ERTMS UNIT
PRESENTATION REPORT
OF ERTMS OPERATIONAL PRINCIPLES AND RULES, Version 3
Reference: / Document type: / T
Version : / 1.1
Date : / 22/03/12
Edited by / Quality review / Approved by
Name / D. LIGIER / A. CHIAPPINI / P. GUIDO
Position / ERTMS Unit Project Officer / ERTMS Unit Quality Manager / ERTMS Head of Unit
Date
Signat.
Presentation report of ERTMS Operational Principles and Rules version 3 / PAGE 1 OF 26
/ EUROPEAN RAILWAY AGENCY
1. AMENDMENT RECORD
Version / Date / Section number / Modification/description / Author(s) /1.1 / 22/03/12 / Draft version 2 / ERA
2. TABLE OF CONTENTS
1. AMENDMENT RECORD 2
2. TABLE OF CONTENTS 3
3. INTRODUCTION 6
3.1 Purpose of the document 6
3.2 Scope and field of application 6
3.3 ETCS related differencies between operated system versions X = 1 and X = 2 7
3.4 Modification of the GSM-R harmonised operational rules 8
3.5 Validation process 8
4. REFERENCES, TERMS AND ABBREVIATIONS 9
4.1 Reference documents 9
4.2 Terms & abbreviations 9
5. PRINCIPLES 10
OBSERVANCE OF SIGNALLING (5.1.3) 10
WRITTEN ORDERS (5.1.4) 10
SPEED RESTRICTIONS IN SR (5.1.7) 10
6. ETCS RULES 11
PUTTING THE ETCS ON-BOARD INTO SERVICE (6.1) 11
PREPARING A MOVEMENT (6.2) 11
PERFORMING SHUNTING MOVEMENTS IN SH (6.3) 12
ENTERING DATA (6.4) 12
RUNNING ON SIGHT (6.5) 13
DEPARTURE OF THE TRAIN (6.6) 13
RUNNING IN SR (6.14) 14
PASSING A RADIO HOLE (6.30) 15
ENTERING AN OCCUPIED TRACK SECTION WITHIN A STATION (6.31) 15
PERFORMING A TANDEM MOVEMENT (6.32) 15
REVOKING AN AUTHORISATION FOR ERTMS TRAIN MOVEMENT (6.33) 16
TAKING MEASURES IN THE EVENT OF AN EMERGENCY (6.34) 17
PROPELLING IN RV (6.36) 17
ROUTE UNSUITABILITY (6.38) 18
AUTHORISING THE PASSING OF AN EOA (6.39) 18
RESPONDING TO A TRIP (6.41) 19
MANAGING A TRACKSIDE MALFUNCTION (6.42) 20
MANAGING A FAILED LEVEL TRANSITION (6.46) 20
MANAGING ABSENCE OF RBC INFORMATION (6.47) 20
MANAGING A RADIO COMMUNICATION FAILURE (6.48) 21
MANAGING A FAILURE OF SELFTEST (6.49) 21
MANAGING AN NTC FAILURE (6.53) 21
MANAGING A VBC (6.54) 21
7. GSM-R RULES 22
SELECTING THE GSM-R MODE (7.1) 22
ENTERING THE FUNCTIONAL NUMBER (7.2) 22
SELECTING THE GSM-R NETWORK AT A BORDER CROSSING (7.3) 22
PERFORMING A DE-REGISTRATION (7.4) 22
TAKING MEASURES IN CASE OF AN EMERGENCY CALL (7.5) 23
8. ANNEX A 24
9. ANNEX B 25
LIST OF ETCS OPERATIONAL TRAIN CATEGORIES 25
10. ANNEX C 27
TABLE OF REFERENCES TO NON-HARMONISED RULES 27
3. INTRODUCTION
3.1 Purpose of the document
The purpose of this document is to provide guidance on the harmonised ERTMS Operational Principles and Rules.
This document reflects the structure of the document “ERTMS Operational Principles and Rules”. For each comment the reference of the principle / rule is indicated in brackets.
3.2 Scope and field of application
The document “ERTMS Operational Principles and Rules” applies to systems based on Decision xxx of xxx 2012.
The allocation of figures to the ETCS operated system versions (X = ?) is defined in chapter 6 of the ETCS SRS.
The harmonised ERTMS Principles and Rules are written for ETCS levels 1, 2, 3 and transitions (ordered by trackside), between level 1, level 2 and level 3.
The scope of the document “ERTMS Operational Principles and Rules” is strictly limited to the indicated lines:
· lines equipped with ETCS level 1 whether or not trackside signals or infill are present
· lines equipped with ETCS level 2 whether or not trackside signals are present
· lines equipped with ETCS level 3.
On level 1 lines with trackside signals and on level 2 lines with trackside signals it is inevitable to have additional non-harmonised rules because of the national signalling systems.
According to clause 2.6.7.1.7 of the SRS lineside signals are not foreseen to be used when operating in level 3; consequently the harmonised operational rules do not cover the level 3 implementation with trackside signals.
The links between ETCS and the national signalling systems (e. g. lines equipped with level 2 and level 1 with trackside signals, level 2 and level NTC etc…) are not part of the harmonised technical specification but application dependent. As a consequence the operational rules to be applied in some degraded situations on such lines cannot be harmonised. Therefore any change to a fallback system from any level of ERTMS is not covered by the harmonised operational rules; this includes the change from level 2 to level 1.
If some of the indications displayed on the DMI are not compliant with the indications contained in the harmonised operational rules, the driver’s rulebook has to be adapted accordingly.
When a symbol displayed on the DMI does not require any reaction from the driver then there is no rule and the corresponding symbol does not appear in the document “ERTMS Operational Principles and Rules”.
The full list of operational text messages is covered in the rules as following:
· when the train is tripped the text message is considered as to be additional information giving the reason for the trip; it is not relevant for the rules, it is part of the drivers’ training,
· all other text messages appear in the respective rules.
As train integrity is not a harmonised function no harmonised rule is contained in the document to cover a train integrity failure.
The GSM-R voice radio operational rules are applicable on all lines equipped with GSM-R, whether or not these are ETCS lines.
3.3 ETCS related differencies between operated system versions X = 1 and X = 2
The operated system version X = 2 introduces the following modifications which have an impact on the harmonised operational rules:
· new function Passive Shunting mode,
· new function Limited Supervision mode,
· new function level crossing not protected,
· new function safe area,
· new specification for the Non Leading mode,
· harmonised text messages “SH request failed”, “RV distance exceeded” and “Trackside malfunction”,
· track conditions for the power supply,
· new function track conditions for sounding the horn
· new function virtual balise cover.
As the definition of the operated system version is linked to the trackside the following terms are used in this document when the content refers exclusively to the on-board:
· “baseline 2 trains” for on-board equipments able to operate with operated system version X = 1,
· “baseline 3 trains” for on-board equipments able to operate with operated system versions X = 1 and X = 2.
The acronym STM is replaced with NTC when it refers to the level; this change does not impact any operational rule because the same symbol is displayed whatever is the baseline.
In addition some minor modifications have been taken into account e.g. the new names of some of the train data, the shape of some symbols displayed on the DMI…
The rule “managing a failure of self test” applies to baseline 2 trains only because the corresponding specification has been now removed from the harmonised specifications.
3.4 Modification of the GSM-R harmonised operational rules
The rule for an emergency call has been harmonised.
3.5 Validation process
The initial set of rules was validated by:
· checking the compliance with the technical system,
· testing on real site and on the simulator,
· detecting, discussing and closing all open points affecting the rules,
· checking the rules from a safety point of view,
· checking of the rules from a human factor point of view,
· reviewing the rules during several sessions of the UIC platform,
· checking the rules from a quality point of view,
· checking the rules from the English language point of view.
A similar process has then been applied for the update of the operational rules.
4. REFERENCES, TERMS AND ABBREVIATIONS
4.1 Reference documents
Table 1 : reference documents // Ref. N° / Document Reference / Title /
[1] / ERA_ERTMS_ / ERTMS Operational Principles and Rules version 2.1.7
4.2 Terms & abbreviations
The definition of terms and the meaning of abbreviations used in this document are listed in the ERTMS Operational and Rules document [1].
5. PRINCIPLES
OBSERVANCE OF SIGNALLING (5.1.3)
It must be reminded that in addition to this principle the driver shall respect all indications of danger as defined in non-harmonised rules. This rule is not specific for ERTMS, therefore it is recommended to have it as part of the Appendix B of the OPE TSI.
WRITTEN ORDERS (5.1.4)
Written orders are a common method of dealing with failures and external conditions. The rules described build upon this method of communication and adapt them for effective use.
According to the OPE TSI appendix C (section introduction), the decision to use written orders is up to the IM. If a written order is issued by the signaller, the driver always has to write down the information at standstill (section 1.2.2.2).
SPEED RESTRICTIONS IN SR (5.1.7)
The dedicated document/computer medium refers to the list of modified elements as specified in section 4.2.1.2.2.2 of the OPE TSI.
6. ETCS RULES
PUTTING THE ETCS ON-BOARD INTO SERVICE (6.1)
As the data view in baseline 2 trains does not display the Radio Network Identification, RBC Identification and RBC phone number, the only way to have these data displayed is to re-enter the level. In baseline 3 trains this data is displayed.
As there is no action required for ETCS from the driver regarding SL there is no need for an operational rule.
SB cannot be selected by the driver (SRS 4.4.7). The only way to have the on-board system again in SB is by closing and re-opening the driving desk.
Because there is no action required from the driver for an “end of mission” procedure there is no need for an operational rule when leaving the cab. To restart the train from the other cab, the rule ”Putting the on-bord system into service” applies.
PREPARING A MOVEMENT (6.2)
A cold movement detection function is available for baseline 3 trains in order to facilitate the start of mission procedure. The fitment of the train with a cold movement device is however optional.
In levels 2 and 3, the automatic call to the stored RBC id/phone number is replaced by a 3 options choice in baseline 3 trains. The driver has the possibility to choose between:
· using the last stored RBC contact information
· using the EIRENE short number
· fully re-validate/re-enter the RBC contact information.
In levels 2 and 3, without communication session (6.2.4), when the driver selects “start”:
· in baseline 2 trains the on-board remains in SB; the only possibility to manage such a degraded situation is to press “override” in order to get SR,
· in baseline 3 trains, SR is directly proposed to the driver who has to acknowledge.
In order to avoid the issuing of two different written orders, in case a train is authorised to start in SR and to pass the first ETCS stop marker, the signaller delivers only written order 07 which includes the authorisation for passing the EOA (contained in written order 01).
PERFORMING SHUNTING MOVEMENTS IN SH (6.3)
The new mode “passive shunting” is added to avoid the drawbacks of the start of mission procedure when performing shunting movements with changes of the driving desk. The rule contained in section 6.3.4 and the second bullet point of section 6.3.5 applies to baseline 3 trains only because of this new function.
The text message “SH request failed” has been introduced for baseline 3 trains.
ENTERING DATA (6.4)
The function “train preparer” is used in the rule because, depending on the railway undertakings organisation, entering data can be performed by somebody who may not be the driver.
Taking into account the importance of these data for the global level of safety of the system, the objective is to reduce the amount of data entered manually to a minimum.
For a trainset in normal cases, the train data is normally stored onboard in order to avoid mistakes with data entry procedure.
Train data must be entered or confirmed before the driver can select “Start”.
Some train data is not entered/changed/validated by the train preparer: “axle number”, “list of national systems available on-board”, “traction system(s) accepted by the engine”.
The following train data is identified with different names:
· deceleration datafor baseline 2 trains / brake parameters for baseline 3 trains,
· axle load for baseline 2 trains / axle load category for baseline 3 trains.
The “additional data for the available STMs” are requested by the SUBSET-026 / SUBSET-035.
The operational rule does not refer to the data “loading gauge” because it is implementation dependent.
Section 6.4.2 applies for all data (train data and additional data) except for adhesion factor for which rule “changing of adhesion factor” applies.
Regarding the rule contained in section 6.4.3a), the possibility to be requested by the on-board to modify and / or validate the data applies to baseline 3 trains only.
RUNNING ON SIGHT (6.5)
The rule applies when the driver has to run on sight also for operational reasons (e.g. observing the catenary on request…).
DEPARTURE OF THE TRAIN (6.6)
ETCS does not control all conditions that must be met before a train is allowed to depart. Neither train preparation, check of door closing process nor departure time are controlled by the system; therefore these conditions must be controlled by the crew. Only the trackside conditions that must be met before the train is permitted to depart can be transmitted via ETCS as far as an FS or OS MA is issued.
The analysis below shows that all cases of departure after an exceptional stop are covered by an operational rule.
a) Circumstances that can lead to an exceptionnal stop:
· brakes are triggered automatically:
o Trip,
o Service Brake,
o Emergency Brake,
· brakes are triggered manually:
o by the driver,
o by passengers,
· EOA,
· by rule:
o e.g. ETCS stop marker,
o written order.