BRITISH STANDARD BS EN

62290-1:2006

Railway applications —
Urban guided transport
management and
command/control
systems —
Part 1: System principles and
fundamental concepts

The European Standard EN 62290-1:2006 has the status of a

British Standard

ICS 45.060

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 BS EN 62290-1:2006

National foreword

This British Standard was published by BSI. It is the UK implementation of

EN 62290-1:2006. It is identical with IEC 62290-1:2006.
The UK participation in its preparation was entrusted to Technical Committee
GEL/9, Railway electrotechnical applications.
A list of organizations represented on GEL/9 can be obtained on request to its
secretary.
This publication does not purport to include all the necessary provisions of a
contract. Users are responsible for its correct application.
Compliance with a British Standard cannot confer immunity from
legal obligations.

This British Standard was Amendments issued since publication

published under the authority
of the Standards Policy and
Strategy Committee Amd. No. Date Comments
on 31 January 2007

© BSI 2007

ISBN 978 0 580 50059 6

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 EUROPEAN STANDARD EN 62290-1
NORME EUROPÉENNE
EUROPÄISCHE NORM December 2006

ICS 45.060

English version

Railway applications -
Urban guided transport management
and command/control systems
Part 1: System principles and fundamental concepts
(IEC 62290-1:2006)

Applications ferroviaires - Bahnanwendungen -

Systèmes de contrôle/commande Betriebsleit- und Zugsicherungssysteme
et de gestion des transports für den städtischen schienengebundenen
guidés urbains Personennahverkehr
Partie 1: Principes système Teil 1: Systemgrundsätze
et concepts fondamentaux und grundlegende Konzepte
(CEI 62290-1:2006) (IEC 62290-1:2006)

This European Standard was approved by CENELEC on 2006-11-01. CENELEC members are bound to comply
with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this European Standard
the status of a national standard without any alteration.

Up-to-date lists and bibliographical references concerning such national standards may be obtained on
application to the Central Secretariat or to any CENELEC member.

This European Standard exists in three official versions (English, French, German). A version in any other
language made by translation under the responsibility of a CENELEC member into its own language and notified
to the Central Secretariat has the same status as the official versions.

CENELEC members are the national electrotechnical committees of Austria, Belgium, Cyprus, the Czech
Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia,
Lithuania, Luxembourg, Malta, the Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain,
Sweden, Switzerland and the United Kingdom.

CENELEC
European Committee for Electrotechnical Standardization
Comité Européen de Normalisation Electrotechnique
Europäisches Komitee für Elektrotechnische Normung

Central Secretariat: rue de Stassart 35, B - 1050 Brussels

© 2006 CENELEC - All rights of exploitation in any form and by any means reserved worldwide for CENELEC members.

Ref. No. EN 62290-1:2006 E

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 EN 62290-1:2006 –2–

Foreword
The text of document 9/949/FDIS, future edition 1 of IEC 62290-1, prepared by IEC TC 9, Electrical
equipment and systems for railways, was submitted to the IEC-CENELEC parallel vote and was approved
by CENELEC as EN 62290-1 on 2006-11-01.

The following dates were fixed:

– latest date by which the EN has to be implemented

at national level by publication of an identical
national standard or by endorsement (dop) 2007-08-01

– latest date by which the national standards conflicting

with the EN have to be withdrawn (dow) 2009-11-01

Annex ZA has been added by CENELEC.

__________

Endorsement notice
The text of the International Standard IEC 62290-1:2006 was approved by CENELEC as a European
Standard without any modification.

__________

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CONTENTS
INTRODUCTION...................................................................................................................4

1 Scope ............................................................................................................................7
2 Normative references .....................................................................................................7
3 Terms, definitions and abbreviations ...............................................................................7
3.1 Terms and definitions ............................................................................................7
3.2 Abbreviations ......................................................................................................10
4 Concepts ......................................................................................................................11
4.1 Urban guided transport (UGT) ..............................................................................11
4.2 Grade of automation ............................................................................................12
4.3 Operation management and supervision...............................................................16
4.4 Interoperability, interchangeability, compatibility and adaptability..........................16
5 System environment and boundaries.............................................................................17
6 General requirements and description of the basic functions..........................................19
6.1 General requirements ..........................................................................................19
6.2 Description of the basic functions.........................................................................21

Annex ZA (normative) Normative references to international publications with their

corresponding European publications............................................................................29

Bibliography .......................................................................................................................28

Figure 1 – The three-step process followed by the UGTMS standard......................................6

Figure 2 – Example of track layout ......................................................................................12
Figure 3 – Example of GOL classification ............................................................................16
Figure 4 – System environment ...........................................................................................18

Table 1 – Grades of automation ..........................................................................................14

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 EN 62290-1:2006 –4–

INTRODUCTION

Standard IEC 62290 specifies the functional, system and interface requirements for the
command, control, and management systems that are used on urban, guided passenger
transport lines and networks. Trains operating on such lines may include heavy-duty
underground (metros) trains, commuter trains, light rail trains, trams and regional trains. This
standard does not apply to lines that are operated under specific railway regulations, unless
otherwise specified by the authority having jurisdiction, however this standard will recognise
the importance of maximising operational interoperability between interconnected UGTMS and
non-UGTMS networks.

These systems are designated here as Urban Guided Transport Management and
Command/Control Systems (UGTMS). UGTMS systems cover a wide range of applications
from manual to fully automated operation. A line may be equipped with UGTMS on its full
length or only partly equipped.

UGTMS requirements include consideration of the following:

– command/control and supervision of train movements;

– safety of train movement;
– safety of passengers and staff;
– factors affecting line capacity, train throughput and average train speed;
– factors affecting system availability;
– factors affecting system safety.

This standard does not specifically address security issues. However, aspects of safety
requirements may apply to assuring security within the urban guided transit system.

This standard defines a complete catalogue of UGTMS functional requirements split into
mandatory and optional functions, as well as customisation principles. The functions used are
based on the given grade of automation taking into account the grade of line. By fulfilling the
requirements, a supplier can create one or more generic applications including all mandatory
functions and all or a subset of optional functions. A generic application will achieve
interoperability within the defined boundary conditions. Customising a generic application will
create a specific application taking into account of local conditions like track layout and
headway requirements. It is in the choice of supplier and transport authority to add additional
functions to a generic or specific application. These additional functions are not described in
this standard.

The application of this standard is the responsibility of the transport authority concerned in
accordance with the authority having jurisdiction.

This standard is a recommendation for those transport authorities, wishing to introduce

interoperable, interchangeable and compatible equipment. It is the responsibility of transport
authorities, in accordance with authorities having jurisdiction, to take into account their
particular needs in the application of the standard.

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This standard is also applicable for upgrading of existing systems. In this case,
interchangeability and compatibility could be ensured only for the additional UGTMS
equipment. Checking the possibility for upgrading existing equipment and the level of
interoperability is the responsibility of the transport authority concerned. The definition of
generic interfaces with existing equipment, which may be customised for a specific
application, is within the scope of the standard.

This standard is not applicable to existing command and control systems or projects in
progress prior to the effective date of this standard.

Command and control systems which do not use data communications, between wayside
equipment and trains, for train protection purposes are not within the scope of this standard.

The main objective of this standard is to achieve interoperability, interchangeability and

compatibility.

Application of the standard should take into account the differences between the various
networks operated in different nations. Those differences include operational and regulatory
requirements as well as different safety cultures.

The standard is divided into four parts.

– Part 1 “System principles and fundamental concepts” provides an introduction to the

standard and deals with the main concepts, the system definition, the principles and the
main functions of UGTMS (Urban Guided Transport Management and Command/Control
Systems).

The three other parts correspond to the three steps required in the process of specifying
UGTMS and are to be used accordingly.

– Part 2 “Functional specifications” deals with the standardisation of functions and takes into
account all essential requirements and assignment of safety integrity level (SIL) (see
IEC 62278) as well as functional requirement specifications (FRS).
The FRS (Functional Requirement Specification) identifies and defines the functions that
are necessary to operate an urban guided transport system. Two types of functions are
distinguished for a given grade of automation taking into account grade of line: mandatory
functions (e.g. train detection) and optional functions (e.g. CCTV monitoring of platforms
and tracks).
– Part 3 “System specifications” deals with the architecture of the system and the allocation
of the requirements and functions identified in part 2 to architecture constituents (SRS).
The SRS (System Requirement Specification) specifies the architecture of a UGTMS
system, with mandatory and optional constituents.
– Part 4 “Interface specifications” deals with the definition of the interfaces, as well as the
data exchanged by them (FIS or/and FFFIS), for the interoperable and interchangeable
constituents identified in part 3.
For interfaces between UGTMS constituents, the logical interface or FIS (Functional
Interface Specification) and/or the physical and logical interface or FFFIS (Form Fit
Functional Interface Specification) will be considered.

NOTE The specific structures of part 3 and part 4 will be established following completion of part 2 to
accommodate optional and mandatory constituents, and to reflect local conditions. In principle, only one FIS or/and
FFFIS will be defined for the same interface. However, when justified in some cases several FIS or several FFFIS
will be defined for the same interface.

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 EN 62290-1:2006 –6–

Functional
requirements
(FRS)

System requirements
(SRS)

Interface requirements
(FIS or/and FFFIS)

IEC 1339/06

Figure 1 – The three-step process followed by the UGTMS standard

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RAILWAY APPLICATIONS –
URBAN GUIDED TRANSPORT MANAGEMENT
AND COMMAND/CONTROL SYSTEMS –

Part 1: System principles and fundamental concepts

1 Scope

This part of IEC 62290 provides an introduction to the standard and deals with the main
concepts, the system definition, the principles and the main functions of UGTMS (Urban
Guided Transport Management and Command/Control Systems).

2 Normative references

The following referenced documents are indispensable for the application of this document.
For dated references, only the edition cited applies. For undated references, the latest edition
of the referenced document (including amendments) applies.

IEC 62236 (all parts): Railway applications – Electromagnetic compatibility

IEC 62278: Railway applications – Specification and demonstration of reliability, availability,

maintainability and safety (RAMS)

IEC 62279: Railway applications – Communications, signalling and processing systems –

Software for railway control and protection systems

IEC 62280-1: Railway applications – Communication, signalling and processing systems –

Part 1: Safety-related communication in closed transmission systems

IEC 62280-2: Railway applications – Communication, signalling and processing systems –

Part 2: Safety-related communication in open transmission systems

3 Terms, definitions and abbreviations

For the purposes of this document, the following terms, definitions and abbreviations apply.

3.1 Terms and definitions

3.1.1
command
order used to perform a function in a system

This order can originate from

– a system operator,
– an external system,
– inside UGTMS;
this order can be sent:
– to an external system,
– inside UGTMS

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 EN 62290-1:2006 –8–

3.1.2
commercial speed
commercial speed is the length of the line divided by the nominal journey time

3.1.3
compatibility
capability of the UGTMS system to co-exist with other systems in the same transport network
without any interference .

3.1.4
constituent
any elementary component, group of components, subassembly or complete assembly of
equipment incorporated or intended to be incorporated into UGTMS

3.1.5
control
the process to keep the output of the system within defined parameters using commands:

– non-safety related control, for example the process of commanding acceleration or braking
to maintain speed at x km/h ± y km/h
– safety related control, for example the process of commanding the emergency brakes if
the speed exceeds the predefined speed limit

3.1.6
driving on sight
manual driving carried out at a speed that allows the driver to stop the train before reaching
any obstacle on the track

3.1.7
generic application
application which contains all mandatory and all or a subset of optional functions, with
predefined configurability and customisable for different specific applications

3.1.8
generic product
product independent of applications, fulfilling predefined boundary conditions, interfaces and
functionality (black box). Examples for generic products are: point machines, axle counters,
real-time operating systems, fail-safe computer platform without application software

3.1.9
grade of automation
automation level of train operation, in which Urban Guided Transport (UGT) can be operated,
resulting from sharing responsibility for given basic functions of train operation between
operations staff and system

3.1.10
interchangeability
capability of system components identified in this standard to be procured from any number of
suppliers and replaced without any substantial change in functionality or performance. It also
allows the system to adapt to technology evolutions without significant modification to its
architecture

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3.1.11
interlocking
interdependent liaison between the control levers or the electrical control circuits of different
apparatus such as points, signals, which makes it impossible to place them in positions which
are unsafe
NOTE 1 In English, the term “interlocking” refers also to the place where interlocking is achieved.
NOTE 2 In French, the term “enclenchement” refers also to the individual locking of an apparatus such as a pair
of points.

[IEV 821-05-02]
NOTE 3 For the purposes of this standard the term “interlocking” also refers to an apparatus ensuring the
interlocking functionality.

3.1.12
interoperability
refers to the ability of a transport network to operate trains and infrastructures to provide,
accept and use services so exchanged without any substantial change in functionality or
performance. This ability rests on all the regulatory, technical and operational conditions
which must be met in order to satisfy all the defined requirements applicable to the given
grade of automation taking into account grade of line, irrespective of which supplier provides
which components or systems

3.1.13
management
in UGTMS, it is the process by which:
– to conduct scheduled, efficient and reliable train services
– to handle degraded modes and abnormal situations

3.1.14
operation control centre (OCC)
centre from which operation of the line or the network is supervised and managed

3.1.15
operation control centre HMI
human-machine interface between OCC staff and the OCC equipment

3.1.16
operations staff
staff authorised to perform tasks concerning train operation or direct service to passengers

3.1.17
route
predetermined path for a traffic movement

[IEV 821-01-22]

3.1.18
signal
– conventional visual or acoustic indication, generally concerning the movements of railway
vehicles and transmitted to the staff entrusted to observe it
– apparatus by means of which a conventional indication is given
[IEV 821-02-01]

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3.1.19
specific application
application designed for a particular realisation based on a customised generic application

3.1.20
spot transmission
track to train transmission that can only take place when the train passes the information
point

3.1.21
station
place where trains stop to allow passengers to embark and disembark

3.1.22
supervise
to monitor the performance and the status of a system and initiate control when necessary

3.1.23
train detection
safe recognition of the presence or absence of any trains on a defined section of the track or
at a given point

3.1.24
transport authority
entity which is responsible for safe and orderly operation of a transport system

3.1.25
UGTMS onboard equipment
the UGTMS equipment installed on the train

3.1.26
UGTMS operation control equipment
UGTMS equipment performing centralised command/control, management and supervising
functions and providing interface for HMI

3.1.27
UGTMS wayside equipment
equipment not on board trains, set either at trackside locations or elsewhere along the line or
in the network

3.2 Abbreviations
CCTV Closed Circuit TeleVision
DCS Data Communication System
FFFIS Form-Fit Functional Interface Specification
FIS Functional Interface Specification
FRS Functional Requirements Specification
GOA Grade Of Automation
GOL Grade Of Line
HMI Human Machine Interface
HVAC Heating Ventilation and Air Conditioning
OCC Operation Control Centre

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 – 11 – EN 62290-1:2006

SRS System Requirements Specification

UGT Urban Guided Transport
UGTMS Urban Guided Transport Management and Command/Control System
UGTMS OB Onboard UGTMS equipment
UGTMS WS Wayside UGTMS equipment

4 Concepts

4.1 Urban guided transport (UGT)

UGT is defined as a public transportation system in an urban environment with self-propelled

vehicles and operated on a guideway, which is segregated from general road and pedestrian
traffic.

Railway infrastructures which are part of a railway network operated under specific railway
regulations are excluded, unless otherwise specified by the authority having jurisdiction.

Trains of transport undertakings (e.g. underground/metro operators, tram operators, regional

and suburban operators) are included even if they are operated under specific railway
regulations, when they are designated to operate on UGTMS infrastructure. In this case,
trains of different transport undertakings shall fulfil the conditions of interoperability and the
requirements given by specific regulations.

4.1.1 Operation

Operation is considered as the totality of all means to effect the transportation of passengers,
including the training of operations staff and maintenance of installations and rolling stock.

Train operation contains command and control of routes, passenger transfer, driving of trains
and also shunting.

4.1.2 Operational facilities

Operational facilities are all those installations and equipment which serve operations such
as:

– electrotechnical installations (like traction power supply, lighting equipment, communica-

tion equipment, command and control system, management system, maintenance system,
etc.);
– guideway for movement of trains (points, derailer, crossings, crossings with movable
frogs, level crossings, flood gates, platform tracks, tracks between stations, etc.). Platform
tracks and tracks between stations might be used for one way or bi-directional operation;
– stations are places where passengers transfer between the wayside and a train is
achieved. A station comprises waiting area(s) (with optionally, installations for passenger
service and ticketing) and passenger transfer area(s) as interface between platform and
train;
– sidings are considered as a place for storing rolling stock and turn back of trains. Sidings
are normally not used for passenger transport;
– depots which are used for maintenance and storage of rolling stock and normally not used
for passenger transport.

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 EN 62290-1:2006 – 12 –

Depot

Flood gates

Station

Siding Siding Crossing

Platform Platform
track track Point
Level
Track between crossing
stations
IEC 1340/06

Figure 2 – Example of track layout

4.1.3 Rolling stock

Rolling stock is considered as a guided vehicle which may operate as a single unit or as a
composition of units. A unit may consist of one or more cars, which cannot be decoupled
during train operation.

Trains are units of rolling stock operating as passenger or non-passenger trains consisting of
one or more units. If a train consists of more than one unit it can be decoupled during train
operation.

4.1.4 Staff

Operations staff are notably persons who are involved directly in the process of passenger
transportation (like drivers, operators in OCC, supervisors on platforms or in OCC).

Maintenance staff are persons who are involved in maintenance of infrastructure and rolling
stock.

Rescue staff are persons who are involved in rescue of persons notably located inside
stations and rolling stock.

4.1.5 Passengers

Passengers are users of the transportation system, noted that there are specific passenger
needs for handicapped passengers, passengers with reduced mobility, children and
passengers with luggage.

4.2 Grade of automation

4.2.1 Descriptions

UGT can be operated at different grades of automation defined below. The definition of
grades of automation arises from apportioning responsibility for given basic functions of train
operation between operations staff and system.

The mandatory basic functions of train operation for a given grade of automation on a line or
network are defined in the following subclauses and Table 1.

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Non-mandatory basic functions of train operation for a given grade of automation may also be
realised by the system.

The grade of automation will influence the requirements of operation, operational facilities,
rolling stock, staff. The requirements shall take into account the behaviour of passengers.

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 Table 1 – Grades of automation

On-sight train Non-automated train Semi automated Driverless train Unattended train
Basic functions of train operation operation operation train operation operation operation

GOA0 GOA1 GOA2 GOA3 GOA4

EN 62290-1:2006

Ensure safe Ensure safe route x system system system system

movement of (points
trains command/control in
system)

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Ensure safe separation of trains x system system system system
Ensure safe speed x x system system system
(partly supervised by
system)
Drive train Control acceleration and braking x x system system system
Supervise Prevent collision with obstacles x x x system system
guideway
– 14 –

Prevent collision with persons on tracks x x x system system

Supervise Control passengers doors x x x x system
passenger
transfer Prevent injuries to persons between cars or x x x x system
between platform and train
Ensure safe starting conditions x x x x system
Operate a train Set in/set off operation x x x x system
Supervise the status of the train x x x x system
Ensure detection Perform train diagnostic, detect fire/smoke and x x x x system and/or
and management detect derailment, detect loss of train integrity, staff in OCC
of emergency handle emergency situations (call/evacuation,
situations supervision)
NOTE x = responsibility of operations staff (may be realised by UGTMS system) System = shall be realised by UGTMS system
 – 15 – EN 62290-1:2006

4.2.1.1 Grade of automation 0 (GOA0): On-sight train operation

In this grade of automation, the driver has full responsibility and no system is required to
supervise his activities. However, points and single tracks can be partially supervised by the
system.

4.2.1.2 Grade of automation 1 (GOA1): Non-automated train operation

In this grade of automation, the driver is in the front cabin of the train observing the guideway
and stops the train in the case of a hazardous situation. Acceleration and braking are
commanded by the driver in compliance with wayside signals or cab-signal. The system
supervises the activities of the driver. This supervision may be done at specific locations, be
semi-continuous or continuous, notably in respect of the signals and the speed. Safe
departure of the train from the station, including door closing, is the responsibility of the
operations staff.

4.2.1.3 Grade of automation 2 (GOA2): Semi-automated train operation

In this grade of automation, the driver is in the front cabin of the train observing the guideway
and stops the train in the case of a hazardous situation. Acceleration and braking is
automated and the speed is supervised continuously by the system. Safe departure of the
train from the station is the responsibility of the operations staff (door opening and closing
may be done automatically).

4.2.1.4 Grade of automation 3 (GOA3): Driverless train operation

In this grade of automation, additional measures are needed compared to GOA2 because
there is no driver in the front cabin of the train to observe the guideway and stop the train in
case of a hazardous situation.

In this grade of automation, a member of the operations staff is necessary onboard. Safe
departure of the train from the station, including door closing, can be the responsibility of the
operations staff or may be done automatically.

4.2.1.5 Grade of automation 4 (GOA4): Unattended train operation

In this grade of automation, additional measures are needed compared to GOA3 because
there are no onboard operations staff.

Safe departure of the train from the station, including door closing, has to be done
automatically.

More specifically, the system supports detection and management of hazardous conditions
and emergency situations such as the evacuation of passengers. Some hazardous conditions
or emergency situations, such as derailment or the detection of smoke or fire, may require
staff interventions.

4.2.2 Implementation of grades of automation

Different grades of automation may be used with the same train at different areas of the same
line.

The functions for different grades of automation have to be realised in an upgradeable way by
technical subsystems implemented on a common core architecture. UGTMS will address
basic functions identified in Table 1.

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4.2.3 Grades of automation covered by UGTMS

UGTMS shall support GOA1, GOA2, GOA3 and GOA4.

GOA0 is not covered by the UGTMS standard but may be used as a degraded grade in a
UGTMS environment.

4.2.4 Grade of line

The grade of line (GOL) is a concept for structuring the functions of UGTMS for the line
concerned. The specific requirements of the UGTMS system for the line can be determined by
the grade of automation (GOA) taking into account the grade of line (GOL).

The GOL can be appropriately defined by the conditions of the line, considering the relevant
factors (e.g. traffic density, train speed). The classification of GOL for each specific
application is the responsibility of the transport authority in conjunction with the authority
having jurisdiction. Figure 3 shows one example of the GOL concept.

Grade of Typical line type

line

High speed
GOL4 High-speed lines

Train
High-density line
speed
Medium-speed and
Medium
Medium speed
speed GOL3 high-density lines

Transportation
volume of line
Medium- and
Medium speed GOL2 low-speed, medium
density lines
Train
Low-density line speed
Medium-low-speed
Low speed GOL1 and low-density lines,
Low-speed lines

IEC 1341/06

Figure 3 – Example of GOL classification

4.3 Operation management and supervision

Operation management and supervision functions are described in 6.2.

4.4 Interoperability, interchangeability, compatibility and adaptability

A generic application of UGTMS shall be specified in such a manner as to optimise at the

same time interchangeability, interoperability, compatibility and adaptability.

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4.4.1 Interoperability

4.4.1.1 Interoperability in a given grade of automation

In order to achieve interoperability within a given grade of automation, the onboard and
wayside equipment shall take into account the goals summarised below, with due
consideration to the grade of line:

a) a train with a UGTMS system provided by supplier X can operate on a track equipped with
UGTMS wayside equipment supplied by Y;
b) a train with a UGTMS system provided by supplier X can be coupled with a train equipped
with a UGTMS system provided by supplier Y (provided rolling stock can be coupled);
c) UGTMS wayside equipment provided by supplier X and UGTMS wayside equipment
provided by supplier Y or Z on two adjacent portions of track can be interfaced with a
common OCC supplied by X, Y or Z;
d) a train with a UGTMS system provided by X, Y or Z can pass track boundaries X/Y, Y/Z
and X/Z without any operational or technical disturbance.

4.4.1.2 Interoperability with different grades of automation

When the grades of automation are different between the wayside equipment and the onboard
equipment, the UGTMS system shall be able to operate at the highest available common
grade.

4.4.1.3 Mixed operation

UGTMS shall not negatively affect the operation of non-UGTMS equipped trains. To ensure
the safe movement of non-UGTMS equipped trains, an additional system is necessary which
is outside UGTMS. If mixed operation is required, UGTMS shall interface to this additional
system.

4.4.2 Interchangeability

Interchangeability allows the replacement of any UGTMS constituent supplied by one industry
provider by a constituent supplied by another industry provider but designed according to the
same FFFIS and FIS specifications.

4.4.3 Compatibility

Compatibility means that there is no undesired interaction between the UGTMS system and
the existing infrastructure, trains and equipment. This characteristic is notably required for
ease of migration towards UGTMS.

4.4.4 Adaptability

Adaptability means that the system allows, as far as possible, line extension and/or
throughput increase and/or rolling stock fleet evolution.

5 System environment and boundaries

UGTMS is an integrated train command, control and management system providing the
functions described in Clause 6. The system environment is shown in Figure 4. UGTMS shall
have capability to interface with all identified subsystems, if provided.

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 EN 62290-1:2006 – 18 –

COMMAND, CONTROL & UGTMS TRAIN

MANAGEMENT - Doors, propulsion, brakes, train length
- Central HMI device (e.g. couplers)
- Local HMI - Train operator HMI
- Trackside equipment (e.g. points, - Obstacle, derailment, fire/smoke
signals, track circuits, axle counters, detection devices
wayside speed supervising device, - Operation control - Gap detection, gap closing devices
neighbouring OCC, trip stop, level equipment - Emergency stop/door release
crossings) - Wayside equipment handle/alarm button
- Existing interlocking (includes spot - Others equipment interfaces (e.g.
- Operation planning transmission lighting, HVAC, battery)
wayside/train) - Train diagnostic (for maintenance)
- Onboard equipment - Train status (for fitness for operation)
(includes location, - Fare collection (location information)
INFO SYSTEMS speed and time - CCTV surveillance
COMMUNICATIONS measurement) - Onboard passenger information
- Voice communication (e.g. staff, - Data communication - Voice communication
passengers communication) system (includes
wayside,
wayside/train and
STATION train data
- Auxiliaries (e.g. elevators / communication)
escalators)
- Fire detection/protection INFRASTRUCTURE
- Platforms/track intrusion detection - Track (e.g. broken rail detection)
- Tunnel ventilation (e.g. fire and smoke
(e.g. passenger on track) detection)
- Platform Screen Doors and/or - Intrusion detection system
End Doors - Others equipment interfaces (e.g. flood
- Others equipment interfaces (e.g. gates)
emergency handle, emergency
call device, gap detection/closing
devices, dispatching key/train TRACTION POWER
ready to start) - Traction power control
- CCTV surveillance - Substation high voltage circuit
- Wayside passenger information breaker
- Voice communication

MAINTENANCE
- Maintenance system

IEC 1342/06

Figure 4 – System environment

The basic system environment shows the general approach of the UGTMS system with its
system boundaries and required external interfaces.

The basic UGTMS constituents which are designated to solve the required functionality are:

– UGTMS operation control equipment which is in charge of operation management and

supervision functionality for a whole line or network. UGTMS equipment of OCC provides
the interface to the operators HMI for the whole UGTMS functionality and optionally for the
non-UGTMS constituents;
– UGTMS wayside equipment (UGTMS WS) which is in charge of ensuring train operation in
a certain area of the line. In the case of using an existing interlocking UGTMS WS
provides the interface to use those parts of functionality which are provided by the existing
interlocking;
– UGTMS onboard equipment (UGTMS OB) which is in charge of ensuring train operation
related to one specific train;

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– the data communication system provides the data exchange between UGTMS
constituents. UGTMS is independent of data transmission media, especially between
wayside data communication and UGTMS OB (line cable, radio, etc.). Due to the fact that
communication techniques are very versatile, it is required that DCS be transparent,
therefore UGTMS has to define a standard interface with the communication system.

The shown basic system environment includes all external system elements for all grades of
automation. For a given grade of automation only a subset of the external system elements
may be present.

6 General requirements and description of the basic functions

6.1 General requirements

6.1.1 System approach

This standard enables the design of generic applications achieving interoperability and
interchangeability. Generic applications of UGTMS shall contain all mandatory and a subset of
optional functions featuring predefined configurability. A generic application can be designed
to contain generic products. A generic application can be customised for different specific
applications. A generic application is only valid within its defined borders.

A specific application of UGTMS is designed for only one particular installation and can be
based on a customised generic application. A specific application may contain additional
specific functions, which are not defined in this standard. The specific application takes into
account the local conditions like track layout, headway requirements as well as climate and
environmental conditions.

A generic product can be designed for use in different applications. A generic product is
independent from generic or specific applications.

6.1.2 RAMS requirements

RAMS requirements of the UGTMS system shall conform to IEC 62278.

Safety requirements of the UGTMS system shall conform to IEC 62279, IEC 62280-1 and
IEC 62280-2.

6.1.3 Electromagnetic compatibility

The UGTMS system shall conform to the IEC 62236 series with regard to electromagnetic
compatibility.

6.1.4 Energy saving

The UGTMS system shall contribute to the energy efficient operation of trains.

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6.1.5 Local conditions

6.1.5.1 Consideration for local climate and natural features

Requirements for local climate, natural features and environmental conditions shall be
specified in each specific application.

6.1.5.2 Respect for local conditions

The functional requirements for a UGTMS system will be affected by local conditions.
Accordingly, the application of the UGTMS standard shall take into account the local
conditions, such as laws, regulations, cultures, customs, technologies and economical
circumstances.

6.1.6 Intermodality between networks

The UGTMS system shall facilitate easy passenger exchange between networks, lines and
sections of line.

6.1.7 Interoperability between neighbouring UGTMS fitted networks

UGTMS trains entering a UGTMS network from a neighbouring UGTMS network, or from a
neighbouring non-UGTMS network, shall be capable of operating at the highest available
grade of automation common to the wayside and onboard UGTMS equipment in the network
being entered.

For non-UGTMS trains entering a UGTMS network, train protection for the non-UGTMS-
equipped train shall be provided by equipment external to UGTMS as defined in 4.4.1.3.

Train operations for UGTMS trains or non-UGTMS trains entering a non-UGTMS network are
not covered by this standard.

UGTMS related operational and technological conditions for the interoperability between
networks shall be agreed between the related transport authorities when defining their
specific applications.

6.1.8 Measures to ensure the movement of passengers with reduced mobility

UGTMS shall take into account the safe movement of disabled passengers and/or passengers
with reduced mobility.

6.1.9 Nominal mode, degraded modes, emergency situation

UGTMS shall take into account failures or incidents and ensure degraded mode and
emergency situation management. The UGTMS system shall also provide assistance to the
operator towards recovering from most degraded situations.

6.1.10 Basic system performances

The following items shall be considered as basic parameters for UGTMS:

– safety integrity level;

– availability;
– technical and operational fall back modes;

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– maintainability;
– adaptability;
– testability;
– maximum speed;
– headway;
– journey time;
– commercial speed;
– stopping accuracy;
– required reaction times.

These parameters shall be specified by the transport authority, which has to define the
contribution of the UGTMS system to performances in comparison with theoretical best
performances allowed by each specific application of rolling stock and the characteristics and
layout of tracks.

6.1.11 Requirements for upgrading GOA

The UGTMS system shall allow GOA upgrading up to GOA4 without changing the UGTMS
core system. UGTMS shall allow the achievement of this goal by the use of one or several
different generic applications, depending on the specific application required by the transport
authority.

6.1.12 Requirements for adding new parts of line

The UGTMS system shall allow extensions of lines and modifications of track layout.

6.2 Description of the basic functions

Depending on GOA and GOL, the functions described below, whether required or not, are
specified in detail in part 2 (Functional requirements specification) of this standard.

6.2.1 Basic functions for train operation

The following described basic functions are used to realise the train operation in a certain
area on a given network of tracks with respect to required travel direction, train destination
and allowed speed. The safe movement of trains is the basic required functionality
irrespective of the grade of automation.

In GOA3 and GOA4, with no driver in the front cabin or no operations staff on the train,
additional system functions are needed to substitute the staff ensuring a safe train operation
in addition to safe train movement.

6.2.1.1 Ensure safe movement of trains

To ensure the safe movement of trains the following functions are required:

– ensure safe route;

– ensure safe separation of trains;
– ensure safe speed;
– authorise train movement.

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For UGTMS ensuring safe separation of trains and ensuring safe speed requires the use of
data communication between wayside and onboard equipment .

6.2.1.1.1 Ensure safe route

In order to prevent train collision and derailment, a route is to be considered as safe, if all
demanded elements of the guideway are locked in the required position to avoid a concurrent
use by another train.

6.2.1.1.2 Ensure safe separation of trains

Safe train separation shall be provided between all trains operating in UGTMS territory. In the
UGTMS territory, UGTMS ensures the separation of equipped trains from non-equipped
trains, or trains with failed UGTMS equipment, provided that those trains are detected by a
secondary detection system. Safe train separation shall be based upon the principle of an
instantaneous stop of the preceding train. In order to prevent collisions between following
trains, safe separation shall be provided in a way, that a safe braking distance between trains
is maintained at all times.

6.2.1.1.3 Ensure safe speed

In order to prevent derailment and collisions, UGTMS shall ensure that under no
circumstances will the train’s actual speed exceed the most restrictive speed limit.

6.2.1.1.4 Authorise train movement

This function authorises the movements of the train if all safety conditions are fulfilled.

6.2.1.2 Drive train

For GOA2 or above, UGTMS shall provide for the starting, stopping, and speed control of the
train as its travels along the track so that the speed, acceleration, deceleration, and jerk rate
are within passenger comfort limits and the train speed is below the speed limit imposed by
the safety system.

For GOA1, these functions are the responsibility of the train driver.

6.2.1.3 Supervise guideway

Supervising the guideway in GOA1 and GOA2 is part of the responsibility of the train driver. In
higher grades of automation the following basic functions have to be realised by the UGTMS
system through interfaces to external systems:

– prevent collision with obstacles;

– prevent collision with persons on tracks.

6.2.1.3.1 Prevent collision with obstacles

This basic function shall be realised by various measures and rules to prevent collision with
obstacles on the track. Interfaces to external devices are necessary to remove the
authorisation of train movement.

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6.2.1.3.2 Prevent collisions with persons on tracks

This basic functionality shall be realised by various measures and rules to prevent collisions
with persons on tracks. Interfaces to external devices are necessary to remove the
authorisation of train movement.

6.2.1.4 Supervise passenger transfer

Ensuring a safe passenger transfer through the following functions is a mandatory system
requirement for GOA4. For lower grades of automation these functions may be in whole or in
part the responsibility of the train driver or operations staff on the platform in combination with
the system:

– control doors,
– prevent injuries to persons between cars or between platform and train,
– ensure starting conditions.

6.2.1.4.1 Control doors

UGTMS shall ensure, that all operational and safety related preconditions for opening and
closing doors are fulfilled. This function concerns train doors and if they are used platform
doors and emergency doors.

6.2.1.4.2 Prevent person injuries between cars or between platform and train

This basic function is intended to prevent hazards or avoid accidents associated with the gap
between cars or between platform and train. This function may require interfaces to an
external device.

6.2.1.4.3 Ensure starting conditions

For authorising the station departure, UGTMS shall ensure, that

– necessary operational preconditions, and

– safety preconditions

for a train to leave the station are fulfilled.

6.2.1.5 Operate a train

This basic function includes:

– set in/set off operation;

– change driving modes;
– operate a train between two operational stops;
– change the driving direction;
– couple and split a train;
– supervise the status of the train.

6.2.1.5.1 Set in/set off operation

Set in/set off operation is intended to awake trains, including a self-check of the train, on
every location within the UGTMS domain (main line and sidings), respective to setting the
train in operation for a specific or a certain number of train rides. It is also intended to set
trains to sleep on every location within the UGTMS domain (main line and sidings) respective
to setting the train out of operation.

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6.2.1.5.2 Change driving modes

This basic function is intended to change driving modes of the train during train services
between different automatic modes and from and to different manual modes for operational or
fall back reasons.

6.2.1.5.3 Operate a train between two operational stops

This basic function is intended to realise different behaviours of driving under respect of
specific train rides (e.g. between two stations, to and from sidings or depots, with passenger
and non-passenger trains) in manually or automatic operation modes.

6.2.1.5.4 Change the driving direction

This basic function is intended to realise a turn-back in platform tracks, in sidings in depots or
under specific conditions on tracks between stations.

6.2.1.5.5 Couple and split a train

This basic function is intended to couple and split trains for operational reasons in platform
tracks or in sidings, or for recovering trains on tracks between stations in automatic or manual
modes.

6.2.1.5.6 Supervise the status of the train

This basic function is intended to supervise the status of the train related to issues of
availability during operation.

6.2.1.6 Ensure detection and management of emergency situations

This basic function is intended to supervise the status of the train related to safety of
passengers in trains during operation by providing interfaces to

– perform train diagnostics;

– detect fire/smoke;
– detect derailment;
– detect loss of train integrity;
– handle emergency situations (call/evacuation, supervision).

6.2.2 Basic functions for operation management and supervision

6.2.2.1 Manage the daily timetable

This basic function includes:

– input of daily timetable from planning system;

– start the timetable;
– modify the timetable.

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6.2.2.2 Manage the train service

This basic function includes:

– set routes automatically;

– regulate trains;
– ensure connecting services;
– dispatch trains;
– manage train missions;
– manage operational disturbances.

6.2.2.2.1 Set routes automatically

This basic function is intended to set routes automatically based on operational conditions
(e.g. timetable, train position, train list, cycle, etc.).

6.2.2.2.2 Regulate trains

This basic function is intended to avoid bunching of trains and to reduce delays to trains in the
case of disturbances.

6.2.2.2.3 Ensure connecting services

This basic function is intended to ensure connecting services between a UGTMS line and
other public transport services (e.g. bus, tram, underground lines, etc.).

6.2.2.2.4 Dispatch trains

This basic function is intended to harmonise the starting of trains in stations on the whole line
taking into account the different dwell times, corresponding to results of train regulation and
ensuring connecting services.

6.2.2.2.5 Manage train missions

This basic function is intended to create and modify missions to organise train trips and
distribute them to trains.

6.2.2.2.6 Manage operational disturbances

This basic function is intended to propose a catalogue of measures and assist the resolution
of operational disturbances (e.g. blockage of a track by a failed train).

6.2.2.3 Supervise train operations

This basic function includes:

– supervise train tracking;

– supervise trains and wayside equipment;
– supervise infrastructure;
– supervise passengers.

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6.2.2.3.1 Supervise train tracking

This basic function is intended to monitor trains in the network automatically using train
identification and status (including delay information) to recognise deviations from normal
operation as soon as possible.

6.2.2.3.2 Supervise trains and wayside equipment

This basic function is intended to monitor the technical equipment of trains and wayside
equipment to recognise as soon as possible technical failures, which could lead to an
operational disturbance.

6.2.2.3.3 Supervise infrastructure

This basic function is intended to monitor systems which are outside UGTMS. UGTMS has to
provide an interface.

6.2.2.3.4 Supervise passengers

This basic function is intended to supervise passengers (e.g. on platforms, in access to

platforms and in the train, etc.) by CCTV surveillance system or other devices. UGTMS has to
provide an interface.

6.2.2.4 Control traction power

This basic function is intended to switch on and off traction power in the operation area by the
operator or automatically on given sections or on all sections.

This function of traction power control is optionally inside UGTMS. If it is outside UGTMS,
there is an interface. For the purposes of this standard, traction power control is considered
external to UGTMS, with interfaces to UGTMS. A given UGTMS implementation of UGTMS
may integrate other traction power control functions, but such integrated functions are not
covered by this standard.

This basic function includes regenerative braking control.

6.2.2.5 Provide the operator interface

This basic function is to accept the operators commands and to display the status of the
system to the operators. HMI are outside UGTMS but UGTMS provides interfaces.

6.2.2.5.1 Provide interface to the operation control centre HMI

This basic function is intended to provide the interface between UGTMS operation control
equipment and the operation control centre (OCC) HMI.

6.2.2.5.2 Provide interface to the decentralised HMI

This basic function is intended to provide the interface to the local control facilities HMI.

6.2.2.5.3 Provide interface to the onboard staff HMI

This basic function is intended to provide the interface to the onboard staff HMI.

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6.2.2.6 Provide interface with the communication system for passengers and staff

This basic function is intended to provide the interface in order to communicate with
passengers and staff (voice communication via radio, telephone).

6.2.2.7 Provide interface with the passenger information system

This basic function is to provide information to passengers on the line (including onboard
trains) or in the network in normal operation and in cases of aberrations by announcements or
visible measures. UGTMS provides the interface with the external passenger information
system.

6.2.2.8 Provide interface with passenger surveillance systems

This basic function is to provide an interface to the CCTV surveillance system or other
devices, on platforms at stations and onboard trains.

6.2.2.9 Support maintenance

This basic function is to support maintenance of infrastructure and trains in cases of

recognised failures and planned maintenance. UGTMS provides the interface with the
external maintenance management system.

6.2.2.10 Manage rolling stock and staff resources

This basic function is to manage the rolling stock fleet and assign staff needed to fulfil the
requirements of train operation.

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Bibliography

IEC 60050-821, International Electrotechnical Vocabulary (IEV) – Part 821: Signalling and
security apparatus for railways

EN 50129: Railway applications – Communication, signalling and processing systems –

Safety related electronic systems for signalling

ERTMS (European Rail Traffic Management System) – Glossary of Terms and Abbreviations
– Subset 023, available at <http://www.forum.europa.eu.int>

ERTMS/ETCS (European Rail Traffic Management System/ European Train Control System)
Functional Requirements Specification – FRS: V4.29 (03/12/99), available at
<http://www.forum.europa.eu.int>

Deliverable D9 (2004-06-04): UGTMS functions and architecture, available at

<http://ugtms.jrc.cec.eu.int>

Deliverable D8 (2004-05-31): UGTMS – ATP overall Functional Requirements Specification,

available at <http://ugtms.jrc.cec.eu.int>

IEEE Std. 1474.1:1999: Communications-Based Train Control (CBTC) Performance and

Functional Requirements

IEEE Std. 1474.2:2003: User Interface Requirements in Communications-Based Train Control

(CBTC) Systems

ASCE 21-96:1996: Automated People Movers Standards – Part 1: Operating Environment,

Safety Requirements, System Dependability, ATC, Audio and Visual Communication

ASCE 21-98:1998: Automated People Movers Standards – Part 2: Vehicles, Propulsion and
Braking

ASCE 21-00:2000: Automated People Movers Standards – Part 3: Electrical Equipment,

Stations, Guideways

BOStrab (1987): Verordnung über den Bau- und Betrieb der Straßenbahnen (German Federal
Regulations on the construction and operation of light rail transit systems)

SHOREI (2001): Ordinance stipulating technical standards on railways – The Ministry of Land,
Infrastructure and Transport Ordinance no. 151 (Japan)

___________

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Annex ZA
(normative)

Normative references to international publications

with their corresponding European publications
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.

NOTE 1 When an international publication has been modified by common modifications, indicated by (mod), the relevant EN/HD
applies.

NOTE 2 Where a standard cited below belongs to the EN 50000 series, this European Standard applies instead of the relevant
International Standard.

Publication Year Title EN/HD Year

IEC 62236 Series Railway applications - Electromagnetic EN 50121 Series
compatibility
1)
IEC 62278 - Railway applications - Specification and EN 50126-1 19992)
demonstration of reliability, availability, + corr. May 2006
maintainability and safety (RAMS)
1)
IEC 62279 - Railway applications - Communications, EN 50128 20012)
signalling and processing systems - Software
for railway control and protection systems
1)
IEC 62280-1 - Railway applications - Communication, EN 50159-1 20012)
signalling and processing systems
Part 1: Safety-related communication in
closed transmission systems
1)
IEC 62280-2 - Railway applications - Communication, EN 50159-2 20012)
signalling and processing systems
Part 2: Safety-related communication in open
transmission systems

1)
Undated reference.
2)
Valid edition at date of issue.

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 BS EN
62290-1:2006
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