EUROPEAN RAILWAY AGENCY ERTMS UNIT Reference: ERA_ERTMS_0001 Document type: Version : 1.2 Date : 11/05/06 Name Edited by Quality review Approved by A. HOUGARDY E. LEPAILLEUR A. CHIAPPINI P. GUIDO Position ERTMS Unit Project Officers ERTMS Unit Quality Manager ERTMS Acting Head of Unit Date & Signat. File : ERA_ERTMS_0001_V12.Doc PAGE 1 OF 23
AMENDMENT RECORD Version Date Section number Modification/description Author(s) 0.4 05/09/05 - First Draft PG 0.7 25/11/05 All Incorporation in ERA template, addition of new chapters, incorporation of informal comments received after ERA CCM CG meeting #02 0.8 30/11/05 - Editorial changes, according ERA internal review 0.9 19/12/05 - According to review comment sheet ERA_ERTMS_C0022v1_Review Comments on ERTMS CCM.doc 1.0 09/02/06 - Final version amended and approved during the CG meeting held on the 9 th February 1.1 02/05/06 3.2.2.2.1, 4.2.1, 4.2.2.9.3 Modifications according action 06.05 of ERA CCM CG 1.2 11/05/06 3.2.2.2.1, 4.2.2.9.3 Wording improvement agreed during ERA CCM CG meeting #07 AH, EL AH, EL AH, EL AH, EL AH AH ERA_ERTMS_0001 Version 1.2 PAGE 2 OF 23
TABLE OF CONTENTS Amendment record 2 Table of contents 3 Table of figures 4 Table of tables 5 1. INTRODUCTION 6 1.1. Foreword 6 1.2. Scope & field of application 6 1.3. Document description 7 2. REFERENCES, TERMS AND ABBREVIATIONS 8 2.1. Reference documents 8 2.2. Terms & abbreviations 8 3. ORGANISATION OF THE CCM 10 3.1. Overall structure 10 3.2. Involved parties 12 3.2.1. CR submitter 12 3.2.1.1. Who 12 3.2.2. Board 13 3.2.2.1. Who 13 3.2.2.2. Roles and responsibilities 13 3.2.3. Control group 14 3.2.3.1. Who 14 3.2.3.2. Roles and responsibilities 14 3.2.4. Core team 16 3.2.4.1. Who 16 3.2.4.2. Roles and responsibilities 16 3.2.5. Technical working groups 16 3.2.5.1. Who 16 3.2.5.2. Roles and responsibilities 17 3.2.6. Quality manager 17 3.2.6.1. Who 17 3.2.6.2. Roles and responsibilities 17 3.2.7. Standardisation Bodies 17 3.2.7.1. Who 17 3.2.7.2. Roles and responsibilities 18 4. CHANGE REQUEST PROCESS 19 4.1. Introduction 19 4.2. Change request workflow 20 4.2.1. Flowchart 20 4.2.2. Description of main steps 22 ERA_ERTMS_0001 Version 1.2 PAGE 3 OF 23
4.2.2.1. STEP 10 - Submission of the Cr by a recognised organisation 22 4.2.2.2. STEP 30 - Is the CR correctly filled? 24 4.2.2.3. STEPS 50 & 51 - Is the CR related to an error or an enhancement? 25 4.2.2.4. STEP 60 - Assessment of the priority level 25 4.2.2.5. STEP 80 Resolution of the CR by working group(s) 27 4.2.2.6. STEP 90 is an economic evaluation needed for the CR? 28 4.2.2.7. STEP 110 Economic evaluation of the CR 28 4.2.2.8. STEP 130 Decision by the Control Group for the CR 29 4.2.2.9. STEP 150 Decision by the board for the CR 30 4.2.2.10. STEP 62 Unfreezing of the CR 30 4.2.3. Overlapping of CRs 32 4.3. Change Request content 32 4.4. Change Request state transitions 33 5. MANAGEMENT OF DOCUMENTATION CHANGES 34 TABLE OF FIGURES Figure 1 : Organisational structure of the CCM.... 11 Figure 2 : CR workflow... 22 Formatted: English (U.K.) TABLE OF TABLES Table 1 : reference documents,... 8 Table 2 : Terms... 8 Table 3 : Abbreviations... 8 Table 4 : CR content.... 32 ERA_ERTMS_0001 Version 1.2 PAGE 4 OF 23
1. INTRODUCTION 1.1. FOREWORD ERA ERTMS UNIT 1.1.1. ERTMS is an enabling technology to allow exploitation of new business opportunities, operational improvements and efficiency streamlining. Ideally, evolution capability should be built-in in the system, and it must not become a constraint or a barrier. 1.1.2. On the other hand, promotion of international traffic requires end to end seamless service. Interoperability is core to fulfil this objective. The need to ensure interoperability, combined with the long renewal cycles in railway signalling, establish the obligation to protect the investments in ERTMS systems. 1.1.3. To reach those objectives the European Railway Agency, in its role as system authority for ERTMS, must establish the transparent process to manage the system changes, with the contribution of the sector s representatives. 1.1.4. Finally, it will be the sole responsibility of the Agency to hand over to the Commission a proposal for an amended version of the specifications, for appropriate embodiment in the European legislation. 1.2. SCOPE & FIELD OF APPLICATION 1.2.1. This document defines the organisation and the process of the Change Control Management for the reference specifications and documents listed in the Annex A of the officially published TSI CCS, including those not exclusively related to ERTMS/ETCS or ERTMS/GSM-R. 1.2.2. Change Requests directly raised against the TSI text itself are outside the scope of the ERA ERTMS CCM process; the need to update clauses in different chapters of the TSI text may however arise as a consequence of a Change Request against the TSI annex A. 1.2.3. The Change Control Management must ensure that all the issues not yet finalised will be covered by appropriate provisions and specifications: hence, also the content of the Annex G ( Open Points ) of the current TSI CCS can be affected as a consequence of a Change Request against the TSI annex A. 1.3. DOCUMENT DESCRIPTION 1.3.1. Chapter 3 defines the general organisation of the ERTMS CCM and the roles and responsibilities of the different involved parties. 1.3.2. Chapter 4 details the Change Request process, focusing on the lifecycle of Change Requests from their submission to the presentation to the EC. 1.3.3. Chapter 5 introduces the relationship between the CR process itself and the management of documentation changes. ERA_ERTMS_0001 Version 1.2 PAGE 5 OF 23
2. REFERENCES, TERMS AND ABBREVIATIONS 2.1. REFERENCE DOCUMENTS Table 1 : reference documents, Ref. N Document Reference Title [1] 881/2004 Regulation of the European Parliament and of the Council 29 th April 2004 establishing a European Railway Agency Last Issue [2] SUBSET-023 Glossary of Terms and Abbreviations 2.0.0 [3] 04/881-DV01EN01 List of representative bodies from the railway sector referred to in article 3 paragraph 2 of Regulation (EC) n 881/2004 - - 2.2. TERMS & ABBREVIATIONS 2.2.1. For general terms, definitions and abbreviations refer to document [2]. New terms and abbreviations used in this document are specified here. Table 2 : Terms Term Agency Core Team Board Definition The European Railway Agency (ERA) The ERA ERTMS Core Team The ERA CCM Board Table 3 : Abbreviations Abbreviation CCM CG CR DB EC EE IM NSA NoBo RU WG Definition Change Control Management Control Group Change Request Data Base European Commission Economic Evaluation Infrastructure Manager National Safety Authorities Notified body Railway Undertaking Working Group ERA_ERTMS_0001 Version 1.2 PAGE 6 OF 23
3. ORGANISATION OF THE CCM 3.1. OVERALL STRUCTURE 3.1.1. The organisational structure is shown in Figure 1, which outlines the main information flows and the interactions of the parties involved in the CCM; their tasks and interfaces are described in the subsequent sections. CR SUBMITTER Agency CCM Interface [mail/webpage] package BOARD (incl. NSA, NoBos) official position monthly report Core Team steering File/update dispatch Control Group (incl. EE) coordinate with repository Quality Manager WG n WG n+1 Standardisation Bodies Figure 1 : Organisational structure of the CCM. ERA_ERTMS_0001 Version 1.2 PAGE 7 OF 23
3.2. INVOLVED PARTIES 3.2.1. CR SUBMITTER 3.2.1.1. WHO ERA ERTMS UNIT 3.2.1.1.1. Each of the representative bodies listed by the Art.21 Committee in its meeting of the 22/02/2005 (see document [3]) can submit a Change Request to ERTMS: (a) (b) (c) (d) (e) (f) (g) (h) (i) Union of European Railway Industries (UNIFE) Community of European Railways and Infrastructure Companies (CER) European Infrastructure Managers (EIM) International Association in Public Transport (UITP) International Union of Private Wagons (UIP) International Union of Combined Road-Rail Transport Companies (UIRR) European Rail Freight Association (ERFA) European Transport Federation (ETF) Autonomen Lokomotivführer-Gewerkschaften Europas (ALE) 3.2.1.1.2. The following parties can also submit a CR: (a) (b) (c) The Network of the National Safety Authorities Each Member State The European Commission 3.2.1.1.3. In addition, CR can be internally originated by the Agency as a consequence of the process of drafting or updating other TSI s or safety recommendations, or in general in the scope of its activities. 3.2.1.1.4. The GSM-R Industry Group is not included in the official list. As an interim solution they will raise CR either via the ERA WG in which they participate, or via agreements with one of the other recognised bodies. 3.2.1.1.5. The Notified Bodies, via their coordination structure, could also submit CR s: rather than forcing them to use the general public interface, it is preferable that those requests are discussed in the frame of the coordination between Control Group and NB-Rail, and then, after the proposed clarification, they can be entered as internally originated CR s. 3.2.2. BOARD 3.2.2.1. WHO 3.2.2.1.1. The Board is composed of representatives mandated by the sector organisations, of representatives of the Network of National Safety Authorities and of NB-Rail, and of staff from the Agency. 3.2.2.2. ROLES AND RESPONSIBILITIES 3.2.2.2.1. The main responsibility of the Board is to endorse the proposed dossier for system changes and express the position of their organisations. Three types of endorsements can be requested to the Board: Deleted: Two (a) endorse a CR package to assess whether to proceed with the required additional work to define the detailed specifications, or complete required additional studies; ERA_ERTMS_0001 Version 1.2 PAGE 8 OF 23
(b) (c) endorse a CR package embodied in a complete proposal to assess whether to endorse its submission to the Commission; endorse a CR package, embodied or not in a complete proposal, to assess whether to publish it on the Agency Website, as an interim fix that should be used immediately as a common reference by the sector. Formatted: Bullets and Numbering 3.2.2.2.2. While this endorsement is not bound to be by unanimity, since the Agency retains its full responsibility and independence to finally present proposals to the Commission, the objective of the process is to reach a common position regarding all aspects of the proposal. If it is not possible to reach a unanimous decision, a justification for the rejection by one or more organisations represented in the Board should be added to the proposal to the Commission. 3.2.2.2.3. In principle, the Board meetings will be called when the proposals for an updated release/baseline of the system are ready, complete with the Cost Benefit Analysis and recommended time-planning. 3.2.2.2.4. The Board will receive the proposed dossier in advance, and the individual members can comment and ask clarifications. The Board collectively can recommend additional actions and propose to re-examine their results with the updated dossier at a later time. 3.2.2.2.5. It is the specific task of the Board to evaluate the cost/compensations provisions, linked to the release and deployment policy, and if necessary to prepare an argumentation for funding. 3.2.2.2.6. When the Agency presents a proposal for changes to the Commission, it will include the positions expressed by the Board and their recommendations. 3.2.2.2.7. The Board also endorses the planning and policy for any minor/major future release of the system. 3.2.3. CONTROL GROUP 3.2.3.1. WHO 3.2.3.1.1. The Control Group is composed of experts invited by the Agency, of representatives mandated by the sector organisation and of Agency staff, including representatives of the Economic Evaluation Unit. The Agency will ensure adequate and balanced participation (IM and RU, UNIFE/UNISIG and GSM-R IG). 3.2.3.2. ROLES AND RESPONSIBILITIES 3.2.3.2.1. The Control Group must ensure the steering of the ERTMS activities, identifying the most effective actions to deal with the outstanding issues in coherence with the overall system planning, resources and priorities. 3.2.3.2.2. The resolution of blocking points among WG s is also part of the Control Group task, whenever raised by the Core Team. 3.2.3.2.3. The Control Group members will proactively define, conveying the consolidated information and requests from their respective organisation, the planning and policy for any minor/major future release of the system. This planning, providing the necessary framework for the CCM activities of the Agency, must be endorsed by the Board. ERA_ERTMS_0001 Version 1.2 PAGE 9 OF 23
3.2.3.2.4. The planning must also include proposals for allocating costs/compensations: this important issue could in fact influence the entire CR process since their submission, and the general principles must be clarified in advance. 3.2.3.2.5. The Control Group will define the criteria for checking that a specific baseline/version is sufficiently consolidated. Those criteria must be endorsed by the Board. 3.2.3.2.6. The Control Group will endorse the need to create specific technical WG s, and define their remit and the required expertise profile. The Control Group will hear regular and specific reports from the Core Team, and will offer guidance and provide for the necessary organisational coordination. 3.2.3.2.7. The Control Group will define in advance an overall work plan estimate for the activities up to 12 months in the future, to help the Agency with its resource planning. 3.2.3.2.8. Depending on the specific issue, the development of the detailed solution for a CR could entail a significant amount of time/resources. In this case, the Control Group will seek the endorsement of the Board before committing to the additional activities. 3.2.3.2.9. The Control Group will define the aggregation of different CRs in packages, proposed for specific baseline/release and or deadlines. The Control Group will ensure that each package is integrated with: (a) impact assessment (compatibility with different releases; feasibility/cost of development; feasibility/cost of deployment) (b) benefit analysis (c) proposed time-plan and/or migration strategy for the adoption (d) if necessary, the proposal for the financing scheme to ensure the development/deployment 3.2.3.2.10. The Control Group will submit this complete package to the Board, for endorsement. If it is not possible to reach a unanimous decision, a justification for the rejection by one or more organisations represented in the Control Group should be added to the proposal to the Board. 3.2.3.2.11. If necessary, the Control Group will take active part in the coordination of specific ERTMS issues between the Agency and the Joint Programming Committee Rail of CEN/Cenelec/ETSI. 3.2.3.2.12. In principle, the Control Group will have scheduled monthly meetings. 3.2.4. CORE TEAM 3.2.4.1. WHO 3.2.4.1.1. It is composed by Agency staff members only, providing key system competence. 3.2.4.2. ROLES AND RESPONSIBILITIES 3.2.4.2.1. It receives, filters and classifies the CR s received from the originators via the standard interface. To be accepted into the CCM process, the CR s must be formally correct; they are then provisionally assigned to one of the existing technical WG when possible, and properly filed in the Agency DB. 3.2.4.2.2. The Core Team will report at each meeting of the Control Group about the current state of the CR s, their progress, the workload of the different technical WG s. ERA_ERTMS_0001 Version 1.2 PAGE 10 OF 23
3.2.4.2.3. If it becomes obvious that neither the Core Team itself nor an existing working group has the competence to solve the problem exposed in the CR, the Core Team can request the creation of additional WG for this specific CR. 3.2.4.2.4. The Core Team will lead the process to identify the experts needed for specific WG, and retain the entire responsibility for their nomination. 3.2.4.2.5. The task of the core team is also to ensure the necessary technical coordination among the technical WG s. 3.2.4.2.6. The Core Team enables the Agency to fulfil its role as ERTMS System Authority. 3.2.5. TECHNICAL WORKING GROUPS 3.2.5.1. WHO 3.2.5.1.1. Each technical Working Group is composed by external experts and is chaired or followed up by a representative of the Agency staff. 3.2.5.1.2. Following the decision to create a WG, the representative bodies, which are likely to provide the profile of the required expertise, are contacted by the Core Team. 3.2.5.1.3. After collection of proposed names from the representative bodies, the Agency will then select and invite the relevant experts. 3.2.5.1.4. Independent experts may also be invited by the Agency to join Working Groups, if deemed necessary. 3.2.5.2. ROLES AND RESPONSIBILITIES 3.2.5.2.1. Together with its creation, the remit for a WG is defined by the Agency, after consultation of the Control Group, identifying when necessary the specific CR s assigned. Additional CR s can be afterwards assigned by the Control Group. 3.2.5.2.2. The remit for each WG is described in detail in a dedicated document, issued by the Agency. 3.2.6. QUALITY MANAGER 3.2.6.1. WHO 3.2.6.1.1. The Quality Manager is an Agency staff member. 3.2.6.2. ROLES AND RESPONSIBILITIES 3.2.6.2.1. The Quality Manager is in charge of ensuring the quality of the overall CCM process, including the specific software tools and database. 3.2.6.2.2. He also ensures that the specifications are delivered with proper configuration control and quality assurance. For that sake, he will coordinate with counterparts in the involved entities. 3.2.6.2.3. The Quality Manager will identify one or more synthetic indicators of the quality of the CCM process, to ensure that it is designed, implemented and periodically reviewed with ever increasing effectiveness. 3.2.7. STANDARDISATION BODIES 3.2.7.1. WHO 3.2.7.1.1. The Standardisation Bodies, mentioned in Figure 1, are the CEN, CENELEC, and ETSI. ERA_ERTMS_0001 Version 1.2 PAGE 11 OF 23
3.2.7.2. ROLES AND RESPONSIBILITIES 3.2.7.2.1. The Standardisation Bodies do not have any direct role or responsibility in the ERA ERTMS CCM process. 3.2.7.2.2. They only coordinate with the Control Group, allowing this latter to ensure that: (a) new standards are considered properly in the TSI CCS Annex A; (b) if new standards are needed the requests are properly initiated and the result of the work verified. ERA_ERTMS_0001 Version 1.2 PAGE 12 OF 23
4. CHANGE REQUEST PROCESS 4.1. INTRODUCTION 4.1.1. The following CR workflow describes the whole lifecycle of a Change Request, from its submission to its final acceptance by the Board. 4.1.2. However, further steps after a package of CR s has been forwarded to the Commission are not covered by this CR process description. 4.1.3. It must be emphasised that this CR workflow is applicable to individual CR s and neither to CR packages nor to the documents referenced in the TSI CCS annex A. 4.1.4. The management of the editorial work for updating the TSI CCS annex A documents is considered as not being part of the CR process itself, but only a consequence of it; in other terms, the documentation update must be driven by the CR process, and not the contrary. ERA_ERTMS_0001 Version 1.2 PAGE 13 OF 23
4.2. CHANGE REQUEST WORKFLOW 4.2.1. FLOWCHART Figure 2 : CR workflow ERA_ERTMS_0001 Version 1.2 PAGE 14 OF 23
4.2.2. DESCRIPTION OF MAIN STEPS 4.2.2.1. STEP 10 - SUBMISSION OF THE CR BY A RECOGNISED ORGANISATION 4.2.2.1.1. A Change Request shall only be submitted by one of the recognised organisations listed in section 3.2.1.1. 4.2.2.1.2. The information relevant for the submission of the CR is listed here below (where an asterisk is put, it shall be mandatory to fill the related field): (a) (b) (c) (d) Headline:* which gives a textual unequivocal identification and indicates the general topic of the CR, not exceeding a few words, Reference baseline(s) for ETCS and/or for GSM-R:* to which the CR refers, Documents and/or References:* which indicates directly which documents and/or references are concerned by the CR, Error/Enhancement:* the rationale of the CR shall be given, so does the CR relate to either the need for debugging the specified baseline or to the need for functional or performances improvement (see section 4.2.2.3. for criterion used by ERA Core team to check this field), (e) Project 1 name and starting time:* 2 to which the CR is related shall be indicated, followed by the related date (month and year) to which corresponds the first implementation test before the revenue service, (f) (g) (h) (i) (j) Problem/need description:* which gives a detailed overview about the problem/need. The reason for the CR shall be clearly indicated and the description should preferably not exceed one page. In any case, the requirement must be expressed in functional terms; any mixing of the problem with the solution description must be avoided, Supporting documents for problem/need description: lists all files which are attached to the CR, in relation with the CR problem/need, Solution proposal by submitter: which indicates the solution preferred by the submitter, Supporting documents for solution proposal: lists all files which are attached to the CR, in relation with the proposed CR solution, Preliminary assessment of the benefits: which provides, in case of an enhancement, as a first step the order of magnitude of the benefits resulting from the expected improvement of performances, safety, reliability and maintainability, (k) Supporting documents for preliminary assessment of the benefits: lists all files which are attached to the CR, in relation with the preliminary assessment of the benefits, (l) Submitting Recognised Organisation:*: one of them listed in section 3.2.1.1. of this document, (m) Endorsed by: name(s) of the other recognised organisation(s) which also support(s) the CR, 1 Project must be understood in the large sense, i.e. any planned on-board or trackside installation of ERTMS/ETCS assemblies or components. 2 Mandatory only in case of enhancement ERA_ERTMS_0001 Version 1.2 PAGE 15 OF 23
(n) (o) ERA ERTMS UNIT Contact person Name and Email address:* of the expert representing the mentioned organisation, who will be the contact person in case of further needed exchange between originator and ERA CCM Core Team, Submitter Reference Number: free text field to allow each organisation to track the CR for their own internal follow up 4.2.2.1.3. Important note: filling the field preliminary assessment of benefits is strongly recommended in case of enhancement; indeed, it is expected that the submitter is highly motivated to provide such information at this early stage, in order: (a) to facilitate a further individual economic evaluation for this CR, which is likely to be requested afterwards by the Control Group (refer to step 90), (b) to provide the justification for the CR and hence to give to the CR the priority it deserves, so that the desired attention will be paid by all the ERTMS CCM involved parties, when managing this CR. 4.2.2.1.4. To provide the information relevant for the submission, the submitter shall use a predefined CR submission form; the free text fields and the attached documents shall be written in English. 4.2.2.1.5. The CR submission form duly filled, shall be attached to an email and addressed by the submitter to the ERA CCM Core Team, using the following: ERA-CCMadministrator@era.eu.int. If the CR description needs additional attachments (excel sheet, economic assessment, mathematic analysis or other formal demonstration using functional scenario) that can not be included in the CR submission form, these shall be attached in the same email. 4.2.2.1.6. The writer of a CR has an alternative way to submit his CR to the ERA CCM process. Using the ERA internet website http://www.era.eu.int/, he enters the ERTMS Change Control Management page and selects the item new change request. The CR submission form is displayed and shall be duly filled by the submitter. 4.2.2.1.7. When the ERA Core Team opens the email containing a submitted CR, he sends an acknowledgement to the submitter. 4.2.2.1.8. The CR submission information is then stored in the ERA CCM database with the attached files and the CR state is put to submitted with the current date. See Figure 2 path 10-20 4.2.2.2. STEP 30 - IS THE CR CORRECTLY FILLED? 4.2.2.2.1. As a general rule, within five working days after its submission, the Core Team performs the pre-analysis of the CR. This pre-analysis consists in checking: (a) (b) that the mandatory fields are duly filled, and that the information provided in free text fields and attached documents, if any, is usable for further analysis. 4.2.2.2.2. When a CR can not be accepted due to missing or unusable information, the CR state is changed to rejected. The Core Team shall provide the reason(s) of such rejection. During a period of two months, the submitter will have the possibility to provide the required information in order to make the CR valid. If the required information has not been provided after this two months period, the CR shall be considered as definitively rejected. This event will be notified to the submitter. See Figure 2 path 30-31. ERA_ERTMS_0001 Version 1.2 PAGE 16 OF 23
4.2.2.2.3. When all needed information has been positively checked, the CR state changes to valid. See Figure 2 path 30-40. 4.2.2.3. STEPS 50 & 51 - IS THE CR RELATED TO AN ERROR OR AN ENHANCEMENT? 4.2.2.3.1. The Core Team shall verify the correctness of the assessment made by the submitter with regards to the field Error/Enhancement. This verification of the CR rationale will be done by cross-checking the information given in the submission form and all relevant information that can be found in TSI CCS annex A list of related documents. 4.2.2.3.2. A CR shall be classified as an Error when it relates to any inconsistency, gap found in a document or in the documentation set. 4.2.2.3.3. Conversely a CR which is not classified as an Error shall be considered as an Enhancement, normally leading to new or modified requirement(s) in the FRS. 4.2.2.3.4. Exception: it is also foreseen that the CR is neither to be classified as an Error nor as an Enhancement, because the submitter might have misjudged the reality of the problem or overlooked one piece of information included in TSI CCS documents. Should be the case, the CR state is changed to rejected', and this rejection shall be motivated by the ERA Core Team, with all the necessary references justifying this decision. See Figure 2 path 50-51-31 4.2.2.3.5. If the CR is re-classified(from Error to Enhancement or vice-versa), the reason shall be provided by the ERA Core Team. 4.2.2.4. STEP 60 - ASSESSMENT OF THE PRIORITY LEVEL 4.2.2.4.1. In order to organize the work of the Core Team and the dedicated WG's in the most efficient way, and especially to manage logically a situation when there will be so many logged CR's that it will not be possible to treat all of them in the same time, the CR s are stamped with a priority qualifier by the Core Team. 4.2.2.4.2. There is a fixed number of priority level defined by a criteria based on the information given by the submitter in the mandatory fields. 4.2.2.4.3. Monthly, the Core Team will present to the members of the Control Group the list of new CR with their relevant priority. This will be compared to the already existing list of priority which will be updated according the decision made at this responsibility level. This process will allow a CR related to a serious problematic in the sense of the criteria hereafter described, to have precedence over older CR already in the processing pipe. This will permit to establish a faster path for the ERTMS Change Control management. 4.2.2.4.4. Even if the main objective of the ERTMS/ETCS project is to reach the technical interoperability, it can not be established that a CR affecting only the interoperability principles will have the highest level of priority. Several others aspects (like safety, performances, reliability, maintainability, ergonomics ) should be taken into account. Nevertheless, in order to not have a too much complex definition of the criteria used for the priority assessment, it will be restricted by order of importance to the safety, interoperability and performance aspects. ERA_ERTMS_0001 Version 1.2 PAGE 17 OF 23
4.2.2.4.5. Note: performance aspects have to be understood in the large sense, i.e. they also cover all aspects facilitating the deployment of ERTMS solutions. 4.2.2.4.6. Moreover, the classification error/enhancement, validated by the Core Team must also be used in the CR priority determination. 4.2.2.4.7. There are six values of priority which can be attached to the CR. The priority P1 means that the treatment of the CR has really an urgent character, while the priority P7 is lowest one (e.g. when the need exposed in the CR is nice to have). 4.2.2.4.8. Depending on the main different combinations, are hereafter listed the different priority levels: (a) Error and safety related: P1, (b) Enhancement and safety related: P2, (c) Error, interoperability and non safety related: P3, (d) Enhancement, interoperability and non safety related: P4, (e) Error, performances impact, non interoperability and non safety related: P5, (f) Enhancement, performances impact, non interoperability and non safety related: P6, (g) Others: P7. 4.2.2.4.9. The Control Group is responsible to validate the priority list for the CR. In the same time, for each of them, the Control Group validates the attribution of each CR to an existing Working Group or to the Core Team. The CR state changes to Assigned. See Figure 2 path 60-70. 4.2.2.4.10. If the Control Group estimates, on the basis of the information provided by the submitter, especially the starting time of the project, that this CR is relevant but not for the next expected baseline, the CR is postponed. The CR state changes to Postponed. See Figure 2 path 60-61. 4.2.2.5. STEP 80 RESOLUTION OF THE CR BY WORKING GROUP(S) 4.2.2.5.1. The designated Working Group(s) shall work out a technical solution for the CR, under the supervision of the Agency. In case several WG s are involved in the search for a solution, the necessary coordination task will be performed by the Agency. 4.2.2.5.2. The technical solution shall consist in a list of unambiguously identified changes to one or more document(s) of the TSI CCS annex A; together with these proposed amendments, it is possible to add a separate justification for this solution. 4.2.2.5.3. The Agency, acting as the System Authority, shall ensure a fair balance between the cleanliness and the pragmatism of the chosen solution (i.e. avoiding on one hand quick and dirty solutions or on the other hand too complex and nice to have solutions). For that purpose, it is recognised that UNIFE/UNISIG brings the main competence to estimate the impacts on their products and provides the most sound economic technical proposal for their products. 4.2.2.5.4. If during the phase of searching for a solution by the WG, it appears that the experts give rises to different solutions, the submitter or representatives of his organization can be invited to participate to the group in question, in order to bring additional information which will help the definition of the most adequate solution. ERA_ERTMS_0001 Version 1.2 PAGE 18 OF 23
4.2.2.5.5. A special attention shall also be paid by both the WG and the Core Team, to the type of impact on the ERTMS/ETCS or GSM-R system version. This information will be essential for the Control Group to decide how to assemble packages of CR s. 4.2.2.6. STEP 90 IS AN ECONOMIC EVALUATION NEEDED FOR THE CR? 4.2.2.6.1. Once a technical solution has been worked out by the concerned WG(s), the ERA CCM Control Group shall decide whether an economic evaluation is needed for this individual CR. 4.2.2.6.2. If it is decided to perform an individual economic evaluation for the CR, its state changes to Waiting for economic evaluation'. See Figure 2 path 90-100. 4.2.2.6.3. If it is decided that an individual cost/benefit analysis is not worth for the CR, its state changes to Analysis completed'. Note: this does not mean that the costs induced by the CR, in case of enhancement, will not be evaluated, but only when the CR is integrated in a CR package, at a further stage. See Figure 2 path 90-120. 4.2.2.7. STEP 110 ECONOMIC EVALUATION OF THE CR 4.2.2.7.1. Starting from the technical solution proposed for the CR and, if available, from the preliminary benefit assessment by the submitter, the ERA Economic Evaluation Unit shall conduct the cost and, when relevant, benefit analysis for the CR. 4.2.2.7.2. It must be reminded that the quality and completeness of the information provided by the submitter, through his preliminary assessment of the benefits, is of prime importance in order to facilitate the completion of the economic evaluation. Should the ERA EE unit consider the information insufficient, it could interview the CR submitter, in order to re-assess or refine the preliminary assessment of the benefits. 4.2.2.7.3. Nevertheless, the main task undertaken by the ERA EE unit will be to collect all the necessary information related to the CR impact on costs and, possibly, schedules and resources (for ongoing projects). The costs can be broken down into: (a) (b) generic costs for the product and specification update project specific costs for updating the infrastructure or rolling stock related to certain ongoing projects, or even existing systems. 4.2.2.7.4. For this reason - besides the submitter of the CR the representative organisations concerned will have to provide information for the EE as well. 4.2.2.7.5. In order to achieve the analysis, it shall be necessary to compare the costs with the expected benefits resulting from the implementation of the proposed changes to the current baseline of the specifications. Once this comparison is completed, the CR state changes to Analysis completed'. See Figure 2 path 110-120. 4.2.2.8. STEP 130 DECISION BY THE CONTROL GROUP FOR THE CR 4.2.2.8.1. In principle, the Control Group shall never take a positive decision on an single CR; but shall rather decide to incorporate a CR in a package (refer to section 3.2.3.2.9.); if decided so, the CR state changes to packaged. See Figure 2 path 130-140. ERA_ERTMS_0001 Version 1.2 PAGE 19 OF 23
4.2.2.8.2. When assembling CR package(s), the Control Group shall have the possibility to postpone the incorporation of the CR in a package, for any technical or economic reason; should be the case, the CR state changes to postponed. See Figure 2 path 130-61. 4.2.2.8.3. The Control Group shall also have the possibility to reject a CR, either because of the Cost/Benefit analysis or because the WG in charge of the technical solution proposes a reason to reject it, which could not be detected at an earlier stage by the ERA Core Team. The CR state then changes to rejected. See Figure 2 path 130-31. 4.2.2.9. STEP 150 DECISION BY THE BOARD FOR THE CR 4.2.2.9.1. After a CR has been incorporated in a package, its final acceptance in the context of the ERA CCM process, which means its submission to the Commission, shall be endorsed by the Board; if decided so, the CR state changes to presented to the EC. See Figure 2 path 150-160. 4.2.2.9.2. At this stage, it is still possible that the Board decides not to present the CR to the commission, either because the CR is to be removed from the agreed package, or because the package itself is postponed as a whole; in both cases, the CR state changes to postponed. See Figure 2 path 150-61. 4.2.2.9.3. An intermediate option is also left to the Board, when it is deemed necessary to quickly enforce a CR package which encloses error corrections: the Board can then decide to publish it on the Agency website, as an interim fix that should be used as a reference endorsed by the sector; if decided so, the CR state changes to published as interim fix. See Figure 2 path 150-170. 4.2.2.10. STEP 62 UNFREEZING OF THE CR 4.2.2.10.1. Through its monthly meetings, the Control Group will always have the possibility to unfreeze the CR, regardless the reason why the CR was postponed. 4.2.2.10.2. The unfrozen CR shall systematically go through the normal process from the assignment to a WG onwards; this is also relevant if the CR was already solved in the past, as the context might have significantly changed since its postponement (e.g. the reference baseline has changed and the solution is no longer valid, ). The CR state then changes to assigned. See Figure 2 path 62-70. ERA_ERTMS_0001 Version 1.2 PAGE 20 OF 23
4.2.3. OVERLAPPING OF CRS ERA ERTMS UNIT 4.2.3.1. At any stage of the CR workflow, it may appear that a CR is linked to one or more other CR, either in terms of problem/need or in terms of the solution found. 4.2.3.2. If it is made sure that a particular CR can be fully covered by another CR dealing with the same subject, the CR state changes to superseded ; the reference to the superseding CR shall be indicated. 4.2.3.3. Conversely, the CR which supersedes one or more other CRs shall refer to the list of superseded CRs. 4.3. CHANGE REQUEST CONTENT 4.3.1. The table here below gives all the information that shall be stored in the ERA CCM database, for each Change Request. Table 4 : CR content. Field Description Who controls it Number State Gives the unique reference number which all the involved parties work with. Materialises the CR progress during its lifetime within the ERA CR process, see boxes 20,31,40,61,70,100,120,140,160,170 in Figure 2 : CR workflow and section 4.2.3 ERA CCM tool Core Team Submission information See Step 10 of CR workflow Submitter Date of submission Reason for Error/Enhancement reclassification Date of either email with submission form or Web site capture of submission form See steps 50, 51 of CR workflow List of assigned WG(s) See step 60 of CR workflow CG Priority Level See step 60 of CR workflow CG Solution agreed by WG(s) See step 80 of CR workflow WG Supporting docs for agreed solution See step 80 of CR workflow Justification of solution See step 80 of CR workflow WG ERA CCM tool Core Team Economic Evaluation output See step 110 of CR workflow ERA EE Group Supporting docs for Economic Evaluation See step 110 of CR workflow Target baseline(s) See step 130 of CR workflow CG ERA_ERTMS_0001 Version 1.2 PAGE 21 OF 23 WG ERA EE Group Reason for rejection See steps 30, 50, 51, 130 of CR workflow Core Team/CG Reason for postponement See steps 60, 130, 150 of CR workflow CG/Board Superseding CR List of superseded CR(s) Reference number of the CR that supersedes the CR, when the CR state is "superseded" Reference number(s) of the CR(s) that are superseded by the CR Core Team Core Team Modification history For all changes brought to the CR, gives the author, the ERA CCM tool
Field Description Who controls it date and the impacted field 4.4. CHANGE REQUEST STATE TRANSITIONS 4.4.1. Each state transition shall be notified to the submitter, through the email address provided in the CR submission form. ERA_ERTMS_0001 Version 1.2 PAGE 22 OF 23
5. MANAGEMENT OF DOCUMENTATION CHANGES 5.1. As already stated, the management of the editorial work for updating the TSI CCS annex A documents is considered as not being part of the CR process itself, but only as a consequence of it; in other terms, any documentation update must be driven by the CR process, not the contrary. 5.2. Of course it is very likely that the update of documents resulting from an agreed CR package might be undertaken in parallel by the WG s, to which the associated CR s are allocated; however, the Agency shall ensure, especially through its quality manager, that these tasks are put under its quality control and verifications. 5.3. In particular, the Agency shall ensure that a full traceability between the document changes and the Change Request is provided, prior the sending to the EC of the full dossier, including the set of updated documents together with the package of Change Requests justifying the changes. 5.4. The detailed process for the management of the documentation production is described in a separate document. ERA_ERTMS_0001 Version 1.2 PAGE 23 OF 23