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 Contents

Contents

Preface by the Chairman of the UIC ERTMS Platform ..............................................9

Preface by the main author ....................................................................................11

1 Introduction ..........................................................................................................13

1.1 Traditional methods and means for rail traffic management .............................13

1.1.1 Train dispatching and traffic planning .....................................................................13

1.1.2 Railway signalling ...................................................................................................14
1.1.3 Train control-command ..........................................................................................15
1.1.4 Railway communication .........................................................................................22

1.2 Driving factors for change ...................................................................................23

1.2.1 Open procurement under competition ...................................................................23

1.2.2 Interoperability .......................................................................................................23
1.2.3 Safety and quality of conventional and high-speed train service .............................26
1.2.4 Increase of transport capacity ................................................................................27
1.2.5 Reduction of life-cycle costs ..................................................................................27

1.3 Precursor of ERTMS, similar developments outside Europe ............................27

1.3.1 French ASTREE project .........................................................................................27

1.3.2 German FFB project ..............................................................................................28
1.3.3 Swedish Radio-Block system.................................................................................28
1.3.4 Communication Based Train Control (CBTC) systems in North America .................29
1.3.5 Advanced Train Administration and Communications system (ATACS) in Japan .....29

2 Background for ERTMS ..................................................................................31

2.1 Importance of a future oriented rail traffic management ...................................31

2.1.1 The emergence of a European railway policy .........................................................31

2.1.2 European projects in the field of rail traffic management .........................................32

2.2 Legal and normative base ...................................................................................33

2.2.1 EU Directive for the interoperability of Trans-European rail systems ........................34

2.2.2 Technical Specification for Interoperability related to Control-Command
and Signalling ........................................................................................................38
2.2.3 Mandatory CENELEC and ETSI norms ..................................................................45

3
Contents

2.3 Involved parties at European level ......................................................................46

2.3.1 European Commission, ERTMS Coordinator, European Rail Agency ERA ..............46
2.3.2 Railway organisations ............................................................................................48
2.3.3 Signalling industry ..................................................................................................49
2.3.4 GSM-R industry .....................................................................................................50
2.3.5 Notified bodies.......................................................................................................50

3 Traffic management layer: the Europtirails project ...................................51

3.1 Europtirails project history ..................................................................................51

3.2 Europtirails functions...........................................................................................52

3.2.1 Graphical real time information about international trains ........................................52

3.2.2 Reporting about international train run ...................................................................57
3.2.3 Data exchange on international train run ................................................................57

3.3 Europtirails system architecture and data exchange ........................................57

3.4 Plans for the roll-out of Europtirails ....................................................................58

4 Signalling installations:
the “Integrated European Signalling System“ INESS ...............................59

4.1 The precursor ERRI project “Harmonisation of Functional Conditions

of Signalling Systems” ........................................................................................59

4.2 The precursor UIC project “Eurointerlocking”....................................................59

4.3 The European project INESS...............................................................................64

4.3.1 Call for a 7th FP project “Delivering ERTMS-compliant interlocking systems” ..........64
4.3.2 The new project INESS (Integrated European Signalling System) ...........................65
4.3.3 Considerations on the future signalling system architecture ....................................67

5 Train control-command: the ETCS developments ....................................69

5.1 ETCS project history............................................................................................69

5.1.1 Introduction ...........................................................................................................69

5.1.2 Initial studies, technological choices and preliminary specifications
1989 - 1995 ..........................................................................................................70

4
 Contents

5.1.3 Mandatory specifications, tests and pilot applications, early commercial

applications 1996 - 2002 .......................................................................................73
5.1.4 Commercial roll-out since 2003 .............................................................................80

5.2 ETCS functionality ...............................................................................................81

5.2.1 Characterisation of ETCS .......................................................................................81

5.2.2 Functional Requirements Specification FRS ...........................................................83
5.2.3 Operational modes and related procedures............................................................87

5.3 ETCS system description ....................................................................................90

5.3.1 ETCS Multi-level system architecture .....................................................................90

5.3.2 ETCS system principles .........................................................................................96
5.3.3 ETCS language ....................................................................................................103

5.4 ETCS subsystems..............................................................................................107

5.4.1 Eurobalise transmission system ...........................................................................108

5.4.2 Euroloop transmission system .............................................................................111
5.4.3 Lineside Electronic Unit ........................................................................................111
5.4.4 Radio Block Centre ..............................................................................................112
5.4.5 ETCS on-board system .......................................................................................113
5.4.6 ETCS Driver Machine Interface DMI .....................................................................113

5.5 ETCS application, simulation, validation and certification ..............................115

5.5.1 Strategies for migration from legacy systems towards ETCS ................................115
5.5.2 ETCS simulation tools ..........................................................................................122
5.5.3 Validation and certification....................................................................................126

5.6 Ongoing further development of ETCS ............................................................134

5.6.1 Pilot application of ETCS level 3 with ERTMS Regional in Sweden .......................134
5.6.2 The new Baseline 3 for the System Requirements Specifications .........................138

6 Railway communication: the GSM-R developments ..............................145

6.1 GSM-R project history .......................................................................................145

6.1.1 The way to GSM-R ..............................................................................................145

6.1.2 The EIRENE and MORANE projects .....................................................................145
6.1.3 The GSM-R project of UIC ...................................................................................146

6.2 GSM-R legal base and specifications ..............................................................147

6.2.1 Legal base for GSM-R .........................................................................................147

5
Contents

6.2.2 GSM-R general characteristics and specifications ................................................148

6.2.3 GSM-R frequency band .......................................................................................149

6.3 GSM-R functionality and system architecture .................................................150

6.3.1 GSM-R functionality .............................................................................................150

6.3.2 GSM-R system architecture .................................................................................153

6.4 GSM-R components ..........................................................................................154

6.4.1 GSM-R mobiles and handhelds ...........................................................................154

6.4.2 Dispatcher terminals ............................................................................................157
6.4.3 Radio part of GSM-R networks ............................................................................157
6.4.4 Network Switching System NSS ..........................................................................157

6.5 GSM-R applications and engineering...............................................................160

6.5.1 A single platform for all railway service communication needs ..............................160
6.5.2 Specific requirements for the ETCS data transmission .........................................163
6.5.3 GSM-R test and validation ...................................................................................164

6.6 Further development of GSM-R ........................................................................165

6.6.1 Lessons learnt from implementation and operation of GSM-R..............................165

6.6.2 Ongoing further developments .............................................................................167

7 ERTMS implementations ..............................................................................169

7.1 European ERTMS applications in commercial operation ................................169

7.1.1 Overview..............................................................................................................169
7.1.2 Austria .................................................................................................................171
7.1.3 Belgium ...............................................................................................................173
7.1.4 France .................................................................................................................174
7.1.5 Germany ..............................................................................................................176
7.1.6 Great Britain.........................................................................................................177
7.1.7 Hungary ...............................................................................................................178
7.1.8 Italy ......................................................................................................................179
7.1.9 Luxembourg ........................................................................................................181
7.1.10 Netherlands .........................................................................................................182
7.1.11 Norway ................................................................................................................183
7.1.12 Spain ...................................................................................................................184
7.1.13 Sweden ...............................................................................................................185
7.1.14 Switzerland ..........................................................................................................186

6
 Contents

7.2 Programme for European ERTMS corridors.....................................................189

7.2.1 ERTMS priority corridors ......................................................................................189

7.2.2 ERTMS projects in middle and south east Europe................................................191

7.3 ERTMS implementations outside Europe.........................................................193

7.3.1 Overview..............................................................................................................193
7.3.2 Sydney region in Australia ....................................................................................193
7.3.3 China ...................................................................................................................195
7.3.4 India ....................................................................................................................196
7.3.5 Saudi Arabia ........................................................................................................197
7.3.6 South Korea ........................................................................................................197

8 Potential for benefits with ERTMS ..............................................................199

8.1 General ...............................................................................................................199

8.1.1 Opportunities from standardisation ......................................................................199

8.1.2 Open market for procurement ..............................................................................200
8.1.3 Conflicting aspects and interests during the migration phase ...............................201

8.2 Interoperability ...................................................................................................202

8.2.1 Universality for all kind of train services.................................................................202

8.2.2 Technical interoperability ......................................................................................202
8.2.3 Operational interoperability ...................................................................................202

8.3 Safety aspects ...................................................................................................203

8.3.1 Safety requirements for ETCS in Full Supervision mode .......................................203

8.3.2 Additional national safety requirements ................................................................206
8.3.3 Compliance with ERA requirements .....................................................................207
8.3.4 Safety requirements for ETCS in Limited Supervision mode .................................208
8.3.5 Lessons learned in the field, conclusions .............................................................210

8.4 Influence on ETCS on the capacity of lines......................................................211

8.4.1 Introduction .........................................................................................................211

8.4.2 Calculation of the influence of ETCS on the capacity consumption.......................212
8.4.3 Line capacity for typical cases of lines ..................................................................219
8.4.4 Comments to the results, conclusions .................................................................223

8.5 Costs and economic evaluation .......................................................................224

8.5.1 Qualitative considerations ....................................................................................224

8.5.2 Benchmark based on life cycle costs ...................................................................225

7
Contents

8.5.3 Key Performance Indicators .................................................................................229

8.5.4 Benchmark of life cycle costs and key performance indicators .............................232

9 Conclusions and outlook ..............................................................................235

9.1 Current ERTMS status .......................................................................................235

9.1.1 Consolidation reached end 2008 .........................................................................235

9.1.2 Formally decided further developments until 2012 ...............................................236

9.2 Longer term perspectives .................................................................................237

9.2.1 On-board ETCS and GSM-R ...............................................................................237

9.2.2 Track-side ETCS and INESS ................................................................................239
9.2.3 Radio communication ..........................................................................................240

9.3 On the way to a global de facto standard for train control

and communication ...........................................................................................241

Appendices

The Authors .........................................................................................................243

Glossary ..............................................................................................................247
Keywords ............................................................................................................257

8
 Preface

Preface by the Chairman of the UIC ERTMS Platform

The development of ERTMS under the patronage of the European Commission began in 1989
in the context of plans for a European high-speed railway network. This year we celebrate 20
years of work in this area, together with all the contributions of the people who have worked
on the project to successfully overcome the problems of expanding and bringing to maturity
the main ERTMS sub-systems ETCS and GSM-R. In terms of traffic management, the roll-out
of the Europtirails concept is in full swing. Concerning signalling, a comprehensive European
project entitled “Integrated European Signalling System” comprising 30 partners from railways,
manufacturers and academia started in October 2008 in order to Europeanise the ERTMS
project’s last frontier.
There is no longer any doubt as to the key role of ERTMS for the revitalisation of the Euro-
pean railways, and it is generally recognised that the point of no return on this road has been
passed.
The International Union of Railways is extremely pleased to distribute this ERTMS compen-
dium on the occasion of the ERTMS World Conference 2009 in Málaga, Spain, one of the EU
Member State where ERTMS has most thoroughly and successfully been implemented, mainly
on new high-speed lines.
The UIC ERTMS Platform, which I have the honour to chair, was established in 2006 to share
experience on ERTMS implementation and determine strategies for a feasible migration. Its
key task is to contribute to the promotion of a viable migration strategy for ERTMS which is
compliant with the rail sector’s interests as a whole.
In this book, a team of authors actively involved in the ERTMS development process for many
years provides an introduction to and overview of the current status achieved, including the
consolidation to be brought about by the new formally approved baselines for the ETCS and
GSM-R specifications.
I hope that this book will help improve understanding of the complex ERTMS concept and fa-
cilitate its further implementation, thus rendering the railways more attractive and competitive.

Chairman of the UIC ERTMS Platform

Málaga, 31 March 2009 Michele Elia

9
 Preface

Preface by the main author

During the last 20 years, the second half of my career as a professional engineer in the rail sec-
tor, I have had the privilege of being actively involved in the development of ERTMS, an initia-
tive jointly driven by the railways and manufacturers under the auspices of the European Com-
mission. This broad Europeanising process will bring about profound reform of the rail system.
The key driving factors are interoperability in the context of open-access infrastructure; safety
and performance in rail operations; an open and competitive multi-vendor market for procure-
ments; and cost efficiency over the system life-cycle as a whole. After a long history of national
traditions in rail traffic management, a new harmonised European concept is becoming a real-
ity, combining innovative approaches in technology, processes and the rules and regulations
underpinning these.
In the course of ERTMS development, many difficult and conflicting issues have had to be
faced by the numerous parties involved in the harmonisation of a multitude of completely dif-
ferent and incompatible points. Some of these controversial aspects are:
– National traditions versus European unification
– Integrated versus separated management of rail infrastructure and train operations
– Focus on high-speed versus universal application to all kinds of train services
– Users’ interests versus suppliers’ interests
– Infrastructure managers’ interests versus operators’ interests
– Signalling industry’s interests versus GSM-R industry’s interests
– Rolling stock suppliers’ interests versus signalling suppliers’ interests
– Short lifecycles in modern telematics versus long lifecycles in railway technology
– Technology versus rules and regulations
– Line side signalling versus cab-signalling
– Line side-based positioning versus train-based positioning
– Maximum safety integrity level across the board versus differentiated safety on existing lines
achieving at least the same level as ensured by legacy systems
– Short-term benefit versus long-term benefit.
It has taken a long time to reach a common understanding on the scope of traffic management
in the rail system, since traffic management goes far beyond traffic planning and dispatching,
including as it does signalling, control-command and train communications, all of which have
strongly rail-specific and highly safety-critical features.
This compendium is intended to introduce the reader to the complex ERTMS concept by giv-
ing an overview of all the relevant sub-projects. I hope it will help facilitate the work of all par-
ties and players involved in the further generalised roll-out of ERTMS and thus benefit a safe,
high-performance and sustainable rail transport system.
I would like to thank warmly all those who have contributed to the production of this book, es-
pecially the co-authors and the numerous proof-readers.

Berne, 31 March 2009

Honorary Professor, Doctor in Engineering

Peter Winter

11
 1.1 Traditional methods and means for rail traffic management

1 Introduction
Peter Winter

1.1 Traditional methods and means for rail traffic management

The functional structure of the rail traffic management system

is outlined in a very simplified and generalised way in the fig-
ure 1.1 on the right.
Several layers can be distinguished. In this hierarchy, the top
layer deals with the strategic dispatching of trains and traf-
fic planning for the whole geographical area of the system.
Methods and means used are similar to those applied for oth-
er means of transport and do not affect directly the safety of
train operation or the interoperability. At the next lower level,
the signalling comprises the far more rail specific and safety
relevant devices for remote control, the interlockings and the
outdoor equipment along the track. The bottom level con-
sists of the trains which are linked to the fixed installations by
means of train control-command devices. By nature, the lat-
ter are strongly relevant for the interoperability between trains Figure 1.1: Functional structure
and the infrastructure. As in every other production system, of the rail traffic management
there is a need for communication by voice and increasingly system
data based within and between each of the layers. This is achieved by fixed networks and –
especially between infrastructure and trains – by wireless radio communication which is also
relevant for interoperability.

1.1.1 Train dispatching and traffic planning

Originally, train operation was monitored at station level. In the 1950s dispatching centres were
installed for the most important lines, where the movement of the trains was reported by tel-
ephone from the various stations and registered manually on paper by traffic controllers (see
figure 1.2).

Figure 1.2: Traditional working place of a traffic controller

13
1 Introduction

Since the 1980’s, IT tools have been introduced to support the functions of timetabling, route
planning and tracing of the trains in normal and degraded situations. The huge progress in
general IT has allowed these processes to be automated to a large extent [1.a]. Paperless
work with flat screen man-machine interfaces has become a state of the art standard as in
many other sectors. Until now, these systems have basically been procured and operated at
the national level. International cooperation is facilitated by the fact that many parameters rel-
evant for timetabling, e. g. train numbering, have been harmonised by means of UIC codes.

1.1.2 Railway signalling

For safe and fast train running on lines and in stations, various methods and signalling tech-
nologies have been introduced over the years, using different kinds of signals for transmitting
the information about movement authority and/or allowed maximum speed to the driver [1.b,
1.c]. These means have been developed basically at the national level with different types of
signals and underlying philosophies. The range goes from semaphore, colour light code to
speed indication by means of digital number (figure 1.3). Today it seems practically impossible
to harmonise this panoply of devices and underlying rules and regulations.

Figure 1.3: Examples of lineside signals

Originally the signals (or flags) were activated locally. Later, interlockings were introduced for the
control of signals within a certain area. Different designs have been developed in mechanical,
electro-mechanical, relay or computer technology. In many European railways, there exists still a
great variety of such devices which are highly relevant for safe operation of trains (figure 1.4).

Figure 1.4: Examples of non computerised interlockings in different technologies

14
 1.1 Traditional methods and means for rail traffic management

For one or two decades, the design, engineering and operation of interlockings has been cov-
ered by general European CENELEC norms. However, de facto no European standardisation
and unification has been achieved.
Track vacancy proving is another vital signalling functionality. Originally this had been achieved
by station agents observing “physically” every train as it passed through the station. Later,
different types of on-track technical device were introduced to automate this function: trea-
dles, track-circuits and/or axle counters. These technologies, with elements on the track-side,
have been fundamental to the development of railway signalling philosophy based on fixed
block sections. For the block control between stations a step by step evolution took place
from manual operation towards fully automatic control. Since the 1950’s, relay based and later
computerised devices have been introduced for the remote control of complete interlockings.
Here too, there has been until now a lack of European harmonised operational and technical
standards.

Treadle Track circuit Axle counter

Figure 1.5: Examples of outdoor equipment for track vacancy proving

1.1.3 Train control-command

1.1.3.1 General characteristics and extent

Not surprisingly, the efforts for European standardisation originated in the field of control-com-
mand systems which are highly relevant for the interoperability between trains and infrastruc-
ture. These systems are necessary for supporting the driver in the observation of lineside sig-
nals or replacing the latter completely by in cab signalling. The following table1.6 illustrates that
currently about 20 different and non interoperable systems are in use. Some of them are very

Country CC-System Functionality Technology used for data

(status 2003) transmission
Austria PZB/Indusi discrete speed supervision intermittent/inductive coil
LZB cab signalling continuous/cable loop
Belgium Crocodile warning intermittent/galvanic contact
TBL1 stop intermittent/inductive coil
TBL2 cab signalling intermittent/inductive coil
TVM cab signalling continuous/track-circuit
Bulgaria Ebicab continuous speed supervision intermittent/transponder
Czech Republic LS discrete speed supervision semicontinuous/track-circuit

Table 1.6: Characteristics of the various European legacy control-command systems

15
1 Introduction

Country CC-System Functionality Technology used for data

(status 2003) transmission
Denmark ZUB 123 cab signalling intermittent/transponder and op-
tional semicontinuous/cable-loop
HKT cab signalling semicontinuous/cable-loop
France Crocodile warning intermittent/galvanic contact
KVB continuous speed supervision intermittent/transponder
TVM cab signalling continuous/trackcircuit
Germany PZB/Indusi discrete speed supervision intermittent/inductive coil
ZUB 122/262 tilt and speed supervision intermittent/transponder
LZB cab signalling continuous/cable-loop
Great Britain AWS/TPWS discrete speed supervision intermittent/inductive coil
TVM cab signalling continuous/track-circuit
TBL cab signalling intermittent/transponder
Selcab cab signalling semicontinuous/cable-loop
TASS tilt and speed supervision intermittent/transponder
Hungary EVM discrete speed supervision semicontinuous/track-circuit
Italy BACC discrete speed supervision semicontinuous/track-circuit
SCMT continuous speed supervision intermittent/Eurobalise
SSC discrete speed supervision intermittnet/transponder (micro-
wave)
Luxembourg Memor II+ warning/stop intermittent/galvanic contact
Netherlands ATB EG discrete speed supervision semicontinuous/track-circuit
ATB EG+NG continuous speed supervision intermittent/transponder
Poland SHP warning intermittent/galvanic coil
Romania Indusi discrete speed supervision intermittent/galvanic coil
Serbia Indusi discrete speed supervision intermittent/inductive coil
Slovakia LS discrete speed supervision semicontinuous/track-circuit
Slovenia Indusi discrete speed supervision discontinuous/inductive coil
Spain ASFA discrete speed supervision discontinous/inductive coil
Ebicab continuous speed supervision discontinuous/transponder
LZB cab signalling continuous/cable-loop
Sweden Ebicab continuous speed supervision discontinuous/transponder
Radioblock continuous speed supervision continuous/analogue radio and
discontinuous/transponder
Switzerland Signum warning/stop discontinuous/inductive coil
ZUB 121 continuous speed supervision discontinuous/transponder and op-
tional semicontinuous/cable-loop

Table 1.6: Characteristics of the various European legacy control-command systems

old and simple. However, even in course of the last 30 years, at least three completely different
systems for cab signalling in the context of high-speed train operation have been introduced.
It is also remarkable that in certain countries several systems of different age, functionality and
technology are in use. The table does not show to what extent two or more national systems
are overlaid either on track-side or on the traction units.
There are big differences regarding the extent of the different types of legacy systems. Most
widely installed are the PZB/Indusi, Crocodile and AWS/TPWS systems which are all in old

16
1 Introduction

conception and technology with relatively simple functionality. The systems used uniquely by
smaller networks are numerous, however by their nature of limited extent (figure 1.7).

Figure 1.7: Extent of the various types of legacy control-command systems

1.1.3.2 Functionality
The functionality of the various types of control-command systems ranges from simple warn-
ing in case of transition of a warning signal, automatic stop when passing a signal at danger,
discrete supervision of speed against certain maximal values at certain locations (speed traps),
continuous or semi-continuous speed supervision in the background, to cab signalling with
continuous indication and enforcement of the maximal allowed target speed. [1.d].
As shown in the following figure 1.8, in Europe legacy systems with discrete speed supervision
(i.e. supervision of a few speed levels) are most common. The number of lines and vehicles
with cab signalling functionality is relatively small. On the other hand, there is still a consider-
able amount of track and vehicles not equipped at all with control-command systems.

Figure 1.8: Extent of the different classes of functionality of the legacy control-command systems

18
 1.1 Traditional methods and means for rail traffic management

1.1.3.3 Technology for track – train data transmission

For the various legacy control-command systems, there exists interdependency between the
technology used for the data transmission between track and train and the functionality. In the
course of years, the technological progress allowed the transmission capacity to increase from
a few codes towards extended telegram messages. Thereby the geographical length of the
data transmission area could be increased from originally a few decimetres (intermittent trans-
mission) to seamless coverage of compete line sections (continuous transmission). Regarding
the track to train data transmission, the following four families of legacy control-command sys-
tems can be distinguished:
− Intermittent data transmission with galvanic contacts or inductive coils: systems AS-
FA, AWS/TPWS, Crocodile, PZB/Indusi, SHP, Signum.
Figure 1.9 illustrates the example of the AWS/TPWS system. The trackside equipment con-
sists of a permanent AWS magnet and arming/trigger loops at the signal for the stop func-
tion as well as in warning distance before the signal for the over-speed trap function. These
loops are energised by means of feeder cables from the signal control units. The loops of
the over-speed sensor send pulses to the on-board receiver which measures the time delay
between them and activates the brakes if this goes below a fixed critical value. The warn-
ing functionality is activated by the AWS magnet. Then a bell will sound for 1 second and a
visual indicator will show a full black disk. If there is no information from the arming/trigger
loop at the signal, a horn will sound continuously and – without a driver reaction – AWS
will automatically stop the train. If the driver reacts by pressing a button, then the horn will
stop and the on-board indicator disc will display a black-yellow aspect in order to remind
the driver of the caution aspect displayed by the lineside signal. At the next signal, the first
magnet restores the indicator to the all black position.

Figure 1.9: Schematic track-side layout of the AWS/TPWS system

The functioning of the other systems in this family is similar. Over time, for some of them,
the functionality has been slightly improved as a consequence of severe train accidents by
making maximal use of the data transmission capability of the underlying intermittent trans-
mission devices. For instance the AWS has been extended towards TPWS, the Crocodile
towards DAAT or Memor II+, Indusi towards PZB and the original warning Signum towards
warning/stop Signum. Despite of these extensions, the functionality of this oldest generation
of systems remains limited compared to the newer generations of legacy control-command
systems or to ETCS. As will be shown later, ETCS in level 1 with limited supervision could
easily mirror the functionality of these “grandfather” systems.
− Intermittent transmission with electronic transponder-device: ATB New Generation,
Ebicab, KVB, TBL, ZUB.

19
1 Introduction

A typical representative of this family is the Ebicab system which is widely used in the Nordic
countries Sweden Norway and Finland as well as in some other networks (figure 1.10). Key
element is an electronic transponder data transmission system with “Balises” (or beacons)
in the track, which are activated by 27 MHz radiation from the train-born balise-readers.
The Ebicab collects the data from the trackside signalling equipment and transmits it to the
on-board. All relevant data from trackside and from the train are processed in an on-board
computer which calculates the maximal admitted speed and compares this with the real
speed of the train. In case of over-speed, the driver is warned and the brakes are applied
automatically if needed. On the Nordic networks, the driver receives optical information from
lineside signals as well as from the system on-board. In normal train operation, the Ebicab
system is considered to be fully safe and the speed displayed at the driver information panel
may prevail to the indication of the lineside signals [1.e].
As will be explained in chapter 5.1.2, the intermittent data transmission by means of elec-
tronic transponder devices has become a key feature also for ETCS especially in level 1
application. Indeed, the so called KER balise used for KVB, Ebicab and RSDD (precursor
system of SCMT in Italy), is the precursor of the ETCS Eurobalise and a Eurobalise reader is
able to read Eurobalises as well as KER balises (see chapter 5.4.1).

Figure 1.10: Structure and working principle of the Ebicab system

− Track-circuit based transmission: ATB First Generation, BACC, EVM, LS, TVM.
This system family uses track-circuits not only for vacancy proving but also for the data
transmission from track to train. The figure 1.11 illustrates the principle of track circuits and
the speed supervision by means of the TVM system, which is installed mainly on high-speed
lines in France, Belgium and England. The two system generations TVM 300 and TVM 430
are backwards compatible. With TVM 430, the transmission has a 27 bit capacity, 6 bits
being reserved for the transmission protection by coding, 3 bits being used to define the

20
 1.1 Traditional methods and means for rail traffic management

user network and the type of mission of the train. The remaining 18 functional bits are typi-
cally used for speed data (8 bits), distance to go (6 bits) and profile (4 bits). Over the whole
line and the stations the track-circuit sections are interlinked.
The on-board equipment is structured for safety reason into two independent channels. The
system compares the real and the target speed and acts on the brake if necessary. Due to
the limited number of possible codes, the target speed is transmitted in relatively big steps.
For the spacing between two consecutive trains, at least one complete track section is always
kept free. With TVM, it has become possible for the first time to abandon the lineside signal-
ling as it is the case for ETCS in the radio transmission based application levels 2 and 3.
Besides TVM, the other track-circuit based systems ATB, BACC, EVM and LS are used on
conventional main lines and stations, whereby gaps between the different track-circuit sec-
tions may exist. For ETCS, this transmission technology has not been taken over. A similar
functional behaviour may be obtained with data infill transmission devices by means of Eu-
roloops or GSM-R radio infill (see chapter 5.4.2 and 5.6.2).

Figure 1.11: Principle of trackcircuits and speed supervision with the TVM system

− Transmission with cable loops: HKT, LZB, ZUB.

The most sophisticated system within this family is the LZB (figure 1.12). A bi-direction-
al continuous data transmission is achieved by means of cable loops all along the track.
The characteristics are 36 kHz and 1’200 bit/sec for track to train respectively 56 kHz and
600 bit/sec for train to track communication. The loops are crossed at regular distances
what facilitates the calibration of the odometry. Unlike TVM, this system is not integrated
but overlaid on the underlying signalling system with the block control. The remote feeding
units are controlled by a dedicated LZB centre. The on-board equipment is engineered with
two independent channels for safety reasons. The target speed is transmitted and indicated
almost continuously.
The principle of bi-directional continuous data transmission between track and trains has
also been adopted for ETCS, however by means of GSM-R radio transmission instead of

21
1 Introduction

Figure 1.12: Structure and working principle of the LZB system

cable loops. Therefore the functionality of ETCS in level 2 shows many similarities with the
LZB system.

1.1.4 Railway communication

Railways were the earliest users of telegraphs and telephones and all follow-up developments
of wire-based communication devices.
Radio transmission has been introduced in the railway sector since the 1950s. Analogue mod-
ulation has been used first in the 4 m (around 450 MHz) and later in the 2 m band (around
160 MHz). For the latter, a certain standardisation was achieved by means of UIC codes. Ac-
cording to the best practice of the day, dedicated networks were used for the different applica-
tions, the most demanding being the train radio (see figure 1.13).

Figure 1.13: Traditional structure of railway radio communication systems

22
 1.2 Driving factors for change

Main characteristics of the traditional systems are:

– Analogue modulation, mostly walkie-talkie, simplex system
– Range limited, continuous communications not possible
– Limited quality of communications
– Limited applications, typically voice only
– Large number of staff speaking on the same channel
– No encryptions for communication
– Different frequency spectrums allocated.
In the past, international interoperability existed only to a limited extent. The need for reform-
ing and standardising the railway radio communication was driven mainly by the technological
revolution in the sector characterised by the conversion from analogue towards digital technol-
ogy with use of optical fibre cables. As will be shown in chapter 6, railways did not have to
completely “re-invent the wheel” in this domain but could benefit instead from the general huge
development with the public GSM system.

1.2 Driving factors for change

During the last two decades, the rail traffic management system has been confronted with
legal, operational, technical and economic changes. In chapter 8, it will be outlined, to what
extent these expectation have been fulfilled to date with the ERTMS developments.

1.2.1 Open procurement under competition

Procurement under open competition based on public tendering is a fundamental requirement

for modern railways like for many other public sectors. In the past, this has been seriously hin-
dered by the lack of standardised requirements and specifications especially in the signalling
and control-command area. These subsystems being highly safety relevant, they are ruled by
the relevant CENELEC norms in force for several years. In reality however, methods and tools
for ensuring this systematically on a broad base are still missing.

1.2.2 Interoperability

As passenger and freight trains are circulating more and more through several countries over
networks of different infrastructure companies, interoperability is a fundamental need of mod-
ern train operation. This term, which has been taken over from the military defence sector,
postulates that complete trains including the traction units can freely circulate over the infra-
structure of several networks. As will be shown later, a distinction is made between operational
and technical interoperability. The latter is the pre-condition for trains being able to cross the
border. It will lead after a transition period (migration phase) to a simplification for the trackside
and on-board equipment. Operational interoperability facilitates from an organisational and hu-
man resource point of view the long distance train circulation over national borders. It requires
in addition to the technical standardisation the harmonisation of all kind of procedures, rules
and regulations for the train operation.
Of course, interoperability is not just a matter of signalling and train control. With regard to the
track gauge, today, there are 6 major different versions in Europe (figure 1.14). The stand-
ard gauge 1435 mm is the most used – however 5 more are present. For instance, the Ibe-

23
1 Introduction

Figure 1.14: Different track gauges used in Europe

Figure 1.15: Different clearance gauges used in Europe

24
 1.2 Driving factors for change

rian gauge is 1668 mm and there are plans to convert this whole network to standard gauge.
Nowadays, interoperability is achieved via rolling stock with variable gauge. The Spanish train
TALGO 250 is the latest solution. It changes gauge while running at 20 km/h.
With regard to the clearance gauge, today, there are 6 major different versions in Europe
(figure 1.15). For commercial reasons, the trend goes towards enlarged rolling stock, which
has by nature a huge impact on the infrastructure.
With regard to the power supply systems, today, there are 9 different kinds of electrifications
in Europe (figure 1.16). As it can be seen, the 25 kV AC is the most used for high-speed lines.
On conventional lines, a lot of Direct Current with 3 kV or 1.5 kV exists. The spectacular evolu-
tion in the field of traction power electronics in the last decades facilitates the construction of
rolling stock able to deal with more than one power supply system (e. g. the Thalys trains oper-
ating with 4 different power supplies).

Figure 1.16: Different traction power supply systems used in Europe

From all these domains, the control-command and signalling is the most problematic, as there
exist nowadays more than 20 incompatible systems as shown in table 1.6. The tradional way
for ensuring interoperability in this domain consisted in equipping traction units for internation-
al lines with several legacy control-command systems in parallel. The costs for this may well
reach 20 – 25 % of the total cost for a locomotive. Also it becomes problematic for mechanical
and electromagnetic compatibility reasons to install all national control-command antennas re-
quired for longer corridor routes over several national networks (figure 1.17).
Another limiting factor is a need for many different displays for the drivers as shown with the
example of the Thalys high-speed trains (figure 1.18).

25
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