1. © SBB I ETCS 19.12.20061 The Concept of the SWISS ETCS Safety Case The safety case as a basis for achieving the ETCS operating approval in Switzerland. SBB, I-ETCS RAMS IOP

2. © SBB I ETCS 19.12.20062 AGENDA Context and Application Prerequisites Procedure Safety Case Summary The information of this instruction are corresponding to the document “Konzept für den Aufbau der Sicherheitsnachweise mit IOP Konzeption”. By conflicts of understanding the basic document holds the priority.

3. © SBB I ETCS 19.12.20063 Context and Application Context for Explanation and Requirements for the Application

4. © SBB I ETCS 19.12.20064 Context The Train Operator (EVU) can achieve the operating approval by providing the vehicle-related Safety Case for his system. The Safety Case must prove… … that the system - in all its partial components and aspects – fulfills the legal requirements and the relevant standards. … that the specific requirements - in form of international, national and local requirements (safety, operational processes etc.) – are implemented and that this has been validated and verified also in form of tests (lab, onsite track). … that the system is constructed and built in a professional railway equipment environment which implements the relevant standards (V- model). It also guarantees a continuous traceability of the processes related to work, documentation and testing. …the operating staff of the system is able to use it SAFELY. The documents (manuals, trainings, maintenance etc.) are available and usable. The track specific Operational Rules are fulfilled.

5. © SBB I ETCS 19.12.20065 How to apply for the operating approval The Train Operator (EVU) applies for an operating approval (BBW) for one vehicle type per track at the SWISS federal office for transport (BAV). Federal Office for Transport (BAV)EVU Approval procedure Application BBW Safety Case The application basis is the Safety Case (II) and its expertise. EXP.

6. © SBB I ETCS 19.12.20066 Prerequisites Four prerequisites for the SWISS operating approval

7. © SBB I ETCS 19.12.20067 1) Fulfillment of the legal regulations and standards The system fulfills the legal requirements and relevant standards in all its partial components and aspects. BAVEVU LAW & Standard e.g. EN50126

8. © SBB I ETCS 19.12.20068 2) Fulfillment of the specific requirements and of safety The system fulfills the specific requirements on the technical - operational level (Technical Requirements, Safety Requirements etc.) in form of international, national and local specifications (System Leader). BAVEVULAW & Standard e.g. Spec TR e.g. EVU / System Leader SRS 2.3 Track

9. © SBB I ETCS 19.12.20069 3) Implementation in the industrial production surroundings The system was developed in the production surroundings which has traceable processes of work, documentation and testing at hand. BAVEVULAW & Standard e.g. Spec TR e.g. EVU / System Leader Production, Industry Safety Case Test QM Information Management

10. © SBB I ETCS 19.12.200610 EVU EVU / Systemführer 4) Safe Handling The safe handling is guaranteed and proven for the operation and maintenance also in form of manuals (HB), training and Operating Rules (OR). BAVLAW & Standard e.g. Spec TR e.g. Production, Industry SiNW Test QM Information Management EVU EVU / System Leader HBTrainingOR HB Training OR Mainte- nance Mainte- nance

11. © SBB I ETCS 19.12.200611 Procedure Four Prerequisites for an Application

12. © SBB I ETCS 19.12.200612 BAV EVU / System Leader BAVEVU EVU / System Leader Procedure The process for achieving the operating approval means to have done “correct things in a correct way” and to have proven this also with respect to safety. Spec TR Production, Industry QM Information Management LAW & Standard e.g. Safety Case Safety Case Application Approval procedure TR Standard TS Board of Amendment ReleaseRelation Expertise LAW Expertise

13. © SBB I ETCS 19.12.200613 Safety Case The Safety Case as a condition for the operating approval

14. © SBB I ETCS 19.12.200614 Contents of the “Overall Safety Case (I)” The superordinate “Overall Safety Case (I)” refers to documents and proofs from previous processes consisting of the three perspectives: Safety Case for “Vehicles (II)” (on the ETCS Equipment including the implementation and handling). Safety Case for the “Overall Plant (IV)” (related to the corresponding track including the implementation and handling) Statement on the “Operational, Track-Related Interoperability (V)” (Safety case of the reciprocal safety requirements between the track and the vehicle including the evidence of the estimation of the sanctions.)

15. © SBB I ETCS 19.12.200615 IOP, just a Sub-Perspective IOP is only a Sub-Perspective. The test series from IOP are NOT validated! This is why the results cannot be used bindingly on their own for the safety case. INTEROPERABILITY Logical Operation EVC (European Vital Computer) Logical Operation RBC (Radio Block Center) On Board Units Trackside related units SYSTEM INTEGRATION Results from IOP tests serve to minimize the risks during the project processing and may only be used as an additional aspect (Sub- Perspective) of any safety topic. Perspective Sub-Perspective end - to - end end - & - end

16. © SBB I ETCS 19.12.200616 Structure Safety Case vehicle M/N/L (vehicle related) Incl. Regulations, Operation, Maintenance Safety Case SA Track X Incl. track related FDV* and Requirements Overall Safety Case SA for track X and vehicle. (II) (V) (IV) are complete Safety Case System Tests Vehicle / Track Safety Case Vehicle / Track IOP Proof SA Vehicle on Track X (ETCS) The superordinate document on the overall Safety Case describes how any vehicle may circulate safely on track ‘X’. VehicleSafety plants track * FDV=Train loading and running regulations

17. © SBB I ETCS 19.12.200617 Heredity Safety Case vehicle M/N/L (vehicle related) Incl. Regulations, Operation, Maintenance Safety Case SA Track X Incl. track related FDV* and Requirements Overall Safety Case SA for track X and vehicle. (II) (V) (IV) are complete Safety Case System Tests Vehicle / Track Safety Case Vehicle / Track IOP Proof SA Vehicle on Track X (ETCS) Safety Case vehicle M/N/L (vehicle related) Incl. Regulations, Operation, Maintenance Safety Case SA Track X Incl. track related FDV* and Requirements Overall Safety Case SA for track X and vehicle. (II) (V) (IV) are complete Safety Case System Tests Vehicle / Track Safety Case Vehicle / Track IOP Proof SA Vehicle on Track X (ETCS) The Overall Safety Case bases on the safety cases and expertise of the previous processes of the industrial partners. Safety Case application OBU in vehicle IOP Statement (Lab/On site Test) Plant specific Safety Case for technical Components SiNW EVC IOP-CH Statement Subsets, Version SC ESTW div. Subsys SC RBC Safety Acceptance Handling of Anomalies Handling of Anomalies

18. © SBB I ETCS 19.12.200618 Heredity Safety Case vehicle M/N/L (vehicle related) Incl. Regulations, Operation, Maintenance Safety Case SA Track X Incl. track related FDV* and Requirements Overall Safety Case SA for track X and vehicle. (II) (V) (IV) are complete Safety Case System Tests Vehicle / Track Safety Case Vehicle / Track IOP Proof SA Vehicle on Track X (ETCS) Safety Case vehicle M/N/L (vehicle related) Incl. Regulations, Operation, Maintenance Safety Case SA Track X Incl. track related FDV* and Requirements Overall Safety Case SA for track X and vehicle. (II) (V) (IV) are complete Safety Case System Tests Vehicle / Track Safety Case Vehicle / Track IOP Proof SA Vehicle on Track X (ETCS) The Overall Safety Case bases on the safety cases and expertise of the previous processes of the industrial partners. Safety Case application OBU in vehicle IOP Statement (Lab/On site Test) Plant specific Safety Case for technical Components SiNW EVC IOP-CH Statement Subsets, Version SC ESTW div. Subsys SC RBC Safety Acceptance Handling of Anomalies Handling of Anomalies IIIV VI VII VIII IX X XI V III I

19. © SBB I ETCS 19.12.200619 Summary Operating Approval based on clear processes and a structured contents

20. © SBB I ETCS 19.12.200620 Summary of Processes The Railway Operator (EVU) ensures that his processes and those of its subsuppliers comply with the European standards and that the required safety cases have been prepared according to them (ES) and that the corresponding expertise have been done. BAV EVU / System Leader Safety Case Safety Case Application Approval Procedure TR Standard TS Expertise

21. © SBB I ETCS 19.12.200621 Summary of Contents The Railway Operator (EVU) has fulfilled the national and local specifics and can prove this. The proofs follow the structure given below. EVU, Railway Operator Vehicle Manufacturer of Vehicle SBB – ETCS Owner Infrastructure Manufacturer of Infrastructure Operator Vehicle / Infrastructure Industry The Railway Operator (EVU) ensures that his processes and those of its subsuppliers comply with the European standards and that the required safety cases have been prepared according to them (ES) and that the corresponding expertise have been done.

22. © SBB I ETCS 19.12.200622 Summary Clear processes and structured contents practiced on the right level and assembled according to the heredity principle are the basis for achieving the operating approval. This requires the COOPERATION of all units concerned. BAV EVU / System Leader Safety Case Safety Case Application Approval Procedure TR Standard TS EVU, Railway Operator Vehicle Manufacturer of Vehicle SBB – ETCS Owner Infrastructure Manufacturer of Infrastructure Operator Vehicle / Infrastructure Industry

23. © SBB I ETCS 19.12.200623 Last slide of the concept of the ETCS Safety Case - THANK YOU VERY MUCH -