Incident Resolution Guide

ETCS and ATO Faults and Failures

Effective Date: 01 February 2018

Version: 1.0

Version Control
Issue Date Comments
1 01 February 2018 First Issue
 Contents Page
1) INTRODUCTION 3
2) PURPOSE 3
3) SCOPE 3
4) PROCESS 3
5) ETCS SCENARIO TABLES 5
6) ATO SCENARIOS TABLE 8
7) PROCESS FLOW DIAGRAM 9
8) ABBREVIATIONS 10
9) GLOSSARY OF TERMS 11

ETCS and ATO IRG February 2018 Page 2 of 12

1) Introduction
UK deployments of ETCS Level 2 are set to expand from 2018 to include the new Thameslink
deployment, alongside the existing deployment on Cambrian.

ETCS failure modes within this document have been determined through analysis of historic faults
and failure data from the Cambrian trials, and cross-checked against the planned operational modes
for Thameslink operation.

Thameslink also introduces Automatic Train Operation to UK heavy rail for the first time, and ATO
failure modes have been extrapolated from the planned operational mode for the Thameslink
operations.

2) Purpose
The purpose of this guide is to assist Industry Delay Resolution staff in gaining an accurate
understanding of the cause of reported ETCS and ATO faults and failures that lead to delays and
cancellations associated with operating using those operational systems.

This guide supplements, but is not incorporated into, the Delay Attribution Principles and Rules
(DAPR).

3) Scope
This document is applicable to the reporting and recording of faults and operational failures of the
ETCS or ATO systems. For any GSM-R related issues please refer to the GSM-R IRG.
This IRG provides supplementary guidance to that provided in Section G3 of the DAPR.

4) Process
This document will be continually reviewed and updated as new failure modes are identified
through live operation or are identified through new or amended system capabilities.

All such circumstances, as and when identified, should be advised to the Delay Attribution Board for
review, consideration and inclusion in subsequent versions of this document.

Input from train operators’ fleet and/or operations staff and Network Rail’s maintainers and
operations staff may be required to conclude the cause of individual incidents raised in TRUST or
CCIL. To support this, Driver reports / TRUST reports will need to be sufficiently detailed to enable
further investigation to take place and conclusions made as to cause.

This guide contains various tables to assist in identifying the cause of failures and allocating the
correct delay cause code:-

1) The ‘Scenario’ column covers the various overarching events that may occur in relation to
ETCS / ATO operation. These scenarios should be used as the first point of investigation.
2) The ‘Signaller Incident Report’ column sets out the what the Signaller / Controller is likely to
report as an ‘Event’ and which is required to be reported to aid further investigations

ETCS and ATO IRG February 2018 Page 3 of 12

 3) The ‘Driver Incident Report’ column sets out what the Driver is likely to report as a
‘Symptom’ and which is required to be reported to aid further investigations
4) The ‘Specific Information to Aid Diagnosis’ column, for ETCS tables only, sets out the specific
information required to aid diagnosis and identification of the cause of the fault or failure
5) The ‘Other Relevant Information’ column provides further sources of information that may
be useful in aiding the diagnosis and identification of cause.
6) The ‘Primary Cause’ sets out the possible Prime Causes for the fault or failure as manifested.
7) The ‘Attribution Principles’ sets out the basic rationale for responsibility for those Prime
Causes.
8) ‘DAPR Coding’ sets out the relevant DAPR Delay Code to be utilised for the Prime Cause of
the fault or failure identified.
9) The ‘Responsibility’ sets out the Industry party that is deemed responsible for that Prime
Cause of the fault or failure identified.
10) The ‘IRG Code’ is used for referencing any specific entry in this IRG and should be recorded
in the incident text.

ETCS and ATO IRG February 2018 Page 4 of 12

 5) ETCS Scenario Tables
ETCS TABLE 1

Other Relevant Information DAPR

Scenario Signaller Incident Report Driver Incident Report Specific Information to Aid Diagnosis Primary Cause Attribution Principles Responsibility IRG Code
(not necessarily available at time of incident) Coding
Signaller altered the MA. Attribution as per Cat. B / C SPaDs OF NR E1.01
State of network at time of incident (any other incidents / events which System altered the MA (route protection). Attribution as per Cat. B / C SPaDs JR NR E1.02
Unexpected (emergency) brake application.
could have had a contributing effect). Incorrect data in RBC. Infrastructure software/erroneous data issue JR NR E1.03
Train transitioned to TR mode.
Driver error. Attribution as per Cat. A SPaDs FI / TS TOC / FOC E1.04
Train loses MA.
Delayed movement - system timed out before move could be
EoA / MA altered (shortened).
Train in SR mode prior to trip. RBC & JRU / OTMR downloads. completed (e.g. “End of Authority override - passing a Stop in SR Cause of delayed movement (new primary incident) As per DAPR TOC/FOC/NR E1.05
Train Passed End of Authority Train passed EoA.
DRACAS investigation. balise in SR mode - has a time limit”)
(EoA) & comes to a stand in "SPAD" alarm.
Unexpected (emergency) brake application. SPaD investigation.
Supervised Location. MA revoked.
Train transitioned to TR mode. Details of the Written Order.
Train loses MA.
Known low adhesion sites.
Wheel slip / slide experienced. Low adhesion. Attribution as per DAPR re. low adhesion events As per DAPR TOC / FOC / NR E1.06
Railhead treatment prior to incident.
Abnormal / unexpected equipment behaviour (odometry /
speedometer).
Sandbox warning (this is rolling stock specific).

Signaller error OF NR E2.01

Unexpected (emergency) brake application.
At a location where ETCS level transitions from NTC to 0,1,2,3.
Train stopped short of EoA. Train transitioned to TR mode.
Train in mode SN prior to trip event. Signaller altered the MA
Signaller shortened MA. Train loses MA. RBC & JRU / OTMR downloads.
National trip procedure is active.
"[name of NTC] brake demand" message on DMI. DRACAS investigation. Attribute to event that caused the MA to be altered Causal Event TOC / FOC / NR E2.02
Train Stops Short of End of
State of network at time of incident (any other incidents / events
Authority (EoA) Unexpectedly.
which could have had a contributing effect).
Details of the Written Order.
Unexpected (emergency) brake application. System altered the MA Attribute to event that caused the MA to be altered Causal Event TOC / FOC / NR E2.03
ETCS Level NTC area.
Train stopped short of EoA. Train transitioned to TR mode.
Train in mode SN prior to trip event. System fault System fault JR NR E2.04
Train or system shortened MA. Prior to trip, driver selected shunt mode.
National trip procedure is active. Train fault Train fault M2 TOC / FOC E2.05
"SH refused" message on DMI.
Driver error Driver error FI / TS TOC / FOC E2.06
RBC programmed with wrong information (could be cause of
Software fault JR NR E3.01
Unexpected (emergency or service) brake application: either full service or emergency brake application).
* emergency brake application and train transitioned to TR mode & Balise fault Balise fault IM NR E3.02
loses MA; or
MA shortened or revoked. * service brake application & MA shortened to current position. RBC & JRU / OTMR downloads.
Balise Read Error.
Signaller informed of train status. (Depends on operations and system set-up.) DRACAS investigation.
"Balise read error" message on DMI. Two balise groups not read. Balises not read Train fault M2 TOC / FOC E3.03
May possibly get odometry error (due to lack of correction from non-
read balise group).

Communications issue:
* Loss of coverage.
* Message transmission delay. GSM-R IRG J0 NR E4.01
* Lineside GSM-R / FTN equipment fault.
Unexpected brake application: * GSM-R turned off.
Any known location coverage issues.
* emergency brake application and train transitioned to TR mode &
Any known location interference issues. RBC & JRU / OTMR downloads. On-board GSM-R equipment fault. M0 TOC / FOC E4.02
loses MA; or
Loss of GSM-R Data Connection. Train stops at, or short of, EoA. Any planned GSM-R outages. Telecoms Engineering Centre investigation.
* service brake application & MA shortened to current position.
T&V national value in RBC. DRACAS investigation.
(Depends on operations and system set-up.) GSM-R interference beyond the extent that can be
"Communication error" message on DMI. accommodated by radios compliant to the latest version of ETSI J0 NR E4.03
TS 102 933-1-2

GSM-R interference within the levels that can be accommodated

Commercial Discussions ongoing as to fitment of radios - NR / TOC / FOC E4.04
by radios compliant to the latest version of ETSI TS 102 933-1-2

ETCS equipment failure. Common issues from Cambrian include:

* BTM Failure (equipment).
* DMI fault (equipment).
* TIU failure (equipment).
* SoM Process Error (process).
Unexpected brake application.
* Unexpected Transition to SB Mode (equipment).
Train transitioned to SF mode.
Failure of Safety Related ETCS Failure alarm. Any known equipment glitches. RBC & JRU / OTMR downloads. * Odometry Failure (equipment).
Equipment failure message on DMI (Odometry failure alarm, BTM Train fault/NFF guidance M2 / M9 TOC / FOC E5.01
Equipment (on train). Change to train list. Mode transition from JRU (especially if the DMI goes blank / freezes). DRACAS investigation. * Quick Power On/Off (process).
failure alarm etc.) - n.b. these will be supplier specific.
* Power Supply Problems (equipment - integration with legacy
DMI blank / frozen (sometimes, not always).
systems).
* Earthing Fault (equipment - integration with legacy systems).
* EVC fault (equipment).
* No Fault Found / Can't Replicate Fault / Transient Fault / No
Further Information (unknown).

1
ETCS and ATO IRG January 2018 Page 5
ETCS TABLE 2

Other Relevant Information DAPR

Scenario Signaller Incident Report Driver Incident Report Specific Information to Aid Diagnosis Primary Cause Attribution Principles Responsibility IRG Code
(not necessarily available at time of incident) Coding
ETCS isolated. Failure to follow process for managing units with isolated saftey
ETCS Found Isolated. Driver cannot start as ETCS Isolated. Operator error FI / TS TOC / FOC E6.01
Inability to set up cab & go through SoM process. equipment.

Wrong route set by signaller. No opportunity for driver to challenge wrong route. OF NR E7.01
Unexpected brake application. Line-side system version fitted.
Unknown Incompatibility between Line-side version.
Train transitioned to TR mode. On-board system version fitted. Wrong stock allocated to diagram (train presented with onboard As per DAPR for stock diagram errors -performance issues from not
line-side & on-board system MA revoked. On-board version. MS / TA TOC / FOC E7.02
Train loses MA. (If on-board system version is lower than line-side system version it causes not upgraded) upgrading
versions. Fleet diagram.
"Trackside not compatible" message on DMI. this problem).
Network change error/omission/failure to notify operators or
Error in project planning for upgrades / system design. IM NR E7.03
uncommunicated supplier fixes resulting in the above.

Emergency stop order sent.

Signaller protecting route. Causal Event NR / TOC / FOC E8.01
MA revoked.
Unexpected brake application. Attribute to event that caused the MA to be altered
Train transitioned to TR mode. RBC download.
Emergency Stop Order Received. Other faults on the network causing the system to self protect. System protecting route. Causal Event NR / TOC / FOC E8.02
Train loses MA. DRACAS investigation.
MA revoked. "Emergency stop" message on DMI.
Specific RBC data related criterion has been met resulting in an emergency
RBC error. System fault JR NR E8.03
stop order being generated by the system .

MA revoked. Unexpected brake application. Train in SH or SR mode prior to trip. Driver error (didn't press 'over ride'). FI/TS TOC / FOC E9.01
Train transitioned to TR mode. Detail of balise list which was sent (balises on list and recipient train). RBC & JRU / OTMR downloads.
Stop Order Received. Error with balise list:
MA revoked. Train loses MA. Detail of balise layout at the affected location. DRACAS investigation.
"SH stop order" message on DMI OR "SR stop order" message on DMI. Information in balises is correct. * wrong information. System fault IM NR E9.02
Balise list sent (or not).
* sent to wrong train.
Line-side GSM-R / FTN equipment fault.
Failure to transition ETCS level.
Level transition areas. Balise failure. System/Infrastructure/Software fault IM NR E10.01
Failure message on DMI.
Failure to Complete ETCS Level Location of train at time of incident. RBC & JRU / OTMR downloads. RBC failure.
MA not extended (depending on application). Unexpected brake application (depending upon operation).
Transition Know coverage issue hotspots. DRACAS investigation. On-board ETCS equipment fault:
Train may or may not receive MA into L2 area (depending upon
Issue on approach to overlay or no signals area. * Balise not read. Train fault M2 TOC / FOC E10.02
operation).
* GSM-R equipment fault.
Lineside GSM-R / FTN equipment fault
System/Infrastructure/Software fault JR NR E11.01
Driver cannot connect to RBC upon start of mission. RBC failure.
DMI may display lost connection icon. On-board GSM-R equipment fault.
Train fault/Driver error M0 / TS / FI TOC / FOC E11.02
Driver error.
Communication failure (loss of coverage).
Driver loses connnection to the RBC during journey. As per DAPR /
RBC failure. Refer to relevant section of the DAPR / GSM-R IRG NR E11.03
DMI may display lost connection icon. GSM-R IRG
Power supply failure / blip.
SIM card configuration details & allocation to train / NR GSM-R network
Base ETCS SIM card configuration is incorrect ETCS SIM card configuration specifier (usually NR) NR E11.04
configuration

ETCS SIM card failed / missing / incorrectly installed

SIM card configuration details & allocation to train / NR GSM-R network (but base SIM card configuration is known to be correct / has
ETCS SIM failed on-train / lost / improperly installed M0 TOC / FOC E11.05
configuration previously operated; and SIM card is enabled on the NR GSM-R
network)
Train fails to connect to RBC.
DMI may display lost connection icon. ETCS SIM card swapped out owing to vehicle maintenance, and
SIM card configuration details & allocation to train / NR GSM-R network
RBC & JRU / OTMR downloads. was correctly notified to Network Rail within agreed timescales, NR failure to follow agreed process JR NR E11.06
Failure to Connect to RBC / RBC configuration
Visual indication that train is not communicating Telecoms Engineering Centre investigation. but not actioned by NR.
connection lost
DRACAS investigation.
ETCS SIM card swapped out owing to vehicle maintenance, but was
SIM card configuration details & allocation to train / NR GSM-R network
not correctly notified to Network Rail and/or not notified within Operator failure to follow agreed process M0 TOC / FOC E11.07
configuration
agreed timescales

ETCS cryptographic keys were requested by the operator in

On board configuration / RBC configuration NR failure to follow agreed process JR NR E11.08
accordance with the agreed process, but were not issued by NR

ETCS cryptographic keys were provided by NR but were not

On board configuration / RBC configuration Operator error M0 TOC / FOC E11.09
installed / were incorrectly installed on train
Trains fails to connect to RBC.
DMI may display lost connection icon.
ETCS cryptographic keys were provided by NR, but were not
On board configuration / RBC configuration Operator failure to follow agreed process JR NR E11.10
installed in / were corrupted in RBC

On board configuration / RBC configuration ETCS cryptographic keys issued by NR were not valid NR error JR NR E11.11

Signaller or Control Centre Technician error in applying altered

Signaller error OF NR E12.01
One or more train unexpectedly stopping at the Receives TSR text message on DMI. speed profile.
Information about the speed profile change (affected area, time on/off). WON.
Issues Applying & Removing an same time & losing their MAs. Unexpected brake application (emergency brake). Equipment failure:
Information about the service at the time of applying the altered speed RBC download.
Altered Speed Profile (TSR) Problems with RBC interface (e.g. erroneous Transition into TR mode. * Problems with RBC interface screen when trying to apply new
profile (# trains in section). DRACAS investigation. System/Infrastructure/Software fault IM NR E12.02
function, no function, delayed response). Train loses MA. speed profile).
* RBC failure.
System slow to respond when applying / removing * Problems with RBC interface screen when trying to apply new Signaller error OF NR E13.01
Information about the line block (affected area, time on/off). WON.
Issues Applying & Removing T2 / T3 RBC download.
System applies line block incorrectly (nature of MA shortened or revoked
Line Blocks Information about the service at the time of applying the altered speed DRACAS investigation. * RBC failure. System/Infrastructure/Software fault JR NR E13.02
precise error will need to be described).
profile (# trains in section). Control Centre Technician report.

Train is not within MA area (incorrect data in RBC). Error with programming RBC data JR NR E14.01
Unexpected brake application. Location of train.
Train Attempts RBC Connection or
Train transitioned to TR mode. Signalling design - train begins connection to RBC and then continues down a RBC & JRU / OTMR downloads.
Handover outside of expected MA revoked.
Train loses MA. non-fitted route. Incorrect RBC details entered into the train / by balise, DRACAS investigation.
Area.
"No track description" message on DMI. resulting in a call out of area.
Wrong RBC selected Driver/operator manually entering RBC number does so incorrectly. TS / FI / M2 TOC/FOC E14.02

DMI visibility issues (too bright, too dark). M2 TOC / FOC E15.01
Other Miscellaneous Equipment JRU / OTMR downloads.
None Audible alarm issues (too loud, too quiet). Cab-equipment standards & settings. Train fault M2 TOC / FOC E15.02
Issues DRACAS investigation.
Erratic DMI behaviour (speedo, odometry, planning area etc.) M2 TOC / FOC E15.03

ETCS and ATO IRG January 2018 Page 6

 ETCS TABLE 3

Other Relevant Information DAPR

Scenario Signaller Incident Report Driver Incident Report Specific Information to Aid Diagnosis Primary Cause Attribution Principles Responsibility IRG Code
(not necessarily available at time of incident) Coding
Train running at lower than permitted speed Driver/Train As per DAPR M*/ TS / FI TOC / FOC E16.01

Train running at permitted speed, but still lost time Insufficient SRT/TT allowance. To train planning code QA / QM NR E16.02

On board error - loss of national values M2 TOC/FOC E16.03

National Values not reprogrammed correctly following maintenance at

RBC & JRU / OTDR downloads. M2 TOC/FOC E16.04
depot.
DRACAS investigation. Loss of National Values
Train Planning Values in affected area. Incorrect NVs specified with more onerous restriction on speed *e.g
Time Loss in Running / Train Takes QA / QM NR E16.05
change to trackside not reflected in NVs)
Longer in Section Takes Longer Train slow through section. No symptoms reported
than Planned QA / QM / QN
Train re-routed over balise with incorrect NVs NR E16.06
/ OF

More onerous supervision Reason for degraded running - causal event As per DAPR NR / TOC / FOC E16.07

System slow to update MA. GSM-R system slow to respond. To GSM-R code. J0 NR E16.08

Level NTC train following ETCS train through ETCS L2 section (can't make use
TRUST time loss in running report. Cause of train running in Level NTC Causal Event NR / TOC / FOC E16.09
of virtual blocks so delay occurs). Attribute to reason train was running in level NTC
DRACAS investigation.
ETCS train following Level NTC train through ETCS Level 2 section (catches up Train Planning Values in affected area.
Cause of train running in Level NTC Causal Event NR / TOC / FOC E16.10
train and delayed).

Sectional running time performance (consistently over-achieving SRT). Incorrect TT allowance. To train planning code. QA / QM NR E17.01

Train booked to run in front of this train has been Early Running Principles / Train Planning Code (if booked)
Driver unaware of any issues Sectional running time performance (one-off) RBC & JRU / OTDR downloads. OF / QM NR E17.02
Train presents early causing removed/late/cancelled Unplanned / Planned
Train faster than expected through section. DRACAS investigation.
regulation decision to be required. Speedometer/odometry fault, causing train to under-report its
Sectional running time performance (consistently over-achieving SRT). Train Planning Values in affected area. Train fault M2 TOC/FOC E17.03
own speed
FI / TS /
Driver put train into TR mode - overriding ETCS and going faster than planned
Driver put train into TR mode Driver error/decision To reason for train being put into TR mode Causal TOC / FOC E17.04
speed
incident
EoA shortened to protected affected area.
Application of Proceed On-Sight
Observes lineside POSA aspect. Reactionary delay.
Authority for Right Side Train Sent POSA authority. Track circuit / axle counter failure. J3 NR E18.01
Train transitions from FS to OS. Track circuit / axle counter failure.
Detection Failure.
ATO reverts to manual.

As per primary cause of incident requiring diversion As per primary cause of diversion Causal Event As per primary cause E19.01

Error in project planning QA / QM NR E19.02

Wrong stock allocated to diagram MU / TA TOC/FOC E19.03

Train cancelled due to known Train category and system version (trackside / onboard) / Compatibility / Original incident report (triggering the diversion) / Fleet plans /
Route knowledge Train not taken into service / Train not fit to run on line System incompatibility
software incompatibility Interoperability restrictions / Sectional Appendix Sectional Appendix etc.
TOC unable to upgrade software in agreed timescales (per Network
TR / M2 TOC/FOC E19.04
Change)

QA / QM / QN
ETCS not available on unit NR E19.05
/ OF

Other identified cause As per identified cause As per DAPR identified cause E19.06

Incorrect route set - no opportunity for driver to challenge wrong

Non-overlay system / no notification to driver in cab OF NR E20.01
Wrong Route Set and taken by the route
Wrong Route Set and driver taken route Wrong Route Set and taken RBC & JRU / OTDR downloads / Signaller / Driver logs
driver whilst under ETCS operations Incorrect route set - opportunity for driver to challenge was not
Overlay system / notification to driver is made in advance Principles applied as per DAPR for wrong routing OF / TG / FC TOC/FOC E20.02
taken

ETCS and ATO IRG January 2018 Page 7

 6) ATO Scenarios Table

Other Relevant Information

Scenario Signaller Incident Report Driver Incident Report Primary Cause Attribution Principles DAPR Coding Responsibility IRG Code
(not necessarily available at time of incident)
ATO inhibited by the signaller cause of ATO inhibit Causal Incident NR / TOC / FOC A1.01
Time lost in running (train does not operate in ATO) Train not in ATO ATO not engaged / drops out Signaller's logs / Signalling JRU System fault (onboard / trackside /comms) As per failure mode M2 / IM / J0 / JR NR / TOC / FOC A1.02
Driver de-selects ATO as not trained or non preferred. Driver FI / TS TOC / FOC A1.03

Time lost in running (train does not operates in ATO) Train drops out of ATO ATO behaves erratically JRU / OTMR etc. download Driver takes manual control owing to ATO system fault various (on board fault / infrastructure fault) IM / JR / M2 NR / TOC / FOC A2.01

Incorrect journey time provided in ATR Network Rail QA / QM NR A3.01

System fault (onboard / trackside /comms) Per fault M2 / IM / J0 / JR NR / TOC / FOC A3.02
TSR / ESR applied or left applied Controller / Signaller OF NR A3.03
Slow progress of train between <reactionary delay following a slow train> r/a YC / YD Reactionary A3.04
Time lost in running Slow journey time between stations JRU / OTMR etc. download
stations Updated journey plan not delivered to train System - NR or Siemens (Op) IM / M2 NR / TOC / FOC A3.05
Incorrect journey selected by driver Driver / TOC FI / TS TOC / FOC A3.06
ETCS low adhesion is NR
Low adhesion setting activated / left activated OF / FI / TS NR / TOC / FOC A3.07
ATO low adhesion is Operator
Incorrect dwell time provided in ATR Network Rail QA / QM NR A4.01
Incorrect use of station hold Controller / Signaller OF NR A4.02
Station overtime Excess dwell at station Long dwell countdown / 'station hold' JRU / OTMR etc. download
Driver error (must press ATO start to proceed) Driver / TOC FI / TS TOC / FOC A4.03
System fault (onboard / trackside /comms) Per fault M2 / IM / J0 / JR NR / TOC / FOC A4.04
Skip stop activated by controller / signaller Controller / Signaller OF NR A5.01
JRU / OTMR etc. download
Train fails to call Train fails to call Train fails to call System fault (onboard / trackside /comms) Per fault M2 / IM / J0 / JR NR / TOC / FOC A5.02
Signaller's logs
Skip stop activated by driver Driver / TOC FI / TS TOC / FOC A5.03

Driver error (must take manual control in advance of ATO border) Driver / TOC FI / TS TOC / FOC A6.01
Minor delay Train stopped Train brought to a stand at ATO border Check logs, check signal aspect / movement authority
System fault (onboard / trackside /comms) Per fault M2 / IM / J0 / JR NR / TOC / FOC A6.02

ETCS and ATO IRG January

1 2018 Page 8
7) Process Flow Diagram

Delay as a result of
an ATO / ETCS
related issue

Is more than Is it an agreed Location/

one train Yes Software/Hardware
affected? issue?
Yes

No

Has an Is the issue

infrastructure issue Yes IM / JR Yes Infrastructure
been identified? related

No No

M2
Has a train borne
software issue been Yes
identified?

No M2

Has a train borne

hardware issue been Yes
identified?

No

Is it a driver
Yes FI / TS
error?

No

Is it a Network Rail
Yes OF
Ops staff error?

No

Further investigation
required

bote 1: Where an investigation is incomplete, attribution should be made to the Access

tarty from which the required information, relevant to the prime cause, was not provided.

bote 2: When both parties agree that an investigation has been concluded, and no cause has
been identified, the incidents will be coded to betwork wail responsibility.

bote 3:Cor DSa-w related issues affecting ATh or ET/S operation please refer to the DSa-w
LwD

ETCS and ATO IRG February 2018 Page 9 of 12

8) Abbreviations

Abbr. Meaning

ATO Automatic Train Operation

ATR Automatic Train Regulation
BTM Balise Transmission Module
DMI Driver Machine Interface
EoA End of Authority
ESO Emergency Stop Order
ESR Emergency Speed Restriction
ETCS European Train Control System
EVC European Vital Computer
FS Full Supervision Mode (Within ETCS)
FTN Fixed Telephone Network
GPS Global Positioning System
GSM-R Global System for Mobile Communications - Railway
JRU Juridical Recording Unit
L-NTC Level National Train Control
MA Movement Authority
NFF No Fault Found
NV National Value
OS On Sight Mode (Within ETCS)
OTMR On Train Monitor & Recorder
POSA Proceed on Sight Authority
RBC Radio Block Centre
SDO Selective Door Opening
SH Shunt Mode (Within ETCS).
SN System National Mode (Within ETCS).
SoM Start of Mission
SPAD Signal Passed at Danger
SR Staff Responsible Mode (Within ETCS).
SRT Sectional Running Time
TIU Train Interface Unit
TR Trip Mode (Within ETCS)
TSR Temporary Speed Restriction
TT Time Table
WON Weekly Operation Notice

ETCS and ATO IRG February 2018 Page 10 of 12

9) Glossary of Terms

Term Meaning
Adhesion Refers to rail-head conditions. Where weather conditions (e.g. ice, rain) or rail
head contamination (e.g. leaves) result in reduced friction at the wheel/rail
interface, trains wheels may slip on the rail, resulting in faster acceleration /
slower deceleration than planned. Adhesion settings in ETCS and ATO can
amend the acceleration / braking profiles to be used by the train in the event of
poor adhesion.
Causal Event The event that caused the primary delay
Control Centre A Network Rail role with duties for the management and maintenance of
Technical signalling equipment within control centres.
Co-operative Describes the shortening of the distance ahead a train is authorised to travel. In
Movement co-operative shortening, the RBC proposes a new End of Authority at a location
Authority closer to the train than the current End of Authority. The on board equipment
shortening checks if the train can be stopped without a brake intervention by the revised
location. If that is possible the new End of Authority will be accepted by the
ERTMS on board equipment. If it is not possible the request will be rejected and
the previous Movement Authority remains valid.
Emergency Stop An instruction issued by the Radio Block Centre to a train or to trains
Order commanding them to perform an emergency stop.
End of Authority The End of Authority marks the limit of the train's authority to proceed along a
(EoA) line of route, broadly analogous to a 'red' aspect signal in conventional signalling.
ETCS Level NTC, 1, Descriptions of the type of ETCS technology deployed in a particular area. Under
2, 3 Level 1, movement authority information is typically only provided from trackside
to train through balises in fixed locations on the track. Train detection
/separation is undertaken using fixed blocks. Under Level 2, movement authority
information is typically provided over the air via GSM-R radio, and train detection
/ separation is undertaken using fixed blocks. Under Level 3, movement authority
information is typically provided over the air via GSM-R radio, and train detection
/separation is undertaken dynamically using train position.

Level NTC describes trains operating in accordance with prevailing national train
protection systems (e.g. AWS & TPWS), where this is processed through the ETCS
on-board.

Types of ETCS may have different Versions.

Full Supervision Mode within ETCS. Gives full protection against overspeed and overrun.
mode
Movement The authority provided by the signalling system permitting a train to proceed to a
Authority (MA) given location along the trackside.
National Values Configurable values within ETCS that can be customised for a particular ETCS
deployment, for operational or safety reasons. These describe, for example,
maximum permitted speeds or distances to travel in particular ETCS modes for a
given ETCS deployment.

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 Term Meaning

On Sight mode Mode within ETCS. Provides the driver partial responsibility for the safe control
of the train. In this mode the train possesses a movement authority but the track
ahead might be occupied by another train.
Overlay An area of line which has both ETCS and conventional signalling fitted, over which
train in ETCS would use ETCS, trains which are not fitted with, or have failed to
transition into ETCS, use conventional train protection systems.
Revocation The cancellation of a previous instruction. For example, revocation of a
movement authority cancels the previous granting of a movement authority.
Revocation of a movement authority could take place:
• In a safety critical situations where a train must be stopped as quickly as
possible, e.g. if a wrong route has been set or due to an external event on track.
• To make new routeing arrangements - e.g. to run a train ahead of another at a
junction.
• As a result of a system failure
Shunting mode Mode within ETCS designed for shunting movements. Provides limited protection
against overspeed and overrun.
Staff Responsible Mode within ETCS. Allows a driver to take full responsibility for the movement of
mode a train in an equipped area. ETCS will impose a speed limit in this mode.
Supervised In ETCS, the track location beyond the End of Authority which the train protection
Location (SvL) functions of ETCS will act to minimise the risk of a train passing. Broadly
analagous to a signalling overlap in conventional signalling.
System National Equivalent to level NTC.
mode
system version The Version of ETCS being deployed. Versions describe the specification to which
the ETCS system (trackside/train) has been designed, and are determined and
published by the European Rail Agency.
T_NVCONTACT The maximum time a train is permitted to continue travelling without receiving
updated safety-related data from the RBC. Determined by National Values, and
designed to protect the movement of trains in the event of communications
failure.
T2 Describes a line blockage
T3 Describes a possession of a running line for engineering work
Telecoms The centre from which the GSM-R network is monitored and managed.
Engineering Centre
train category Type of train (passenger / freight etc.)
Trip Mode The mode of ETCS when a train has passed its End of Authority (equivalent of
passing a signal at danger). Causes the emergency brake to be applied and
special arrangements are required before the train can move off again.

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