UIC ERTMS World Conference

1. Certification and Assessment of GSM-R Begoña DOMINGO, GSM-R Project Officer Istanbul, 3/04/2014 UIC ERTMS World Conference

2. ERA scope, certification and assessment

3. The EU approach: creating a common European railway area • The cornerstones of the EU approach to improve the performance of rail transport are: • Open access in rail transport to favour competition and create incentives for product innovation and service quality (Contribute to the progressive creation of the internal market in equipment and services) • Fostering the interoperability of the national networks (and hence international services) through technical harmonisation • Develop a common rail safety approach to facilitate market access while maintaining a reasonably high level of safety • Develop the trans-European Network for rail

4. Duties of ERA • In the domain of European Rail Traffic Management System (ERTMS): • System authority for specifications on ETCS and GSM-R • To own the process for handling, assessment and incorporation of changes (change management) for the reference set of ERTMS specifications • To ensure the configuration control of the reference baselines and the quality and completeness of the ERTMS • To recommend to the EC the adoption of new TSIs

5. European Specifications for Interoperability Directive (EC) TSIs (Agency) EN standards(CEN, CENELEC, ETSI) National Standards Decision by Council and EP: transposed to national law Technical Specification for Interoperability Commission Decision/Regulation: Mandatory Standarisation: Voluntary

6. Essential Requirements • EU Directives define the "essential requirements", e.g., protection of health and safety that goods must meet when they are placed on the market. • Give the objective(s) to be met, but do not specify how. • This allows the smooth adaptation of product design to technical progress • All technical solutions are possible insofar as they meet the objectives. • Compliance with the essential requirements is mandatory : only equipment that meets all relevant requirements can be placed and/or put into service on the European Union market

7. Essential Requirements & standards • Essential Requirements remain stable • while • Standards evolve, therefore they do not remain stable • The "New Approach", defined in a Council Resolution of May 1985 , represents an innovative way of technical harmonisation. • A clear separation of responsibilities between the EC legislator and the European standards bodies CEN, CENELEC and ETSI in the legal framework allowing for the free movement of goods is introduced. • TSIs should not repeat the requirements already stated in other applicable legal documents (i.e. R&TTE Directive, …)

8. GSM-R in the TSI • Today, the CCS TSI (2010/88/EC) and Interoperability Directive (2008/57/EC) mandates a specific technology for the voice and signaling data communication: GSM-R. • The TSIs are applied: • From the date indicated in the legal text (in force from dd/mm/yy) • For NEW or UPGRADED/RENEWED railway subsystems • (TSI are not retroactive) • The TSI defines: • 2 subsystems with different parts: Trackside Subsystem : 3 parts Onboardsubsystem: 2 parts Radio communication = GSM-R Radio communication = GSM-R Train control = ETCS Train control = ETCS Train detection • GSM-R "Interoperability Constituents" (IC) : GSM-R Cab Radio, GSM-R ETCS Data only Radio, GSM-R SIM card

9. Benefits of certification • Verification of fulfilment of requirements • If standards are followed, presumption of compliancy • Product interchangeability • Cost reductions at the subsystem level • An optimum level of technical harmonisation is not the same as full harmonisation the TSI should not try to standardise everything, only what is necessary to deliver the purpose of the Directive. • Once referenced in the TSI, the standard or its part becomes in fact a part of legislation thus being mandatory.

10. Assessment of GSM-R • Requirements mandated for the Individual Constituents have to be verified by a notified conformity assessment body (NoBo) => EC Declaration of conformity • Requirements mandated for the subsystems and basic parameters are assessed by NoBo => EC Declaration of Verification • In order to put is service a subsystem in Europe, the EC Declaration of Verification is needed from the applicant! • Complaints: costs increase due to the need of assessment • Time delay to put in service a subsystem

11. What has been done? • Reduction of the number of requirements to be assessed by the NoBos • EIRENE is listed in the CCS TSI in the Annex A document list , but only a number of requirements are mandated: classified as “Mandatory for Interoperability “ (MI) requirements. • to outline the main needs for Railway interoperability • to minimise costs in Certification • What does a network/train need to operate GSM-R? MI requirements + Standards (M, O requirements) • What does a network/train need to be interoperable with respects to GSM-R? MI requirements • The collection of MI requirements in the CCS TSI is called Baseline (B0 r3)

12. What has been done? • Reduction of the number of requirements to be assessed by the NoBos • FRS : only 26,1% of it is considered Mandatory for Interoperability • SRS : only 13,1% of it is considered Mandatory for Interoperability • This means: more than 75% reduction! • ALSO: use of options and enhancements (GPRS) and other usages of the GSM-R network (applications to support operation, ticketing, etc) are welcome, and DO NOT have to be assessed by the NoBos.

13. Process

14. EC Declaration of Verification Subsystem EC Verification NoBo Subsystem Selection of certification modules by the applicant, with NoBo Applicant EC Declaration of Verification I DECLARE THAT THIS SUBSYSTEM IS …

15. EU Procedure: Authorisation for Placing in Service • Directive 2008/57/EC . Art.18: a) The applicant selects a NoBo [The applicant may be the contracting entity or the manufacturer, or their authorised representative within the Community] b) The NoBo runs the EC verification process c) The notified body shall be responsible for compiling the technical file that has to accompany the ‘EC’ declaration of verification. d) The applicant issues the EC declaration of verification of the subsystem e) The EC declaration of verification is presented to get the authorisation for placing in service.

16. Assessing the Parts separately… Member State Trackside SUBSYSTEM Radio Communication ETCS HOW? NSA Authorisation for placing in service GSM-R network authorised in the line for voice use EC Verification EC Declaration of Verification Radio Communication one step + additional docs Authorisation for placing in service the Radio Comm. Part of the Subsystem ETCS and GSM-R authorised in the line EC Verification another step EC Declaration of Verification ETCS + additional docs Authorisation for placing in service the Subsystem

17. … or all together Member State Trackside SUBSYSTEM Radio Communication ETCS HOW? NSA Authorisation for placing in service ETCS and GSM-R authorised in the line Trackside SUYBSYSTEM Radio Communication EC Verification ONE step EC Declaration of Verification ETCS + additional docs Authorisation for placing in service the Subsystem