Commission Decision of 30 May 2002 concerning the technical specification for interoperability relating to the control-command and signalling subsystem of the trans-European high-speed rail system referred to in Article 6(1) of Council Directive 96/48/EC (notified under document number C(2002) 1947) (Text with EEA relevance) (2002/731/EC)

6. ASSESSMENT OF CONFORMITY AND/OR SUITABILITY FOR USE AND EC DECLARATION OF VERIFICATION U.K.

6.1. INTEROPERABILITY CONSTITUENTS U.K.

6.1.1. CONFORMITY AND SUITABILITY FOR USE ASSESSMENT PROCEDURES (MODULES) U.K.

This section deals with the EC declaration of conformity for the control-command interoperability constituents.

An EC declaration of suitability for use is not required for interoperability constituents of the control-command subsystem.

The assessment procedure for conformity of interoperability constituents as defined in Chapter 5 of this TSI shall be carried out by application of modules as specified in Annex E to this TSI.

The specifications for the performance, interfaces and functions required of each class A interoperability constituent are obtained by reference to Annex A. Tables 5.1a, 5.1b, 5.2a and 5.2b indicate for each interoperability constituent the indices of Annex A to be applied. The tests and test tool requirements which are mandatory to assess the conformity of the performance, interfaces and functions of each interoperability constituent are also obtained from these tables. Those European specifications to be applied to the defined interoperability constituents are identified in point 5.1.

The conformity assessment shall include safety, e.g. the demonstration that the application software is implemented in a safety platform that has a prior declaration of conformity in a way that achieves safety acceptance according to the Annex A, index 1. This shall also include the demonstration that other software modules possibly installed in the same platform do not interfere with ERTMS/ETCS application.

If interoperability constituents are combined into a group, the conformity assessment shall cover the remaining interfaces and the functions of the integrated interoperability constituents as identified in point 5.2.

The independent assessment in the safety acceptance and approval process as described in Annex A, index 1 may be accepted by the notified body, without it being repeated.

6.1.1.1. The specific transmission module (STM) U.K.

The STM has to meet national requirements, and its approval is a responsibility of the Member State as stated in Annex B.

The verification of the STM interface to the ERTMS/ETCS on-board and certain associated external interfaces to the rolling stock TSI subsystem, as indicated in Table 5.1 require a conformity assessment carried out by a notified body. The notified body shall verify that the Member State has approved the national part of the STM.

6.1.1.2. EC declaration of conformity U.K.

For each interoperability constituent or group of interoperability constituents, the content of the declaration must conform to Annex IV to Directive 96/48/EC.

An interoperability constituent is the smallest item for which a declaration of conformity may be obtained.

6.1.2. APPLICATION OF MODULES U.K.

6.1.2.1. Assessment of conformity U.K.

For the assessment procedure of interoperability constituents of the control-command subsystem the manufacturer or his authorised representative established within the Community may choose the modules according to the indications in Tables 5.1a, 5.1b, 5.2a and 5.2b.

6.1.2.2. Definition of assessment procedures U.K.

The assessment procedures are defined in Annex E to this TSI.

The module D may only be chosen where the manufacturer operates a quality system for production, final product inspection and testing, approved and surveyed by a notified body.

The module H2 may only be chosen where the manufacturer operates a quality system for design, production, final product inspection and testing, approved and surveyed by a notified body.

6.2. CONTROL-COMMAND SUBSYSTEM U.K.

This section deals with EC declaration of verification of the control-command subsystem. As stated in dection 2 the application of the control-command subsystem is treated as two assemblies:

• the on-board assembly,

• the trackside assembly.

For each assembly a declaration of verification is needed. The scope of the EC declaration of verification, according to Directive 96/48/EC, includes the verification of the integration of the interoperability constituents that are part of the relevant subsystem. Tables 6.1 and 6.2 define the characteristics to be verified, and reference European specifications to be applied.

[ F1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F1 Deleted by Commission Decision of 23 July 2012 amending Decisions 2002/731/EC, 2002/732/EC, 2002/733/EC, 2002/735/EC and 2006/66/EC and repealing Decision 2002/730/EC concerning technical specifications for interoperability (notified under document C(2012) 4982) (Text with EEA relevance) (2012/462/EU).

F1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

The following requirements apply to both the on-board assembly and the trackside assembly. Each assembly shall satisfy:

• the EC verification requirements of Directive 96/48/EC (Annex VI),

• the requirements on the EC declaration of verification of Directive 96/48/EC (Annex V).

The EC declaration of verification is the task of the awarding entity (this could be e.g. the infrastructure manager or the train operator).

[F2 The declaration of verification of on-board and trackside assemblies, together with the certificates of conformity, is sufficient to ensure that an on-board assembly will operate with a trackside assembly equipped with corresponding functions without an additional subsystem declaration of verification.]

Textual Amendments

F2 Substituted by Commission Decision of 23 July 2012 amending Decisions 2002/731/EC, 2002/732/EC, 2002/733/EC, 2002/735/EC and 2006/66/EC and repealing Decision 2002/730/EC concerning technical specifications for interoperability (notified under document C(2012) 4982) (Text with EEA relevance) (2012/462/EU).

The references to the integration procedures and the test requirements of the on-board and trackside assemblies are specified in Annex A, indices 32 and 33.

Trackside assembly functional integration verification: U.K.

European specifications must be complemented by national specifications covering:

• the description of the line, characteristics such as gradients, distances, positions of route elements and balises/loops, locations to be protected,

• the signalling data and rules required to be handled by the ERTMS system.

A notified body is required for that part of the control-command trackside assembly for which European specifications are established.

The awarding entity may have the national elements of the trackside assembly assessed by an independent body to ensure that the application of national specifications fulfils the essential requirements.

The awarding entity may chose to use a notified body for this purpose.

The awarding entity shall present to the Member State evidence of the correct integration of the part described by the European specifications within control-command and signalling.

Assessment procedures (modules) U.K.

When requested by the adjudicating entity or its authorised representative established within the Community, the notified body undertakes the EC verification in accordance with Article 18(1) and Annex VI to Directive 96/48/EC and in accordance with the provisions of the relevant modules as specified in Annex E to this TSI.

Assessment procedures for the EC verification of the trackside and on-board assemblies of the control-command subsystem, list of specifications and descriptions of the testing procedures are indicated in Tables 6.1 and 6.2 of this TSI.

As far as specified in this TSI, the EC verification of the trackside and on-board assemblies of the control-command subsystem shall take account of its interfaces with other subsystems of the trans-European high-speed rail system.

The adjudicating entity shall draw up the EC declaration of verification for the trackside and on-board assemblies of the control-command subsystem in accordance with Article 18(1) of and Annex V to Directive 96/48/EC.

The independent assessment in the safety acceptance and approval process as described in Annex A, index 1, may be accepted by the notified body, without it being repeated.

6.2.1. APPLICATION OF MODULES U.K.

The adjudicating entity or its authorised representative established within the Community may choose for the verification procedure of the on-board assembly of the control-command subsystem either:

• the type-examination procedure (module SB) indicated in Annex E to this TSI for the design and development phase in combination with either the production quality assurance procedure (module SD) indicated in Annex E to this TSI for the production phase or the product verification procedure (module SF) indicated in Annex E to this TSI, or

• the full quality assurance with design examination procedure (module SH2(1)) indicated in Annex E to this TSI.

For the verification procedure of the trackside assembly of the control-command subsystem, the adjudicating entity or its authorised representative established within the Community may choose either:

• the unit verification procedure (module SG) indicated in Annex E to this TSI, or

• the type-examination procedure (module SB) indicated in Annex E to this TSI for the design and development phase in combination with either the production quality assurance procedure (module SD) indicated in Annex E to this TSI for the production phase or the product verification procedure (module SF) indicated in Annex E to this TSI, or

• the full quality assurance with design examination procedure (module SH2) indicated in Annex E to this TSI.

The module SH2 may be chosen only 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.

Table 6.1

Control-command verification requirements for on-board assembly

1	2	2a	3	4	5
Number	Description	Remarks	CC interfaces	Interfacing TSI subsystems	Characteristics to be assessed by reference to Annex A unless otherwise specified
1	Vigilance supervision	Internal as a function in on-board control-command or external in RS subsystem	If vigilance supervision is external, then optional interface to ERTMS/ETCS on-board may exist	Rolling stock (brakes)	0, 1, 2, 3, 4a, 10
2	Train integrity supervision	In the case, where the train is configured for level 3, the train integrity supervision function must be supported via detection equipment rolling stock-side	ERTMS/ETCS on-board	Rolling stock	0, 1, 2, 3, 4a, 5, 17
3	Train detection	Requirements on rolling stock, because of e.g. track circuits and axle counters		Rolling stock (train detection characteristics)	4b, 16
4	Key management	Security policy for key management	(a) ERTMS/ETCS trackside (b) ERTMS/ETCS on-board		15
5	Design, integration and validation of the assembly	1. Engineering rules 2. Functional integration test Tests to confirm correct functional operation of inter-working of a new combination of interoperability constituents Tests in the real configuration The notified body shall verify that the integration test requirements (issued by the Member State) for Annex B systems have been met The test includes the ability of the down-loading tool to read and display the safety data recorded Includes absence of unsafe interaction between interoperability constituents (possibly due to national add-ons) 3. The notified body shall insure the completeness of the safety approval process including safety case	All those implemented	Rolling stock All those implemented	34 32 + integration test requirements for a specific Annex B system must be available in public domain when that system is put on the market for integration into an on-board assembly. 1, 2

Table 6.2
Control-command verification requirements for trackside assembly
1	2	2a	3	4	5
Number	Description	Remarks	CC interfaces	Interfacing TSI subsystems	Characteristics to be assessed by reference to Annex A unless otherwise specified
1	ERTMS/GSM-R trackside		(a) ERTMS/GSM-R on-board (b) ERTMS/ETCS trackside		0, 12c, 14a,
2	Train detection, including interference requirements from conducted interference	Trackside requirements: 1. lines with unknown detection/interference characteristics cannot receive a derogation, 2. they must be upgraded before they can be declared interoperable, 3. a notified body shall verify that nominated trains meet the requirements of a derogation		Rolling stock (train detection characteristics)	4b, 16
3	Key management	Security policy for key management	ERTMS/ETCS trackside ERTMS/ETCS on-board		15
4	Design, integration and validation of the assembly	1. Engineering rules 2. Functional integration test Tests to confirm correct functional operation of interworking of a new combination of interoperability constituents Tests in the real configuration The notified body shall verify that the integration test requirements (issued by the Member State) for Annex B systems have been met Includes absence of unsafe interaction between interoperability constituents (possibly due to national add-ons) 3. The notified body shall insure the completeness of the safety approval process including safety case.	All those implemented	All those implemented	34 33 1, 2

(1)

Module SH2 can be applied only when a sufficient degree of confidence in the ERTMS technologies exists through return of experience from commercial installations.