additional design documents describing the
system from the supplier



Provide Generic Application Safety Cases for the main components



Joint design completed (the joint design is handling all design issues
involving several suppliers)



Interface control documents completed



Customer deliveries serving as a design basis delivered (e.g. ETCS
braking curves, national values)



Enabling projects like GSM-R data, Fixed Transmission Network,
Enterprise Service Bus, Civil Works for the Traffic Control Centres which
have been started in parallel to the Procurement Phase and the Generic
Design Phase.

The overarching principle is that no major generic design issues are left open at the end of the
Generic Design Phase.
Based upon experience gained during the Generic Phase it is recommended to put special
attention to the following issues by the continued preparation of the Dutch ETCS programme:


The suppliers shall have sufficient manning to comply with the time schedule
during the design phase in order to avoid delays in submission of design
documents.



The suppliers shall ensure necessary coordination between their front and
back offices in order to avoid conflicts of interests which may lead to delays.



Timely launching and coordination of all project needed (section 2.4) in order
to avoid delays in the commissioning of the main project.



Attention to the maintenance preparation shall be an integrated part of the
Generic Design Phase activities. This can contribute to the most attractive life
cycle costs.



Considerable management efforts are needed for projects in a multi supplier
environment with a need for joint design activities.

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8



The availability of the supplier’s software development plans and roadmaps
for core signalling areas like ETCS and TMS are keys to monitor progress on
software development and planning of effective track/train integration.



Design of interfaces to external systems may time consuming as the
necessary information may not be available on a short notice.



As the infrastructure is used for the ongoing operation during the
implementation period it may undergo changes e.g. due to renewal. This may
change the design basis during the project period. Resources are needed to
ensure that the correct infrastructure data are available for the project.



Clear division of responsibilities is required in a project environment involving
many parties without losing the benefits of a consensus culture created by
having parties involved working together at the customer’s premises.



Ensure that all processes used for the project activities comply with the
project’s industrial nature which may differ considerably from the customer’s
other activities and previous projects due to the scale of the Signalling
Programme. Sufficient management effort shall be allocated to operate a
large scale programme



The involvement of the customer’s base organisation is a key for the
realisation of the project objectives. Resources shall be made available to
ensure that this involvement can take place.



Completion of operational preparation is time consuming due to complexity of
specific issues, e.g. shunting, joining and splitting and the activation of level
crossings, the need for comparison with the existing customer requirements
and details on the supplier’s products. These issues constitute risks for a
timely software development process. In the Dutch context it should be
analysed, if it is preferable to prepare open functional specifications and to
make decisions regarding such issues together with the selected suppliers, or
to settle those points to as wide extent as possible before the procurement
phase. It should be investigated with all potential bidders how the proposed
operations fit with their products. More details on such issues can be found in
Appendix.



Both the infrastructure project and the onboard shall be properly rooted,
including ownership, at an early project preparation stage in order to ensure
that sufficient resources are allocated to all projects and that the focus can be
kept on the planned activities.

Business agreements between the a signalling programme and the main train operator(s) shall
be completed early during the project preparation in order to ensure that the train operator(s)
can provide the necessary contributions in accordance with the time schedule. For the Dutch
project it is recommended at an early stage to investigate this aspect of the relationship between
ProRail and NS.
The Signalling Programme has dealt with the above mentioned issues. Considerable efforts have
been used to deal with these challenges without endangering the time schedule and project
goals.

2.6

Early Deployment Phase
The main goals of the Early Deployment Phase are:


Solve outstanding generic design issues



Perform application design for the early deployment line



Perform software development



Perform production and installation for the early deployment line, both Supplier and
Customer deliveries

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ON THE READINESS OF ERTMS BASED SIGNALLING



Perform testing and commissioning



Train staff in utilisation and maintenance of the new signalling system, including the new
operational rules



Perform trial runs



Get safety approvals and generate internal generic system catalogue (Type approvals)



Perform supervised commercial operation



Perform the reliability demonstration test.



Prepare and perform handover to the base organisation



Get permission to continue with the rest of the roll-out lines.



Train the installation crews and start the optimisation of installation processes for the
roll-out.

9

The Early Deployment Phase will be the moment of truth for both the suppliers and the customer.
As the Early Deployment Phase will start towards the end of 2013, it is premature to draw
lessons from this phase, but it is already possible to conclude the following on the scope of the
phase:
The Early Deployment Phase will cause a major shift from generic design to much more specific
activities as listed above. This will cause changes to the project organisation and the working
processes, which must be prepared before the start of the phase. The challenges identified during
the Generic Design Phase (section 2.5) will be taken into consideration by this work
The coordination with other projects working on the same part of the infrastructure impose
another challenge. The new signalling system will be installed on an infrastructure in operation
where other changes and renewals will be carried out in parallel. For each line access to the
updated design basis will be needed for the new signalling system. Further, coordination of the
actual work is required. The careful coordination between different projects will be needed in
order to avoid possible project delays and to minimise the cost of changing design late in the
project.

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3.

ASSESSMENT OF MATURITY

3.1

Introduction

10

The review of the technological maturity of ERTMS is a critical point for projects with strategic
nature, because the contribution to project risk is one of the major drivers of migration planning.
Therefore, a well-documented, understandable and straightforward methodology must be used to
evaluate the technological maturity of ERTMS.

3.2

Methodology
The methodology is based on the “System Readiness Level” method1 in a modified form taking
into account that the scope is not only the development phase up to the system validation, but
also the later stages until the productive use of the technology.
The first step of the evaluation is to collect information on the status of the current ERTMS
projects. This information is used for evaluation of the System Readiness Level of the different
items constituting the ERTMS technology. A first evaluation is carried out at the current date.
Further evaluations are performed at future dates in order to reflect the expected development
and roll-out of ERTMS. For each ERTMS project a separate sheet describing the project basis
(scope, extent, baseline/SRS version etc.), goal and status will be prepared and examined.
In addition it is necessary to assess the evolution of the ERTMS baselines, as the availability of
future functionalities depends on the evolution of the baselines.

3.2.1

Maturity of Signalling
Special focus is on the ERTMS part of each project as the general part of a project is not
necessarily indicative for the core aspects of a Danish signalling project.
ERTMS and specifically ERTMS Level 2 is regarded as risky business by a number of people with a
non-signalling context knowledge. For the pilot projects that started more than 10 years ago this
was indeed the case as the entire system by nature was on a conceptual stadium and operation
less defined in the pilot phase. However, it must also be kept in mind that a number of central
signalling design issues are generic issues related to the Safety aspects. They are inherently
complex and challenging regardless of choice of standards and methods. Defining and proving
the Safety functions of a signalling system is a challenging task no matter which set of standards
and rules form the basis. So embarking on the replacement of signalling, system designers will
meet most of these challenges no matter which strategy is chosen for replacement.
Most national rules including the Danish SR-75 were developed over a period of more than 100
years on the basis of specific safety related events, leading to a complex “layer on layer”
rulebook. Within the national frame signalling design, safety aspects and not least interface
aspects are proven to be very complex.
In this context a simplifying approach as the choice of ERTMS level 2 without lineside signals and
a design with uniform interfaces between interlockings, train control and rolling stock can be seen
as a substantial project risk reduction factor.

3.2.2

System Readiness Scale
The used scale of System Readiness Levels (SRL) is the following:

1

“Technology readiness Level” method mandated by US Department of defence and UK Ministry of Defence as well as major industrial
companies

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Level

Definition

0

No agreed project specific specification available

1

Agreed project specific specification available, no product development work
undertaken

2

Product development work ongoing

3

Laboratory tests ongoing

4

Test operation ongoing

5

Early deployment* being implemented

6

Early deployment* operation going on successfully

7

Productive system** being implemented

8

Restricted productive operation** going on

9

Full productive operation** going on successfully

11

Notes:
* An early deployment is a project aiming at resolving teething troubles and getting familiar
with the ETCS operation. In such a project, a certain level of troubles is accepted.
** A productive system or a productive operation is a project aiming at a trouble-free operation
under full load, which is expected to run smoothly from day one.
The system readiness values are to be commented and justified, as there will be a number of
caveats and special cases to be handled, e.g. incomplete functionality, insufficient performance,
delays in implementation, provisional workarounds etc. If an implementation of an ERTMS item is
part of a project that has suffered from major delays, major cost overruns or incomplete
functionality, it will be duly commented. If another implementation is available, the level of this
other implementation will be taken up, with comments regarding the delayed implementation.
The following aspects of ERTMS are to be evaluated:
A. ETCS Level 1 application with lineside signals and simple junctions and stations
B. ETCS Level 1 application in pure cab-signalling mode
C. ETCS Level 1 application on medium and large stations
D. ETCS Level 1 Limited Supervision
E.

ETCS Level 2 application on simple lines and simple junctions, uniform traffic

F.

ETCS Level 2 application on simple lines and simple junctions, mixed traffic

G. ETCS Level 2 application on simple stations with and without shunting mode
H. ETCS Level 2 application on medium stations with and without shunting mode
I.

ETCS Level 2 application on large nodes with and without shunting mode

J.

ETCS Level 2 application on lines with level crossings

K. ETCS Level 2 application on lines with conventional signalling
L.

ETCS Level 2 and GSM-R-end-to end interface at a state border

M. ETCS Level 3/Regional on rural lines, with and without train coupling/splitting
N. ETCS Level 3 application on main lines with and without junctions/stations
O. Evolution of ERTMS technology: Unified braking model
P.

Evolution of ERTMS technology: Cold movement detection/Start of Mission.

Q. Evolution of ERTMS technology: GSM-R for dense traffic
R. Evolution of ERTMS technology: Merger of interlocking and RBC
S. Evolution of ERTMS technology: Availability of specifications and products for baseline 3.

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T.

12

ETCS Level 2/3 application with Key Management System (KMS) complemented by online
and PKI secured update of keys.

The scope of an ERTMS project review sheet is:

3.2.3

Aspect

Description

Perimeter

Line (from - to), length

Line categorisation

Simple/complex, main/rural, dedicated or mixed use, line speed,
level crossings, ETCS level

Operational characteristics

Uniform/mixed traffic, number of trains daily, min headway

Comparison to Danish
network

In relation to sections or nodes of the Danish network

Rolling Stock

Number of rolling stock fitted/to be fitted (types/numbers)

Interlocking

Number of interlockings/objects controlled

Scope

ETCS overlay, re-signalling, increased capacity/punctuality

Project Timeline

Start and end date

Project Status

Planning, test, commissioning, restricted operation, full operation

Project Baselines

SRS version, national/specific requirement

Measures re. capacity

Measures aimed at measures re. capacity

Measures re.
ERTMS baselines

Measures aimed at handling measures re. ERTMS baselines

Project comments on
readiness

Project related comments relating to the readiness levels of
ERTMS items

Capacity Considerations
As there are widely different opinions on the effects of ETCS on capacity, a separate chapter is
dedicated to assess the effects of ETCS on capacity. The assessment will be based on
international research results as well as checked against the same projects that are considered
for system readiness.

3.3

ERTMS Projects
In this chapter the data collected from the reference projects are presented along with the
assessment of system readiness level on the basis of each individual project.

Project Aspect

Statement

#1

Austria: Northern Brenner Access Line

Perimeter

Kundl – Baumkirchen
37.4 km of new line mainly in tunnel and approx. 45 km of the parallel
existing line.

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Project Aspect

Statement

Line categorisation

Main lines for mixed traffic. Several crossovers from the existing to the
new line, existing stations on the existing line.

13

ETCS Level 2 only on the new line. Overlay of ETCS Level 2 over existing
signalling on the existing line.
Operational
characteristics

Mixed passenger and heavy freight traffic.
Maximum speed 200 km/h on the new line, 160 km/h on the existing line.
400 trains a day on both lines together.

Comparison to
Danish network

Storebælt and Oeresund

Rolling Stock

N/A

Interlocking

5 existing relay interlockings and 5 electronic interlockings.

Scope

High capacity and high speed for mixed traffic

Project Timeline

2007 - 2013

Project Status

Commercial operation (04/2013)2

Project Baselines

N/A

Measures re.
capacity

To be developed

Measures re.
ERTMS baselines

N/A

Project comments
on readiness

The system readiness level for ETCS level 2 in stations and overlay on
existing signalling can be set to 9.

#2

Austria/Hungary: Vienna – Budapest

Perimeter

Vienna-Hegyeshalom (Austria) 65 km
Hegyeshalom-Budapest (Hungary) 180 km

Line categorisation

Double track main line
Overlay of ETCS Level 1 on existing signalling, partially renewal of
Interlockings

2

Operational
characteristics

Mixed traffic

Comparison to
Danish network

Nyborg – Middelfart

Rolling Stock

13 locomotives

Interlocking

N/A

to be confirmed by ÖBB n/a

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ON THE READINESS OF ERTMS BASED SIGNALLING

Project Aspect

Statement

Scope

Interoperability and train protection on international corridor.

Project Timeline

2000-2005

Project Status

In commercial service

Project Baselines

Part of line originally built as trial site based on SRS 2.0.0. Upgraded to
SRS 2.2.2

Measures re.
capacity

N/A

Measures re.
ERTMS baselines

N/A

Project comments
on readiness

ETCS Level 1 application with lineside signals and simple junctions and
stations

14

ETCS Level 1 application on medium and large stations
Can be set at readiness level 9 based on this project
#3

Switzerland : Mattstetten – Rothrist

Perimeter

Mattstetten – Rothrist, 45 km

Line categorisation

Main line with simple layout, double track and one junction, no stations,
no level crossings.
ETCS Level 2

Operational
characteristics

The line is used for passenger and freight traffic. Due to the safety
concept in tunnels, passenger trains run during the day and freight trains
during the night.
Passenger trains: 240 per day at a maximum speed of 200 km/h and
headway of 2 minutes.
Freight trains: 30 per day

Comparison to
Danish network

The proposed new line Copenhagen – Ringsted would be a comparable
line

Rolling Stock

Retrofitted stock until 2012: approx. 850 trains including passenger,
freight locomotives, tilting trains, German (ICE1) and Italian (ETR610)
high speed trains, control trailers and diesel vehicles for maintenance,
diagnostics and rescue
They are also used for the Lötschberg Base Tunnel.

Interlocking

1 interlocking, 1 RBC, 5 switches, 196 balise groups, 240 axle counters

Scope

High speed with high capacity

Project Timeline

2002 - 2007

Project Status

Full commercial operation at 200 km/h since December 2007

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Project Aspect

Statement

Project Baselines

“Swiss” baseline for Neubaustrecke and Lötschberg tunnel: SRS 2.2.2 and
a set of change requests of Subset 108v110, no national functions.
Planned for upgrade to SRS 2.3.0d for alignment with Gotthard base line.

Measures re.
capacity

Short block distances.

Measures re.
ERTMS baselines

N/A

Project comments
on readiness

This project shows that ETCS level 2 for simple lines with simple junctions
have reached system readiness level 9, as it works reliably under heavy
traffic.

#4

Switzerland: Gotthard Base Tunnel

Perimeter

Gotthard Base Tunnel, 65 km

Line categorisation

Main line with double track, one station and one complex junction.

Optimisation of braking curves, the original braking curves proposed by
the supplier were so flat that a reasonable operation would have been
impossible. No use of service brake deceleration curve and service brake
intervention curve.

ETCS Level 2 without lineside signals
Operational
characteristics

High-capacity mixed traffic.
Passenger trains: maximum speed 250 km/h. 1 – 2 passenger trains per
hour per direction.
Freight trains: Maximum speed 160 km/h, headway 3 minutes. 6 freight
trains per hour per direction.
Deployment of ETCS Level 2 in stations close to tunnels for optimised
feeding (e.g. overtaking of freight trains) into the tunnel.

Comparison to
Danish network

The Great Belt crossing would be a comparable section, however the level
of freight traffic is much higher in the Gotthard Base Tunnel

Rolling Stock

Further retrofit of existing rolling stock (beyond the already 850 trains) to
occur along further operational needs for this line.

Interlocking

4 interlockings, 2 RBCs, 39 switches, 261 balise groups, 410 axle
counters, 12 hot box detectors

Scope

High speed and high capacity with truly mixed traffic.

Project Timeline

Start date for railway equipment: 2003
End date: 2016

Project Status

Installation and lab testing

Project Baselines

SRS 2.3.0d

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Project Aspect

Statement

Measures re.
capacity

Short block distances.

Measures re.
ERTMS baselines

The project will be faced with technology changes due to the opening in
10 years. The contract contains provisions for handling technology
changes.

Project comments
on readiness

This is the first Swiss project containing complex operational patterns for
ETCS level 2 in a station. The current system readiness level for this item
can be set to 3.

Optimisation of braking curves, the original braking curves proposed by
the supplier were so flat that a reasonable operation would have been
impossible. No use of service brake deceleration curve and service brake
intervention curve.

This project will be faced with the same problems regarding the
functionality and upgrade path of SRS 2.3.0 as the Banedanmark
signalling programme.
#5

Switzerland: Lötschberg Base Tunnel

Perimeter

Frutigen – Lötschberg – Visp: 42 km

Line categorisation

Main line with simple layout, single track partly double track and two
junctions, no stations, no level crossings.
ETCS Level 2 without lineside signals

Operational
characteristics

The line is used for passenger and freight traffic. Trains per day: 40
passenger at a maximum speed of 250 km/h, 110 freight trains at a
speed of 100 km/h
3.5 min headway for freight trains

Comparison to
Danish network

The proposed new line over the Fehmarn Belt

Rolling Stock

Retrofitted stock until 2012: approx. 850 trains including:
119 passenger locomotives
199 freight locomotives
44 Swiss tilting trains, German (ICE1) and
9 Italian (ETR610) tilting trains
19 German high speed trains
130 control trailers
16 diesel trains, for maintenance, diagnostics and rescue
New stock to be fitted:
14 Italian tilting trains

Interlocking

2 interlockings, 1 RBC, 3 switches

Scope

High speed with high capacity

Project Timeline

2001 – 2007

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Project Aspect

Statement

Project Status

Commercial operation at 250 km/h for passenger trains since 2007

Project Baselines

“Swiss” baseline for Neubaustrecke and Lötschberg tunnel: SRS 2.2.2 and
a set of change requests of Subset 108v110, no national functions.
Planned for upgrade to SRS 2.3.0d for alignment with Gotthard tunnel.

Measures re.
capacity

Short block distances.
Optimisation of braking curves. No use of Service Brake Deceleration
Curve and Service Brake Intervention Curve.
Reversing function (Emergency propelling) is implemented for the
evacuation of the tunnel.

Measures re.
ERTMS baselines

None

Project comments
on readiness

Project indicates Readiness level 9 for ETCS level 2 on simple lines with
simple junctions.

#6

Switzerland: ETCS Level 2 in large nodes

Perimeter

This activity has the status of a study inside Swiss Federal Railways in
collaboration with the UNISIG companies. Its aim is to increase the
capacity of larger station areas in the network (case study: Bern station).

Line categorisation

Nodes (Freight and passenger junction/station areas)

Operational
characteristics

Headways of 90 seconds with low speed

Comparison to
Danish network

Copenhagen Central station area

Rolling Stock

-

Interlocking

-

Scope

Short headways in nodes and junctions

Project Timeline

Study started 2001, End not defined

Project Status

study completed, currently no deployment

Project Baselines

Standard functions of ERTMS

Measures re.
capacity

Measures Aimed at Measures re. capacity
- short distance of MA points
- high capacity RBC and interlocking
- high capacity GSM-R cell

Measures re.
ERTMS baselines

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Project Aspect

Statement

Project comments
on readiness

The system readiness level for the use of ETCS level 2 in stations is
currently 1.

#7

Switzerland: Limited supervision

Perimeter

3000 km of lines (95% of the whole SBB-network)

Line categorisation

Main lines and secondary lines with complex stations.

Operational
characteristics

High density, mixed traffic., speed up to 160 km/h

Comparison to
Danish network

Several lines

Rolling Stock

1500 to be fitted

Interlocking

500 interlockings. About 100’000 controlled objects

Scope

To make the whole SBB network interoperable at minimum cost.

18

As Switzerland has a lot of cross border operation, interoperability is a
major issue for SBB and they have been seeking a cheap way to ensure
technical interoperability without replacing their existing relay
Interlockings which have been maintained to a very high standard that
ensure many years of operation.
Project Timeline

2007 - 2015 (Corridor A) / 2017 (whole network)

Project Status

Roll out and shadow train runs (test trial) are ongoing.

Project Baselines

SRS 3.3.0. include Limited Supervision functionality.

Measures re.
capacity

Values of braking curves will become “national values”

Measures re.
ERTMS baselines

N/A

Project comments
on readiness

This project indicates that Level 1 Limited Supervision is currently at
System readiness level 8/9.
Around 2015 this will rise to readiness level 9 upon commissioning of the
first line(s) on the basis of 3.3.0 specification.

#8

The Netherlands: Betuwe Route

Perimeter

Rotterdam – Emmerich - German border, 160 km

Line categorisation

Double track dedicated freight line, ERTMS level 2 without lineside
signals.

Operational
characteristics

Uniform traffic, max speed 120 km/h

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Project Aspect

Statement

Comparison to
Danish network

International Freight operation on Danish part of Corridor B (PeberholmPadborg)

Rolling Stock

49 locos in service, number is growing

Interlocking

1 Interlocking, 78 points, 305 AC track circuits, 99 universal object
controllers 78 point object controllers
3 RBC’s, 693 fixed balises, 66 switchable balises, 18 LEUs.

Scope

New built dedicated International freight line, complete ERTMS level 2
signalling.

Project Timeline

2003-2007

Project Status

In commercial service

Project Baselines

SRS 2.2.2 being upgraded to baseline 2.3.0d.

Measures re.
capacity

N/A

Measures re.
ERTMS baselines

None

Project comments
on readiness

This project shows that ETCS level 2 for simple lines with simple junctions
have reached system readiness level 9. Main obstacle has been onboard
fitment of Freight Locomotives and EMC issues related to the influence
between 25 KVAC electrification and 1500 VDC tracks.

#9

The Netherlands: HSL South

Perimeter

Amsterdam Central – Schiphol – Rotterdam - Antwerp (-Brussels), 100
km

Line categorisation

High speed line
ERTMS level 2 with possible whole line fall-back to a simple ERTMS level
1(with reduced lineside signals)

Operational
characteristics

Uniform high speed traffic, 300 km/h

Comparison to
Danish network

None, but general system aspects are valid

Rolling Stock
Interlocking

N/A

Scope

New built High speed line with ETCS level 2. Design build maintain
(DBM), public private partnership (PPP) scheme under direct government
control, handed over for operation at ProRail.

Project Timeline

1999-2008

Project Status

commercial service

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Project Aspect

Statement

Project Baselines

SRS 2.3.0

Measures re.
capacity

N/A

Measures re.
ERTMS baselines

None

Project comments
on readiness

This project shows that ETCS level 2 for simple lines with simple junctions
have reached system readiness level 9.

#10

Great Britain: Cambrian Line

Perimeter

Shrewsbury- Aberystwyth/ Pwllheli, 215 km

Line categorisation

Single track with passing loops, rural line, 123 level crossings
ETCS level 2 with no lineside signals.
Early deployment Scheme for the National ERTMS programme in the UK.

Operational
characteristics

Low capacity, Mixed traffic

Comparison to
Danish network

Comparable with Roskilde-Køge-Næstved and Aalborg-Frederikshavn

Rolling Stock

17 DMU and, 4 locos (for transport to/from possessions and
maintenance)

Interlocking

13 interlockings exchanged with 1 interlocking and RBC at Machynellth.
Traffic Control Centre also at Machynellth. Approx. 75 Axle counter
sections.

Scope

Resignalling: New Interlocking, RBC and Control Centre, train detection
and points. Possessions management and ESR/TSR speed restriction
arrangement based on hand held terminals. A high number of different
level crossing equipment will be kept though.

Project Timeline

July 2005-December 2011

Project Status

In full commercial operation since 2011.
Onboard fitment delayed programme as insufficient spare trains were
available and project experienced lacking capability of onboard fitment
contractor.

Project Baselines

SRS 2.3.0. Upgrade to 2.3.0d is being assessed at the moment.

Measures re.
capacity

Block optimisation at Machynellth to enable 3 minutes headway.

Measures re.
ERTMS baselines

None.

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Project Aspect

Statement

Project comments
on readiness

ETCS Level 2 application on lines with level crossings, and

21

ETCS Level 2 application on simple lines and simple junctions, mixed
traffic and
ETCS Level 2 application on simple stations can be set to readiness level
9 based on this project.

#11

Germany: Berlin-Halle/Leipzig

Perimeter

Berlin-Halle/Leipzig, 160 km

Line categorisation

Double track upgraded line 200 km/h
ETCS level 2 with lineside signals (Mixed signalling), fall back to LZB/PZB.

Operational
characteristics

High capacity, up to 200 km/h, Mixed traffic

Comparison to
Danish network

Incomparable operational characteristics, very complex technical layout
due to overlaying design. Line partially comparable to KøbenhavnRingsted

Rolling Stock

1 DMU for testing

Interlocking

20 Interlockings, 3 RBC’s, 1045 balises

Scope

First part build as European test line, second part added as commercial
operation. ERTMS level 2 on top of existing Interlocking and LZB centrals.

Project Timeline

1999 – 2005

Project Status

Being upgraded to SRS 2.3.0d. Will start full scale ETCS operation as part
of the Berlin-Nürnberg corridor (see separate sheet on VDE8 project)

Project Baselines

SRS 2.2.2.

Measures re.
capacity

N/A

Measures re.
ERTMS baselines

None.

Project comments
on readiness

ETCS Level 2 application on simple lines and simple junctions, mixed
traffic as well as simple stations, and
ETCS Level 2 application on lines with conventional signalling
can be set to readiness level 9 based on this project.

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Project Aspect

Statement

#12

Luxembourg: Network

Perimeter

Bettembourg frontiere-Luxembourg (16,7 km double track 140 km/h)

22

Luxembourg-Ettelbruck (30,5 km mostly double track 120 km/h)
Ettelbruck – Diekirch (4,1 km single track max 80 km/h)
Ettelbruck - Bissen (8,7 km single track max 45 km/h)
currently in operation (60 km line)
Total 270 km line, to be fitted.
Line categorisation

Double track and single track with passing loops, core network 100-140
km/h, secondary lines 45-80 km/h
ETCS level 1 with lineside signals.

Operational
characteristics

Low-Medium density, Mixed traffic

Comparison to
Danish network

Lines comparable to Svendborgbanen, Grenåbanen and Aarhus-LangåAalborg

Rolling Stock

Approx. 110 vehicles, approx. 20 yellow fleet

Interlocking

Currently around 300 balises and associated LEU’s.

Scope

Network application of ERTMS level 1 for Safety and Interoperability

Project Timeline

2000-2013

Project Status

In commercial operation

Project Baselines

SRS 2.2.2 being upgraded to 2.3.0.

Measures re.
capacity

N/A

Measures re.
ERTMS baselines

N/A

Project comments
on readiness

ETCS Level 1 application with lineside signals and simple junctions and
stations
ETCS Level 1 application on medium and large stations
Can be set at readiness level 8 based on this project. When the remaining
parts of the network enter full operation, project will indicate SRL 9.

#13

Italy: Roma-Napoli

Perimeter

Roma-Napoli, 204 km

Line categorisation

High speed 350 km/h
ETCS level 2 without lineside signals.

Operational
characteristics

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Project Aspect

Statement

Comparison to
Danish network

None, but general system aspects are valid

Rolling Stock

27 EMU (ETR 500)

Interlocking

18 interlockings, 3 RBCs, 1500 balises and 60 LEU’s

Scope

Built with ERTMS level 2, for Safety at high speed

Project Timeline

2001-2005

Project Status

In commercial operation since 2005.

Project Baselines

SRS 2.2.2c. Upgrade to 2.3.0d (trackside) until 20153

Measures re.
capacity

N/A

Measures re.
ERTMS baselines

N/A

Project comments
on readiness

ETCS Level 2 application for simple lines and simple junctions, uniform
traffic and simple stations can be set at readiness level 9 based on this
project.

#14

Spain: Madrid-Barcelona

Perimeter

Madrid – Barcelona, 651 km

Line categorisation

High speed 300 km/h (planned 350 km/h when Level 2 commissioned)
ETCS level 2 without lineside signals, fall-back to ETCS level 1 with
lineside signals. Mixed signalling.

3

Operational
characteristics

Double track, High speed line, uniform traffic

Comparison to
Danish network

None, but general system aspects are valid

Rolling Stock

52 EMU, 4 loco

Interlocking

15 interlockings and 1500 track circuits, 9 RBCs, and 3500 balises

Scope

Built with ERTMS level 1 and 2, for Safety at high speed

Project Timeline

1997-2008

Project Status

Commercial operation on ETCS level 1, ETCS level 2 in commercial
operation on majority of the line, remaining parts being commissioned.
First ETCS L1 operations on 50% of the line started in 2003.

Project Baselines

SRS 2.2.2c subset considered compliant to SRS 2.3.0.

Note: other Italian lines reportedly have performed SRS 2.3.0d upgrades in 2009-2012

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24

Project Aspect

Statement

Measures re.
capacity

Short blocks for ETCS level 2

Measures re.
ERTMS baselines

None

Project comments
on readiness

ETCS Level 1 application with lineside signals and simple junctions and
stations can be set at readiness level 9 based on this project. ETCS Level
2 application on simple lines and simple junctions, uniform traffic as well
as simple stations can be set at readiness level 9 based on this project.

#15

Sweden: ERTMS Regional

Perimeter

Repbäcken - Malung, 134 km

Line categorisation

Rural, Single track with passing loops
ETCS level 3/Regional without lineside signals.

Operational
characteristics

Low density, Mixed traffic

Comparison to
Danish network

Line comparable to Struer-Thisted and Bramming-Tønder

Rolling Stock

N/A

Interlocking

5 stations, 33 Level crossings. Future 1 TCC (RBC+IL)

Scope

Re-signalling. Pilot for ERTMS Regional concept (ETCS level 3), in total
more than 1000 km roll-out planned between 2009 and 2014.

Project Timeline

2005-2010

Project Status

Early deployment operation

Project Baselines

Onboard SRS 2.3.0 + Infrastructure ERTMS Regional FRS 3.0.

Measures re.
capacity

None, low capacity demand.

Measures re.
ERTMS baselines

Development contract for verification of the ERTMS Regional system
requirements specification, upgrades integrated in contract.

Project comments
on readiness

ETCS Level 3/Regional application on rural lines, with and without train
coupling/splitting can be set at readiness level 5/6 based on this project.
This project also contains the element Evolution of ERTMS technology:
Merger of interlocking and RBC, also at readiness level 5/6. The SRL will
rise to 9 when the deployment on following lines are started.

#16

Sweden: Botniabanen and Ådal Line

Perimeter

Sundsvall - Kramfors (=Ådal Line, 130 km), and
Kramfors/Nyland – Örnskoldsvik - Umeå (Botnia, 190 km)

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Project Aspect

Statement

Line categorisation

New built line 250 km/h, Single track with passing loops
ETCS level 2 without lineside signals.
ca. 40 level crossings managed by ERTMS

Operational
characteristics

Medium density, Mixed traffic, 14 stations

Comparison to
Danish network

Line somewhat comparable to Vejle – Holstebro – Struer

Rolling Stock

(unknown amount)

Interlocking

22 interlockings

Scope

First commercial ETCS level 2 project in Sweden with extension
southwards. Most of line is new built, while 100km of Ådal line was
migrated.

Project Timeline

1999-2011

Project Status

In commercial operation

Project Baselines

SRS 2.3.0d

Measures re.
capacity

Long passing loops

Measures re.
ERTMS baselines

N/A

Project comments
on readiness

ETCS Level 2 application on simple lines and simple junctions, mixed
traffic as well as simple stations can be set at 9 based on this project

#17

France: LGV-Est (Corridor POS and 2007)

Perimeter

(Paris) - Baudrecourt, 300 km

Line categorisation

High speed 350 km/h

Handling of level crossings

ETCS level 2 without lineside signals (being commissioned), double
equipped with TVM430 and lineside signals. Mixed signalling.
Operational
characteristics

Double track, High speed line, uniform traffic

Comparison to
Danish network

None, but general system aspects are valid

Rolling Stock

19 EMU

Interlocking

N/A

Scope

Built with ERTMS level 2 and TVM430

Project Timeline

1997-2013

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ON THE READINESS OF ERTMS BASED SIGNALLING

Project Aspect

Statement

Project Status

Commercial operation on TVM430,
ETCS level 2 planned to be commissioned by end of 2013.

Project Baselines

SRS 2.2.2 with corridor addition from Subset 108 1.1.0 considered
compliant to SRS 2.3.0. Upgrade to 2.3.0d is being assessed at the
moment.

Measures re.
capacity

N/A

Measures re.
ERTMS baselines

None

Project comments
on readiness

ETCS Level 2 application on simple lines and simple junctions, uniform
traffic as well as simple stations can be set at readiness level 7/8 based
on this project.
ETCS Level 2 and GSM-R-end-to end interface at a state border can be
set at readiness level 7 based on the overarching project POS Corridor.

#18

Belgium: HSL L3 & L4 (Corridor 2007)

Perimeter

L3: Liege – German border
L4: Antwerp – Dutch border, 30 km

Line categorisation

High speed 300 km/h
ETCS level 2, fall back and mixed operation ETCS level 1 and lineside
signals. Mixed signalling.

Operational
characteristics

Double track, High speed line, uniform traffic

Comparison to
Danish network

None, but general system aspects are valid

Rolling Stock

N/A

Interlocking

N/A

Scope

Built with ERTMS level 2 and 1

Project Timeline

1997-2008

Project Status

In commercial operation.

Project Baselines

SRS 2.2.2 with corridor addition from Subset 108 1.1.0 considered
compliant to SRS 2.3.0. Upgrade to 2.3.0d is being assessed at the
moment.

Measures re.
capacity

N/A

Measures re.
ERTMS baselines

None

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27

Project Aspect

Statement

Project comments
on readiness

ETCS Level 2 application on simple lines and simple junctions, uniform
traffic as well as simple stations can be set at readiness level 9 based on
this project.
ETCS Level 2 and GSM-R-end-to end interface at a state border can be
set at readiness level 9 based on the overarching project Corridor 2007
and the physical border between L4 and Dutch HSL South.

#19 (new)

Germany: German Unification Transport Project 8 (VDE8)

Perimeter

Nürnberg - Berlin, approximately 400 km

Line categorisation

VDE 8.1: Nürnberg - Ebensfeld, upgrade existing line 83 km
VDE 8.1: Ebensfeld - Erfurt, new line 107 km
VDE 8.2: Erfurt - Halle/Leipzig, new line 23 km
VDE 8.3: Leipzig/Halle - Berlin, upgrade of line 187 km
plus their integration with new nodes Erfurt and Leipzig

Operational
characteristics

Higher network capacity, reduced travel time (goal: Munich - Berlin in
less than 4 hours)
Mix of high-speed (300 km/h) passenger and cargo traffic.
New Level 2 lines to be deployed without line-side signalling and fallback.

Comparison to
Danish network

Copenhagen – Ringsted

Rolling Stock

N/A

Interlocking

6 ESTW - UZ

Scope

A classical infrastructure project (new tunnels, bridges, buildings)
funded by TEN-T Nr 1 (Berlin - Brenner - Verona/Bologna - Palermo)

Project Timeline

VDE 8.1: until 2017
VDE 8.2: until 2015
VDE 8.3: 2006 (see reference #11)

Project Status

Tendering completed (Siemens and Kapsch)

Project Baselines

- VDE 8.1: Baseline 3
- VDE 8.2: initially SRS 2.3.0d with option for upgrade for Baseline 3
- VDE 8.3: which is being upgraded to SRS 2.3.0d

Measures re.
capacity

Construction of new lines and upgrade of existing lines is the biggest
contributor to additional capacity.

Measures re.
ERTMS baselines

N/A

Project comments
on readiness

Under construction, therefore SRL 2.

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Project Aspect

Statement

#20 (new)

Germany: Berlin - Rostock

Perimeter

Berlin - Rostock, approx. 200 km

Line categorisation

Existing line being upgraded for higher speeds (from 120 to 160 km/h;
Berlin - Rostock in less than 2 hours).

28

Connects port of Rostock to TEN-T corridor in Berlin.
Operational
characteristics

Conventional rail; mix of passenger and cargo trains.

Comparison to
Danish network
Rolling Stock

N/A

Interlocking

13 interlockings

Scope

Overlay of PZB on existing line with ETCS Level 24

Project Timeline

2011 - 2013

Project Status

Track tests ongoing (Q1/2013)
Commissioning planned for end of 2013

Project Baselines

SRS 2.3.0d

Measures re.
capacity
Measures re.
ERTMS baselines

Baseline 35

Project comments
on readiness

Tests ongoing, operational end of 2013.

#21 (new)

Belgium: 1’900 km of Level 2 lines

Perimeter

Renewal of a number of lines throughout the country, which to be
complemented with ETCS Level 2

Line categorisation

Conventional rail traffic, safety and capacity upgrade

ETCS Level 2 application on lines with conventional signalling can be set
to readiness level 4-6 based on this project.

keep most existing interlockings
Operational
characteristics

Mixed traffic, mixed densities
ETCS Level 2 in overlay with national system TBL1+

4

to be confirmed

5

Tendering in 2011 targeted to implement Baseline 3 but a confirmation for this was not received yet

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ON THE READINESS OF ERTMS BASED SIGNALLING

Project Aspect

Statement

Comparison to
Danish network

Not comparable as Denmark replaces all existing interlocking and does
have no overlay with national system

Rolling Stock

N/A (ETCS is compulsory from 2025 on)

Interlocking

Approximately 5,000 signals

Scope

ETCS Level 2 deployment part of Infrabel’s overall ETCS strategy, which
to have the entire railway be protected by ETCS by 2025.

Project Timeline

2012 - 2022:
pilot line planned in 2014/2015, succeeded by rollout phases

Project Status

Final phase of tendering (BAFO; Q3/2013)

Project Baselines

ERTMS Baseline 3, ETCS Level 2

Measures re.
capacity

Focus of this project is safety, punctuality.

Measures re.
ERTMS baselines

Baseline 3 as the common basis for all the trains of tomorrow.

Project comments
on readiness

This activity is still in the tendering phases. It does however introduce
broad coverage on conventional rail including stations.

#22 (new)

Spain: Madrid Commuter Lines

Perimeter

Chamartin - Sol - Atocha (Madrid metropolitan area), 9 km / 160 km

Line categorisation

Deployment of ETCS Level 2 in Chamartin and Atocha stations and the
tunnel in-between.
Long-term intention is to deploy Level 2 on several sections of the
Commuter Lines (beyond line C4 which is ETCS Level 1 already)

Operational
characteristics

Commuter traffic in tunnel connecting Chamartin and Atocha stations

Comparison to
Danish network

N/A

Rolling Stock

Approximately 220 commuter trains, all SRS 2.3.0d, already equipped

Interlocking

Existing interlocking not touched

Scope

Check of reliability of ETCS Level 2 in dense traffic

Project Timeline

2011 - 2014 for L2 in tunnel
further L2 deployment on commuter network is unclear

Project Status

Laboratory testing (Q3/2013)
Track testing in winter 2013/14

Project Baselines

SRS 2.3.0d

ERTMS Matury Study Update 2013

Overlay of ASFA (national system) with ETCS Levels 1 and 2.

29

ON THE READINESS OF ERTMS BASED SIGNALLING

30

Project Aspect

Statement

Measures re.
capacity

Slightly increased capacity is expected due to Level 2 infill.

Measures re.
ERTMS baselines

SRS 2.3.0d is the (only) Spanish reference so far

Project comments
on readiness

Applies ETCS in complex stations to a certain extent but with limited
scope: commuter trains will transit through Level 2 area (i.e. are not
supposed to perform change of direction, splitting or joining within Level
2 etc.)

#23 (new)

Switzerland: Lausanne - Brig (Lake Geneva area)

Perimeter

Approx. 150 km split into several segments for ETCS Level 2:
a) Pully - Villeneuve, b) Roche - Bex, c) Les Paluds - Vernayaz,
d) Sion - Sierre, e) Salgesch - Leuk, f) Visp - Simplon
Intermediate segments based on Level 1 LS:
g) Martigny - Ardon, h) Turtmann - Raron

Line categorisation

Conventional rail with small to medium stations

Operational
characteristics

Mixed conventional traffic (passenger & cargo), partly lying on Corridor A

Comparison to
Danish network

Semi-rural line with small to medium stations and need for joining
splitting change of direction

Rolling Stock

N/A

Interlocking

21 (among 28) to be replaced

Scope

This is the first deployment of ETCS Level 2 on existing lines in
Switzerland triggered by renewals of interlockings due to extension &
automation of operations (change direction, splitting).

Project Timeline

2010 - 2020 with commissioning dates:
- L2: a) 2015, b) 2019, c) 2020, d) 2016, e) 2020, f) 2020
- L1LS: g) & h) 2017

Project Status

Implementation design

Project Baselines

SRS 2.3.0d for all projects with commissioning up to 2017;
Baseline 3 planned for projects with later commissioning date

Measures re.
capacity

Increased traffic volumes requires not only more suitable train control but
also refined procedures for train handling on interlocking an TMS levels

Measures re.
ERTMS baselines

SRS 2.3.0d remains to be the reference for ETCS Level 2 deployment
(except for L1LS which requires Baseline 3), and no formal decision on
specific date has been made yet, from which on Baseline 3 would be the
reference for Level 2 projects.

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ON THE READINESS OF ERTMS BASED SIGNALLING

Project Aspect

Statement

Project comments
on readiness

Introduction of ETCS Level Baseline 3 by occasion of required renewal of
interlocking, including small stations. ETCS Level 2 / L1LS application can
be set to readiness level 2-3 based on this project.

#24 (new)

Norway: Østfoldbanen Test Line

Perimeter

Ski to Sarpsborg on eastern route (southeast of Norway)

Line categorisation

Single track

Operational
characteristics

Freight and passenger (regional) traffic

Comparison to
Danish network

Early deployment line

Rolling Stock

N/A

Interlocking
Scope

Pilot line

Project Timeline

2011 - 2014

Project Status
Project Baselines

SRS 2.3.0d

Measures re.
capacity
Measures re.
ERTMS baselines
Project comments
on readiness

ETCS application can be set to readiness level 2 based on this project.

#25 (new)

The Netherlands: ETCS Level 3 Pilot6

Perimeter
Line categorisation
Operational
characteristics
Comparison to
Danish network
Rolling Stock
Interlocking

6

31

major data missing yet - nevertheless included to capture impact on overall ERTMS maturity

ERTMS Matury Study Update 2013

ON THE READINESS OF ERTMS BASED SIGNALLING

Project Aspect

32

Statement

Scope
Project Timeline

2013

Project Status

Tests ongoing or just completed (07/2013)

Project Baselines

SRS 2.3.0d

Measures re.
capacity
Measures re.
ERTMS baselines

7

Project comments
on readiness

This pilot shows that ETCS Level 3 is feasible.

#26 (new)

Denmark: Signalling Programme7

Perimeter

Entire Fjernbane Railway Network (which excludes S-Bane)

Line categorisation

Mixed passenger and railway traffic, rural lines as well as big stations

Operational
characteristics

Target solution: ETCS Level 2 without fall-back nor any overlay

Comparison to
Danish network

N/A

Rolling Stock

600-700 vehicles to be retrofitted (EMU, DMU, E-Locos, D-locos and
trailers, yellow fleet)

Interlocking

All to be renewed

Scope

Renewal of entire signalling infrastructure and TMS for an highly
industrialised production of train operation

Project Timeline

2009 - 2022

Project Status

Preliminary design phase

Project Baselines

Baseline 3, SRS 3.3.0 plus ETCS over GPRS as targeted for second
maintenance release of B3 and Online KMS

Measures re.
capacity

Year 2020 timetable to foresee double traffic

Measures re.
ERTMS baselines

Fjernbane Railway is Baseline 3, but the border to Sweden (Øresund
bridge) will lead to SRS 2.3.0d. It is required that both Swedish SRS
2.3.0d trains and Danish Baseline 3 trains shall be able to operate on the
Swedish ETCS lines.

ETCS application can be set to readiness level 3-5 based on this project.

Migration period (2017 - 2022) with Danish STM.

included to capture impact on overall ERTMS maturity in tables further below

ERTMS Matury Study Update 2013

ON THE READINESS OF ERTMS BASED SIGNALLING

3.4

33

Project Aspect

Statement

Project comments
on readiness

Due to the status of the project the SRL is 2.

Evaluation of the Technical Maturity of ERTMS
The following table contains an overview of the assessments of the projects covered in chapter 3.
Maturity
Aspects
ERTMS
Project

A

B

C

D

E

F

1
2

G

H

9

K

L

9

3

5

9

9

6

1

7

O

P

Q

R

S

T

0

8-9

3-4

8

9

9

9

10

9

9

11

9

9

8

4

2-3
9

8

13
9

9

9

9

9

15

5

16

8

5

8

17

7-8

7

7

18

9

9

9

19

2

20

4-6 4-6

21

1

2

1

2

2

1

22

1

1

2-3

23

2-3 2-3 2-3

24

2

1

2-3

2
5 3-4

26

2
9

-

9 4-5 9

9

1

2

25

ERTMS Matury Study Update 2013

N

9
3

Highest maturity
rating achieved for
this aspect

M

9

4

14

J

9

3

12

I

9

2

2

4 2-3 2-3 9

5
2

9

2

5 3-4 3-4 2 1-2 5

2 1-2
4 1-2

U

34

ON THE READINESS OF ERTMS BASED SIGNALLING

3.5

Results

3.5.1

System readiness results
Based on the considerations in above-listed projects, ERTMS maturity today is evaluated as
follows, and compared to the initial maturity study from 2008:
ID

Readiness Aspect

2008 2013

A

ETCS Level 1 application with lineside signals and simple junctions and stations

9

9

B

ETCS Level 1 application in pure cab-signalling mode

0

0

C

ETCS Level 1 application on medium and large stations

9

9

D

ETCS Level 1 Limited Supervision

1

4-5

E

ETCS Level 2 application on simple lines and simple junctions, uniform traffic

9

9

F

ETCS Level 2 application on simple lines and simple junctions, mixed traffic

9

9

G

ETCS Level 2 application on simple stations with and without shunting mode

9

9

H

ETCS Level 2 application on medium stations with and without shunting mode

1

3

I

ETCS Level 2 application on large nodes with and without shunting mode

0

2-3

J

ETCS Level 2 application on lines with level crossings

2

2-3

K

ETCS Level 2 application on lines with conventional signalling

9

9

L

ETCS Level 2 and GSM-R-end-to end interface at a state border

7

9

M

ETCS Level 3/Regional on rural lines, with and without train coupling/splitting

2

5

N

ETCS Level 3 application on main lines with and without junctions/stations

0

3-4

O

Evolution of ERTMS technology: Unified braking model

3

3-4

P

Evolution of ERTMS technology: Cold movement detection/Start of Mission

1

2

Q

Evolution of ERTMS technology: GSM-R for dense traffic

0-1

1-2

R

Evolution of ERTMS technology: Merger of interlocking and RBC

1

5

S

Evolution of ERTMS technology: Availability of spec. and products for baseline 3

-

4

T

ETCS Level 2/3 application with Key Management System (KMS) complemented by

-

1-2

-

-

online and PKI secured update of keys.
U

ETCS Level 2 application on lines and/or stations for the purpose of increasing
network capacity

Definition of SRL (repeated from chapter 3.2.2):
Level

Definition

0

No agreed project specific specification available

1

Agreed project specific specification available, no product development work undertaken

2

Product development work ongoing

3

Laboratory tests ongoing

4

Test operation ongoing

5

Early deployment* being implemented

6

Early deployment* operation going on successfully

ERTMS Matury Study Update 2013

ON THE READINESS OF ERTMS BASED SIGNALLING

Level

Definition

7

Productive system** being implemented

8

Restricted productive operation** going on

9

Full productive operation** going on successfully

Notes:
* An early deployment is a project aiming at resolving teething troubles and getting familiar
with the ETCS operation. In such a project, a certain level of troubles is accepted.
** A productive system or a productive operation is a project aiming at a trouble-free operation
under full load, which is expected to run smoothly from day one.
3.5.2

ERTMS Maturity Conclusion
From the assessments in chapter 3.3 and 3.4 it can be seen that:




ETCS performs perfectly on lines but it takes time to bring it to the stations;
ETCS has grown up, fall-backs are not required;
ETCS is gaining popularity - deserves exclusive deployment (no overlay).

Further, the following conclusions can be made:
ERTMS Achievements
The following achievements have been realised:


Products have matured, high availability and reliability of products



Technical, cross-supplier / product interoperability is realised



ETCS Level 1: Operation on lines and in complex station, with or without overlay of
national system is possible



ETCS Level 2: Operation on lines and in small stations is possible



ETCS Level 3: Feasibility tests are ongoing

Challenges to ERTMS
ERTMS faces the following challenges in order to become a proficient commodity:


ETCS Level 2/3: Operational Procedures in stations to be implemented, Start of Mission
(SoM) functionality to be enhanced.



Train operation to be based on the current available ETCS functionality (avoid
nationalisation of operational rules).



Use of GPRS for packet-switched ETCS (RBC to Onboard communication): Development
of a unified (standardised) solution



Interoperability: Application of standard testing and approval processes and adoption
across Europe.
- for Rolling Stock, one single certification per OBU
- for trackside, one single OBU for testing and commissioning



A widespread and scalable Key Management System (KMS), complemented with
automation of key exchange (based on online and PKI exchange capabilities). Flexibility
to manage a very large number of keys - throughout their entire life cycle



ETCS and Interlocking products to become more integrated for the purpose of fully
exploiting the available factual information from wayside, with the effect of lesser
engineering costs and higher train operation performance.
This especially in view of ETCS Level 3 applications with moving blocks.

Remaining Constraints with ERTMS
The following constraints require further attention:


Braking Curves: Gaps between speed supervision (= assumed brake performance) and
real braking performance of the trains to be minimised (avoid national values).

ERTMS Matury Study Update 2013

35

ON THE READINESS OF ERTMS BASED SIGNALLING

36



ETCS alone does provide features for increase of capacity. Gains to be achieved only in
collaboration with optimised track layouts, advanced interlocking functionality, and
advanced traffic management systems featuring automation, also in degraded situations
(e.g. auto re-scheduling of trains and routes).



True bearer-independence: Track-Train communication (RBC – OBU) to become
independent from the telecom media (only IP as common denominator).



Inherited operational processes: ETCS is not designed to emulate all legacy systems and
inherited operational processes.

Many projects are currently in the design and lab testing phase, and a substantial gain on
experience on the more complex applications can be expected within the next 3-5 years. For
larger station areas the limited GSM-R data capacity can be a hindrance. Copenhagen Central
Station will be a special challenge in this aspect.
The issue of GSM-R capacity has been assessed. It seems that a solution based on current
standards (circuit switched data) could just meet the requirements even for the dense areas
around Copenhagen. However, an upgrade to packet switched data is deemed indispensable in
order to reduce bandwidth consumption and to leave some capacity to voice radio applications.
3.5.3

Readiness of ETCS SRS 2.3.0
The readiness of first ERTMS baseline (2.3.0) is proven by numerous projects that have been
carried out successfully in Europe during the past 5 to 10 years. The restrictions explained in the
first edition of this ERTMS maturity study are still valid.
As the former baseline 2.3.0d has been superseded by Baseline 3 in 2012 new ERTMS onboard
projects must use Baseline 3 as the contract reference in order to deliver Interoperable products.
Infrastructure projects still have the choice to implement on the basis of 2.3.0d or Baseline 3
depending on the need for functionality. For infrastructure projects it is highly recommended to
use system version 1.1 instead of 1.0 if a „B2 only“ functionality is pursued, as this version
includes corrections and improvements.
Trackside projects should be able to design a baseline 3 implementation by using SRS 2.3.2
functions uniquely, allowing both SRS 2.3.0d trains and Baseline 3 trains to operate on it (see
measures on baselines in project #26).
There are doubts whether the declared backward compatibility between Baseline 3 and SRS
2.3.0d will hold in practice. An ongoing compatibility analysis which is expected to be completed
in 2013 will provide clarifications to this issue.

3.5.4

Readiness of ETCS SRS 3
ERTMS Baseline 3 has formally been released in a TSI update in 2012. It thus forms the
mandatory reference for new ERTMS deployment projects. ETCS is now moving from high-speed
lines to conventional rail networks. Fully implemented products are expected to be available in
2014 (factory tested).
ERTMS Baseline 3 contains achievements as well as issues pending resolution in future
maintenance updates, such as:


Subset-026, the system requirement specification for ETCS is included in version 3.3, and
is a major reference for implementation in Denmark.



ERTMS Baseline 3 specifies backward-compatibility with Baseline 2 lines, theoretically
allowing Baseline 3 equipped trains to operate on lines that were deployed with ETCS SRS
2.3.0d. In practise however, a significant number of issues have in the meanwhile been
detected. They require resolution in order to proceed with the implementation of Baseline
3.



Subset-039 for RBC/RBC handovers is not yet aligned with the (new) set of features of
Baseline 3 (namely subset-026). There is a stable technical draft of this document, which
is used as reference for the Danish infrastructure projects, in particular for the border

ERTMS Matury Study Update 2013

ON THE READINESS OF ERTMS BASED SIGNALLING

37

between Fjernbane East and West, which is a cross-supplier RBC/RBC handover location
(Alstom and Thales).
ERTMS Baseline 3 is now entering a phase of practical consolidation and maturing by early
adopter projects. A number of such projects have initiated and are currently in tendering or
design phases mostly. The industry expects to deliver first fully implemented onboard systems in
around 2014.
It is expected that these projects will report issues and feedbacks on the specifications once they
shall enter testing and trialling of the required Baseline 3 functionality, performance, robustness
and not least Interoperability. However, based on the experience gained in the past projects, it is
assumed that the Baseline 3 products will converge faster towards performing and interoperable
solutions than was the case for baseline 2 implementations. For this purpose, a timely available
maintenance release of Baseline 3 is required to encompass the vast majority of issues on the
specifications that have been identified so far already.
The identification and resolution of issues will cause difficulties for projects during their progress:


If a specific issue turns out to be relevant for a project, it should know how it will be
resolved in a future Baseline release (no matter when this will happen). The aim is to
protect the investments made, because the change request can be implemented as part
of a planned product development and be part of the next maintenance release.



If a specific change request turns out to be irrelevant for a project (e.g. because the
infrastructure does not make use of the particular functionality), there is no need for a
new maintenance release. Thus, additional costs can be avoided.
In the worst case, several maintenance releases will appear in short intervals during the
project’s duration.

Projects therefore prefer to negotiate and decide with their suppliers on a CR basis, based on
their individual project priorities. A precondition for this is that ERA will publish all completed
resolutions on error CRs as soon as possible, even if simply in a “SRS Corrigenda” on their
website.
3.5.5

openETCS
The purpose of the openETCS project is to leverage the cost-efficient and reliable implementation
of ETCS. The related business concept is aimed to significantly cut the costs of the onboard
product to or even below conventional high-performance cab signalling systems (TVM, LZB). For
this an integrated modelling, development, validation and testing framework is going to be
developed (based on EVC kernel Baseline 3).
openETCS focuses on an open-source version of the heart of the signalling software that will
allow a lot of developers to monitor the code and check for any bad implementation.
openETCS uses formal proof to ensure safety definitively. By making the core functionality
software fully transparent, it will open up the market for software services in equipment that
tends to last between 20 and 40 years.
The project consortium driving forward this project under the head of ITEA consists of 35
companies from various countries including the Netherlands.
Project start was in 2012 and in 2016 the formal ETCS on-board specification, tools chain, and
non-vital OBU reference unit should be available for download.
The first demonstrators consisting of

the EVC kernel

the on-board peripheral equipment connected to the EVC, and

the test environment simulating the driver, train movement and track transmission
are already available (ERSA).
To commercially back-up the initiative contracts will be based on the EUPL (European Union
Public License ) contract terms. The main goal is on being consistent with the copyright law in the
27 Member States of the European Union, while retaining compatibility with popular open-source
software licenses.
First tenders have already been placed in the market based on this open-source software license
regulation (Service Level Agreements).

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38


The first is for 75 ICE-T trains for the Austrian railways (Westbahn).

The second for 50 ICE3 trains for the Deutsche Bahn.
So a total of 250 ETCS on-board equipment (Baseline 3) will be purchased based on open-source
software license agreements.
The contract conditions include the provision of the open source software latest on 31.12.2016.
The works on openETCS are advancing (about 30% of the works completed) and in 2016 to
works should be finalized. .
In order to meet the time schedule testing of openETCS will start in 2015. Validation of the
software is due in 2016.
At this time the EVC-kernel onboard peripheral equipment connected to the EVC and test
environments should be available.

3.6

Other aspects

3.6.1

Effects of ETCS on Capacity
Utilisation of ETCS alone influences the overall capacity only to a limited extent. Considerable
capacity gains can be achieved by use of ETCS in combination with its neighbour systems.
Deployment of ETCS on existing infrastructures will yield in less capacity if applied to unchanged
conditions such as:


block sections not being optimised



overlay and/or fall-back with existing train control system



remaining operational procedures as used for the previous systems

By removal of these constraints utilisation of ETCS can lead to a higher capacity
The following related opportunities may contribute to higher capacity. However, it is
recommended that they are further analysed:

3.6.2



Train management System utilising the trains’ position location reports provided by ETCS
(locations and current speeds);



Optimisation of signalling layout in case that interlocking will be expanded as well;



Operational rules suitable for the new ERTMS system, leaving legacy systems behind;



New product generations processing all data available. For axle counters benefit would be
improved movement authority management at start of mission.

Impacts on Migration Planning
Several projects, including #6 (Large nodes project), #10 (Cambrian), #5 (Gotthard) and #26
(Signalling Programme Denmark) have or will be introducing the complex operational elements at
more or less the same time (except Cambrian). Benefits will be realised through cooperation with
the related project teams. A full operation reliability growth period of at least 1½ years should be
planned for handling teething issues with technology as well as operational rules.
In order to guarantee smooth reliable operation of the system and interaction with the
drivers/operators all main operational scenarios must be thoroughly tested at early deployment
lines. This is needed in order to mature the new operational rules. The first lines and training
simulators shall be used for training of operators and drivers in order to prepare the subsequent
rollout on dense traffic corridors.
In order to facilitate the infrastructure rollout and keep the flexibility of rolling stock usage,
rolling stock fitment should be carried out as early and fast as possible following the completion
of the early deployment lines. This will also help the drivers getting accustomed with the DMI of
the new system while running on ATC lines (STM operation).

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3.6.3

39

Impacts on GSM-R Capacity
Future ERTMS Level 2 projects such as #6 (Large nodes) and #26 (DK Signalling Programme)
will encompass large nodes must prove the use of GSM-R based data communication for large
nodes. The capacity at large nodes will be limited by GSM-R data communication capacity as long
as this is based on circuit switched data and ISDN protocol. This issue is addressed in the above
mentioned projects as well as other projects.
A solution based on packet switched data and IP protocol is being developed and tested in labs.
However, still no draft specifications are available.

3.6.4

Impacts of Overlay of ETCS with national Train Control
Overlaying ETCS Level 2/3 with a national train control system will always require some
compromises regarding operational issues, capacity, reliability, etc. which may later turn out to
have a more substantial impact than assumed initially.
An in-depth analysis depends of the specific application (country, network) and is regarded
outside the scope of this report.

3.6.5

Braking Curves harmonised in Baseline 3
Baseline 3 will include standardised braking curves for the benefit of interoperability. This
harmonisation will reduce performance even though the braking curve shapes can be fine-tuned
by the use of ETCS National Values. The impact is:


There is a tendency to flatter the supervision curves more than adequate (in comparison
to legacy train control-specific braking curves);



ETCS defines more level of indicators /warnings (i.e. before an brake intervention by the
system will occur) than most of the legacy train control systems.

This development calls for strategic decisions which include but are not limited to:


Whether to align the braking curves to the ones of the previous national train control
system (= comparison of stopping points) which leads to much leaner Verification and
Validation process of each train’s braking capabilities, or to align to factual safe braking
capabilities of each train individually.



Whether to drop application of service brake;



Whether to letting the drivers run in the yellow warning indication curve.

A balance needs to be struck between making the system too conservative resulting in being
difficult to drive/poor performance or too aggressive resulting in frequent SPADs.
3.6.6

Key Management System Scalability Issue
Extensive deployments of ETCS will foster the fitting of ETCS equipped trains significantly in the
mid- and long-term. The increasing amount of trains operating in ETCS equipped areas need to
be managed for their crypto keys, which is compulsory for ETCS Level 2 operation.
The current ETCS standards based on manual transmittal and symmetrical keys for peer
authentication calls for two enhancements on top of the existing offline protocols, currently
supported by key management system concepts:


Online and automated distribution of keys to any involved ETCS devices (RBCs, EVCs) at
any point of time and interval in order not to be bothered by long outages and
complications caused in e.g. peering organisations;



Adopt PKI-based encryption principles for exchanging keys in order to significantly reduce
the potential for compromising keys while they are being distributed. This will
compensate the safety and security issues.

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40

Drivers, DMI and Human Factors
The ETCS Driver Machine Interface (DMI) went through an exhaustive human factors process and
a ‘standard’ DMI has been defined. Some railway organisations prefer to customise the physical
and graphical layout whilst others have stayed with the standard. It is recommended to
implement a standard DMI.
A human factors study will be required as part of the consultative process.

3.6.7

Adaptability of current ERTMS Products
In contrast to an onboard system whose behaviour is defined to remain generic everywhere,
trackside projects often need to fine-tune their interlockings and train control systems in
compliance with the operational needs and processes of the specific railway. Some products,
RBC, Interlockings (IXL) etc. are able to adopt specific functionality by configuration or by
enhancing their software. Others are less adaptable (typically inherited relay-related logic and
available digital products) and it is thus difficult to implement some more sophisticated custom
specific features.
It is advised to consult the advertised products against flexibility for customer-specific
adaptations.

3.6.8

Impacts on Maintenance
ETCS trackside equipment requires little preventive maintenance, but an investigation needs
to be made of potential damage to EuroBalises, loops and tail cables from track vehicles. The
ETCS onboard equipment requires little preventive maintenance apart from visual
inspection for damage to equipment installed on the underside of the train that is part of the
normal daily pre-start inspection. The ETCS trackside sub-system should not cause any concern
for signalling maintenance staff already familiar with e.g. computer-based interlocking. The ETCS
on-board sub-system may be more of an issue where it is retrofitted to old rolling stock
as it involves putting complicated electronic/computerised equipment on board trains that
were previously relatively low-technology. This may require additional training of rolling stock
maintainers.

3.7

Recommendations
In order to prepare the large scale signalling renewal projects a number of issues need
addressing:
1. Development of specification and scenarios for complex station processes in a joint
industry team including suppliers. Make full scale test on early deployment schemes.
Cooperate with other European projects with same needs, and include full package in the
contract scope.
2. Plan for a full operation reliability growth period of at least 1.5 year on early deployment
schemes in order to reduce the risk of malfunctioning systems and operational
disturbances on the following lines. Use the time available for continuous broadening of
ETCS-related operational knowhow across all involved personnel and organisations.
3. Avoid overlays with national systems for multi-mode operation as well as fall backs as
much as possible as the development efforts and potentially resulting long-term
constraints will out-weight the benefits.
4. Test and optimise operational scenarios in cooperation with drivers and train controllers
in order to actually realise a system meeting the performance requirements. Use test labs
as well as software simulators, mock-ups and other agile development methods.

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41

5. When fitting existing lines, optimise methods for switching between old and new control
of objects in cooperation with suppliers in order to enable shadow running of the new
systems during the taking in service period.
6. Consider parallel development activities for large nodes, ERTMS regional and other issues
with low system readiness. Include feedback from other European countries in parallel
design on conventional lines and stations.
7. Include measures to enable efficient and cost effective upgrade of systems. The
introduction of new ERTMS baselines and interfaces (e.g. GSM-R GPRS/IP) will happen
during migration as well as operation and handling must be included in supplier contracts.
Define processes for handling and coordinated introduction of upgrades into your network
and/or fleets, to be suitable to upgrades with big or small changes irrespective of their
interval of appearance.
8. Exercise special attention to the critical design topics such as:
- parameterisation of the braking curves
- compatibility issues between trackside and/or onboard systems using different ETCS
baselines (SRS 2.3.0d vs. Baseline 3)
9. Involve all disciplines of your organisation in the decision making process.
10. Consider a big learning curve has to be overcome and the selection of the best
migration strategy/technical solution will require a collaborative approach with the
suppliers and railway undertakers.
11. Only apply skilled labour with a sound knowledge and experience in the processes of
ERMTS/ETCS and associated technology (IT, Telecom, etc.) and an excellent record of
references from similar projects.
12. Depending on the size of the project apply best-practice organisation principles to adapt
to the different stages of the project (restructuring, revitalisation, reframing) and
business process re-engineering measures (standardised process and risk analyses).
13. ERTMS is more than infrastructure. The ERTMS features three main components, ETCS
(Rolling stock), GSM-R and traffic management (Control Centre). ERTMS cannot be
deployed in isolation by just one of the actors involved. Apart from the technical and
operational aspects the deployment of ERTMS impacts the organisation in terms of the
more IT-based technology versus electro-mechanical systems. Special focus has to be put
on the train-track integration (suppliers to provide prove of system reliability).
14. The actors, is it the rail company or the infrastructure manager need to co-ordinate their
deployment strategy with the strategy of the other actors in the system (national safety /
approval agencies, ministry bodies, telecom, etc.).
15. Success of the project is highly dependent on the close co-ordination of all work-streams
starting from the railway authority, duty holders, national security agency, notified
bodies, railway companies, infrastructure managers and cross-industry teams.

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4.

42

SYNTHESIS
More than 62,000 km of railway tracks and 7,500 vehicles are already running or contracted to
be equipped with ERTMS. 38 nations are using ERTMS throughout the world. It can be stated,
that ERTMS has become « the » global signalling standard.
In Switzerland introduction of ERTMS has led to improved punctuality and shorter travel times
allowing the passage of 255 trains per day at 200 km/h, with a headway of 2 minutes between
trains. This very high density section of the Bern - Zurich and Bern - Basel routes is the
cornerstone of Switzerland’s migration plan for implementation of ERTMS on the whole network.
Yet, the technological maturity of ERTMS is still in a mixed state, even though many projects
have been realised so far. There are both some critical high level and many detailed application
decisions that will impact on the railway network once the system is in service.
Applications on simple line and junctions without level crossings have reached full maturity and
can be taken in service without facing major problems. SRS 3.0.0 will include special functions
for the supervision of level crossings that support harmonisation of the rules.
For complex applications as medium and larger station areas the recorded experience is limited.
Special applications have proved to be major cost drivers related to development and engineering
costs and the risk mitigation measures associated with it.
The ERTMS baseline 2.3.0 was developed to ensure technical interoperability of the first border
crossing lines with ERTMS. The baseline is considered stable for the placement of new contracts.
All cross-border connections work where they exist (Belgium/Netherlands, Austria/Hungary).
Trains run in complete interoperability on ETCS system Level 1 and 2 from Rotterdam along the
German and Swiss networks to Genoa.
UNISIG has set up a clear process to collect the return of experience on Baseline 2 investments.
Next ERTMS baseline 3.x.x has been issued in 2012 in order to enable the use of ERTMS on
conventional corridors and networks. UNISIG has upgraded and delivered 26 subsets for Baseline
3. Backward compatibility with 2.3.0d to secure the investments made. Some suppliers claim to
have SRS baseline 3 functions already available on their equipment for short development and
delivery time.
The factors to be considered for migrating to ERTMS/ETCS are different in every country/state.
For this reason there is no common strategy. Each country will give a different rating to the
factors like Interoperability, percentage of cross-border traffic, necessity to increase line speeds,
increased capacity, increased safety, renewal of life-expired infrastructure, renewal/
refurbishment of life-expired rolling stock, recovery of existing Train Protection systems and
other aspects.
It is a big step to go from national legacy systems to a full cab signalling system that will
fundamentally alter the way the system is operated. Railway organisations will therefore need
to involve all stakeholders in the decision making process including Corporate Safety,
Safeworking, Train Operations, Train Crewing, Drivers, Train Control, Engineering Standards,
Rolling Stock, Signalling Maintenance and future Capacity Planning.
Business cases for ERTMS exist today based on one side on the level of maturity achieved today
and on the other side tasking into account the strategy of the suppliers in the signalling market
and the benefits of ERTMS in the long term.

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APPENDIX 1: OPERATIONAL MATURITY ISSUES
A . SHUNTING
ETCS includes a shunting mode of operation where a train is permitted to move freely with
little supervision from the infrastructure. Whereas this is quite useful in dedicated depots
and yards, it is equally risky in train traffic areas. Even if most of traditional shunting is
substituted by supervised cab-forward driving, a need remains for operation of freight
trains and work vehicles that may be “propelling”, i.e. not operating cab-forward.
The operational rules confine the use of shunting mode to permanent/temporary shunting
areas, routes for shunting and possessions. The infrastructure supports this insofar track
allocated to shunting operations will not be allocated to train traffic. Delimitation of a
shunting area, shunting route or possession is primarily done by the available ETCS stop
marker boards. However, the concept presents a number of challenges.
1) As ETCS stop marker boards must always be respected, shunting areas, shunting routes
and possessions should avoid marker boards within the area/route, because they would
impede fluent operation and increase workload on the person responsible for issuing
permissions to pass such marker boards. But at the same time there may be a need for
sub-dividing platform and yard tracks by ETCS stop marker boards due to cross-overs halfway and/or “two trains at one platform” operation.
2) It shall be possible to define possessions everywhere. The risk of a train overrunning
limits in error may need to be mitigated by extra safety distances, either making use of
overlaps already present, or by extending the area by extra “buffer” areas. From an
engineering rules perspective it is quite difficult to solve this issue without setting severe
constraints on other traffic. ETCS includes certain “trip balise” solutions to limit overrun
which have been found inadequate, because they only affect the traction unit that may be
far behind propelled vehicles.
3) Entry into a shunting area or a possession may use the option of changing to shunting
mode at a further location, i.e. entering shunting mode “on the fly”. From an operational
rules perspective, this may lead to certain ambiguities. When operating in full supervision
mode, the train will usually not enter an occupied track, but a shunting area may be
occupied. For this reason the driver needs to acknowledge change to shunting mode before
actually reaching the area. If this takes place early, the train will be in shunting mode while
not yet in the area. If this takes place late it cannot be assured that the train is brought
timely to a standstill if the train enters the area in error. A more consistent solution might
be to enforce on-sight mode prior to entering shunting mode – as this would but
responsibility on the driver to a higher state of vigilance while the train is still supervised –
but this adds to complexity, technically as well as operationally.
4) Entry into a shunting route requires the train to be in shunting mode in advance,
because it would be unsafe to assign shunting mode to a vehicle in train traffic area. But
this implies that a shunting route would need an extension, or a joined shunting area,
“under the train”. From an operational rules perspective, this may lead to certain
ambiguities, e.g. shunting mode assigned to a non-intended vehicle (being in the same
area, but not ready to enter the particular route).
5) ETCS provides no means for ensuring that shunting mode is revoked on-board – or the
shunting vehicle has vacated the area – when a shunting area, shunting route or
possession is taken back into train traffic area. This has to be managed by procedures, and
it may be seen as a decrease in safety compared to present-day “shunting signal”
concepts. A particular concern is when two or more vehicles have been granted shunting in
the same area or are operating across several areas. At take back there is a certain risk of
overlooking the second vehicle or assuming it to be in a different location leaving a vehicle
in shunting mode within a train traffic area.

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B . REVERSING
ETCS includes a reversing mode of operation where a train is permitted to move backwards
while the driver is still at the cab-forward desk. The original purpose of this mode was to
support certain emergencies, e.g. tunnel evacuation. it is little suited for other purposes.
For this reason, the operational concept prepared did not foresee the implementation of
this mode. The functional requirements specifically ruled it out.
However, there are “everyday” situations calling for reversing, like a train overrunning a
platform or being routed in the wrong direction. Presently, the best operational method is
for the driver to occupy the opposite cab, and thus proceed in forward direction. This is a
time consuming process, and the option is not available for all train compositions. The staff
responsible mode has certain limitations on reverse operation and the shunting mode has
certain drawbacks regarding safety, because train is not supervised. No satisfactory
solution to this issue yet has been found and decided upon.

C . DEGRADED WORKING
A type of balise can be placed in the infrastructure in support of degraded working, such
that a train in staff responsible mode will be tripped if passing the balise in error. Utilisation
of such specific balises would have called for a significant increase in the amount of
physical elements in the tracks. This would result in increased investment and maintenance
costs. Consequently, it was at an early stage decided to exclude the use of specific balises
supporting degraded working.
As a consequence of this decision, no technical barriers exist for degraded working and
safety relies solely on manual procedures. To satisfy the safety target this calls for a strict
protocol relying on ETCS stop marker boards and this in turn reduces capacity during
degraded working. The advantage is a reduction in complexity of operational rules as all
degraded scenarios are treated the same way. There will be no difference between a
scenario with failed infrastructure and a scenario with failed train onboard equipment. The
disadvantage is a higher reliance on ETCS stop marker boards, and thus the introduction of
operational trade-offs between placing ETCS stop marker boards in support of degraded
working and in support of shunting operation, possession management and the change in
supervised driving mode profiles into lower modes of supervision.

D . ON-SIGHT MODE
The change from on-sight mode profile to full supervision mode is configurable. The
different solutions have various implications for operation and safety:





From ETCS stop marker board to ETCS stop marker board – with upgrade window
From axle counter to axle counter covering safety distance – with upgrade window
From axle counter to axle counter covering safety distance – without upgrade
window
From axle counter to axle counter covering safety distance – with track ahead free
confirmation from driver

With the use of an upgrade window, the train can automatically switch back to full
supervision mode when it is close to the end of an on-sight-route, provided the next route
segment is clear for full supervision mode. This means that the train is relieved of on-sight
restrictions and can increase speed before the end of a faulty train detection section.
Ending the mode profile before the ETCS stop marker board, and not at the end of the train
detection section, introduces the uncertainty of hidden “ghost” vehicles between these two
locations. The same uncertainty can be argued against the use of an upgrade window after
the ETCS stop marker board, but still before the end of the section.
Without the use of an upgrade window, the switch back to full supervision mode happens
at the end of the on-sight mode profile, i.e. when the train front is beyond the axle
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counter. This means that the train can only increase speed after passing the entire
restriction. However, if an upgrade window is not used there will be an operational and a
capacity impact. This can to some extent be improved by allowing the on-Sight mode
profile to end at the end of a failing train detection section even if there is no ETCS stop
marker board at this location, i.e. “within” a route. However, at the same time this
introduces a safety concern regarding cases where another section in the route becomes
occupied, or failing, and the on-sight mode profile cannot be updated accordingly.
The use of Track Ahead Free is not compliant with the current functional requirements, as
it would put responsibility on the driver to acknowledge that the track is free up to the axle
counter (wheel sensor). This is not a reference point for him, as he can see only the ETCS
stop marker board which is typically located 50 m before.
The choice of configuration is further constrained by ETCS not allowing overlapping of onsight mode profiles. This means that a concept that requires different solutions for the last
route segment with on-sight mode profile, and a sequence of route segments with on-sight
mode profile, would call for increasingly complex engineering.
It may be argued that on-sight is a kind of degraded mode, and therefore the solution has
little consequence for overall performance. But on-sight mode is expected to be used
frequently, not only for joining of trains, but also for splitting of trains, and other start-ofmission cases, where the train cannot be granted full supervision until it has passed into
the next section. The use of written order “to get the train started” is undesired.

E . SHORTENING OF MOVEMENT AUTHORITIES AND EMERGENCY STOP
ETCS allows for using different functionality for different scenarios involving recalling
already issued movement authorities.
For the scenario of recalling a movement authority for dispatching purposes, e.g. wanting
to change routing into an alternative platform, a functionality of cooperative shortening
exists. This allows the train to reject the request for a shortening of a movement authority
where this would otherwise result in a brake intervention. For all scenarios where the
recalling of a movement authority are motivated by convenience and not by safety the
cooperative shortening functionality are used.
For emergency scenarios ETCS allows both conditional and unconditional emergency stop.
The choice of functionality relies on analysis of applicable failure scenarios. Where an
emergency situation has been detected for a specific train or area it is easy to determine
the use of unconditional emergency stop, as the use of conditional emergency stop will not
affect a train that has already passed a location of danger. There are however scenarios
where the use of unconditional emergency stop are undesirable. Examples of using
conditional emergency stop are as protection from conflicting movement of vehicles where
flank protection is missing, if it cannot be determined if track occupancy detection is
caused by the train travelling the route or by an unauthorised movement from the flank.
The use of conditional emergency stop can be used to determine if the train has already
passed the danger point. Other examples are where the emergency is at a further defined
location, and thus it is unnecessary to cause an immediate emergency brake application
e.g. for alarms from hot axle box detectors.
Finally, ETCS allows a new movement authority to override a previous movement
authority. The timing of this functionality is not guaranteed by ETCS, and thus it should not
be used for emergency scenarios, but only with manual route release, where a route is
released a given time after the new and shorter movement authority has been issued.

ERTMS Matury Study Update 2013