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Assessment and Certification of Locomotives Equipped with ERTMS

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					   FINAL INDUSTRIAL PLACEMENT REPORT FOR THE MASTER'S
                          DEGREE IN ENGINEERING



                    DEPARTMENT: ELECTRICAL ENGINEERING


    ASSESSMENT AND CERTIFICATION OF
  LOCOMOTIVES EQUIPPED WITH ''ERTMS''
  THE EUROPEAN CONTROL COMMAND AND
           SIGNALING SYSTEM
                                   Jihane Nasseh


                  Industrial supervisor: Mr. Frank Walenberg
                  Technical Supervisor: Mr. Lounis Adouane



Board of Examiners :
   -   Mr. Thierry Château
   -   Mr. Lounis Adouane
   -   Mr. Frank Walenberg
   -   Ms. Marie-Claude Vialatte
   -   Ms. Claire Faure
   -   Ms. Monique Rodenburg




Mid February – Mid July 2009
KEMA Utrechtseweg 310,
6812 AR Arnhen,
The Netherlands
Jihane Nasseh                                                                Electrical Engineering Department




SUMMARY

The European Railway Traffic Management System (ERTMS) is a major industrial project; it aims at
replacing the different national train control and command systems in Europe.

At KEMA a special direction; KEMA Rail Transport Certification (KRTC), had been appointed by the
Authority as a Notified Body (NOBO), in order to check if the ERTMS subsystem installed in vehicles is
designed, built and tested to the Interoperability requirements. For a number of locomotives, I have been
assigned to assist and perform that assessment and certification, and to propose improvement to this process,
since it is still in progress.

Whenever any new subsystem is to be put into service on the railway network or any existing subsystem is to
be renewed or upgraded, the design has to comply with the relevant Technical Specifications for
Interoperability (TSIs) in order to meet the Essential Requirements for the European railway (i.e. health,
safety, environment, technical compatibility and reliability) and be 'authorized' into use by the National
Safety Authority. Therefore, the technical documentation has to be examined and inspections, audits and tests
also have to be performed.

It is not sufficient simply to equip track and trains with ETCS and GSM-R, the two main components of
ERTMS. This is because the infrastructure consists of numerous subsystems such as bridges and tunnels,
power supply and stations, while there are countless types of rolling stock. Operational procedures are
markedly different too. Therefore for performing the assessment, besides good communication skills, it is
necessary to have both good technical knowledge (in hardware, software architecture and design and
embedded control systems for safety critical application etc) and also knowledge of relevant European
Directives.

During scrutiny for certification a technical file is drawn up. This identifies the scope of the project (i.e.
drawings and drawing lists) and records how the scrutiny was conducted. It includes the main pieces of
information used to certify the vehicle. A verification report is created, it provides the process of assessment,
and contains observations that require the reaction of the manufacturer. After a positive assessment, EC
Certificates are issued, that give the confirmation that the vehicle is conform and can safely be put into
service.

During this project, I have been working on all those procedures; drawing up for a number of locomotives the
technical file, the verification report, the certificates and also making the first assessment made at KRTC
ensuring a Safety Maintenance System. A number of improvements were also proposed and implemented in
the process of KRTC certification.




Keywords

Europe; Monitoring control system; Railway network ; Certification; New railway line; Processing
parameter; European directive; Regulation; Project evaluation; Interoperability; Rail transportation.




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Jihane Nasseh                                                               Electrical Engineering Department




ABSTRACT
Le système ferroviaire européen de gestion de trafic (ERTMS : European Rail Traffic Management System)
est un projet industriel important qui vise à remplacer les différents systèmes nationaux de contrôle et de
commande des trains en Europe.

Au sein de la société KEMA, une entité particulière, KEMA Rail Transport Certification (KRTC) a été
nommée par l'autorité en tant que Notified Body (NOBO) afin de vérifier que le sous-système ERTMS
installé dans les véhicules, est conçu, construit et testé en conformité avec les exigences d'interopérabilité.
Pour un certain nombre de locomotives, j'ai été désignée pour réaliser cette évaluation et cette certification
ainsi que pour proposer des améliorations à ce processus puisqu'il est toujours en cours.

A chaque mise en service de tout nouveau sous-système sur le réseau du chemin de fer ainsi qu‟à chaque
remplacement ou amélioration d‟un sous-système existant, il faut veiller à respecter les spécifications
techniques de l'interopérabilité (Technical Specifications for Interoperability : TSIs) Le respect de ces
spécifications est nécessaire afin de répondre aux exigences du chemin de fer européen (exigences en termes
de santé, sécurité, environnement, compatibilité technique et fiabilité) Le respect de ces spécifications permet
également d‟obtenir de l‟organisme national de la sécurité, l‟autorisation de mise en service. En conséquence,
la documentation technique doit être examinée et des inspections ainsi que des audits et des tests doivent
également être effectués.

Il ne suffit pas simplement d‟équiper des voies et des trains d‟ETCS (ETCS : European Train Control
System) et de GSM-R, les deux principales composantes de l'ERTMS. Ceci se justifie par le fait que
l‟infrastructure se compose de nombreux sous-systèmes comme des ponts et des tunnels, des alimentations
électriques et des stations ainsi que d‟innombrables types de matériel roulant. Les procédures opérationnelles
sont également nettement différentes. Par conséquent, pour effectuer l'évaluation, il est nécessaire d'avoir non
seulement de bonnes compétences en communication mais également de bonnes connaissances techniques
(en matériel, en logiciel_architecture et design_ ainsi qu‟en systèmes de contrôle intégrés pour des
applications critiques de la sécurité etc.) Il est également nécessaire de connaître certaines directives
européennes.

Durant l'examen minutieux pour la certification, un dossier technique est élaboré. Celui-ci identifie l'étendue
du projet (c‟est-à-dire les schémas ainsi que les listes des plans) et acte la façon dont l'examen minutieux a
été mené. Il inclut les principaux éléments d'information utilisés pour certifier le véhicule. Un rapport de
vérification est créé, celui-ci est à l‟origine du processus d'évaluation et contient des observations qui
nécessitent la réaction du fabricant. Après une évaluation positive, des certificats CE sont délivrés, stipulant
que le véhicule est conforme et peut, en toute sécurité, être mis en service.

Au cours de ce projet, j'ai travaillé sur toutes ces procédures, en rédigeant pour un certain nombre de
locomotives, le fichier technique, le rapport de vérification et les certificats ainsi qu‟en préparant également
la première évaluation, faite à KRTC, garantissant un bon système de maintenance. Un certain nombre
d'améliorations ont également été proposées et incluses dans le processus de certification KRTC.



Mots-clés

Europe; Système contrôle commande; Réseau ferroviaire; Certification; Ligne nouvelle; Condition mise en
œuvre; Directive européenne; Réglementation; Evaluation projet; Interopérabilité; Transport ferroviaire.




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Jihane Nasseh                                                                                              Electrical Engineering Department




TABLE OF CONTENTS
SUMMARY …………...……………………………………………………………………………………….2

ABSTRACT ……………………………………………………………………………………………………3

ACKNOWLEDGEMENTS .............................................................................................................................. 7

1                INTRODUCTION ....................................................................................................................... 8

2                TERMINOLOGY ........................................................................................................................ 9
    2.1          Definitions ...................................................................................................................... 9
    2.2          Abbreviations.................................................................................................................. 9

3                COMPANY PRESENTATION ................................................................................................. 10

4                PROJECT OVERVIEW ............................................................................................................ 13
    4.1          Projects presentation ..................................................................................................... 13
    4.2          Scope of work ............................................................................................................... 14

5                RAIL TRAFFIC MANAGEMENT ........................................................................................... 16
    5.1          The Control-Command and Signalling system (CCS) ................................................. 16
    5.2          The European Rail Traffic Management System (ERTMS)......................................... 18
      5.2.1      ETCS System description .......................................................................................................... 19
      5.2.2      ETCS Multi-level system architecture ....................................................................................... 19
    5.3          ETCS specification versus Alstom‟s Solution .............................................................. 24

6                VALIDATION AND CERTIFICATION .................................................................................. 29
    6.1          Legal and normative Base ............................................................................................ 29
    6.2          A short overview to the European process ................................................................... 30
    6.3          Assessment Procedures ................................................................................................. 31
      6.3.1      Assessment and certification procedure ..................................................................................... 32
      6.3.2      Essential requirements ............................................................................................................... 32
      6.3.3      TSI chapter 6.2 requirements ..................................................................................................... 33
      6.3.4      TSI Table 6.1 ............................................................................................................................. 33
      6.3.5      Module SH2 ............................................................................................................................... 33

7                ASSESSMENT PROCESS ........................................................................................................ 34
    7.1          Assessment Approach................................................................................................... 34
    7.2          Planning and Meetings ................................................................................................. 34
    7.3          Performing the Design Examination ............................................................................ 34
    7.4          Performing Quality Audits ........................................................................................... 35


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Jihane Nasseh                                                                                                Electrical Engineering Department




    7.5            Witnessing and execution of tests................................................................................. 36
    7.6            Establishing the Technical File ..................................................................................... 37
    7.7            Performing the EC Verification .................................................................................... 38
    7.8            Issuing the EC Certificate(s) ......................................................................................... 39

8                  CONCLUSION .......................................................................................................................... 44

9                  Bibliographie.............................................................................................................................. 45

Appendix 1: Assessment procedure ................................................................................................................ 47

Appendix 2: Assessment Module SH2 ............................................................................................................ 50

Appendix 3: TSI Table 6.1 .............................................................................................................................. 56

Appendix 4: GANTT....................................................................................................................................... 63

Appendix 5: Testplan BR 189 KRTC 337 ....................................................................................................... 64

Appendix 6: OBSERVATIONS ...................................................................................................................... 67




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Jihane Nasseh                                                 Electrical Engineering Department




List of Figures




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Jihane Nasseh                                                         Electrical Engineering Department




ACKNOWLEDGEMENTS


I would like to express my deep and sincere gratitude and thanks to my supervisor, Mr. Frank Walenberg,
Director of KEMA RTC. His wide knowledge, encouraging and personal guidance have been of great value
for me. I consider myself very lucky by working with such a professional and experienced person.

During this work I have collaborated with many colleagues for whom I have great regard, I would like to
thank them for their support and the nice working environment that they create.

I warmly thank my technical supervisor, Mr. Lounis Adouane, for his valuable advice, guidance and prompt
response to my emails.




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Jihane Nasseh                                                               Electrical Engineering Department




1            INTRODUCTION



In order to graduate in Electrical Engineering from Polytech Clermont-Ferrand, every student has to
complete his study by doing a work placement, for a period of at least five months. For me, I chose to do it in
the Netherlands at KEMA; a multinational company specialized in high-level technical consultancy, testing
and certification. As I have a passion for Railways, I integrated KEMA Rail Transport and Certification
(KRTC), which is also acting as a Notified Body.

In order to allow a free circulation of all trains on the whole European network, the legal long-term target for
all networks and rolling stock is to replace or complement the different national legacy control-command
systems by ERTMS (The European Railway Traffic Management System). In the Netherlands, for the
Betuweroute project, Alstom delivered the ERTMS On Board Assembly for a first set of 59 vehicles, split in
4 classes of trains (BR 189, BR 203, G2000 and G1206).

In the Frame work of those projects, Alstom needs to provide community declaration of verification for the
On-Board assembly, this EC declaration of verification shall be drawn up after the EC verification
assessment, which must be carried out by a Notified Body (NoBo). Therefore, since 2006, KEMA RTC has
been acting as a NoBo for assessing the ERTMS on-board assembly of these locomotives. Thus, following
closely the development of the projects from their early stage; checking the technical solution, the
installation, witnessing and executing tests, doing quality audits…

Today, those locomotives reached an advanced stage of development and are close to being put in service.
Therefore, before delivery of the final EC certificates, a prompt EC verification needed to be done, supported
by a Verification Report and a Technical File. For the locomotives BR 203, G2000 and G1206, I have been
assigned to perform that work, and also to do the assessment of the maintenance system.

This report presents the way how I performed that assessment and certification, and the basic knowledge
necessary for conducting this work. The report starts with a presentation of KEMA Company (chapter 3).
Thereafter, the project overview including the scope of my work is presented (chapter 4). In chapter 5 the
basic technical knowledge is described, including an introduction to Train Control and Command systems, to
ERTMS, and a detailed presentation and analysis of Alstom‟s solution. The validation and certification
procedure is described in Chapter 6, including the analysis of the requirements emerging from the Technical
Specification for Interoperability (TSI). The process that I followed and results of my work are presented in
chapter 7, where chapter 8 presents the conclusion.

This report includes further detailed information in a number of appendices.




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Jihane Nasseh                                                             Electrical Engineering Department




2             TERMINOLOGY
2.1             Definitions
- Interoperability: the ability of the trans-European high-speed rail system to allow the safe and
uninterrupted movement of high-speed trains, which accomplish the specified levels of performance.

- Subsystem: structural or functional part of the high-speed rail system for which the essential requirements
must be met. In the ERTMS Core case, the applicable subsystem is control-command and signalling. Due
to the especial characteristics of this subsystem, it has been divided into two assemblies, each one with its
own
- Interoperability constituent: elementary component, group of components, subassembly or complete
assembly incorporated or intended to be incorporated into a subsystem. ICs may be grouped.

- Technical Specification(s) for Interoperability - TSIs: specifications by which each
subsystem is covered in order to meet the essential requirements by establishing the necessary reciprocal
functional relations between the subsystems and the system by ensuring the latter‟s compatibility.

- Notified body(s) – NoBo(s): the organism(s) responsible for assessing the conformity or suitability for use
of the interoperability constituents or for appraising the EC procedures for verification of the subsystems.

- Manufacturer: the organization responsible for the design and construction of an interoperability
constituent covered by Directive 96/48/EC and the related TSIs, with a view to placing it on the market on
the Community territory on his own behalf.

- Contracting entity: general term referring to the organization responsible for the design, construction,
implementation and operation of a subsystem with a view to placing it into service within the Community
territory. It can be an operator, an infrastucture manager or a manufacturer.

- Rail operator, Operator, Awarding authority: e.g. an infrastructure manager, is the supervisory entity of
the rail system for a particular project.



2.2           Abbreviations
NoBo               : Notified Body.
TSI               : Technical Specification for Interoperability.
EC                : European Community.
ERTMS              : European Rail Traffic Management System
ETCS               : European Train Control System
EVC               : European Vital Computer = on-board computer
GSM-R             : Global System Mobile for Railways
JRU               : Juridical Recording Unit
LEU               : Line-side Electronic Unit = track-side encoder, between IXL and balises
LOCOPROL          : R&D project with the EC for low density lines with fail-safe satellite communication
MMI               : Man-Machine Interface, esp. on-board; also DMI = Driver-MI or HMI = Human-MI
RBC               : Radio Block Centre = interface with IXLs to send movement authorisations
ROC               : Radio Object Controller = sort of radio-controlled TFM
STM               : Specific Transmission Module = interface device between ERTMS and existing
ATC/ATP
TCS               :   Train Control System = name used in the UK for ERTMS, esp. on WCML
UNISIG            :   Steering committee of signalling suppliers for the development of ERTMS
ATS               :   Automatic train Supervision = train describer, route setting, regulation
CENELEC           :   European Committee standardising all electrical issues, incl. Signalling
EC (or CEC)       :   European Community = Community of 15 states
UIC               :   International Union of Railways (“Union Internationale des Chemins de fer”)


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Jihane Nasseh                                                          Electrical Engineering Department




3           COMPANY PRESENTATION
The Company (www.kema.com)

KEMA originates from the cooperation of the Dutch energy sector. In 1927, KEMA started as a commercial
enterprise, specializing in high-grade technical consultancy, inspection, testing and certification. KEMA
specializes in high-level technical consultancy and testing and certification and undertakes research in
support of these activities (Figure 1).




Figure 1: KEMA diverse actions in the energy marketplace

The headquarters are located in Arnhem, it has subsidiaries and offices in ten other countries around the
world and is present on all continents (Figure 2). More than half the turnover is generated outside the
Netherlands. KEMA is following a consistent strategy of international expansion.




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Jihane Nasseh                                                                Electrical Engineering Department



Figure 2: KEMA international presence

Much of the company‟s work concentrates around innovative technology. As an independent organization,
KEMA supports clients concerned with the supply and use of electrical power and other forms of energy.

KEMA has a high-end reputation as a test house for the famous Dutch KEMA-KEUR and tens of other
quality marks. In 2000 the railway certification brand “KEMA Rail Transport Certification” was added to
this list. Furthermore, the company‟s consultants provide technical solutions, strategic advice and insight into
financial implications on all kinds of energy issues. KEMA tailors its services to clients‟ needs and often
implements solutions on clients‟ behalf. Quality and reliability are integral to all KEMA‟s activities. In its 75
years in the utility business, KEMA has provided energy consulting and technology implementation expertise
to some 500 utilities in 70 countries around the world. One of KEMA‟s uniqueness lies in its combination of
utility business management and technical skills in helping companies to improve the management of their
assets.

KEMA Services

The services that are provided by KEMA cover the complete scope of the electricity supply industry in the
widest sense. They can be subdivided in three main areas:

• Consulting Services
Power generation and sustainable energy. Consultancy relating to electric power transmission and
distribution. Innovative ICT advice and software solutions. Key words: energy infrastructure, waste
processing, wind and solar energy, materials science and heat from asphalt; quality and reliability of the
energy infrastructure (including industrial bulk customers); innovative and interactive software, data
communication standardization, energy load forecasting software, energy trade.

• High and Medium voltage testing and certification
Testing, inspection and certification of high-voltage components. Key words: measurements, high-voltage
and short-circuit tests, cable diagnostics.

• Products and processes
Testing, inspection and certification for electrical safety of (domestic and other) appliances and processes.
Key words: reducing user risks, quality, environmental and integral occupational health management and
certification.

KEMA in the railway sector

KEMA has always been active in the railway field, but has become increasingly involved in the rail
sector in The Netherlands and abroad through KEMA Rail Transport Certification, where I have been
working. With this it is trying to expand the business in the field of technical guidance and testing and
certification. KEMA Rail Transport Certification was notified by the Dutch Ministry of Transport, Public
Works and Water Management as the first Dutch Notified Body for railway systems and products.

KEMA Rail Transport Certification Services include all parts of the railway system technical and operational
life cycle and concentrate on independent verification, checking, assessment and certification. This includes
modelling and simulation as far as this supports the assessments. Typical services are:

   •    Mandatory certification for railway subsystems and interoperability constituents in the framework of
   the European TEN high speed and conventional rail network.
     - according to the European Directives 96/48/EC, 2001/16/EC, 2004/50 and 2008/57 and the
        corresponding Technical Specifications for Interoperability
     - According national additional notified rules and standards and CSM (Common Safety Methods), by
        absence of TSI‟s or in the framework of derogations or specific cases
     • Rolling stock acceptance and safety assessment
     • Independent Safety Assessment in the framework of European CENELEC RAMS Standards 50126,
        50128, 50129 for railway Control Command & Signalling Subsystems, but not limited to these
        systems


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Jihane Nasseh                                                           Electrical Engineering Department



    •   Voluntary assessment, verification, inspection, checking and certification of railway products,
        including the execution of measurements and tests
    •   Guidance for railway infrastructure and rolling stock projects in preparation of assessment and
        certification, preliminary checking and verification in all stages of railway project development
    •   Guidance for the implementation of European rules and regulations as part of legal systems and
        their practical implementation
    •   Guidance and studies to assist in the feedback of certification and homolgation experiences to
        various interested parties, like those responsible to advice or decide on new national or European
        regulations and legislations




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Jihane Nasseh                                                              Electrical Engineering Department




4            PROJECT OVERVIEW
4.1             Projects presentation
In the Netherlands, the Betuweroute is a new international and domestic line designed for freight transport
only. It is 160 km long and connects the Europe‟s biggest harbor, Rotterdam, with the German border (Figure
3).




Figure 3: The BetuweRoute overview

It is equipped with ERTMS Level 2 system and Level 1 in some areas. Some zones, Kijfhoek and Zevenaar
are equipped with ATB, the Dutch Legacy system, because in this area the Betuweroute is integrated in the
national system.

At this moment about 100 locomotives (10 different types) are in different stages of preparation for operation
on the Betuweroute.

Alstom delivered the ERTMS On Board Assembly for a first set of 59 vehicles, split in 4 classes of trains; 3
Diesel locomotives: BR203 of Alstom and Vossloh locomotives (G2000, G1206), and Electrical
Locomotives: BR189 of Siemens (Figure 4).




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Jihane Nasseh                                                              Electrical Engineering Department




Figure 4: Presentation of the locomotives BR 203, BR 189, G1206 and G2000;
         Source: Photos taken during field tests

In the Frame work of those projects, Alstom needs to provide community declaration of verification for the
On-Board assembly, this EC declaration of verification shall be drawn up after the EC verification
assessment, which must be carried out by a Notified Body (NoBo).

Therefore, since 2006, KEMA RTC has been acting as a NoBo for assessing the ETCS on-board assembly of
these locomotives, thus following closely the development of the projects from their early stage; cheking the
technical solution, the installation, witnessing and executing tests, making audits…

Today, those locomotives reached an advanced stage of development and are close to being put in service.
Therefore, before delivery of the final EC certificates, a prompt EC verification needed to be done, supported
by a Verification Report and a Technical File.

When I arrived at KEMA Rail Transport and Certification (KRTC), the EC verification assessment supported
by a Verification Report was already being processed for the locomotives BR189, however, the Technical
Files were not ready for different train configurations. Also for the locomotives BR 203, G2000 and G1206
the EC Verification supported by verification reports and Technical Files needed to be done.

4.2            Scope of work

During my graduation period at KEMA RTC, I was assigned to perform the following work:

      a)   For the locomotives BR 189:
      -    Draw up two Technical Files: for two different configurations of the on-board Assembly, one called
           „‟EVC+ATB‟‟ and the other „‟IVC only‟‟;
      -    Update the Verification Report;


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    -    Prepare the EC Certificates;


    b) For the locomotives BR 203: perform the EC Verification of the On-Board Assembly and create the
       following:
    - The Technical File;
    - The Verification Report;

    c)   For the locomotives Vossloh G2000 and G1206: perform the EC Verification of the On-Board
         Assembly and create the following:
    -    The Technical File;
    -    The Verification Report;

    d) Perform the EC Verification of the Maintenance System;




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Jihane Nasseh                                                                Electrical Engineering Department




5            RAIL TRAFFIC MANAGEMENT

The rail system in Europe has been developed over the past 175 years by each country on a national basis
using a variety of technologies. This historical fact has hampered the development of cross-frontier services
and the competitive supply base needed today in a new political environment. Fortunately, most countries use
the same track gauge for their trains, and therefore it is possible in theory for long journeys to be made across
several borders, and for common specifications to be developed. However, one of the biggest technical
barriers has been the variety of signalling and control systems.

Developing a new signalling system – referred to in this report as the Control-Command and Signalling
system (CCS) – at a European level is a major undertaking in a technically very complex area. This means
that there has to be effective management of a number of issues underlying the development and
implementation of a new Control-Command and Signalling system and its vital component, the European
Rail Traffic Management System (ERTMS).

Using this new technology will reduce infrastructure costs and offer benefits in rail system competitiveness
against other transport modes. Savings achieved through the introduction of this new technology will allow
offering a better price to both freight and passenger customers. Thus they will enable railway undertakings to
improve the competitiveness of the product they are offering customers, which is the core aim for all future
work. This is the basis for European transport policy objectives and legislation.

Today, besides the deployment of ERTMS in Europe, it has rapidly become a global standard and is now
being embraced by a growing number of countries worldwide.

The following Figure 5 shows on the left, the variety of CCS systems used in Europe and on the right, the
objective of the European Union to be achieved in some years.




Figure 5: The variety of CCS systems in Europe and the objective of Europe

5.1          The Control-Command and Signalling system (CCS)
The CCS system is defined in the Interoperability Directives (2001/16, Annex II, Article 2.3) as: “All the
equipment necessary to ensure safety and to command and control movements of trains authorized to travel
on the network” Any CCS system must have the following functions:
• ensuring the conditions for the safe movement of trains by checking line availability, setting and locking
points, protecting level crossings, and protecting the allowed path from other train movements;
• advising drivers of the status of the route and giving them authority to proceed. This includes warning of
other trains and changes of route, thus preventing collision with other trains. It may also include information


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related to infrastructure such as permanent speed limits and stopping locations to avoid unsafe train
movements;
• intervening if the driver fails to drive within the defined parameters

The following Figure 6 illustrates the kind of CCS system in use today on many principal routes other routes
(Other routes are still controlled by earlier systems depending on mechanical technology without electronic
control electronic control and communication).




Figure 6: Today‟s CCS system
Copy of Figure 1 of the document: A new Signalling System for Europe‟s trains, of March 2007


The CCS system has six constituent parts:

1 Train detection

To prevent trains colliding, it is essential to know the location of trains. Conventional technology uses track
circuits or axle counters while ETCS level 3 envisages a train continuously communicating its location to the
control centre by radio.

2 Route setting & interlocking

This controls the points (route setting) and ensures that conflicting routes cannot be set (interlocking).

3 Movement authority

The driver needs to be advised of how far and at what speed to proceed. Some national signalling systems are
based upon the basic principle of giving a driver advice of how many line (block) sections ahead are clear.
Others give the driver authority in the form of a permitted speed. Movement authority has been
conventionally given by lineside signals but modern cab signalling systems communicate movement directly
to a display in the cab either by radio, coded track circuits or transmission loops.




ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                              17/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                                 Electrical Engineering Department



4 Supervision and train protection

Almost all CCS systems have some form of supervision or train protection which automatically applies the
brakes if the driver disobeys the movement authority or exceeds the permitted speed. Some of these systems
only check movements at particular lineside signals or in areas with speed restrictions while other more
sophisticated ones provide continuous supervision by comparing actual train speed with a permitted speed-
distance profile. This speed profile may itself be updated continuously by radio, loops or track circuits or it
may be updated on a spot basis through balises or other track based transponders (e.g. magnets). ETCS
provides movement authority with continuous supervision using GSM-R radio.

5 Communications

In the event of disruption or system failure, the driver and signaller are likely to need to talk to each other.
This may also involve the signalman giving the driver a movement authority to pass a failed signal. To
enable this, railways have installed dedicated communications systems to give a direct line to the controlling
signaller and, to minimize errors these often convey location and train identification to the signaller. Lineside
telephones, or bespoke analogue radio systems have been used in the past. In Europe the voice services of
GSM-R are now being installed for this purpose.

6 Traffic management

A traffic management system appropriate to the service needs of a route and the CCS system is an important
component in ensuring the service contained in the timetable is delivered. Moreover in busy networks, delays
and cancellations following a perturbation from the normal working can be reduced by active traffic
management. This may involve holding back a slow train to allow a late running fast train to overtake it, or
advising a driver to travel at a particular speed so that the train arrives at a junction or station at the optimum
time. The type of traffic management ranges from human monitoring of the progress of trains and setting
priorities for signaling staff to the use of complex predictive and decision-making computer systems.




5.2           The European Rail Traffic Management System (ERTMS)


ERTMS is the European Rail Traffic Management System, a signalling and train control system promoted by
the European Commission (EC) for use throughout Europe, and specified for compliance with the High
Speed and Conventional Interoperability Directives.

Its key characteristics are that it provides Automatic Train Protection (ATP), to ensure trains operate within
safe limits and speeds at all times; and cab signalling, providing safe movement authority directly and
continuously to the driver through the desk display.

ERTMS is a part of the CCS system. It can either be integrated into a new CCS system or overlaid onto an
existing one.

ERTMS has in turn three components:
• a communication system: GSM-R (Global Standard for Mobile Communication - Rail) radio for both voice
and data;
• a combined train detection/protection/supervision and movement instruction interface known as the
European Train Control System (ETCS);
• a traffic management layer, which is yet to be developed.




ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                               18/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                             Electrical Engineering Department




5.2.1        ETCS System description

The related and the technical aspects of ETCS have been specified by the Unisig, which is a group of
signaling suppliers. The specification consists of a comprehensive set of „‟ETCS mandatory specifications‟‟
which are listed in the annex A of the TSI CCS. Most useful for an initiation to ETCS is the Unisig Subset-26
which contains the ETCS System Requirements Specification (SRS, current version 2.3.0d, d stands for
debugged). It is structured into the chapters introduction, basic system description, principles, modes and
transitions, procedures, ETCS language and Messages.

ERTMS/ETCS can be configured to operate in one of the following application levels:
                 ERTMS/ETCS Level 0 (train equipped with ERTMS/ETCS operating on a line without
                 ERTMS/ETCS or national system or with the ERTMS/ETCS systems in commissioning)
                 ERTMS/ETCS Level STM (train equipped with ERTMS/ETCS operating on a line
                 equipped with a national system to which it interfaces by use of an STM)
                 ERTMS/ETCS Application Level 1 with or without infill transmission (train equipped with
                 ERTMS/ETCS operating on a line equipped with Eurobalises and optionally Euroloop or
                 Radio infill)
                 ERTMS/ETCS Application Level 2 (train equipped with ERTMS/ETCS operating on a line
                 controlled by a Radio Block Centre and equipped with Eurobalises and Euroradio) with
                 train location and train integrity proving performed by the trackside
                 ERTMS/ETCS Application Level 3 (similar to level 2 but with train location and train
                 integrity supervision based on information received from the train)


5.2.2        ETCS Multi-level system architecture
5.2.2.1      General

The chapter „‟Basic system description‟‟ of the SRS describes the so-called ETCS kernel with its interfaces
towards the signaling system on track-side and towards the train equipment onboard (Figure 7).




ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                          19/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                                               Electrical Engineering Department



                                                                                Downloading
                     Train                          Driver                         unit


                      FIS                             FIS                          FFFIS


                       TIU
                                                     DMI              ETCS      Data recording
                                                                                Recording
                                                                    Onboard
                                                  Kernel
  STM
             FFFIS                                                               Odometry


                     BTM                    LTM                  EURORADIO

                                                                      FIS
                                                                     FFFIS

                                                                     GSM-           GSM fixed
                                                                     Mobile          network
                     FFFIS                  FFFIS

                                                                          FIS        FIS

                EUROBALISE                                   EURO-
  National                              EUROLOOP
                                                             RADIO
  System
                                                                                EURORADIO
                                                              Radio
                                                            infill unit
                (FFFIS)           (FFFIS)         (FIS)                                             FIS
                                                                                        RBC 1
                                                                                                              Key
                                                                                  FIS                       Management
                                                                                                             Centre
                             Interlocking                                                           FIS
                              and LEU
                                                                                        RBC 2


                        Control Centre
                                                                     ETCS Trackside


Figure 7: Functional structure of ETCS with the adjacent signaling and GSM-R subsystems

The kernel comprises the on-board equipment with the elements Train Interface Unit (TIU), Driver Machine
Interface (DMI), Data recording, Kernel, Odometer, Balise Transmission Module (BTM), Loop Transmission
Module (LTM), Euroradio-Interface, GSM-R mobile unit as well as the track-side equipment with the
elements Eurobalise, Euroloop, Euroradio-Interface, GSM-R fixed network, Interlocking, Line-Side
electronic Unit (LEU), Remote Control Centre, Radio Block Centre (RBC) and Key Management Centre. For
the data exchange between on-board and track-side the following devices are used:
     -   Eurobalises for uni-directional intermittent transmission from track-side to train
     -   Euroloops for uni-directional semi-continuous transmission from track-side to train
     -   Euroradio-interface devices which link ETCS with GSM-R for bi-directional continuous data
         transmission.

The figure indicates to what degree the interfaces between on-board and track-side systems as well as
external systems are harmonized:
    -    Only a minimum number of interfaces directly relevant for technical interoperability are specified in
         detail by means of so called form Fit Functional Interface Specifications (FFFIS): Airgaps for
         Eurobalise, Euroloop and GSM-R, interfaces between Eurobalises and LEU (Line side Electronic
         Units), interface for downloading of the juridical recorder.



ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                                          20/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                                  Electrical Engineering Department




    -     Other interfaces, which are relevant for operational interoperability but do not require technical
          interoperability, are covered with Functional Interface Specifications: Train interface, driver
          machine interface DMI, RBC-RBC interface and the interface for the key management.
    -     All remaining interfaces are supplier specific.

Form Fit Functional Interface Specifications (FFFIS) contain all information required to ensure that systems
of different suppliers can work together without any further precautions on a technical level( e.g. balise
readers reading balises or downloading tools connecting to juridical recorders).
Functional Interface Specifications (FIS contain sufficient information that systems compliant with these
interfaces perform the same functionality with the same quality, but leave technical implementation open
(e.g. interface between on-board system and train).

Due to the great variety of configurations in the signaling equipments (interlockings, line-side signals, track
occupancy proving devices), which are used on the various existing or new lines, ETCS has been conceived
with several application levels. The SRS distinguishes between the levels 0, STM, 1, 2, 3. The various
definitions and procedures for data processing within ETCS have been specified in such a way that they are
largely independent from the selected path for data transmission (balise, loop or radio). Therefore, the ETCS
system behavior is consistent in the application levels 1, 2, 3, and in each, the ETCS on-board equipment can
basically achieve the same functionality.


5.2.2.2       ETCS level 0

ETCS level 0 covers operation of ETCS equipped trains on lines not equipped with ETCS or national
systems or on lines with ETCS in commissioning. On level 0 lines, line-side signals are used to give
movement authorities to the driver. Level 0 has been defined largely to ensure that proper transitions take
place between equipped and non-equipped lines. The system configuration and the functional architecture for
ETCS level 0 is shown in Figure 8.




                         ETCS




                                                                      end of track segment

        Figure 8: ERTMS/ETCS Application Level 0
        Copy from figure 2 of SUBSET-026-2; System Requirements Specification, Chapter 2

In level 0 train operation, only a minimum of on-board ETCS functionalities are active: Indication of train
speed, supervision of the maximum speed of the train and the maximum speed permitted in unfitted areas,
reading of Eurobalises to ensure that level transitions are observed and to supervise temporary speed
restrictions etc. Full ETCS train data has to be entered even in level 0 in order not to have to stop a train at a
level transition postion and to supervise maximum train speed.

5.2.2.3       ETCS level STM

The level STM is used to run ETCS equipped trains on lines equipped with legacy national control-command
systems. The system configuration is shown in Figure 9.


ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                              21/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                               Electrical Engineering Department




Figure 9: The configuration of ETCS level STM,
Copy from the document: ERTMS-for a competitive railway, by Banverket


Train control information generated track-side by the national train control system is transmitted to the train
via the communication channels of the underlying national system and transformed on-board into
information interoperable by ETCS. The device which allows the ERTMS/ETCS on-board equipment to
utilse the transmission system of the national system of the national system is called STM (Specific
Transmission Module). A separate STM is required for each legacy system which the on-board shall be able
to utilize.

The achievable level of supervision is similar to the one provided by the underlying nationl legacy system.
Level STM uses no ETCS track-train transmission except to announce or command level transitions and
specific commands related to balise transmission. Eurobalises therefore still have to be read. However, no
data except level transition commands and certain special commands are interpreted. The information
displayed to the driver depends on the functionality of the underlying national system. The active STM is
indicated to the driver as part of that information. Full ETCS train data has to be entered in order not to have
to stop a train at a level transition position and to supervise maximum train speed. Additional STM related
train data might have to be entered if so required by any of the connected legacy systems.

The abandonment of the „‟white box‟‟ concept for the ETC on-board equipment with an open and
standardized ETCS internal databus and standardized internal functionality has rendered practically
infeasible the vision of a low cost „‟European STM‟‟ which just receives data from legacy trackside systems
and translates it into ETCS language to be processed as ETCS data („‟early injection‟‟), as originally intended
by the A200 group. Instead, under the designation „‟natinal STM‟‟, devices have finally been conceived
which fulfil more or less the complete data processing for the national system outside of the ETCS train-
borne equipment („‟late injection‟‟ of data) and just use ETCS resources such as odometry, DMI and train
interfaces. Especially for the most recent complex legacy control-command systems, the corresponding
national STM are practically identical to the corresponding legacy on-board device also from a cost point of
view.



5.2.2.4      ETCS level 1

The system configuration for ETCS level 1 is shown in Figure 10.




ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                            22/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                                Electrical Engineering Department




Figure 10: ETCS level 1 system configuration
Copy from the document: ERTMS-for a competitive railway, by Banverket


In the application level 1, ETCS is overlaid to the traditional signaling equipment. The train position is still
detected by traditional track-side occupancy controlling devices which are linked with the interlocking.
Line –side signaling is kept in general. Fixed or variable data is transmitted from track to trains by means of
Eurobalises. In the minimum, balises are needed at the beginning and end of each supervised line section,
typically near the advanced signal and the main signal. Optionally, additional balises may be placed in-
between. In the basic level 1 application, only the Eurobalise data transmission is activated, consequently all
data from the track-side (fixed or variable) is transmitted via this channel to the train.


5.2.2.5      ETCS level 2

The system configuration for ETCS level 2 is shown in Figure 11.




Figure 11: ETCS level 2 system configuration
Copy from the document: ERTMS-for a competitive railway, by Banverket


In application level 2, ETCS uses GSM-R radio to exchange data between the track-side Radio Block Centre
and the trains. The interlocking reports the status of the objects controlling the routes of the trains to the RBC
which, in turn, generates the correct movement authorities for the different trains in the section. In normal
level 2 operation, line-side signals are no longer necessary. The traditional block control with track-side
occupancy proving devices is still kept.

On track-side, the interfaces between the Radio Block Centres and the interlocking as well as the remote
control centre have not been commonly specified as these are not directly relevant for the interoperability
between track and trains. This is a major obstacle in the application of ETCS level 2, as project specific
solutions are required.



ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                              23/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                                Electrical Engineering Department



The data transmission between track and train occurs via GSM-R and passive balises. The latter are used for
the calibration of the odometry and for transmitting some fixed infrastructure data to the trains.



5.2.2.6      ETCS level 3

The system configuration and the data flow for ETCS level 3 is shown in Figure 12.




Figure 12: ETCS level 3 system configuration
Copy from the document: ERTMS-for a competitive railway, by Banverket


In application level 3, ETCS replaces the line-side signals as well as the track-side occupancy checking
device. The location of the train is determined by the train-side odometry and reported to the track-side radio
block centre via the GSM-R radio transmission. In addition, the completeness of the train is checked by a
technical device on the train.
In level 3, the same modules are activated as in level 2 and the data flow is similar. Train spacing is no longer
bound to discrete block sections defined by track occupancy detection devices, but to track occupancy
detection devices, but to track occupancy reports from the trains. This configuration offers a great
simplification with cost reduction for the equipment in the track and a potential capacity increase due to the
independence from rigidly structured fixed block sections. For this reason, ETCS level 3 has the potential for
becoming the final universal configuration of ETCS.


5.3          ETCS specification versus Alstom’s Solution

ETCS on-board system

The ETCS on-board system includes all parts of ETCS installed on-board the train. Its core is often also
referred to as European vital Computer (EVC), which contains or is interfaced to an odometer system (to
generate speed and distance information), train interface (to control train brakes and to cut traction), Driver
Machine Interface(s), GSM-R radio(s), Juridical Recording Unit (to record data for juridical purpose),
Eurobalise and Euroloop transmission equipment and optionally Specific Transmission Modules for
interfacing to legacy transmission systems (Figure 13).




ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                              24/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                               Electrical Engineering Department




Figure 13: Architecture of the ETCS on-board equipment

How all the functionalities are integrated is left entirely to the supplier of an on-board system, as no
standardised interfaces between these functions exist. Some of the interfaces, such as the one to the train, are
specified on a functional level, but the physical implementation is again left open as it depends heavily on the
train to which the equipment is fitted. The Figure 14 bellow shows the schematic diagram of the On Board
Assembly developed by Alstom and installed on the locomotive BR203.




                 Figure 14: The On Board Assembly in the context of BR 203 locomotives
                 Copy of Figure 4 from: Specific Application Safety Case
                 (BR203_CRL_RAMS_0029, version 4.1 of 23/01/2009)


The main functions of this trainborne are:
        To ensure a safe movement of the train (i.e. the train speed and braking curve supervisions),
        applying the emergency brakes when required,
        To inform the driver by means of a Cab Display facility, called “Driver Machine Interface” (DMI).
        To ensure the transition with the national equipment called ATB.


ETCS Detailed Physical Breakdown Architecture

EVC rack is composed of following electronic boards:
       3 Chanel Power Supply boards,
       1 Eurobalise Antenna Power Supply board,
       1 Core CPU Smart board,
       1 TIU Smart board,



ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                            25/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                             Electrical Engineering Department




        1 FILIO board as interface with train I/O‟s,
        1 SRB board as interface with emergency brake command,
        1 SDMU module for odometry purpose consisting of 3 SDMU boards on the same EVC front panel,
        2 CPIB boards as Profibus interface (bus external to EVC)
        1 CIL board as Euro-antenna interface,
        3 CTE boards for Euro-antenna processing,
        2 RTM boards for radio transmission,
        1 TDMI (shunt) board.

The following block diagram on Figure 15 describes in detail the ERTMS/ETCS Alstom‟s trainborne sub-
system from a physical point of view.

The Figure 15 also shows electronic boards constituting the EVC rack and how they are communicating.




Figure 15: ERTMS/ETCS trainborne sub-system physical architecture
Copy of Figure 4 from the document: ERTMS Trainborne Sub-System General Function Definition and
General Technical Design of September 17, 2008, version 1.5.

The EVC Kernel is based on two-out-of-three (2003) architecture principles and consequently composed of a
triplicated processing channel for safety and availability purposes. This 2003 architecture allows to build a


ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                         26/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                                  Electrical Engineering Department



data information on the principle of the 2003 voter. At least two data sets from two channels shall be
identical in order for the 2003 voter to select this data set as the current data set to be involved in further data
treatment.

The Relay Interface Unit (RIU) module performs the part of customisation necessary for the electrical
adaptation of the EVC to each kind of train. This module is thus train dependent.

The Eurobalise antenna, located beneath the train, provides telepowering when passing over an Eurobalise
and receives the track-to-train messages transmitted through the magnetic field delivered by the Eurobalise.

The different odometric sensors (radar, wheel sensor associated with an accelerometer) perform
the measurements of distance and speed of the train and provide the SDMU module with these raw odometric
data. The odometric sensors are:
· 2 optical wheel sensors (on 2 different axles), 2 probes per axle (Sécheron),
· 2 Doppler radar (Deuta),
· 1 accelerometer (Sensorex).

The ETCS Driver Machine Interface (DMI) provides the driver with all the relevant information and
instructions for train control and protection and enables him to enter and transmit data/commands to
trainborne equipments (EVC, cab radio and ZUB).

The Train Recorder Unit (TRU) is a sub-system composed of the Juridical Recorder Unit (JRU)
and of the Diagnostic Recorder Unit (DRU), interfaced with the EVC and the DMI via the Profibus network.

The juridical messages generated by the EVC are transmitted to the TRU for recording in the juridical
memory unit (JRU).

The diagnostic information coming from the EVC, DMI, TRU are recorded in the diagnostic
Memor (DRU). The DRU also records all the messages sent to the JRU. Some diagnostic information will be
displayed on the DMI.

The Cab Radio is the bi-directional radio communication trainborne sub-system that enables, via the GSM-R
fixed network, voice communications between the driver and the trackside operator and data communication
between the EVC and the continuous trackside ATC sub-system (RBC).


The ETCS trainborne equipment is architecture around an internal CAN bus. This CAN bus is triplicated in
order to interface each one of the three channels of the EVC-kernel. The CAN is not intended to go outside
the EVC housing rack.

The EVC communicates with the external world (DMI, TRU and STM peripherals) by means of an external
Profibus. The Profibus network is duplicated for availability purpose.




Description of Trainborne Physical Elements


The BR 203, G2000, G1206 locomotives are fitted with 1 EVC (Figure 16) per loco, which controls two
driver desks.




ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                                27/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                           Electrical Engineering Department




        Figure 16: EVC Onboard Subsystem
        Copy of slide 14 from Alstom‟s presentation, Reference: Formation ERTMS- sous-system bord
        2007-10

The following Figure 17 shows more precisely the EVC trainborne system with its interfaces.




Figure 17: EVC Trainborne system and its physical interfaces.Source: The presentation: Generic
ERTMS/ETCS training module 1, of 2008



ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                     28/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                              Electrical Engineering Department




6             VALIDATION AND CERTIFICATION
The emergence of a European railway policy

The overall goal of EU railway policies is to create a competitive railway sector that responds to the
increasing needs of transportation of the common market. Beside the economic rationale, there is the
evidence that a single European rail system bodying common technological solutions could contribute
strongly to the strengthening of a collective cultural identity. This could provide European institutions with
greater political legitimacy.

The biggest obstacle for the EU lies in the variety of railway operational styles and the difficulty of
harmonizing them. The resulting lack of interoperability is perceived as the main problem in the achievement
of a single European system. To tackle problems of operational interoperability, the EU made use of its legal
instrument: the Directives. Regarding technical interoperability, a specific instrument has been developed:
The Technical Specifications for Interoperability (TSI). Contrary to norms issued by European
standardization bodies, these specifications define target subsystems and act for a more „‟high-level‟‟
standardization. This legal framework for European interoperability constitutes a new mechanism operating
at the supranational level with a top-down approach.

6.1           Legal and normative Base
In the last 15 years, a comprehensive set of legal and normative documents has been elaborated and issued
for ensuring railway interoperability in general and especially in the field of train control-command and
signaling (Figure 18).




      European Council Directives


        Directive           Technical Specifications for Interoperability (TSIs)
       2004/49 on
      safety of the           ... Control-Command and Signalling (ETCS)...
      Community's
        Railways
                                TSI's for                                                             Existing
                                                                                        Target         systems
                              High-Speed                               EMC
                                                                                    systems for
         Directive                                    Track         (Electroma                      - Automatic
      2008/57 on the                                                  gnetic         the future         Train
                                                    occupancy
      interoperability         TSI's for                            Compatibil         - ETCS          Control
         of the rail
                                                     detection
                             Conventional                               ity)          - GSMR         - Analogue
       system within
             the               TEN Rail                                                                 Raido
        Community



Figure 18: Legal and normative documents supporting ERTMS

This figure depicts the general structure of legislative and normative documents applicable in the
interoperability domain. The top level consists of two European Council Directives:
     -   The Directive 2004/49 on safety on the Community‟s railways amended in 2008 which sets the
         scene for a comprehensive harmonized railway safety conception over the EU. It deals with
         common safety methods and targets, the cooperation between national safety authorities and
         investigation bodies, the assessment of new safety rules and the monitoring of safety performances.



ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                          29/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                               Electrical Engineering Department




      -   The new Interoperability Directive – 2008/57 on the interoperability of the rail system within the
          community which is a recast of two earlier separate Interoperability Directives for high-speed rail
          (96/48) and for conventional rail (2001/16).


The Interoperability Directive refers to Technical Specifications for Interoperability (TSIs) for each relevant
individual railway subsystem – infrastructure, energy, rolling stock, signaling etc… These TSIs do set
essential requirements and basic parameters for subsystems that should ensure a basic level of
interoperability (compatibility between track and train). Detail specifications are then provided via European
norms, produced by the European Standardisation organizations CEN, CENELEC and ETSI.
For the Control-Command and Signalling (CCS) subsystem, two sets of TSIs –one for high-speed, one for
conventional rail –have been developed. Both of them treat ERTMS with ETCS and GSM-R as the
cornerstone of the target CCS subsystem. The ETCS and GSM-R Specifications are listed in an Annex A of
the CCS TSIs, hence the new unified train control-command and signaling systems are also called Class A
systems. In an annex B, the pre-unified legacy automatic train protection and communication systems are
listed. These so called Class B systems can still be used during a migration phase. The CCS TSI does address
also additional aspects like the track occupancy detection, the hot axle box detection and electromagnetic
compatibility issues.


6.2           A short overview to the European process

      Involved parties and responsibilities

The European interoperability Directive separates the responsibility for the railway systems into the domains
of the infrastructure Managers and the Railway Operators and defines the Interoperability between both to
assure the operation in an open market over the European railways network.

To assure the interoperability, the Directive addresses the verification of the European specifications in the
Technical Specifications for Interoperability (TSI‟s) at the level of constituents and subsystems. The
declaration of conformity is provided by the suppliers of the constituents and the verification of conformity is
performed by the final users: Infrastructure Managers, railway Undertakings and Notified Bodies chosen by
the suppliers or by the final users depending on the process.

In general, before an interoperability constituent or a subsystem can be developed and manufactured the
manufacturer must request certification by a notified body. This involves determining together with the
notified body which modules the constituent must comply with, and which type(s) of certification will be
performed. Once the constituent has been successfully developed and/or manufactured (as applicable) the
notified body issues a certificate or an approval, on the basis of which the manufacturer can place the
constituent on the market with the EC declaration of Verification and/or suitability for use.

The following diagram (Figure 19) illustrates the distribution of responsibilities along the whole process of
putting a rolling stock project in commercial service. For the infrastructure projects, a similar structure
applies.




ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                            30/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’
Jihane Nasseh                                                                Electrical Engineering Department




      Figure 19: Process of EC verification and authorization of commissioning


Dutch involved parties

In the Netherlands, the national Authority is IVW. IVW which stands for “Inspectie Verkeer en Waterstaat”,
is the National Safety Authority. It is a department of the Ministry of Transportation, reporting directly to the
Minister and is therefore independent of the Infrastructure manager, Train Operating Companies and
Suppliers. All infrastructures added to the Dutch infrastructure and all trains running on this infrastructure
have to be admitted by this organisation.

In practice, before IVW issues a deployment certificate to the locomotive owner (or Rail Operator), it hears
recommendation from ProRail, ProRail is the independent infrastructure manager of the Dutch railway
tracks.

For the Betuweroute project, about ten freight operating companies, such as DB Schenker Rail (formerly
known as Railion) by far the biggest one, are operating freight trains. Keyrail is a company, established to
manage the exploitation and maintenance of the Betuweroute, separately of the rest of the Dutch
Infrastructure, managed by ProRail. ProRail however, still plays an important role in the transition of
construction and tests to regular operating.




6.3           Assessment Procedures
The subsystems certification goes from the conception of the system to its final testing. The control-
command system is split into track-side and on-board subsystems. Verification at constituent level is not
required, as they are generally already certified.




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For the on-board part of the system, that I have been assessing installed on the three Diesel locomotives, the
assessment covers its correct integration with the other train systems and its compatibility with the track-side
subsystem. For the track-side part the assessment covers its integration with the national infrastructure and its
compatibility with the on-board subsystem.
The modules used in the subsystem certification are similar to the ones used for components.
For the on-bard subsystem, similar alternatives as those used for constituents can be adopted for the
assessment:
-Module SB (Type Examination) + Module SD (Quality Management of the Production process)
- Module SB (Type Examination) + Module SF (Product verification)
- Module SH2 (Full quality assurance and design examination).

For the assessment of locomotives BR 203, G2000 and G1206, I used the module SH2.

This chapter describes primarily the procedures of the assessment of the On Board assembly under
consideration.

6.3.1         Assessment and certification procedure

The Interoperability Directive 2001/16/EC defines the overall procedure for the subsystem assessment as
follows.

   “The subsystem is checked at each of the following stages:

   - overall design;

   - structure of subsystem, including, in particular, civil-engineering activities, constituent assembly,

   overall adjustment;

   - final testing of the subsystem”

This procedure constitutes the general approach for the assessment performed by KEMA Rail Transport
Certification and that I followed for the BR203, G2000 and G1206 CCS On Board Assembly. The practical
approach of the assessment and verification follows the TSI. In the TSI a number of elements are defined:
    -    The Essential Requirements are the ultimate reference for interoperability that must be complied
         with.
    -    Chapter 6.2 of the TSI describes the procedure to be followed
    -    Table 6.1 gives the technical elements for the verification of the On Board Assembly
    -    The TSI defines the modules for conformity assessment. In this case the Module SH2 is used.

6.3.2         Essential requirements

In the definition of interoperability the essential requirements play a central role. These are high level
characteristics. The European interoperability Directives define 5 essential requirements:
     - Safety
     - Technical compatibility
     - Reliability and availability
     - Environmental protection
     - Protection of health
The TSIs translate these essential requirements into practically applicable technical and functional
requirements as mentioned in chapter 5.3.4.




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Jihane Nasseh                                                              Electrical Engineering Department




6.3.3         TSI chapter 6.2 requirements
   The detail of the procedure that I followed is found in the chapter 6.2 of the TSI Decision 2006/679/EC.

   For ease of reference the applicable parts from this procedure have been repeated in Appendix 3. In this

   overview it is taken into account that for the current assessment the Module SH2 is used.


6.3.4        TSI Table 6.1

The chapter 6.2 of the TSI refers to tables 6.1 and 6.2 in which the characteristics of the On-Board Assembly
and the Track Side Assembly, for which the assessment must take place, are collected.

In order to achieve consistency with the interoperability constituent certifications the process of assessment
and certification is carried out according to the Directive for Conventional Rail (2001/16), with the TSI 2006
(Decision 2006/679/EC of 28th March 2006, with the Annex A amended by Decision 2006/860/EC of 7 th
November 2006). The technical requirements that follow from this approach are given in the Table 1
Applicable indexes according to Table 6.1 of TSI 2006. This table (Appendix 3) refers to the applicable and
mandatory UNISIG subsets and the associated versions of these subsets.



6.3.5        Module SH2

For the assessment of the CCS On Board Assembly of the BR203, Vossloh G1206 and G 2000 locomotives I
have applied the assessment Module SH2. This implies the fact that Alstom is maintaining a Quality
Management System that is taken into account. The Quality Audits and the surveillance of the Quality
System are part of the application as described in the Module SH2.

For ease of reference the modules SH2 requirements from the TSI Decision 2006/679/EC are copied in the
Appendix 2: Assessment Module SH2.




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Jihane Nasseh                                                               Electrical Engineering Department




7             ASSESSMENT PROCESS
7.1           Assessment Approach

The process approach that I followed has been as specified in the TSI CCS and consisted of the following
steps:
    a. Performing the Design Examination
    b. Performing Quality audits, in the context of the Assessment of the Quality Management System
    c. Witnessing and execution of tests
    d. Establishing the Technical File
    e. Performing the EC Verification
    f. Issuing the EC certificate(s)

7.2           Planning and Meetings

      -   Planning

In the context of assessment of the locomotives BR203, G2000, G1206 and BR189, I created a GANTT (See
Appendix 4), giving a clear overview of the projects; tasks, responsibilities, deadlines….

      -   Meetings

In the context of the assessment of the locomotives BR 203, Vossloh G1206, G2000 and BR 189, apart from
the fact that I reviewed the reports of previous meetings, I took part in the following meetings:

          23 April 2009: Meeting in Charleroi (Belgium) between Alstom and KEMA to discuss the
          observations of the locomotive BR 203, related to the Braking curves, Odometry solution and the
          Legal framework
          24April 2009: Meeting in Charleroi between Alstom, KEMA, locomotives owners and a
          representative of IVW and ProRail to discuss the progress of the project and some technical issues.
          07 May 2009: Meeting in Wildenrath (Germany) between Siemens and KEMA, to discuss the
          progress of the project BR 189 (the integration of the DMI…), the meeting was followed by a visit
          of a famous Siemens‟s test laboratory where most locomotives in Europe are tested.
          27 May 2009: Working group Meeting in Utrecht between Alstom, Kema, ProRail, IVW, DB
          schenker (Railion), and KeyRail
          17 June 2009: Working group Meeting in Utrecht between Alstom, Kema, ProRail, IVW, DB
          schenker (Railion) and KeyRail
          22 June 2009: Meeting in Rotterdam between Alstom, Kema, ProRail, IVW and the locomotives
          owners

Apart from these meetings a number of conference calls and internal meetings took place.


7.3           Performing the Design Examination
Based on the information delivered by Alstom about the On Board assembly (see Chapter 4.3), I have
performed the Design Examination for the locomotives BR 203, G1206 and G 2000, with the goal to check
the compliance of the OBA (On Board Assembly) with the requirements of the TSI (Annex A). The
verification reports documents the result of this Design Examination.

The Design Examination was performed for all functional and interface aspects of the On Board Assembly:
        Level 0


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         Level 1
         Level 2
         Level-STM
         Transitions
         Non-regression between ETCS and STM‟s
         (Integration into the assessment of ) National STM assessments (ATB)
         additional functions

7.4           Performing Quality Audits
The aim of the audits is to check the existence of a quality management system for the design, production and
Integration of the On Board Assembly and its effective application.

For the ETCS system installed on the locomotives that I have been assessing, quality audits need to be done
soon in Alstom Transport factory in Belgium; it is planned that I will assist to them mainly to discuss the
technical part besides a Technical Expert and a Kema quality auditor.

The agenda of those audits is the following:

1. General aspects (1 hour)

a.    Confidentiality statement
b.    Adjustment to the agenda
c.    Changes in the structure of the organization
d.    Scoop of present certificate

2. Quality management system (1hour)

a.    Management review over 2008
b.    Quality Targets 2009
c.    Internal audits, planning, execution and results
d.    External audits: coverage and results
e.    Corrective and preventive measures including those of KEMA audits.

3. Project (1,5 - 2,5 hours)

The aim is to look at the production and also the way the ERTMS specific application projects are planned
and controlled (Especially the Diesel locomotives; BR203/G200/G1206), covering:

a.   Changes in the structure of the project organization
b.   Changes in the Design specifications including incorporation of relevant directives and standards,
during the project.
c.   Project quality plan including control of subcontractors (ISO 9001:2008 requirements)
d.   The examinations, checking and tests that are carried out before, during and after design, manufacture,
assembly and installation and the frequency with which they are carried out.
e.   Project evaluations and resulting improvements
f.   Quality records, such as inspection reports and test data, calibration data, qualification reports of the
personnel concerned, etc.,

4. Audit Exit meeting (1/2 hour)

a.    Strengths and opportunities
b.    Further arrangements
c.    Agenda for the next audit.




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Jihane Nasseh                                                               Electrical Engineering Department




7.5            Witnessing and execution of tests
The objective of testing is to verify that the control command and signaling system is configured and
constructed in a manner which assures the safe running of trains.

As part of the verification process a number of different tests were performed and witnessed by KEMA Rail
Transport Certification:

      a)   Laboratory tests
      b)   Factory acceptance tests
      c)   Line tests for development of functionality
      d)   Line tests for the verification of functionalities: functional tests, cross tests, transition tests,
           endurance test
      e)   Full operational tests in the real configuration


For the assessment of the locomotives BR 203, Vossloh G1206 and G2000 I have reviewed and assessed the
procedures and results of these tests, since I was not present or available during their execution. However, I
could perform and witness tests performed on the Electrical locomotives BR 189.

The tests took place on June 2nd and 3rd, for the benefit of admittance of that locomotive type on the
Havenspoorlijn with ERTMS Level 1.

We used therefore two locomotives, both equipped with ERTMS Level 1 and 2, besides the national
signaling system „‟ATB‟‟. However, the difference between both vehicles, is that one is equipped with two
DMI‟s (called phase 1; one ETCS DMI of Alstom and another of the locomotive from Siemens (showing the
speed, time,…)), and the other locomotive is equipped with only one DMI (called phase 2) where the
functionalities of Alstom‟s DMI where integrated in Siemens‟s DMI, (Figure 20).

The planning of those tests can be found in APPENDIX 5.




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Jihane Nasseh                                                                  Electrical Engineering Department




Figure 20: Locomotive BR 189 Driver DESK
Photos taken during the tests on June 2nd and 3rd, 2009 on Havenspoorlijn


During those tests, apart from witnessing the overall execution and functionality of the system, I have been
working besides the technician of Alstom on the recording of the data from the EVC (European Vital
Computer).


7.6           Establishing the Technical File

During scrutiny for certification the NoBo draws up a Technical File (TF). This identifies the scope of the
project (eg GA drawings and drawing lists) and records how the scrutiny was conducted. It will include the
main pieces of information used to certify the vehicle such as test reports, EC certificates, IC certificates, lists
of standards complied with etc. It also includes the data for the vehicle register (the vehicle details required
for Interoperability), the maintenance plan and describes any limitations of use of the vehicles.

In total I have drawn up 5 Technical Files, 3 completely and 2 partly:

- For the locomotive BR 189, I have compiled completely 2 technical files corresponding to two different
ETCS configurations (EVC+ ATB and IVC only), doing this work at the beginning of the traineeship, gave
me not only the opportunity to get familiar with the documents and their location in KEMA RTC hard Drive,
but also the opportunity to learn more about different aspects related to the ERTMS system (Design,
installation, tests…).

- One complete TF for the locomotives BR 203, that I have drawn up during the assessment I made.




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- Two TF‟s partly, that I reviewed when completed by another colleague; one related to the assessment that I
did on the Vossloh locomotives G1206- G2000 and another related to another project related to BR 189
locomotives.

I have drawn up those Technical Files in accordance with the requirements from the TSI and the additional
requirements from the NB RAIL RFU (Recommendation For Use) reference RFU-STR-011 of 13 June 2007.
However, I could also bring some improvements, mainly by adding two chapters (chapter 7: National
Certificates and Chapter 8: Vehicle number); the first should include all national certificates that are
delivered during the assessment and the second should include the locomotives serial numbers that are
concerned by the assessment, this latest solution, gives the advantage of avoiding the use of the certificates
delivered for a larger number of locomotives than the one verified. The original content of the Technical File
is as follow:




7.7          Performing the EC Verification



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Jihane Nasseh                                                              Electrical Engineering Department



In order to conclude compliance with the requirements from the TSI, I have conducted the EC Verification
on the Technical Files described above and delivered 2 Verification reports, one related to the ETCS On-
board assembly on the BR 203 locomotives and another on the Vossloh G2000- G1206 Locomotives. I have
also worked on the update of the verification report related to the Electrical locomotives BR 189.

The verification report shows in detail how the verification was conducted, and contains findings and
observations that require the reaction of the manufacturer. For the assessment that I carried, I have written a
number of observation, APPENDIX 5, contains 3 of them, that I made during the certification of the BR 203
locomotives, the first two are related to some technical issues and the third is related to regulation matters.

Up to today, I am still in discussion with Alstom together with some colleagues at KRTC in order to close
some observations.

The Content of the Verification report is as follow:




7.8          Issuing the EC Certificate(s)


After compliance to fulfill the requirements from the TSI, EC Certificates are issued as described in the
Module SH2:


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Jihane Nasseh                                                                 Electrical Engineering Department




         Quality Management System Approval
         EC Design Examination Certificate
         EC Certificate of Conformity
         EC Intermediate Statement of Conformity

Based on these certificates the Contracting Entity can issue its EC Declaration of Verification in accordance
with the Article 18(1) and Annex V of the Directive 2001/16/EC, which can then be used to request the
authorization to put into service.

I have been working on improving the quality of the certificates delivered by KRTC, by making them more
compliant to the requirements (especially by following a proposal called            RFU 001), and creating a
certificate Database. I have also written a procedure for creating the EC certificates to be followed at KRTC,
and templates for each certificate type.



- EC Certificates procedure

The aim of this part is to explain the procedure that is followed at KEMA RTC for making EC certificates. It
consists of two major steps:

                1. Entering certificate characteristics in the Certificates database


                                      2. Composing the certificates


1. Entering certificate characteristics in the Certificates Database

Key characteristics of issued certificates are centrally logged in the 'Certificates database.

The use of the database (Figure 21) has not only the advantage of enabling an overview of KEMA RTC
certificates; type, date of issue, validity, status, etc, but it allows also a better accuracy when writing them,
thus avoiding errors in typing the certificates (Certificate number and reference for example).




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Jihane Nasseh                                                              Electrical Engineering Department




Figure 21: View of a part of the Database

With the use of filters and a standard way of referencing the certificates, the search for certificates is also
made easier.

Content of the Certificates Database

The following information should be provided in the Certificates Database:

- Project Number
The number that was given to the project from the start.

- Certificate Types
Rail Notified Bodies may issue EC certificates of the following types:
1. Type Examination Certificate (B, SB)
2. Design Examination Certificate (H2, SH2)
4. Quality Management System Approval (D, SD, H1, H2, SH2)*
5. Certificate of Conformity (A1, F, SD, SF, SG, SH2)
7. Suitability for Use Certificate (V)**
8. Intermediate Statement of Verification (SB, SD, SF, SG, SH2)

- Module
The modules for Interoperability Constituents are:
B, SB, H1,H2, SH2, D, SD, A1, F, SF, SG, V.

- SSS: Subsystem concerned
It might be:
• INS Infrastructure
• RST Rolling Stock
• ENE Energy
• CCS Command/Control/Signaling

- Language
Language1: Language of certificate and Technical File (use EU codes)
Language2: Second language of certificate (where used)



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Jihane Nasseh                                                               Electrical Engineering Department




- Constituent/Subsystem certified
It might be for example: EVC, EVC+ATB, ATB, IVC…

- Applicant
The company that made the request of certification, it might be for example Alstom/ Siemens/ Voith/ Vosloh/
SNCB/….

- Certificate validity
Certificate Expiry date.

- Vehicle number
This part should include the serial number of locomotives for which the certificate is valid.

- Status
Not started, in progress, waiting on someone else, Deferred

- Certificate number
A certificate is to be numbered as follows: KRTC/NNNN / T / M / YR / SSS / C1C2 / PN/CN
NNNN: Notified Body Registration Code (provided by EC services), for KRTC it is: 0930
T: Type of certificate – See above
M: Module (SB, SH2 etc.)
YR: Year of first issue
SSS: Subsystem concerned
C1: Language 1
C2: Language 2
PN: Project number
CN: Certificate number; the numbering starts from the first certificate that was delivered, for example, for a
specific project, the first delivered certificate would have number '1', the second '2' and so on.

Example of certificate numbering:
KRTC/0930/2/SH2/2009/CCS/EN/0257/001

- Document reference:

KRTC(PN)_T_M_SSS_ CN_Version

Example:
KRTC257_2_SH2_CCS_1_v1.0



Composing the Certificates
The content of the certificates are in line with RFU_001 Proposal, which indicates the necessary information
that should be included on the certificates.

I have created templates for each EC certificate delivered by KRTC, the Figure 22, shows the first page of
the template of an EC Design Examination Certificate.




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Jihane Nasseh                                                            Electrical Engineering Department




Figure 22: Template of the first page of an EC Design Examination Certificate




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Jihane Nasseh                                                                 Electrical Engineering Department




8             CONCLUSION




During my graduation period at KEMA, I have been able to achieve the main objectives of my assignment,
related to the assessment and certification of the locomotives: BR203, G2000, G1206 and BR189.

 For the technical Files, I have delivered five in total; three complete for the locomotives BR 189 and BR
203, and two partly for the locomotives G2000-G1206 and BR 189, I could also bring some improvements;
the most visible are by adding two chapters to the File, making it more complete.

I have conducted the EC Verification on the Technical Files described above and delivered two Verification
reports, one related to the ETCS On-board assembly on the BR 203 locomotives and another on the Vossloh
G2000- G1206 Locomotives. I have also worked on the update of the verification report related to the
Electrical locomotives BR 189. In general, the On-board assembly showed compliance to the requirements
of the TSI, and EC Certificates were issued, however, some observations remain open and therefore
discussion with Alstom is remaining.

For the EC certificates, I have been working on improving their quality; by making them more compliant to
the requirements, and creating a certificate Database. I have also written a procedure for creating the EC
certificates and templates for each certificate type.

The assessment of the maintenance system is in progress, and planned to be achieved before the end of my
graduation Period.

In general, as it is stated in this report, the main procedure for the assessment is stated in the TSI, however, it
should be noted that this document is not complete and is also subject to changes during the project phase,
leading to ambiguous responsibilities between the parties involved (contractor/operator/NoBo/national
authority) and also ambiguities using the legal requirements.

As a conclusion, ERTMS is a tool to make an integrated, intelligent railway transport system a reality.
Initially, the fragmentation of the European Railways into national systems and solutions has represented a
challenge for the sustainable mobility of European citizens and goods. However, if the railway sector is able
to join forces and integrate the diverse requirements into a flexible and harmonized system, this remarkable
achievement can pave the way for a success wider than the European borders. This appears to be the quality
of ERTMS: to transform weaknesses into strengths.




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Jihane Nasseh                                                               Electrical Engineering Department




9            BIBLIOGRAPHIE

COMPENDIUM ON ERTMS, edited by UIC under the coordination of PETER Winter, Edition 2009, 260
pages.

Jihane Nasseh, Verification Report CCS On Board Assembly in BR 203 Lcomotive Baseline 6.2.0, 15 May
2009
Jihane Nasseh, Verification Report CCS On Board Assembly in G1206-G2000 Locomotives Baseline 3.1.0,
29 May 2009

Jihane Nasseh, Technical File CCS On Board Assembly Baseline 6.2.0 in BR 203 Locomotives, 08 May
2009

Jihane Nasseh, Technical File CCS On Board Assembly Baseline 1.2.0 in BR 189 Mitsui Locomotives
Configuration EVC+ATB

Jihane Nasseh, Technical File CCS On Board Assembly Baseline 4.1.0 in Br189 Mitsui Locomotives
Configuration IVC only

Jihane Nasseh, David Bouman, Technical File CCS On Board Assembly, Baseline 3.1.0 in G2000-G1206
Locomotives

NB-Rail Stratey SG, Content of the Technical File, issue 03, 13 June 2007

NB-Rail Sub-Group Strategy, Content of Issued Certificates, Issue 02, 11/06/2008

CORREL RAIL LTD, Assessment of Maintenance File, Issue 01n 12 July 2006

Commission Decision 2006/679/EC, of 28 March 2006


System Requirements Specification, Subset-026-2, Issue 2.3.0, 24 February 2006

Vincent Passau (Alstom), Hans van Zandvoort (ProRail), UIC ERTMS

Marc Thiry, ERTMS Trainborne Sub-System General Funcitonal Definition and General Technical Design,
Reference : BR203_CRL_DESG_0010 Version 1.5 of 17 December 2008

F. van Damme, System Architecture Description of Mitsui Project, Reference : Mitsui_CRL_DESG_0001,
version 1.4 of 26 May 2008

S.Henrat, K. Zine, Homologation Plan, Reference : Mitsui_CRL_Plan_00013, version 1.0 Draft B of
17/09/07

K. Zine, Specification For Trainborne On-Board Assembly NOBO Process Applicable for Mitsui Project,
Reference : Mitsui_CRL_Spec_0041, Version 1.0 Draft A, 06 October 2007

Aurélie Draguet, Vossloh_1206_G2000, Specific Application Safety Case, Version 3.0, 30 April 2009

Independent Safety Assessment of the ETCS Trainborne Sub-System for Vossloh G1206 and G 2000 Trains,
Version 1.1, April 2009

A New Signalling System for European‟s Trains, CER, March 2007



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Richard Bloomfield, ERTMS Oppotunities in the UK, Network Rail, 16 February 2009

ERTMS-for a cometitive railway, Swedish Rail Administration, Banverket

WS Atkins, Validation & Verification Requirements, Deparmental Standard No : I-SIG-2010 issue 1.0

WS Alkins, Acceptance of Systems, Equipment & Materials for Use, Issue 1.0

Tender ERA/2006/ERTMS/OP/01, Survey of Safety Approvals for the first ERTMS implementations,

Analysis of Potential Interoperability Problems, 14 September 2007




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Jihane Nasseh                                                               Electrical Engineering Department




APPENDIX 1: ASSESSMENT PROCEDURE
The chapter 6.2 of the TSI Decision 2006/679/EC defines the applicable assessment procedure. It is taken
into account that KEMA Rail Transport Certification uses the assessment Module SH2 for this assessment.
The following citation concerning the assessment requirements is taken from § 6.2.1:




Assessment procedures
…
The content of the EC declaration of verification shall conform to Annex V to Directive 2001/16/EC. This
includes the verification of the integration of the interoperability constituents that are part of the assembly;
the tables 6.1 and 6.2 define the characteristics to be verified and reference the mandatory specifications to
be applied.

Some of the specifications in this TSI contain mandatory and/or optional functions. The notified body shall:
   - verify that all mandatory functions required to the Assembly are implemented,
   - verify that all optional functions required by the track-side or on-board specific implementation are
         implemented.

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

Information on the specific implementation of the track-side assembly and on-board assembly shall be
provided in the Register of Infrastructure and in the Register of Rolling Stock in accordance with Annex C.

The EC declaration of verification of track-side assembly or on-board assembly shall provide all the
information required for inclusion in the abovementioned registers. The Registers shall be managed in
accordance with Article 24 of Directive 2001/16/EC.

The EC declaration of verification of on-board and track-side assemblies, together with the certificates of
conformity, is sufficient to ensure that an track-side assembly will operate with a on-board assembly
equipped with corresponding characteristics as defined in the Register of Rolling Stock and in the Register of
Infrastructure without an additional subsystem EC declaration of verification.

Functional integration verification of on-board assembly
The verification is to be made for a control-command on-board assembly installed on a vehicle. For the
control command equipment that is not defined as Class A only the verification requirements associated with
interoperability (for example STM/ERTMS ETCS on-board interface) are included in this TSI.

Before any on-board functional verification can take place, the interoperability constituents included in the
assembly shall have been assessed in accordance with section 6.1 above resulting in an EC declaration of
conformity. The notified body shall assess that they are suitable for the application (e.g. optional functions
implemented).

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

The integration verification tests shall be performed to demonstrate that the components of the assembly
have been correctly interconnected and interfaced to the train to ensure that the required functionality and
performance required for that application of the assembly is achieved. When identical control-command
onboard assemblies are installed on identical items of rolling stock, the integration verification has to be
done only once on one item of rolling stock.

The following shall be verified:
    - correctness of installation of the control-command on-board assembly (e.g. compliance with
         engineering rules, co-operation of interconnected equipment, absence of unsafe interactions and,
         where required, storage of application specific data),



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    -    correctness of operations at the interfaces with rolling stock (e.g. train brakes, vigilance, train
         integrity),
    -    ability to interface with control-command track-side assembly with corresponding characteristics
         (e.g. ETCS application level, optional functions installed),
    -    ability of reading and storing in the safety data recorder all required information (also provided by
         non-ETCS systems, if required).

This verification may be made in a depot.

The verification of the ability of the on-board assembly to interface with a track-side assembly consists of the
verification of the ability to read a certified Eurobalise and (if the functionality is installed on-board)
Euroloop and the ability to establish GSM-R connections for voice and (if the functionality is installed) for
data.

If class B equipment is also included, the notified body shall verify that the integration test requirements
issued by the appropriate Member State have been met.

Conditions for use of Module SH2 for on-board and track-side assemblies
The Module SH2 (full quality management system with design examination) may only be chosen where all
activities contributing to the Subsystem project to be verified (design, manufacturing, assembling,
installation) are subject to a quality system for design, production, final product inspection and testing,
approved and surveyed by a notified body.

Independently of the selected module, the design review includes the verification that the requirements of
section 4.5 (Maintenance rules) of this TSI have been respected.

Independently of the selected module, the provisions of Annex A Index 47, Index A1, and where relevant
Index A2 and Index A3 shall be applied.

With reference to section 4.3 of Module SH2 (full quality management system with design examination), a
type test is required.

With reference to section 5.2 of Module SH2 (full quality management system with design examination),
validation under full operational conditions is defined in the following section (on-board assembly
validation).

On-board assembly validation
For an on-board assembly the validation under full operational conditions shall be a type test. It is
acceptable to be performed on a single instance of the assembly, and shall be performed by means of test
runs with the scope to verify:
     - performances of the Odometry functions,
     - compatibility of the control-command assembly with rolling stock equipment and environment (e.g.
         EMC) in order to be able to multiply the implementation of the On-board assembly on other
         locomotives of the same type,
     - compatibility of the rolling stock with control-command Track-side assembly (e.g. EMC aspects,
         operation of track circuits and axle counters).
Such test runs shall be performed on an infrastructure allowing for verifications in conditions representative
of the characteristics that may be found in the European conventional rail network (e.g. gradients, train speed,
vibrations, traction power, temperature).

If the tests show that the specifications are not achieved in all cases (e.g. TSI compliance only up to a certain
speed), the consequences with regard to compliance with the TSI shall be recorded on the certificate of
conformity and in the rolling stock register.

Assessment of maintenance
The conformity assessment of the maintenance is in the responsibility of a body authorized by the Member
State. The Annex F(of the TSI) describes the procedure by which this body ascertains that maintenance



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arrangements meet the provisions of this TSI and ensure the respect of the basic parameters and essential
requirements during the subsystem lifetime.




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Jihane Nasseh                                                                     Electrical Engineering Department




APPENDIX 2: ASSESSMENT MODULE SH2
Module SH2: Full quality management system with design examination
1. This module describes the EC verification procedure whereby a notified body checks and certifies, at the
   request of an contracting entity or its authorized representative established within the Community, that a
   control-command subsystem:
   - complies with this TSI and any other relevant TSI, which demonstrate that the essential
       requirements1 of Directive 2001/16/EC2 have been met,
   - complies with the other regulations deriving from the Treaty and may be placed in service.

2.   The notified body shall carry out the procedure, including a design examination of the subsystem, under
     the condition, that the contracting entity3 and the main contractors involved are satisfying the
     obligations of point 3.

     The „main contractors‟ refers to companies, whose activities contribute to fulfill the essential
     requirements of the TSI. It concerns:
         - the company responsible for the whole subsystem project (including in particular responsibility
              for subsystem integration),
         - other companies only involved only in a part of the subsystem project (performing for example
              design, assembly or installation of the subsystem).
     It does not refer to manufacturer sub contractors supplying components and interoperability
     constituents.

3.   For the subsystem that is subject of the EC verification procedure, the contracting entity or the main
     contractors, when employed, shall operate an approved quality management system for design,
     manufacture and final product inspection and testing as specified in point 5 and which shall be subject
     to surveillance as specified in point 6.
     The main contractor responsible for the whole subsystem project (including in particular responsibility
     for subsystem integration), must operate in any case an approved quality management system for design,
     manufacture and final product inspection and testing, which shall be subject to surveillance as specified
     in point 6.
     In the case that the contracting entity itself is responsible for the whole subsystem project (including in
     particular responsibility for subsystem integration) or that the contracting entity is directly involved in
     the design and/or production (including assembly and installation), it shall operate an approved quality
     management system for those activities, which shall be subject to surveillance as specified in point 6.
     Applicants which are only involved in assembly and installation, may operate only an approved quality
     management system for manufacture and final product inspection and testing.

4.   EC verification procedure

4.1 The contracting entity must lodge an application for EC verification of the subsystem (through full
     quality management system with design examination), including co ordination of surveillance of the
     quality management systems as in points 5.4 and 6.6, with a notified body of its choice. The
     contracting entity must inform the manufacturers involved of his choice and of the application.
4.2 The application must enable the design, manufacture, assembly, installation, maintenance and
    operation of the subsystem to be understood, and shall enable conformity with the requirements of the
    TSI to be assessed.
    The application must include:
     -   name and address of the contracting entity or its authorized representative,
     -   the technical documentation including:
         o a general description of the subsystem, overall design and structure,
         o the technical design specifications, including European specifications, that have been applied,


1
  The essential requirements are reflected in the technical parameters, interfaces and performance requirements, which
are set out in Chapter 4 of the TSI.
2
  This module could be used in the future when the TSIs of the HS directive 96/48/EC are updated.
3
  In the module, „the contracting entity‟ means „the subsystem contracting entity, as defined in the Directive, or his
authorized representative established within the Community‟.


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Jihane Nasseh                                                                           Electrical Engineering Department



            o    any necessary supporting evidence for the use of the above specifications, in particular where
                 the European specifications and the relevant clauses have not been applied in full.
            o    the test programme
            o    the Infrastructure and/or Rolling Stock (subsystem)Register, including all information as
                 specified in theTSI,
            o    the technical documentation regarding the manufacture, the assembly of the subsystem,
            o    a list of the interoperability constituents to be incorporated into the subsystem,
            o    copies of the EC declarations of conformity or suitability for use with which the constituents
                 must be provided and all the necessary elements defined in annex VI of the Directives,
            o    evidence of conformity to other Regulations deriving from the Treaty (including certificates)
            o    a list of all manufacturers, involved in the subsystem's design, manufacturing, assembly and
                 installation, conditions for use of the subsystem (restrictions of running time or distance, wear
                 limits etc.), conditions for maintenance and technical documentation regarding the
                 maintenance of the subsystem
            o    any technical requirement that must be taken into account during production, maintenance or
                 operation of the subsystem
            o    the explanation, of how all stages, as mentioned in point 5.2, are covered by quality
                 management systems of the mains contractor(s) and/or of the contracting entity, if involved, and
                 the evidence of their effectiveness,
            o    indication of the notified body(ies) responsible for the approval and surveillance of these
                 quality management systems.

4.3 The contracting entity shall present the results of examinations, checking and tests 4, including type tests
    when required, carried out by its appropriate laboratory or on their behalf.

4.4 The notified body must examine the application concerning the design examination and assess the
    results of the tests. Where the design meets the provisions of the Directive and of the TSI that apply to it
    must issue a design examination report to the applicant. The report shall contain the conclusions of the
    design examination, conditions for its validity, the necessary data for identification of the design
    examined and, if relevant, a description of the subsystem's functioning.

      If the contracting entity is denied a design examination report, the notified body must provide detailed
      reasons for such denial.

      Provision must be made for an appeals procedure.


5           Quality management system

    5.1 The contracting entity, if involved, and the main contractors, when employed, must lodge an application for assessment of
    their quality management systems with a notified body of their choice.
            The application must include:
      -     all relevant information for the subsystem envisaged,
      - the quality management system documentation.
      For those only involved in a part of the subsystem project, the information to be provided is only that
      for the relevant part.

5.2 For the contracting entity or the main contractor responsible for the whole subsystem project, the
    quality management system shall ensure overall compliance of the subsystem with the requirements of
    the TSI.

      The quality management system(s), for other main contractor(s), has (have) to ensure compliance of
      their relevant contribution to the subsystem, with the requirements of the TSI.
      All the elements, requirements and provisions adopted by the applicants must be documented in a
      systematic and orderly manner in the form of written policies, procedures and instructions. This quality


      4
          The presentation of the results of the tests can be at the same time as the application or later.



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Jihane Nasseh                                                                            Electrical Engineering Department



      management system documentation shall ensure a common understanding of the quality policies and
      procedures such as quality programmes, plans, manuals and records.

      The system must contain in particular an adequate description of the following items :
      -    for all applicants:
           o the quality objectives and the organizational structure,
           o the corresponding manufacturing, quality control and quality management techniques,
               processes and systematic actions that will be used,
           o the examinations, checking and tests that will be carried out before, during and after design,
               manufacture, assembly and installation and the frequency with which they will be carried out,
           o the quality records, such as inspection reports and test data, calibration data, qualification
               reports of the personnel concerned, etc.,
      - for the main contractors, as far as relevant for their contribution to the design of the subsystem:
           o the technical design specifications, including European specifications 5, that will be applied
               and, where the European specifications will not be applied in full, the means that will be used
               to ensure that the requirements of the TSI that apply to the subsystem will be met,
           o the design control and design verification techniques, processes and systematic actions that
               will be used when designing the subsystem
           o the means to monitor the achievement of the required design and subsystem quality and the
               effective operation of the quality management systems in all phases including production.

      -   and also for the contracting entity or the main contractor responsible for the whole subsystem
          project:
           o responsibilities and powers of the management with regard to overall subsystem quality,
               including in particular the subsystem integration management.

      The examinations, tests and checking shall cover all of the following stages:
      - overall design,
      - structure of the subsystem, including, in particular, civil-engineering activities, constituent
         assembly, final adjustment,
      - final testing of the subsystem,
      - and, where specified in the TSI, the validation under full operation conditions.

5.3   The notified body chosen by the contracting entity must examine, if all stages of the subsystem as mentioned in point 5.2 are
      sufficiently and properly covered by the approval and surveillance of the quality management system(s) of the applicant(s) 6


      If the compliance of the subsystem with the requirements of the TSI is based on more than one quality
      management system, the notified body shall examine in particular,
      - if the relations and interfaces between the quality management systems are clearly documented
      - and if overall responsibilities and powers of the management for the compliance of the whole entire
           subsystem for the main contractor are sufficiently and properly defined.

5.4 The notified body referenced in point 5.1 must assess the quality management system to determine
    whether it satisfies the requirements of point 5.2. It presumes compliance with these requirements if the
    manufacturer implements a quality system for design, production, final product inspection and testing
    in respect of the harmonised standard EN/ISO 9001/2000, which takes into consideration the specificity
    of the interoperability constituent for which it is implemented.

      When an applicant operates a certified quality management system, the notified body shall take this into
      account in the assessment.

      The audit shall be specific for the subsystem concerned, taking into consideration the specific
      contribution of the applicant to the subsystem. The auditing team must have at least one member
      experienced as an assessor in the subsystem technology concerned.

5
 The definition of an European specification is indicated in Directives 96/48/EC and 2001/16/EC and in the
guidelines for application of HS TSIs.
6
 For the rolling stock TSI, the notified body may participate to the final in service test of rolling stock or train set in the
conditions specified in the relevant chapter of the TSI.


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Jihane Nasseh                                                                Electrical Engineering Department




        The evaluation procedure shall include an assessment visit to the applicant's premises.

        The decision must be notified to the applicant. The notification must contain the conclusions of the
        examination and the reasoned assessment decision.

5.5 The contracting entity, if involved, and the main contractors shall undertake to fulfil the obligations
    arising out of the quality management system as approved and to uphold it so that it remains adequate
    and efficient.

        They must keep the notified body that has approved their quality management system informed of any
        significant change that will affect the fulfilment of the requirements by the subsystem.

        The notified body must evaluate any modifications proposed and decide whether the amended quality
        management system will still satisfy the requirements of point 5.2 or whether a reassessment is
        required.

        It shall notify its decision to the applicant. The notification shall contain the conclusions of the
        examination and the reasoned assessment decision.


6          Surveillance of the quality management system(s) under the responsibility of the notified body

    The purpose of surveillance is to make sure that the contracting entity, if involved, and the main
     contractors duly fulfill the obligations arising out of the approved quality management system(s).

    The contracting entity, if involved, and the main contractors must send the notified body referenced in
     point 5.1. (or have sent) all the documents needed for that purpose and in particular the implementation
     plans and technical records concerning the subsystem (as far as relevant for the specific contribution of
     the applicant to the subsystem), including:

    -      the quality management system documentation, including the particular means implemented to
           ensure that:

           o for the contracting entity or the main contractor, responsible for the whole subsystem project,
             overall responsibilities and powers of the management for the compliance of the whole entire
             subsystem are sufficiently and properly defined,
           o for each applicant, the quality management system is correctly managed for achieving
             integration at subsystem level,

    -      the quality records as foreseen by the design part of the quality management system, such as results
           of analyses, calculations, tests, etc.,

    -      the quality records as foreseen by the manufacturing part (including assembly, installation and
           integration) of the quality management system, such as inspection reports and test data, calibration
           data, competency records of the personnel concerned, etc.

6.3 The notified body must periodically carry out audits to make sure that the contracting entity, if involved,
    and the main contractors maintain and apply the quality management system and shall provide an audit
    report to them. When they operate a certified quality management system, the notified body shall take
    this into account in the surveillance.

    The frequency of the audits shall be at least once a year, with at least one audit during the time period
    of performing the relevant activities (design, manufacture, assembly or installation) for the subsystem
    being the subject of the EC verification procedure mentioned in point 7.
6.4 Additionally the notified body may pay unexpected visits to the sites mentioned in point 5.2 of the
    applicant(s). At the time of such visits, the notified body may conduct complete or partial audits and


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Jihane Nasseh                                                               Electrical Engineering Department



     may carry out or cause to be carried out tests in order to check the proper functioning of the quality
     management system where necessary. It must provide the applicant(s) with an inspection report and,
     audit and/or test reports as appropriate.

6.5 The notified body chosen by the contracting entity and responsible for the EC verification, if not
    carrying out the surveillance of all the quality management system(s) concerned as under point 5, must
    co ordinate the surveillance activities of any other notified bodies responsible for that task, in order:
    - to be ensured that correct management of interfaces between the different quality management
        systems relating to subsystem integration has been performed,
    - to collect, in liaison with the contracting entity, the necessary elements for the assessment to
        guarantee the consistency and the overall supervision of the different quality management systems.

     This coordination includes the right of the notified body:
     -   to receive all documentation (approval and surveillance), issued by the other notified body(s)
     -   to witness the surveillance audits as in point 5.4,
     -   to initiate additional audits as in point 5.5 under its responsibility and together with the other
         notified body(s).


2.   The notified body as referenced under point 5.1. must have entrance for inspection purposes, audit and
     surveillance to the locations of design, building sites, production workshops, locations of assembly and
     installation, storage areas and, where appropriate, prefabrication or testing facilities and, more
     general, to all premises which it considers necessary for its task, in accordance with the applicant's
     specific contribution to the subsystem project.


3.   The contracting entity, if involved, and the main contractors must, for a period of 10 years after the last
     subsystem has been manufactured, keep at the disposal of the national authorities:
     - the documentation referenced in the second indent of the second subparagraph of point 5.1,
     - the updating referenced in the second subparagraph of point 5.5,
     - the decisions and reports from the notified body which are referenced in the points 5.4, 5.5 and 6.4.


4.   Where the subsystem meets the requirements of the TSI, the notified body must then, based on the design
     examination and the approval and surveillance of the quality management system (s), draw up the
     certificate of conformity intended for the contracting entity, who shall in turn draw up the EC
     declaration of verification intended for the supervisory authority in the Member State within which the
     subsystem is located and/or operates.

     The EC declaration of verification and the accompanying documents must be dated and signed. The
     declaration must be written in the same language of the technical file and must contain at least the
     information included in Annex V of the Directive.

5.   The notified body chosen by the contracting entity shall be responsible for compiling the technical file
     that has to accompany the EC declaration of verification. The technical file shall include at least the
     information indicated in Article 18(3) of the Directive, and in particular as follows:
     - all necessary documents relating to the characteristics of the subsystem,
     - the list of interoperability constituents incorporated into the subsystem,
     - copies of the EC declarations of conformity and, where appropriate, of the EC declarations of
         suitability for use, which the constituents must be provided in accordance with Article 13 of the
         Directive, accompanied, where appropriate, by the corresponding documents (certificates, quality
         management system approvals and surveillance documents) issued by the notified bodies on the
         basis of the TSI.
     - evidence of conformity to other regulations deriving from the treaty (including certificates),
     - all elements relating to the maintenance, the conditions and limits for use of the subsystem,
     - all elements relating to the instructions concerning servicing, constant or routine monitoring,
         adjustment and maintenance,
     - certificate of conformity of the notified body as mentioned under point 9, accompanied by
         corresponding calculation notes and countersigned by itself, stating that the project complies with

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Jihane Nasseh                                                               Electrical Engineering Department



         the Directive and the TSI, and mentioning, where appropriate, reservations recorded during
         performance of the activities and not withdrawn. The certificate should also be accompanied, if
         relevant, by the inspection and audit reports drawn up in connection with the verification, as
         mentioned in points 6.4 and 6.5;
     -   the Infrastructure and/or Rolling Stock (subsystem) Register, including all information as specified
         in the TSI.


6.   Each notified body must communicate to the other notified bodies the relevant information concerning
     the quality management system approvals and the EC design examination reports, which it has issued,
     withdrawn or refused.

     The other notified bodies may receive on request copies of:
     - the quality management system approvals and additional approvals issued and
     - the EC design examination reports and additions issued.


7. The records accompanying the certificate of conformity must be lodged with the contracting entity.

     The contracting entity must keep a copy of the technical file throughout the service life of the subsystem;
     it must be sent to any other Member State which so requests.




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Jihane Nasseh                                                             Electrical Engineering Department




APPENDIX 3: TSI TABLE 6.1
In this assessment the table 6.1 of the Decision 2006/679/EC provides the structure of the characteristics of
the CCS On Board Assembly to be assessed and the Annex A of the Decision 2006/860/EC (TSI 2006)
provides the technical and functional requirements to be complied with. The Annex A of TSI 2006 gives both
the mandatory (UNISIG) specifications and the mandatory European Specifications. In the overview below
these categories have been split over 2 distinct tables.


The Table 1 Applicable indexes according to Table 6.1 of TSI 2006 (see next pages) gives an overview of all
mandatory (UNISIG) specifications. This list has been constructed on the basis of the Decisions
2006/679/EC, 2006/860/EC, 2007/153/EC, 2008/386/EC and 2004/447/EC. At the end the specifications
derived from TSI Decision 2006/379/EC, indicated as “TSI 2006” in the table are used as the reference for
the assessment.

The Table 6 List of mandatory European specifications from TSI 2006 gives the overview of the mandatory
European specifications that are listed in the Annex A of the Decision 2006/860/EC (TSI 2006).




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Jihane Nasseh                                                          Electrical Engineering Department



                                         Chapter                            Index Annex             Version                 Version                    Version
                                          from                                   A                     TSI     Version TSI 2006/860/EC    Version         TSI
                                           TSI                                  TSI      UNISIG 2004/447/EC      TSI                        TSI      2008/386/EC
Number    Description        Remarks   2006/679/EC      Characteristic      2006/679/EC Subset = TSI 2004 2006/679/EC                   2007/153/EC
                        Safety                                                                                         Reserved                     -
1        Safety         requirements   4.2.1         Safety                 47          Reserved -          -                          -
                                                     THR                    27          091      2.2.2      2.2.11     2.2.11          2.2.11       2.2.11
                                                                                                                       -                            Intentionally
                                                     Reliability and
                                                                                                                                                    deleted
                                                     Availability           28          Reserved -          -                          -
                                                                                                                       2.1.0                        2.1.0
         On-Board ETCS ERTMS/ETCS On-
2        functionality Board IC       4.2.2          Safety                 14           041      2.0.0      2.1.0                           2.1.0
                                                                            1            FRS ETCS 4.29       4.29        4.29                4.29            5.0
                                                                            2            99E5362 2.0.0       2.0.0       2.0.0               2.0.0           -
                                                                            4            026      2.2.2      2.2.2       2.2.2               2.3.0           2.3.0
                                                                            13           040      2.0.0      2.1.0       2.0.0               2.0.0           2.0.0
                                                                            23           054      2.0.0      2.0.0       2.0.0               2.0.0           2.0.0
                                                                                                                         Intentionally                       Intentionally
                                                                                                                                             Intentionally
                                                                                                                         deleted                             deleted
                                                                            24           -          -        -                               deleted
                                                                            53           -          -        -           Reserved            Reserved        Reserved
                                                                                                                         2.3.0                               2.4.1
                                                     Eurobalise reception 9              036        2.2.1    2.3.0                           2.3.0
                                                                          36             074-2      -        -           1.0.0               1.0.0           1.0.0
                                                                            43           085        2.1.2    2.1.2       2.1.2               2.1.2           2.2.2
                                                                                                                         1.0.0                               1.2.0
                                                     Euroloop reception     15           108        -        1.0.0                           1.1.0
                                                                                                                         2.2.0 conditioned                   2.2.0
                                                                                                                         to CEPT approval
                                                                            16           044        -        2.2.0       of the frequency    2.2.0
                                                                            50           103        -        -           Reserved            Reserved        Reserved
                                                     Radio reception        10           037        2.2.5    2.3.0       2.3.0               2.3.0           2.3.0
                                                                            11           05E537     -        -           -                   Reserved        Reserved
                                                                            12           039        2.0.0    2.1.2       2.1.2               2.1.2           2.1.2




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                                                                         18           046        2.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                         19           047        2.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                                                                 Intentionally                   Intentionally
                                                                                                                                 Intentionally
                                                                                                                 deleted                         deleted
                                                                         22           -          -       -                       deleted
                                                                         39           092-1      2.2.5   2.2.5   2.2.5           2.2.5           2.2.5
                                                                         40           092-2      2.2.5   2.2.5   2.2.5           2.2.5           2.2.5
                                                                                                                 Reserved                        Reserved
                                                  Communicating with
                                                  the driver         51               -          -       -                       Reserved
                                                                                                                 2.1.1                           2.1.1
                                                  Communicating with
                                                  the STM's          8                035        2.1.1   2.1.1                   2.1.1
                                                                     25               056        2.2.0   2.2.0   2.2.0           2.2.0           2.2.0
                                                                     26               057        2.2.0   2.2.0   2.2.0           2.2.0           2.2.0
                                                                     36               074-2      -       -       1.0.0           1.0.0           1.0.0
                                                                         52           058        2.1.1   2.1.1   2.1.1           2.1.1           2.1.1
                                                                                                                 2.0.0                           2.0.0
                                                  Automatic Train
                                                  Protection and Cab
                                                  Signaling          6                033        2.0.0   2.0.0                   2.0.0
                                                                     7                034        2.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                     31               094        1.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                     37               076-5-2    2.2.1   2.2.2   2.2.2           2.2.2           2.2.2
                                                                     37               076-6-3    1.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                         37           076-7      1.0.0   1.0.0   1.0.0           1.0.0           1.0.0
                                                  Data recording         5            027        2.0.0   2.2.9   2.2.9           2.2.9           2.2.9
                                                                         41           028        -       -       Reserved        Reserved        Reserved
                                                                         55           -          -       -       Reserved        Reserved        Reserved
                                                                                                                 Intentionally                   Intentionally
                                                                                                                                 Intentionally
                                                                                                                 deleted                         deleted
                                                  Vigilance function     42           -          -       -                       deleted
                     Vigilance                                                                                   -                               -
                     Supervision       4.3.1.9    Driver Vigilance       -            -          -       -                       -
                                       4.3.2.11   Driver Vigilance       -            -          -       -       -               -               -
                     Train Integrity   4.3.2.8    Data interfaces        7            034        2.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                                      EIRENE                     15                              15
                                                                         33           SRS        14      15                      15




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                                                                                                                 7                               7
        EIRENE        ERTMS/GSM-R                  Voice and Data                     EIRENE
3       Functions     on- board IC       4.2.4     communication         32           FRS        7       7                       7
                                                                                      EIRENE                     15                              15
                                                                         33           SRS        14      15                      15
                                                                         48           -          -       -       Reserved        Reserved        Reserved
                                                                                                                 Intentionally                   Intentionally
                                                                                                                                 Intentionally
                                                                                                                 deleted                         deleted
                                                                         54           -          -       -                       deleted
                                                                                                                 2.3.0                           2.3.0
        ETCS and       ERTMS/ETCS and              Radio
        EIRENE air gap ERTMS/GSM-R                 communication with
4       interfaces     on-board ICs   4.2.5        the train          10              037        2.2.5   2.3.0                   2.3.0
                                                                      18              046        2.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                      19              047        2.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                      39              092-1      2.2.5   2.2.5   2.2.5           2.2.5           2.2.5
                                                                      40              092-2      2.2.5   2.2.5   2.2.5           2.2.5           2.2.5
                                                                                                                 2.3.0                           2.4.1
                                                   Eurobalise and
                                                   Euroloop
                                                   communication with
                                                   the train          9               036        2.2.1   2.3.0                   2.3.0
                                                                      43              085        2.1.2   2.1.2   2.1.2           2.1.2           2.2.2
                                                                      16              044        -       2.2.0   2.2.0           2.2.0           2.2.0
                                                                         50           103        -       -       Reserved        Reserved        Reserved
                                                                                                                 Reserved
        Key           Security policy for
5       management    key management 4.2.8         Key management        11           05E537     -       -                       Reserved        Reserved
                                         4.3.1.7   Key management        -            -          -       -       -               -               -
                                                                                                                 2.0.0                           2.0.0
        ETCS-ID       Policy for ETCS-ID           ETCS-ID
6       management    management         4.2.9     management            23           054        2.0.0   2.0.0                   2.0.0
                                                                         53           -          -       -       Reserved        Reserved        Reserved
7       Interfaces    STM                4.2.6.1   STM                   4            026        2.2.2   2.2.2   2.2.2           2.3.0           2.3.0
                                                                         8            035        2.1.1   2.1.1   2.1.1           2.1.1           2.1.1
                                                                         25           056        2.2.0   2.2.0   2.2.0           2.2.0           2.2.0
                                                                         26           057        2.2.0   2.2.0   2.2.0           2.2.0           2.2.0
                                                   K-interface           45           101        -       1.0.0   1.0.0           1.0.0           1.0.0




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                                                                                                                 2.2.2                           2.3.0
                     ERTMS/GSM-R
                     on- board           4.2.6.2    ETCS/GSM-R           4            026        2.2.2   2.2.2                   2.3.0
                                                                         7            034        2.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                         20           048        2.0.0   2.0.0   2.0.0           2.0.0           2.0.0
                                                                                                                 Intentionally                   Intentionally
                                                                                                                                 Intentionally
                                                                                                                 deleted                         deleted
                                                                         22           -          -       -                       deleted
                                                                         34           A11T6001 12        12      12              12              12
                     Odometry            4.2.6.3    Odometry             44           -          -       -       Reserved        Reserved        Reserved
                                         4.3.2.12   Odometry             -            -          -       -       -               -               -
                     ETCS DMI            4.2.13     ETCS DMI             51           -          -       -       Reserved        Reserved        Reserved
                     EIRENE DMI          4.3.1.2    ETCS DMI             -            -          -       -       -               -               -
                                                                                      EIRENE                     7                               7
                                         4.2.14     EIRENE DMI           32           FRS        6       7                       7
                                                                                      EIRENE                     15                              15
                                                                         33           SRS        14      15                      15
                                                                         51           -          -       -       Reserved        Reserved        Reserved
                                         4.3.1.3    EIRENE DMI           -            -          -       -       -               -               -
                                                                                                                 2.2.2                           2.3.0
                     Interface to data              Interface to data
                     recorder            4.2.15     recorder             4            026        2.2.2   2.2.2                   2.3.0
                                                                         5            027        2.0.0   2.2.9   2.2.9           2.2.9           2.2.9
                                                                         41           028        -       -       Reserved        Reserved        Reserved
                                                                         55           -          -       -       Reserved        Reserved        Reserved
                                                                                                                 -
                                                    Interface to data
                                         4.3.1.4    recorder             -            -          -       -                       -               -
                                                                                                                 -
                                                    Interface to data
                                         4.3.2.13   recorder             -            -          -       -                       -               -
                                                                                                                 -
                     Train braking                  Train braking
                     performance         4.3.1.5    performance          -            -          -       -                       -               -
                                                                                                                 -
                                                    Train braking
                                         4.3.2.3    performance          -            -          -       -                       -               -
                                                                                                                 -
                                                    Isolation of ETCS
                     Isolation           4.3.1.6    on-board             -            -          -       -                       -               -




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                                                                                                                      -
                                                       Isolation of ETCS
                                          4.3.2.7      on-board               -            -          -       -               -       -
                                                                                                                      -
                       Antennae                        Position of on-board
                       installation       4.3.2.4      antennae             -              -          -       -               -       -
                                                                                                                      2.2.2           2.3.0
                                                       Physical
                       Environmental                   environmental
                       conditions         4.3.2.5      conditions             4            026        2.2.2   2.2.2           2.3.0
                       EMC                4.3.2.6      EMC                    6            033        2.0.0   2.0.0   2.0.0   2.0.0   2.0.0
                                                                              9            036        2.2.1   2.3.0   2.3.0   2.3.0   24.1
                       Data interfaces    4.3.2.8      Data interfaces        7            034        2.0.0   2.0.0   2.0.0   2.0.0   2.0.0
                                                                                           EIRENE                     15              15
                                                                              33           SRS        14      15              15
                                          4.3.2.11     Driver Vigilance       -            -          -       -       -       -       -
                                          4.3.1.9      Driver Vigilance       -            -          -       -       -       -       -



Table 1 Applicable indexes according to Table 6.1 of TSI 2006




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Index from          Mandatory European          Document Name and               Version
Annex A             Standards                   comments
Decision
2006/860/EC
A1                  EN 50126                    Railway application- The        1999
                                                specification and
                                                demonstration of reliability,
                                                availability, maintainability
                                                and safety (RAMS)
A2                  EN 50128                    Railway applications-           2001
                                                Communication, signaling
                                                and processing systems –
                                                Software for railway control
                                                and protection systems
A3                  EN 50129                    Railway applications-           2003
                                                Communication, signaling
                                                and processing systems-
                                                Safety related electronic
                                                systems for signaling
A4                  EN 50125-1                  Railway applications-           1999
                                                Environmental conditions
                                                for equipment- Part 1:
                                                equipment on board rolling
                                                stock
A5                  EN 50125-3                  Railway applications-           2003
                                                Environmental conditions
                                                for equipment- Part 3
                                                equipment for signaling and
                                                telecommunications
A6                  EN 50121-3-2                Railway applications-           2000
                                                Electromagnetic
                                                compatibility- Part 3-2:
                                                Rolling stock – Apparatus
A7                  EN 50121-4                  Railway applications-           2000
                                                Electromagnetic
                                                compatibility- Part 4:
                                                Emission and immunity of
                                                the signaling and
                                                telecommunications
                                                apparatus
A8                  EN 50238                    Railway applications-           2003
                                                Compatibility between
                                                rolling stock and train
                                                detection systems




 Table 2 List of mandatory European specifications from TSI 2006



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APPENDIX 4: GANTT




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APPENDIX 5: TESTPLAN BR 189 KRTC 337
Data:                                   NTB 2009
Tijd:                                   NTB
Materieel:                              BR189 losse loc
Vervoerder/Spoorwegonderneming:         Railion
Baanvak:                                Havenspoorlijn tussen Barendrecht en Pernis
Documentnummer:                         KEMA/RTC/0337/TSTSCN00002

            CONTEXT
Op de Havenspoorlijn moeten testen uitgevoerd worden met verschillende doelen. Ten eerste voor de
toelating van de BR189 met softwareversie 4.9.0.3 op de OBU van Alstom. Ten tweede is er sprake
van testen in het kader van de baan trein integratie (remcurve t.o.v. baliseposities). Hieronder zijn
deze testen apart weergegeven met informatie over de concrete invulling hiervan.


            TOELATINGSTESTEN
Voorgenomen testen ten behoeve van de toelating gedurende deze beproevingsrit zijn:
      Title                                     Location       Time               Risk
1     Test of the emergency brake;              Tussen sein    NTB +0.00          Normal
      Het testen van de noodrem.                P3078 en P
                                                3068, minimaal
                                                400 meter van
                                                de seinen af.
2     Standstill supervision with open cabin;   Tussen sein    NTB +0.03          Normal
      Stilstaan zonder cabine te kiezen.        P3078 en P
      Machine mag niet gaan rollen.             3068, minimaal
                                                400 meter van
                                                de seinen af.
3     Roll away protection (RAP) in FS mode; Tussen sein       NTB +0.10          Normal
      Wegrolbeveiliging achterwaarts in full    P3078 en P
      supervision stand.                        3068, minimaal
                                                400 meter van
                                                de seinen af.
4     Recording the isolation switch status for Opname         Gehele testrit     Normal
      juridical purposes and indicating the     gedurende de
      isolation status of the driver;           hele test
      Het opnemen (vastleggen) van de
      isolatieschakelaarstatus voor juridische
      doeleinden en hierin (in de logging)
      aangeven wat de status van de
      stuurtafel is.
5     Not possible to release the application   Tussen sein    NTB +0.17          Normal
      of the emergency brake in SF mode;        P3078 en P     (herstart
      Onderzoeken of het niet mogelijk is de    3068, minimaal systeem
      noodrem te beïnvloeden vanuit SF          400 meter van  ingecalculeerd)
      stand.                                    de seinen af.
6     Speed supervision in FS mode and or       Tussen het     NTB +0.20          Normal
      SR mode;                                  stopmoment na (niet stoppen)
      Het monitoren van de snelheidsmeter in sein P3078 en
      full supervision stand en/of staff        sein 3052.
      responsible (rijden op zicht) stand.
7     Reverse movement protection (RMP) in Tussen sein         Wordt              Normal
      FS mode;                                  P3068 en       tegelijkertijd
      Achterwaartse beweging beveiliging in     3052, minimaal getest met test
      stand full supervision.                   400 meter van  nummer 3.
                                                de seinen af.
8     I/O test;                                 Op             NTB                Normal

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      Input output signaaltest.                   emplacement
                                                  Kijfhoek voor
                                                  vertrek.
9     EB Performances;                            P3068 en           Dit wordt          Normal
      Controleren of de elektronische rem         3052, minimaal     tegelijkertijd
      goed functioneert.                          400 meter van      getest met test
                                                  de seinen af.      5.
10    Start of mission in SN with Daily tests;    Op                 NTB                Normal
      Opstarten in ATB met alle normale           emplacement
      dagelijkse controles (statische             Kijfhoek voor
      remproeven etc.)                            vertrek.
11    Start of mission in Level 2 with Daily      Op                 NTB                Normal
      tests;                                      emplacement
      Opstarten in Level 2 met alle normale       Kijfhoek voor
      dagelijkse controles (statische             vertrek.
      remproeven etc.)
12    Start of mission in level STM without       Op                 NTB                Normal
      Daily tests;                                emplacement
      Opstarten in ATB zonder alle normale        Kijfhoek voor
      dagelijkse controles (statische             vertrek.
      remproeven etc.)
14    Start of mission in SN with INAT            Op                 NTB                Normal
      function inactive at standstill;            emplacement
      Opstarten in ATB met de INAT functie        Kijfhoek voor
      inactief. INAT is interface tussen ETCS     vertrek.
      en ATB.
15    Start of mission in Level 2 without Daily   Op                 NTB                Normal
      tests;                                      emplacement
      Opstarten in Level 2 zonder alle            Kijfhoek voor
      normale dagelijkse controles (statische     vertrek.
      remproeven etc.)
19    Dynamic transition from ETCS to             Tijdstip in        Plaats wordt       Normal
      national system;                            overleg met        nog gemeld
      Dynamische transitie van ETCS naar          Keyrail            tijdens briefing
      ATB.                                                           met ProRail
20    During a dynamic transition from ETCS       Bij test 19        Bij test 19        Normal
      to national system, the driver doesn’t                                            (wel briefing
      acknowledge the change of the                                                     nodig)
      transition;
      Tijdens dynamische transitie niet
      bevestigen van de overgang van ETCS
      naar ATB.
21    Dynamic transition from a national          Bij test 19        Bij test 19        Normal
      system to ETCS, the driver doesn’t
      acknowledge the change of transition;
      Transitie van ATB naar ETCS zonder
      bevestiging van de machinist.
22    Transition between the handing over         NVT
      RBC and the accepting
23    Change of cab in level 2;                   Op                 NTB                Normal
      Cabinekeuze schakelen in Level 2.           emplacement
                                                  Kijfhoek voor
                                                  vertrek.
26    Overpass the end of authority;              Voor sein 3066.    Gedurende de       Normal
      End of authority trachten voorbij te        Voorwaarde is      heenrit van
      rijden.                                     dat de trdl blok   Kijfhoek naar
                                                  3066 tot 3076      Pernis. Tijdstip
                                                  in kan trekken     NTB in overleg
                                                  (en daar dus       met trdl.
                                                  geen andere

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                                                   trein zich
                                                   bevindt)
28     Shortening of MA when train data are        Voor sein 3066.     Gedurende de       Normal
       modified;                                   Voorwaarde is       heenrit van
       Inkorten van de rijweg na aanpassen         dat de trdl blok    Kijfhoek naar
       treindata.                                  3066 tot 3076       Pernis. Tijdstip
                                                   in kan trekken      NTB in overleg
                                                   (en daar dus        met trdl.
                                                   geen andere
                                                   trein zich
                                                   bevindt)
                                                   Rempercentage
                                                   mag niet hoger
                                                   zijn dan 100%.
29     Disconnection of the Train Record Unit      Tussen sein         NTB +0.XX          Normal
       (TRU);                                      P3078 en P          (herstart
       Losmaken van de verbinding met de           3068, minimaal      systeem
       TRU.                                        400 meter van       ingecalculeerd)
                                                   de seinen af.
30     Switch in normal with EVC isolated and      Op                  NTB                Normal
       ATB isolated;                               emplacement
       Schakelaar in normal met ATB en EVC         Kijfhoek voor
       geïsoleerd.                                 vertrek.
31     Dynamic transition from national system     Bij test 19         Bij test 19        Normal
       to ETCS with switch in “Normal’ mode
       and EVC isolated;
       Transitie van ATB naar ETCS met
       ETCS uitgeschakeld.
32     Dynamic transition from ETCS to an          Bij test 19         Bij test 19        Normal
       inactive national system outside an STM
       zone with acknowledgement of Level 0
       transition;
       Transitie van ETCS naar ATB met ATB
       uitgeschakeld.
34     Control of the Eurobalise antenna state     Op                  NTB                Normal
       by EVC;                                     emplacement
       Eurobalise antenne laten controleren        Kijfhoek voor
       door de EVC.                                vertrek. Op
                                                   emplacement
                                                   Kijfhoek voor
                                                   vertrek.

NVT: komt niet in deze beproevingsrit niet voor.
NTB: Tijdstip en locatie nader te bepalen, info volgt in testplan.
Normal: Risico is kleiner of gelijk aan risico’s bij rijden volgens normaal vervoerproces.

         BAAN TREIN INTEGRATIETESTEN
Voorgenomen testen in het kader van de baan trein integratie zijn:

       Title                                       Location            Time               Risk
1      Met stopwatch monitoren van remcurve        NTB                 NTB                Normal
       naar V=0
2      Met stopwatch monitoren van remcurve        NTB                 NTB                Normal
       naar V=80
3      Met stopwatch monitoren van remcurve        NTB                 NTB                Normal
       naar V=60
4      Met stopwatch monitoren van remcurve        NTB                 NTB                Normal
       naar V=40


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APPENDIX 6: OBSERVATIONS



 Observation Identification:                                                                      Observation #2
 Client:                     Alstom Belgium SA
 Project:                    NoBo for BR203 locomotive
 Subject:                    Odometry solution
 KRTC: Details of Observation
 Description by KEMA Rail Transport Certification of comments:

     1.   In the ISA report of the ETCS Trainborne Sub-System, realized by Arthur D Little on March 2009
          (Reference: Alstom/P09000045/004rep, version 1.2, chapter 2), it is stated: '' It should be noted that
          the ERTMS CORE SDMU normally assumes that the associated wheel speed sensors are installed on
          independent axles. However, on the BR203 locomotive, Alstom have installed such sensors on
          mechanically-linked (and therefore dependent) axles. In order to mitigate the associated risks of
          distance underestimation when the train wheels may be sliding, Alstom have modified the ERTMS
          CORE SDMU algorithms:
               a. The Algorithms inhibit one of the wheel sped sensors when in the nominal configuration
               b. However, if the radar sensor is unavailable, the second wheel speed sensor is activated and
                   a margin of 30% is added to the distance calculation''

 The ISA has expressed its concern about completion of the following actions:
                             Clarification of the sufficiency of the tests that had been conducted
                             Demonstration of the adequacy of the 30% margin to allow for the worst-case
                             Odometric error when both wheel speed sensors (installed on mechanically
                             linked axles) are used by the CORE SDMU algorithm.

 Can Alstom inform us about the completion of these actions and has this provided the assurance that in
 sliding/ slipping situation, when the radar sensor is unavailable:

     -    The sliding/Slipping of wheels is well detected
     -    The 30% margin is adequate

     2.   Is the 30% margin added to the distance calculated for the braking curves, by the most recent
          parameters? (Reference: BR203_CRL_GUID_0008_APPA_20090105)

     3.   In the ETCS Architecture (seen in chapter 1.2 of the Specific Application Safety Case, reference:
          BR203_CRL_RAMS_0029, version 4.1 of 23/01/2009), the accelerometer sensor appears to be used,
          however its role is not defined in the SASC, especially for the safety integrity level of the Odometry
          solution.
          Can you inform us about the role and influence of the accelerometer with respect to the safety.




 Signed:                          J. Nasseh                 Date:                                  03/04/2009
 Alstom: Initial Response: Accepted / Not Accepted
 KRTC: Action Completed
 Motivation when KEMA Rail Transport Certification is satisfied with reaction from Alstom


 3. Referring to the meeting held in Alstom Charleroi on 23 April 2009, the question 3 was answered by the
 fact that the accelerometer is indeed used and plays a role in the detection of the sliding/ Slipping situation

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 and that it is used besides the wheel sensor in order to have a better accuracy of the Odometric information.

 Can Alstom confirm this information and provide an answer to the questions 1 and 2.


 Signed:                          J. Nasseh                    Date:                            27/04/2009
 Alstom: Action Proposed / Reason for Non-Acceptance
 Reaction from Alstom to given comments



 Signed:                        ____________                Date:                               ________
 KRTC: Action Completed
 Motivation when KEMA Rail Transport Certification is satisfied with reaction from Alstom



 Signed:                             ____________              Date:                            ________




 Observation Identification:                                                                   Observation # 3
 Client:                    Alstom Belgium SA
 Project:                   NoBo for BR203 locomotive
 Subject:                   GATC Trainborne Sub-System Safety Case
                            (GATC_BSI_RAMS_0040_V12.0)
 KRTC: Details of Observation
 Description by KEMA Rail Transport Certification of comments:

 Page 234, § 4.5.1.2.2.1.(d):
               1. Can Alstom confirm that the SDMU Odometric Sub-System is still applicable to this
               ERTMS application Project.
               2. What is the deadline in which the results of the ''Environmental Constraint and Type Tests''
               (refer to section § 3.7.3.1.4.(a)(2)(i)) performed by the GATC Project will be validated, using
               the appropriate Odometric Sub-System, in order to meet the worst case environmental
               constraints applicable to the ERTMS Application Project.




 Signed:                        J. Nasseh                   Date:                               02-04-2009
 KRTC: Action Completed
 Motivation when KEMA Rail Transport Certification is satisfied with reaction from Alstom




 Referring to the meeting held in Alstom Charleroi on 23 April 2009, it was stated that:

 1. The SDMU Odometric Sub-System is still applicable to this ERTMS application Project
 2. Odometric site tests were done on September 2008 using the software version 4.9.0.A2, for the software
 version 5.2.0 the test registrations were used for testing on laboratory the Odometry (Reference:
 BR203_CRL_TREP_0074_4.0), however it is to be noted that two tests failed, related to the slipping and
 sliding conditions:

 - CR ALPHA00109242


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 - CR ALPHA00109982

 Can Alstom confirm the above statement.



 Signed:                          J. Nasseh                     Date:                             27-04-2009
 Alstom: Initial Response: Accepted / Not Accepted
 Alstom: Action Proposed / Reason for Non-Acceptance
 Reaction from Alstom to given comments


 Signed:                        ____________                Date:                                 ________
 KRTC: Action Completed
 Motivation when KEMA Rail Transport Certification is satisfied with reaction from Alstom



 Signed:                           ____________             Date:                                 ________
 Observation Identification:                                                                     Observation #10
 Client:                     Alstom Belgium SA
 Project:                    NoBo for BR203 locomotive
 Subject:                    IC's certificates and Legal framework
 KRTC: Details of Observation
 Description by KEMA Rail Transport Certification of comments:


     1.   In Belgorail certificates for IC1, IC2 and IC4 it is stated that the coformity assessment procedure was
          carried out in accordance with module H2 of the TSI's issued from the decision 2006/679/EC of 28th
          March 2006 and 2006/860/EC of 7th November 2006, however, in Alstom EC Declaration of
          Conformity of those IC's, it is stated that in addition to those decisions, the essential requirements of
          the commission Decision 2007/153/EC of March 2007 are also fulfilled.

 This observation applies as well to the certificates issued for IC3 where the decision 2004/447/EC of 29 April
 2004 apear in Alstom's Declaration of Conformity and not in Belgorail certificates.

 Can Alstom provide evidence of fullfillment of the decisions 2007/153/EC and 2004/447/EC.

     2.   Can Alstom confirm that the TSI to which the ETCS on Board Assembly, for BR203 locomotives
          TRB 5.2.0, is conform is the Decision 2006/679/EC of 28 th March 2006, with the Annex A amended
          by Decision 2006/860/EC of 7th November 2006.


 Signed:                          J. Nasseh                 Date:                                 20/04/2009
 Alstom: Initial Response: Accepted / Not Accepted
 KRTC: Action Completed
 Motivation when KEMA Rail Transport Certification is satisfied with reaction from Alstom


 Referring to the meeting held in Alstom Charleroi on 23 April 2009, it was stated that:
 2. Alstom claim compliance with the Decision 2006/679/EC of 28 th March 2006 and the Decision
 2007/153/EC of March 2007.

 Can Alstom confirm this statement and answer the question 1.




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 Signed:                               J. Nasseh                   Date:                           28/04/2009
 Alstom: Action Proposed / Reason for Non-Acceptance
 Reaction from Alstom to given comments
 Point 2. The TSI are listed in the certificate if the constituent. The IC#1,2 and 4 are compliant to the Decision
 2006/679/EC of 28th March 2006 and the Decision 2007/153/EC of March 2007, 2006_860_EC (7 November
 2006) and 2007/153/EC of March 2007.

 Point 1. Justification for the IC#3 :
 Considering from one hand, the subsets related to the JRU : Subset 26 and Subset 27
 The subset 26 lists the data to record
 The subset 27 defines the interface between the JRU and the JDR
 By comparing between the annexe A3.3 of sunset 26 V2.2.2 (TSI 2004) and 2.3.0 (TSI 2007), there is no
 changes related to the data to be recorded in the JRU.
 By comparing the subset 27 V 2.0.0 (TSI 2004) and 2.2.9 (TSI 2007) the changes are related to:
                the format of the existing variables: this point is mitigated by the fact the Alstom JDR will be
                used.
               the format of new variables: the subset 27 is not in line with the subset 26, those variables are
               not listed in the subset 26, in consequence not in coherence with the subset 26.
 And in other hand, the subset 108 :
 The subset 108 doesn‟t manage the JRU because (here an extract from the subset 108)
 “STM, DMI and JRU related issues are not consolidated as the level of technical and operational
 interoperability aimed at can be reached without them. “
 So Unisig recognises in this way, that the JRU is not necessary for a strict “IOP”
 In consequence, there is no incompatibility to use the JRU certified regarding the TSI 2004 with the others
 constituents certified regarding the TSI 2007.


 Signed:                        Karima Zine                     Date:                              20/05/09
 KRTC: Review Summary
 Conclusion by KEMA Rail Transport Certification



 Signed:                              ____________              Date:                              ________




ASSESSMENT AND CERTIFICATION OF LOCOMOTIVES EQUIPPED WITH ERTMS                                               70/71
‘’THE EUROPEAN C ONTROL C OMMAND AND S IGNALING S YSTEM ’’

				
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