Regulatory Framework of GSM-R Amsterdam, May 23 rd 2013 EUROPEAN COMMISSION DIRECTORATE-GENERAL FOR MOBILITY AND TRANSPORT Directorate B - European mobility network B.2 - Single European rail area

Content 23/05/2013ECC WG FM2 Railway regulation 1 2 Interoperabiliy & Railway autorisation for placing in service 3 Cross country interoperability for GSM-R 3 4 Way forward for GSM-R

Content 23/05/2013ECC WG FM3 Railway regulation 1

23/05/2013 European Parliament Court of Justice Court of Auditors Economic and Social Committee Committee of the Regions Council of Ministers (Council of the EU) European Commission European Investment Bank European Central Bank Agencies European Council (summit) ERA DG MOVE Who are we? ECC WG FM4

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 The EU approach : Creating a common European railway area 23/05/2013ECC WG FM5

23/05/2013 DG MOVE DG MOVE develops transport policies for the EU, namely:  Completing the European internal market (seamless integration of all modes of transport)  Developing an agenda for innovation (sustainable transport technologies)  Building the EU's core trans-European infrastructure network  Projecting the EU's mobility and transport objectives and defending EU political and industrial interests on the world stage. ECC WG FM6 DG MOVE

23/05/2013 The European Railway Agency The European Union has established some 30 Community Agencies to accomplish very specific technical, scientific or managerial tasks, in the framework of the European Union’s law (environment, chemicals, foods, medicines, health & safety at work, aviation, maritime,…) The European Railway Agency : established in 2004, HQ: Valenciennes /Lille (FR) Regulation 881/2004 (amended by 1335/2008): Art 1: The Agency has the mission of reinforcing safety and interoperability of railways throughout Europe. This involves the development and implementation of Technical Specifications for Interoperability, and a common approach to questions concerning Railway Safety, according to the Safety Directive (2004/49 amended by 2008/110) and Interoperability Directives (96/48 and 2001/16, both amended by 2004/50 and recasted by 2008/57). ECC WG FM7

23/05/2013 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 ECC WG FM8

23/05/2013 Since Directive 91/440/EC The European railway sector has changed considerably since Directive 91/440/EC established the principle of splitting the unitary railways of Member States into infrastructure providers and railway undertakings. New players: Infrastructure managers Railway undertakings (incumbents and new entrants) Vehicle keepers/owners/lessors Entities in charge of maintenance (ECMs) Regulatory bodies National safety authorities Rail industry Conformity assessment bodies ECC WG FM9

Content 23/05/2013ECC WG FM10 2 Interoperability & Railway autorisation for placing in service

Interoperability Directive Rail system divided in sub-systems MAINTENANCE OPERATION AND TRAFFIC MANAGMT OPERATION AND TRAFFIC MANAGMT ENERGY INFRASTRUCTURE ROLLING STOCK ROLLING STOCK CONTROL COMMAND CONTROL COMMAND TELEMATICS FOR PASSENGERS TELEMATICS FOR PASSENGERS TELEMATICS FOR FREIGHT ECC WG FM23/05/201311

European Specifications for Interoperability 23/05/2013ECC WG FM12 Directive (EC) TSIs (Agency) EN standards (CEN, CENELEC, ETSI) National Standards Standarisation: Voluntary Technical Specification for Interoperability Commission Decision/Regulation: Mandatory Decision by Council and EP: transposed to national law

Interoperability legislation in EU: a lot of texts 23/05/2013ECC WG FM13

Technical Specifications for Interoperability - TSIs 23/05/2013ECC WG FM14 - The TSIs are part of the EU legislation The role of the Agency is to prepare recommendations and propose them to the Commission for formal adoption. The Agency develops the recommendation with the help of working groups with experts representing the sector organisations and National Safety Authorities. -Each TSI shall (amongst other items): Lay down essential requirements for each subsystem Determine the interoperability constituents and interfaces Establish the functional and technical specifications to be met by subsystems and their interfaces State which procedures are to be used to assess the conformity Indicate the strategy to implement the TSI

Applicability of TSIs 23/05/2013ECC WG FM15 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)

Develop and propose TSI : Recommendation & Impact Assessment Formal opinion on TSIs Labs, Conformity assess bodies, national safety authorities, CSM assessors, IMs, RU,… Member states and Commission: Committee Implement Groups of experts representing the industry/sector Social Partners Railway Customers Commission Adopt TSIs 23/05/2013ECC WG FM16 Decision-making procedure since 2004 European Railway Agency

Authorisation for placing in service (NEW VEHICLES) 23/05/2013ECC WG FM17

23/05/2013ECC WG FM18 -According to 2008/57/EC, the MS shall decide if a new authorisation is needed. -A Common Safety Method (CSM) assessment body is involved in the verification of safe integration when required by Article 15(1) of Directive 2008/57/EC as described in the CSM on Risk Assessment. Authorisation for placing in service (EXISTING VEHICLES)

23/05/2013ECC WG FM19 Actors in the Authorisation for Placing in Service Notified Body = NoBo Designated Body = DeBo Risk Assessment = RA CSM = Common Safety Methods NNTR = Notified National Technical Rules SMS = Safety Management Systems NSA = National Safety Authority

23/05/2013ECC WG FM20 Who does what? Common Safety Methods on Risk Assessment Safe integration evidences between relevant subsystems (from NoBo, DeBo and applicant- certificates, risk assessment and technical files) Safety Assessment report

Content 23/05/2013ECC WG FM21 3 Cross country interoperability for GSM-R

GSM-R based in GSM 23/05/2013ECC WG FM22  Functional Numbering  Location Dependent Addressing  High speed – up to 500 km/h  Voice Group Call Service (VGCS) / REC  Voice Broadcast Service (VBS)  Enhanced Multi Level Precedence and Pre- emption ( eMLPP)  All functionalities available for GSM-R including  General Packet Radio Service (GPRS)  Enhanced Data Rates for GSM Evolution  Other options, i.e: enhanced Railway Emergency Call (eREC), enhanced Location Dependent Addressing (eLDA)  Short Message Service to Functional Number Railway functional And System Requirements (EIRENE) GSM enhancements for railways ( ETSI EN & TS ) Standard GSM functionality l Applications GSM-R is based in GSM R4/R99 technology and includes railway specific requirements/applications and a specific additional frequency range R band: MHz/ MHz … but voice terminals have to be able to use MHz/ MHz (R, P and E bands)

GSM-R is used for what? why? Consequences of failure 23/05/2013ECC WG FM23 -For VOICE communication: mandated in CCS TSI for all new train and lines built, upgrades and renewals aim: to replace the obsolete analogue systems used with a common system main uses: Railway Emergency Call and calls for train operation If it fails: no voice communication to traffic control center, no REC possible -For DATA communication for ETCS L2 (European Train Control System Level 2): ETCS is the train control part of the Trackside Subsystem, mandated in CCS TSI for all new trains and lines built, renewed or upgraded GSM-R is the sole transport bearer allowed for the bidirectional data flow between train and ETCS track systems If it fails: the train reacts braking until it reconnects or it stops, causing delays

GSM-R is used where? 23/05/2013ECC WG FM24 -GSM-R is installed in over km of lines in EU. Over cab radios (terminals on board of the locomotives) -Planned: km of lines -ETCS L2 deployment in EU: (data from ERA Biennial report on progress of interoperability in the EU, 2011) -Around km of L2 lines in construction -Around km of L2 lines in service and testing EDORs (data terminals on board) activated Only 4,8% of the lines with GSM-R are fitted with ETCS L2:  evolution/deployment in parallel for voice and data application  use for ETCS L2 will grow in the future

GSM-R and OPE TSI 23/05/2013ECC WG FM25 -Harmonised Operational Rules are in OPE TSI (Operation and and Traffic management). Decision 2012/757/EU, in force by 1 January Use of Train Running Number to identify a vehicle in a route: recorded in the GSM-R cab radio, sent through the GSM-R network to the traffic management center. -Operational rules specified in the Appendix for : -Railway Emergency call -What to do when the voice radio is not available. Specified availability is 95% based on a coverage level of 38.5 dBmV/m (-98 dBm) -Insertion of Functional Numbers & Train Running Number -Selection of network at the borders

GSM-R in CCS TSI 23/05/2013ECC WG FM26 -Control command and signalling TSI - Commission Decision 2012/88/EU, of 25 January Published in the Official Journal 23/02/2012. Into force: 6 months after its notification to the Member States (Article 8). -Defines: Basic parameters of Control-Command and Signalling Subsystems. 2 subsystems with different parts: -Trackside Subsystem : 3 parts- Onboard subsystem: 2 parts Radio communication = GSM-RRadio communication = GSM-R Train control = ETCSTrain control = ETCS Train detection GSM-R "Interoperability Constituents" (IC) : GSM-R Cab Radio GSM-R ETCS Data only Radio GSM-R SIM card

GSM-R in CCS TSI 23/05/2013ECC WG FM27 -Requirements mandated for the IC have to be verified by a notified conformity assessment body (NoBo) = EC Certificate of Verification -Requirements mandated for the subsystems and basic parameters are assessed by NoBo. -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)

Effects of a modification of MI requirements 23/05/2013ECC WG FM28 -After the decision is taken in the ERA CCM Process, change to be introduced in EIRENE with category MI -New Recommendation from ERA to the Commission to modify the version of the document in the Annex A of the CCS TSI, to be accompanied by a impact assessment report -To be approved in the RISC by Member States -To be included in a Decision issued by the Commission -Decision to be published in Official Journal (with date of enforcement) -From date of enforcement: -all the new/renewed/upgraded subsystems and ICs will take the change into account: will be verified/certified against this new requirement -For the existing ones, up to the owner of the vehicle to retrofit it, and up to each MS to determine if new authorisation is needed (re-verify/certify the subsystems/IC).

Content 23/05/2013ECC WG FM29 4 Way forward for interferences on GSM-R

Coexistence needed -Rail transport is a priority. But Railway undertakings are (sometimes) in a difficult position. -ERTMS is a major European Project under deployment. -Telecommunication technologies evolve: deployment of 3G/4G and LTE in Europe is a priority. -This changes the radio environment: COEXISTENCE is needed. ACTIONS are needed, but FROM ALL the parties involved 23/05/2013ECC WG FM30

Proposed way forward on the railway side -For the interferences issues, what can be done from the railway sector? Some stakeholders request an onboard filter. Is it a solution? -a European approach is preferred. Otherwise, national solutions jeopardize interoperability. -However, there is today no harmonised values and therefore no harmonised specifications for filters PROPOSED WAY FORWARD First step: modification of the CCS TSI to reduce the mandatory bandwidth for voice radio Second step: definition of harmonised solution Third step: evolution of the railway communication system: migration/coexistence of technologies To be discussed in RISC on June 2013 (Railway Interoperability and Safety Committee) 23/05/2013ECC WG FM31

First step from railway side  Modify CCS TSI  To reduce the mandatory band for voice radio equipment to the R band, i.e. modify "MI" mandatory requirement for bandwidth  It is not possible to modify the installation parameters/ insertion losses (since there is no European harmonized specification of filters)  Roadmap:  End 2013 New Recommendation from ERA to the Commission to modify the version of the document in the CCS TSI, to be accompanied by an impact assessment report  Q To be included in a Decision issued by the Commission  Q To be approved by Member States in the RISC  Mid 2014 Decision to be adopted and published in Official Journal 23/05/2013ECC WG FM32

Second step from railway side To work on a harmonized solution To move towards a black box approach where values at interfaces are defined, and different technical solutions are possible. To do so: take time for the harmonization, with the involvement of the interested parties (telecom manufacturers/public operators/railways) => study and impact assessment => new Recommendation to Commission ASAP 23/05/2013ECC WG FM33

Our expectation regarding telecomms National coordination / harmonized coordination process in all MS - A harmonized way for reporting GSM-R interferences to the National Radio Authorities is needed. - There is also a need for an harmonised view /technical bundle of best practices and solutions, sustainable in time, APPLIED by all: a harmonized approach for resolving interferences will support interoperability. - The NRAs need to be aware of the legal basis and the decision tools to be able to decide which party has to modify something in their network in order to coexist. 23/05/2013ECC WG FM34

Our expectation regarding telecomms (ctd) National coordination / harmonized coordination process in all MS - We cannot establish what is a prerequisite, but the environment has to be defined (worst case scenario expected) in order to define the technical solutions. -Measurements should be carried out by using current and improved cab radios. They should provide a view on the different impact coming from UMTS, LTE and GSM. - Consider that harmonized reference levels for expected emissions along railway lines (wanted/unwanted/out of band noise… ) will help the characterization (to be able to specify harmonized solutions and for coordination) Public operators and GSM-R operators should be fully compliant with their specifications and licenses. Possible improvements for the new licenses granted. 23/05/2013ECC WG FM35

Looking forward to the proposals from other sides From the railway side, we have outlined a way forward to improve the coexistence… AND contribution from industry, public operators, telecom regulators, etc… is essential. 23/05/2013ECC WG FM36

Thank you EUROPEAN COMMISSION DIRECTORATE-GENERAL FOR MOBILITY AND TRANSPORT Directorate B - European mobility network B.2 - Single European rail area

Content 23/05/2013ECC WG FM38 BACKUP SLIDES

National Rules Article 17.3 of the interoperability directive Member States shall draw up, for each subsystem, a list of the technical rules in use for implementing the essential requirements and notify this list to the Commission when: — no relevant TSI exists, or — a derogation has been notified under Article 9, or — a specific case requires the application of technical rules not included in the relevant TSI. — In addition, for open points in TSI. 23/05/2013ECC WG FM39

National Reference Documents ERA publishes National Reference Documents for the authorisation for placing in service of railway vehicles. To make national rules for vehicle authorisation transparent Are basis for comparison of national rules between member states (identification of communalities of national rules between member states for mutual recognition) Listing all parameters to be checked for the authorisation of placing in service of vehicles Identifying the rules applies by MS for authorisation of placing in service of vehicles Referencing all rules to one of the parameters to be checked Classifying all rules into groups Outlining the national Legal Framework covering the authorisation of placing in service of vehicles 23/05/2013ECC WG FM40

Evolution of the MI requirements - Need of changing an MI requirement : ERA Change Control Management process  Why? Error detection or related to ongoing/new projects  Steps: study if the request is a new functionality or error correction Technical solution Impact analysis : Operational Economical Study of other alternatives If the only alternative is to change the requirements or if there is an error correction … - Need of changing a non MI requirement in EIRENE: out of ERA CCM process 4123/05/2013ECC WG FM

In the current TSI… In current CCS TSI: Onboard subsystem for voice has to be able to cover the full GSM band ETCS data only radio can cover only the R band Losses between the antenna and the radio equipment are defined -> A filter could only be installed if the resulting onboard subsystem is compliant with all the above: a) subsystem used for voice should cover the full GSM band b) losses should be kept inside the allowed limits 23/05/2013ECC WG FM42