Homologation of Trans-European Rolling Stock: An Integrated Approach
T. Hoppe, G. Matschke, R. Müller
Deutsche Bahn AG (DB), Technology/Procurement Rolling Stock, Munich / Germany
Abstract
The paper describes the integrated approach of DB (German Rail), to enforce the homologation process
of its new multi-system rolling stock and the contribution of the MODTRAIN project, which aims at the
harmonisation of requirements and standardisation of interchangeable modules for future interoperable
rolling stock.
Introduction
The modal split in today’s European traffic is in clear contrast to the challenges of the future: The
forecasted increase of transport volume of over 40% in the passenger and 70% in the freight sector until
2020 [1] with a strong incline of international traffic can only be mastered economically and ecologically if
the share of the railways grows significantly beyond the current value of 8%.
For this reason the European Community decided to strengthen the position of the rail by building up the
legal and administrative framework to enhance interoperability, liberalisation and competition in the
railway sector, e.g. the TSI (Technical Specifications for Interoperability). Unfortunately, these
prerequisites are not yet finished. The railway operators still are facing many technical, operational and
also political barriers for the international use of their rolling stock when building up border-crossing
connections. The homologation of a locomotive in a foreign country typically lasts two to four years and
costs up to 8 million Euros because the “admission loop” has to be run trough various times [2], see figure
1. For passenger trains like the German high speed train ICE the procedure even takes much longer and
is many times more expensive.
Requirements
can be changed
at any time
Based on
national
admission
Documents
required
Application
Expensive
modification of
vehicle
Conditions
Admission
x times
Evaluation &
Experts' Report
New tests
necessary in
case of new
requirements
Approval
runs /
simulations
time-consuming
and therefore not
predictable
restricted operation
due to national
requirements
Figure 1: Admission loop
To ensure the railways’ competitiveness the rolling stock manufacturer and the owner have to minimise
investment costs of multi-system rolling stock in order to keep cross-border traffic cost-efficient.
Integrated approach
In the European process of harmonisation different parties are involved with different interests. Figure 2
shows only the stakeholders which have direct influence on the actual and future homologation process
of interoperable rolling stock.
National safety authorities
- Respect of national legislative and
acknowledged rules of technology
=> High safety requirements
Infrastructure manager
(CER)
European commission
- Free trafic, improvment of
market conditions
=> Improvement of
transparency and equitable
harmonisation
- Compatibilty network/vehicle
=> Network acess rules
Interoperable
vehicle
Notified Bodies (NBRail)
- Respect of EC-directives / TSI
- Own compentence
=> Improvement of EC-process
Manufacturer
(UNIFE)
Railway companies
(UIC/CER)
- Standard locomotive & low LCC
- Borderless operation
=> Cheap admission
- Enlargement of market
- Benefit
- Standardisation
=> Improvement of transparency
Figure 2: Stake holders in the European homologation process of rolling stock
German Rail has identified the importance of being involved in the development of future harmonisation.
Therefore DB uses its possibilities to frame the future conditions for interoperable rolling stock.
Within the DB, Board Division SYSTEMVERBUND BAHN (Integrated Systems Rail) has enlarged and
bundled the already existing activities in the field of committee work (e.g. creation/modification of the
German Standards DIN). The cooperation with each of the above-mentioned stake holders is an
important part of the harmonisation work.
Integrated Systems Rail (V)
Technology / Procurement (T)
Technology / Procurement*
T Strategy and Integrated
Systems
Product Segment General
Purchasing, Machinery and Facility
Management
Environment
Product Segment Vehicles (TF)
Product Segment
Information Systems
Quality
Product Segment Structural
Installations
DB Systems Technology (TZ)
Safety
Electrical Engineering,
Telecommunications Command and
Control Tehchnology
Technology/Procurement
Management Services
Product Segment Vehicle
Spare Parts
Figure 3: Board Division “Integrated Systems Rail” and structure of Division “Technology/Procurement”
This “integrated approach” includes amongst others the following activities (see figure 4):
- Analysis of the state of the art of homologation processes in “key countries”
- Building up of an integrated homologation strategy with standardised internal processes
- Observation of developments and influencing of homologation processes
- Application of a knowledge base which ensures DB’s contribution for generating harmonised
international specifications and standards (EN, TSI)
- Coordination and cooperation in harmonisation projects as MODTRAIN and MODBRAKE
- Delegation of railway experts to the European Railway Agency (ERA)
- Committee work in the European boards of the International Union of Railways (UIC) and the
Community of European Railways (CER)
- Elaboration of proposals for future admission processes
UIC / CER
OBSERVATION
OF C HANGES
ANALYSIS OF
ADMISSION
PROCESSES
ERA
COMMITTEE
W ORK
PROPOSALS FOR
PROCESS
IMPROVEMENT
STRATEGY
INTEGRATED
APPROACH
PROJECT
W ORK
Figure 4: Integrated approach of DB
MODTRAIN
The focus lies on the analysis of the national homologation procedures, development of a homologation
strategy (using “cross-acceptance” where possible etc.), management of the homologation process
including tests and reports (following standardised processes), and finally the feedback of experiences
and the application of a knowledge base which ensures DB’s contribution for generating harmonised
international specifications and standards (EN, TSI). Some of these steps will in the following be
described in further detail.
Analysis of Actual Situation – example Class 185
The electric locomotive class 185 manufactured by Bombardier Transportation has been purchased by
DB since 2001 for the use in international freight operation (for main characteristics see table 1). Different
European railway operators purchase the same type or at least similar derivates, e.g. with specific
Automatic Train Protection (ATP).
Characteristic
Quantity (DB only/ overall)
Power rating
Max. speed
Starting effort
Electric systems
Value
400 / about 550
5600 kW
140 km/h
300kN
15kV 16,7Hz
25kV 50Hz
Table 1: Main characteristics class 185 (Bombardier Transportation TRAXXF140AC1+2)
Class 185 has originally been foreseen for the operation in Germany, Luxembourg, Switzerland, Austria,
France, Denmark, Sweden, Norway and Hungary. With the exception of Hungary, in each of these
countries at least a type approval has been achieved in more or less time and money-consuming
admissions. Nevertheless, the final decision whether operation can be carried out profitable also depends
on the investment costs for serial equipment of rolling stock (see figure 5).
SE
DK
Potential
Operation
D
L
F
CH
A
H
Figure 5: Operation countries of Class 185 (3/2006)
The homologation has been guided by the Product Segment Vehicles of the Technology/Procurement
division (see structure of Integrated Systems Rail) and intensively supported by the manufacturer itself.
Different studies have been carried out by DB in order to summarize and to structure experiences gained
in homologation processes (e.g. of high speed train ICE 3 in France [3]or diesel locomotive class 241 in
Netherlands).
One of these studies for instance describes the homologation process of Class 185 (and class 189, see
next chapter) in selected countries [4]. With the intention of showing the dynamic of homologation
processes in whole Europe, the development of the admission shall be illustrated by the example class
185 in France.
France – development of homologation process
At the beginning of the official admission in France in year 2002, the national decree “Arrêté of 5/6/2000”
defined the rules and requirements for homologation on the French network. Even if the French ministry
for transport (DTT) put out the admission paper, the service IES within the French Society of National
Railways (SNCF) still was the central decision maker by elaborating the central documentation “Safety
dossier”. A specialty of the French admission was the lack of open access: the official admission
application for class 185 had to be done by SNCF itself. This lead to a special cooperation between DB
Railion and SNCF Fret in order to exchange multi system locomotives (Class 185 / the French
BB 437 000
Another curiosity was the dynamic change of requirements. Many requirements formulated in the Arrêté
not only referred to European or French norms but to “internal SNCF documents under revision”, the
specification of rolling stock’s admission (SAM).
Together with certain differences in technical “philosophy” between French and German Railway
technology (which is based in decades of only national developments), this lead to rather difficult
modifications of the locomotive’s construction. Expensive measurement and test campaigns had to be
carried out additionally, e.g. the type approval had to be completed by a serial test of each locomotive
because of the non-acceptance of conformity declarations. However, 20 locomotives have been equipped
with the “French package” and are in service since 12/2003 [5].
In 2004, French legislative changed, the Arrêté of 5/6/2000 has been replaced by the Arrêté of 1/7/2004.
Nowadays, also the manufacturer itself can carry out the technical admission of a locomotive. In the
Arrêté, references to SNCF-requirements still exist (former SAM now called IN) but the regulations are not
subject to constant modifications as before. The former service IES soon will be separated from the
SNCF in order to assure independency of the national incumbent. Nonetheless, evaluation of test reports
and construction designs still is performed by SNCF experts.
Analysis of Actual Situation – example Class 189
The electric locomotive class 189 manufactured by Siemens Transportation has been purchased by DB
since 2003 for the use in freight operation in whole Europe (for main characteristics see table 2). In
addition to the two main AC-systems, class 189 can also be operated in DC-systems. Leasing companies
such as Siemens Dispolok still are enlarging the operating range of the locomotive by applying for the
corresponding admission process [4], see figure 6.
Characteristic
Quantity (DB only/ overall)
Max. Power rating (15kV)
Max. speed
Starting effort
Electric systems
Value
100 / about 150
6400 kW
140 km/h
300kN
15kV 16,7Hz
25kV 50Hz
3kV DC
1,5kV DC
Table 2: Main characteristics class 189 (Siemens Transportation ES64F4)
SE
DK
Potential
NL
Operation
B
F
PL
D
L
CZ
CH
I
SK
A
H
SLO
HR
Figure 6: Operation countries of class 189 (DB + other operators, 3/2006)
Austria –Homologation process
In the following a short summary of the Austrian admission of class 189 is given with the intention to show
the difference of homologation before the re-organization and privatisation of European railways in the
last decade of the 20th century.
Due to history, the technical systems in Austria and Germany are very similar, beginning with the electric
system (15kV 16,7Hz) up to the ATP system PZB90. Therefore the exchange of main-line locomotives is
rather uncomplicated from a technical point of view. During the time of state-owned railways the
admission consisted in a brief paper allowing the access to the foreign railway network.
Nowadays the complete admission process for a locomotive already been approved in Germany may
endure several years. One of the most baffling obstacles is the Austrian reference to the “best available
technology” instead of to the “state of the art” (in the sense of “widely used and approved technology”).
This leads to some very special requirements e.g. the rear mirror or camera to observe the train during
operation.
Homologation strategy – homologation management
With regard to the examples mentioned above it is clear that a strong project management with high
expertise in technology and admission procedures is needed for successful admission. In the case of DBlocomotives’ homologation, the technical project leader of DB Technology/ Procurement division (dep.
Vehicles) guided the process. The manufacturer’s role was limited to a support with manpower, technical
documentation and modifications of the construction.
This role allocation is about to change, because the interoperability of a locomotive can be seen as a
unique selling proposition (USP). Therefore the industry set up special “homologation divisions” or similar
means in order to concentrate know-how and manpower. The locomotives are offered “homologation
inclusive” i.e. the activities are coordinated by the manufacturer itself.
Despite of this development, DB itself set up its own homologation activities for three main reasons:
- A strong homologation management still must be coordinated by the operator itself. Not only the
locomotive must be approved by the national authority but all parties must be involved e.g. the
Infrastructure manager (specific access rules)
- A “neutral” position being independent from industry’s commercial interests is indispensable for
the operator to avoid costly changes of the rolling stock (in favor of an “easy” admission process,
where each requirement may be readily accepted).
- Already existing, “old” locomotives and rolling stock is increasingly used in trans- border traffic,
especially diesel e.g. class 232 and 241 (Poland, Belgium, Netherlands)
- A big part of the measurement know-how needed for homologation still lies within the railway
companies.
Therefore the DB Technology/Purchase division defined responsibilities and competences. For instance,
a central department of acknowledged experts (TZK) has been created, where every test campaign is
coordinated. Additionally, this department can execute the conformity check in relation to the TSI, e.g. of
interoperability constituents. The coordination of a complete vehicle’s admission i.e. the project
management is done by the Product Segment Vehicles (TF) which combines the management parts of
Technology and Procurement.
In order to fulfil the requirements of the Quality Standard ISO 9001:2000 certification, a process scheme
has recently been created involving every partner. The first application of this procedure is the approval of
the French high-speed train TGV-POS which will be operated in France and Germany. In the context of a
close cooperation between the two railways SNCF and DB, the latter took the management for the
admission in Germany.
Committee work
As mentioned in the introduction, DB Integrated Systems Rail is involved in various committees in
connection with the harmonisation of rolling stock’s requirements. Experts especially out of the
Technology/Procurement division are delegated to contribute DB’s experience and point of view to
committees such as the CEN/CENELEC (European Committee for Standardization / Electrotechnical
Standardization).
Actually, the focus lies on the creation and renewal of the TSI, e.g. the second issue of the TSI Rolling
Stock High-Speed. The work of the specialists for the vehicles is coordinated via agents who permanently
supervise the development of the TSI. For instance, the possible change of the scope of a TSI (e.g. TSI
rolling stock, formerly only high-speed train sets, now also locomotives with a speed of 190km/h and
more) must be carefully noted.
Experts also are delegated to the European Railway Agency (ERA), which recently has received the
mandate for developing the TSI and, common safety targets, methods and requirements. Contributing to
this board is rather important. Actually, DB’s chairman of the Board of Directors has been called as
representative for the Railway undertakings.
Key task is the coordination of contributions to new or revised European standards in order to allow their
application for the TSI. TSI needs standards of high quality for design, manufacturing and assessment of
railway products. The success of the European Commission’s Interoperability and Safety directives has to
be demonstrated by a significant increase of the railways market share. Therefore the TSI and its
underlying standards shall serve the economic benefit of the railways, which are the far safest traffic
system compared with any other competitor.
The transformation of UIC-leaflets in EN will support this approach a lot.
Proposals for future legislative modifications
The European Commission adopted already three so-called railway packages, each one containing
directives in order to frame general railway subjects (e.g. operation, driver’s licence). The most important
directives with regard to the admission of rolling stock are the following:
- “High-speed-directive” 96/48/EC, revised by 2004/50
- “Conventional-rail directive” 2001/16/EC, revised by 2004/50
- “Safety-directive” 2004/49/EC.
Whereas the two first directives refer to the TSI and define the more future-oriented way-of admission, the
Safety-directive’s article 14 defines the “placing in service of in-use rolling stock”. Because of the strong
need for cheap admission of already existing vehicles, DB’s experts verified the feasibility of this article
from the point of view of a railway undertaking.
In an internal agreement, the following main weaknesses of the article (and European rolling stock
approval in general) have been identified:
- The admission of in-use rolling stock still is blocked by different national requirements which often
arise from a different safety philosophy, e.g. the use of displays as a speed indicator is a
controversial issue
- Admission procedures often lack a certain level of transparency e.g. no standard time limit for
decisions is given.
- Technical requirements are published incompletely or changed during homologation
In order to improve the future legislation by adopting Article 14 of the safety-directive, DB can imagine the
following enhancements:
- Applicant for an admission may be the manufacturer, the railway undertaking as well as a rolling
stock leasing company
- The existing homologation certificate of the in-use vehicle serves as a basis for the putting into
service in another European country.
- The national safety authority has to acknowledge completely the existing admission with
exception of the following three criteria of compatibility:
o Compatibility to the ATP system
o Compatibility to the infrastructure i.e. track gauge, structure gauge and Overhead line
o Compatibility to the transition zone i.e. the ability to manage the transition of ATP and
power system
- Every criteria must be published in the public infrastructure register of the ERA
- Certain tests may be required, if the documentation shows incompatibility to the abovementioned criteria
- Languages of documentation must be the same as prescribed in the UIC, English, French and
German.
- The safety authority must decide on the approval within a period of two months
- In case of conflicts between the applicant and the authority, the ERA may intervene.
It shall be reminded that in Europe most of the railway undertakings are executing border-crossing traffic
with existing rolling stock whose safety standard has been proven for many years of operation.
Therefore, a cheap and short-term way of homologation in neighbour countries should be regarded as
mandatory.
The MODTRAIN project – history
As a further step of the integrated homologation approach DB engages in the MODTRAIN
Standardisation project.
MODTRAIN stands for Innovative Modular Vehicle Concepts for an Integrated European Railway System,
and as Integrated Project it is the first of its kind in the area of joint European railway research. The
project officially started on February 1st 2004 with total project duration of four years. MODTRAIN will
define and prove the necessary functional, electrical and mechanical interfaces and validation procedures
to deliver the range of interchangeable modules, which will form the basis for the next generation on
intercity trains and universal locomotives.
Objectives
To avoid the risk of each new train and locomotive being the subject of independent interpretations of the
requirements and built from unproven prototype sub-assemblies interoperable constituents must be
defined, validated and promoted at European industry level. That is why, the main European railways
operators (SNCF, DB, Trenitalia) have decided to join their efforts in the MODTRAIN project to reach this
objective.
Additionally, the concept of modularity aims at economic advantages for both railway suppliers and
operators, such as reduced manufacturing cost and economies of scale, increased productivity of new
rolling stock as well as increased reliability founded on a rise in proportion of service-proven components
in new rolling stock designs. The project's economic advantages together with the technical solutions fulfil
the objectives of increased railway competitiveness and interoperability defined in the agenda for the
European Rail Research Advisory Council (ERRAC) and in the First and Second Railway Packages
enacted by European Union legislation.
As a starting point, MODTRAIN will concentrate on fixed-formation passenger trains and universal
locomotives capable of 200 km/h or more. As the programme advances, it hopes to extend the scope to
embrace all rolling stock likely to operate over both the high-speed and conventional interoperable
networks across Europe.
Focus
As described above, experiences with current rolling stock are continuously used in European working
groups on standardisation and dedicated project teams like the EC- founded project MODTRAIN in order
to enhance future harmonised requirements.
Most important is the professional elaboration of a common database of TSI-, EN- and Operators
Requirements as a necessary precondition for managing the requirements of rolling stock functions and
the interfaces between them as well as with other sub-systems - like infrastructure, energy and controlcommand/signalling.
By applying a powerful IT requirement-engineering-tool, MODTRAIN has provided the database structure
according to a functional and product breakdown in compliance with the AEIF railway architecture, backbone of the TSI.
The MODTRAIN contribution will not only offer the tool for consistent data-management, but furthermore
the database of function and system requirements derived from TSI, EN and the Operators Requirements
Specifications (ORS). These are the commitment of major Railway Undertakings in Europe to
harmonisation of requirements for future interoperable rolling stock. The specifications are also based on
the findings of previous harmonisation projects like “High Speed Train Europe” (HTE). The ORS are
available on the website of UIC, which is also responsible for the change management (UIC 612).
Procedure
As a starting point the industry will elaborate in continuous collaboration with the operators the necessary
functional and physical interfaces, requirements and validation procedures as a reference to deliver the
range of interchangeable modules that will make the next generation of inter-city trains and universal
locomotives possible. The operators assess, amend and approve these specifications elaborated. At the
end of the project open standards will be achieved for the most appropriate train components and their
interfaces. The main criteria that will lead the evaluation of the outcomes all along the project duration is
an economic and operational analysis.
Therefore, the four main steps representing the main thread on which the implementation plan is based
are the following:
- The elaboration of a generic Functional Requirements Specification and System Requirements
Specification is the precondition for the further technical and scientific work regarding the principal
elements running gear / the train control and monitoring system / the on-board power system / the
man-machine and train-to-train interfaces.
- Standardisation of functions and interfaces shall not stop at the level of the four principal
elements (Subprojects). It also encompasses the definition of interfaces of smaller units and
components (spare parts).
- The interfaces of the modules and components are to be described in terms of open standards
(to operators, industry and maintenance service providers).
- If it proves to be necessary, acceptance and validation of the innovations generated in
MODTRAIN should be underpinned by tests in service after the end of the project.
Through their involvement in all the management bodies and the MODUSER Subproject, the railway
operators will have to realise, especially during the first year of the project, as main tasks in all the
MODTRAIN technical Subprojects:
- The location of modular interfaces to be standardised.
- Functional end-user requirements that will be transformed in technical solutions by the industrial
partners.
- The elaboration of a priority list of modules and modular interfaces to be standardised according
mainly to an economic criteria.
Expected savings performed by MODTRAIN come from three roots:
- Convergence of Functional Requirement Specifications (FRS) between operators.
- Interchangeable modules between different suppliers (effects of scale and competition).
- Increase of productivity in manufacturing.
The practical work in the MODTRAIN project follows a guideline to ensure highest benefit just for the next
generation of new rolling stock:
- The industry takes the existing specifications, transforms them towards a first proposal of FRS for
new powered rolling stock: Highest priority has the analysis of existing multinational approved
vehicles (e.g. BB 437000, 427000, POS, CISALPINO, E 402, 412, BR 185, 189) that represent
the best-practice of existing interoperable motive power.
- The industry analyses the differences in functional requirements and elaborates draft FRS and
System Requirement Specifications (SyRS) that are covering the harmonised and partly specific
needs of the operators and the existing European interoperable railway network.
- Main issues are the immediate applicability of the specifications. Therefore the assessment
procedures and compliance with existing technical homologation requirements shall be carefully
analysed and demonstrated.
- The FRS and SyRS become results of an iterative interaction between operators and suppliers
and contain the delivery of Functional Interface Specification (FIS) or Form Fit Function Interface
Specification (FFFIS) where necessary for the essential target of MODTRAIN: interchangeability
of components and modules.
The main responsibility of the Operators is consequently the harmonisation of operational requirements
and man-machine-interfaces, furthermore the agreement on interfaces being subject of standardisation in
order to achieve the requested interchangeability of modules and components. The selection of the
interfaces is most important in order to guide innovation (that is welcome between the interfaces of a
module or component) and allow scale-effects (that are urgently needed in order to increase the share of
hardened industrial products in railway rolling stock).
The most important contribution of the Operators is the provision of the UIC draft standard 612, aiming at
standardized man-machine-interfaces (including the important Driver-Display-Unit), allocated functional
requirements and operational procedures.
References
[1]
Deutsche Bahn AG “European locomotives on startup”, The technical magazine of German Rail,
page 3, (3/2002).
[2]
VDB, DB AG “ The reality of European rolling stock approval”, Presentation for the European
Commission hold in Brussels on October 13th 2004 page 3, (2004).
[3]
F. Panier “Homologation of ICE 3 – the practical tests”, Eisenbahnrevue International, 11/2005
[4]
T. Hoppe “Analysis of locomotives’ admission procedures in European countries [,,,]”, Final year
project, pp. 23-59, (2004).
[5]
M. Stapff, T. Hoppe “Homologation of DB-class 185 abroad”, Eisenbahnrevue International,
3/2005, pp. 113 – 117, (2005)