Copyright in the Railway Group Standards is owned by Rail Safety and Standards Board Limited. All rights are hereby reserved. No Railway Group Standard (in whole or in part) may be reproduced, stored in a retrieval system, or transmitted, in any form or means, without the prior written permission of Rail Safety and Standards Board Limited, or as expressly permitted by law.
In circumstances where Rail Safety and Standards Board Limited has granted a particular person or organisation permission to copy extracts from Railway Group Standards, Rail Safety and Standards Board Limited accepts no responsibility for, and excludes all liability in connection with, the use of such extracts, or any claims arising therefrom. This disclaimer applies to all forms of media in which extracts from Railway Group Standards may be reproduced. Published by: Rail Safety and Standards Board Evergreen House 160 Euston Road London NW1 2DX © Copyright 2004 Rail Safety and Standards Board Limited
Railway Group Guidance NoteGK/GN0801 Issue One Date August 2004
Guidance on Using Railway Group Standards to Support Signal Engineering Safety Cases
Synopsis This document shows how Railway Group Standards can be used to support engineering safety cases and describes the hierarchy between standards and interworking requirements. This document also provides guidance on the approach to take when conflicts are found between requirements in signalling standards.
Signatures removed from electronic version
Submitted by Paul Woolford Project Manager
Content approved by
Train Control and Communications Subject Committee on 13 May 2004
Authorised by Anne Blakeney Acting Department Head Railway Group Standards Management
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Guidance on Using Railway Group Standards to Support Signal Engineering
Safety Cases
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Contents Section Description Page
Part A
A1 Issue record 2 A2 Implementation of this document 2 A3 Responsibilities 2 A4 Health and safety responsibilities 2 A5 Supply 2
Part B B1 Purpose 3 B2 Application of this document 3 B3 Definitions and acronyms 3
Part C Signalling document tables C1 Introduction 5 C2 Guidance on engineering safety cases 6 C3 Guidance on standards hierarchy 8 C4 Guidance on conflicts 9
Appendices
A1 Examples of hazard associated with a typical conventional signalling scheme 10 B1 Process requirement: Competence management 18 B2 Process requirement: Safety cases 19 B3 Process requirement: Compliance 20 B4 Process requirement: Acceptance 21 B5 Process requirement: Asset life cycle 22 C1 System requirement: Infrastructure requirements 23 C2 System requirement: Principles 31 D1 Guidance on selecting a signalling system 35 D2 Standards relating to the signalling design process 36
References 37
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Part A A1 Issue record
Issue Date Comments One August 2004 Original document incorporating the index of
signalling principles standards from GK/RM0501
This document will be updated when necessary by distribution of a complete replacement.
A2 Implementation of this document
The publication date of this document is 7 August 2004.
This document supersedes the following Railway Group Manual, as indicated.
Railway Group Manual
Issue No.
Title Sections superseded by this document
Date(s) as of which sections are superseded
GK/RM0501 24 Manual of Signalling Principles Standards
Cover List of standards
2 October 2004
GK/RM0501 is withdrawn with effect from 2 October 2004.
A3 Responsibilities Railway Group Guidance Notes are non-mandatory documents providing helpful information relating to the control of hazards and often set out a suggested approach, which may be appropriate for Railway Group* members to follow.
* The Railway Group comprises Network Rail Infrastructure Limited, Rail Safety and Standards Board Limited, and the train and station operators who hold Railway Safety Cases for operation on or related to infrastructure controlled by Network Rail Infrastructure Limited.
Network Rail Infrastructure Limited is also known as Network Rail.
Rail Safety and Standards Board Limited is also known as RSSB.
A4 Health and safety responsibilities
Each Railway Group member is reminded of the need to consider its own responsibilities to ensure health and safety at work and its own duties under health and safety legislation. RSSB does not warrant that compliance with all or any documents published by RSSB is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties.
A5 Supply Controlled and uncontrolled copies of this document may be obtained from the Corporate Communications Dept, Rail Safety and Standards Board, Evergreen House, 160 Euston Road, London NW1 2DX, telephone 020 7904 7518 or e-mail [email protected]. Railway Group Standards can also be viewed at www.rssb.co.uk.
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Part B B1 Purpose
This document gives guidance on:
a) using Railway Group Standards as part of demonstrating that safety risk is reduced to ALARP level within a signalling project
b) the relationship between Railway Group Standards, Guidance Notes, RSSB Approved Codes of Practice and the overarching requirements for safe interworking
c) the approach to take when conflicting requirements are identified in Railway Group Standards.
B2 Application of this document
B2.1 To whom the guidance applies This document contains guidance that is applicable to RSSB and duty holders of the infrastructure controller category of Railway Safety Case.
B2.2 Documents supported by this Guidance Note This document is designed to support all Railway Group Standards that relate to signalling processes and systems. It will be updated on a regular basis to reflect changes to the Catalogue of Railway Group Standards.
B3 Definitions and acronyms
ALARP An acronym for ‘as low as reasonably practicable’ that is applied to safety risk.
Hazard A physical situation with a potential for human injury.
Novel (equipment, systems, applications, operating methods) A term describing a new or untried feature, that is, in the context of this guidance note, to be introduced by a project. It includes both new systems and the application or operation of existing systems in a different way to that already in use.
A feature ceases to be novel when:
a) all of the hazards associated with it are understood, and
b) mitigations are in place to manage the risk to ALARP level, including the availability of the necessary standards and instructions.
Unified Modelling Language Unified Modelling Language (UML) is a method of describing processes using drawings. The following UML symbols are used within this document:
A ‘class’ symbol represents a static object that has attributes and operations. For example:
UML relationship symbol meaning ‘types of’
Class
-attribute
+operation
Standard
-Number of pages
+Describe requirements
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UML relationship symbol meaning ‘made up of’
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1…*
0…*
UML quantity symbols meaning ‘one or more’ and ‘any number of’. Other numeric values and limits may be used
text UML symbol representing an association between different classes and the direction that the association is read
UML symbol representing the start of a process
UML symbol representing the end of a process
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Part C Signalling document tables C1 Introduction
The process by which signalling safety requirements should be derived is described in GK/RT0206 and GK/GN0806. This document shows how compliance with Railway Group Standards can contribute to demonstration that the derived safety requirements have been met. Compliance with Railway Group Standards alone may not be sufficient to achieve this.
This document is designed to assist those involved with preparing signal engineering safety cases by:
a) listing examples of hazards introduced by typical signalling projects where compliance with Railway Group Standards can support demonstration of risk mitigation and reduction of risk to ALARP levels
b) linking signalling related processes and systems to the appropriate Railway Group Standards and other signalling related documents
c) linking Railway Group Standards and other signalling related documents to the top-level processes or requirements from which the document is derived
d) illustrating the hierarchy of Railway Group Standards and other signalling related documents
e) giving guidance on standards conflict resolution.
Section C2 contains a UML diagram that illustrates the relationship between engineering projects, engineering safety cases and Railway Group Standards.
Section C3 contains a UML diagram that describes how top-level processes and requirements relate to the various signalling systems and processes. The diagram calls up a series of tables, which list Railway Group Standards and other signalling related documents under subject headings. Each subject heading identifies, where relevant:
a) an overarching requirement
b) a primary standard or standards that fulfil the overarching requirement
c) related documents that support the primary standard.
Section C4 gives guidance on how conflicts between different requirements should be managed.
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C2 Guidance on engineering safety cases
This diagram illustrates the relationship between Railway Group Standards and the engineering safety case necessary to support approval of an engineering project.
references
+Provides guidance on safety cases()+Includes application notes()
Engineering Safety Management (Yellow Book)
+Deliver project scope()+Demonstrate safety risk is ALARP()
-scopeEngineering project
-mandated on projectSafe interworking
+provide input to project()
Requirements
complies with
+customer deliverables()+legislation()
Customer requirements
1..*
1..*
+Demonstrate risk is ALARP()+Demonstrate all hazards have been identified()
-generated by projectEngineering safety case produces1..*
1..*
gives guidance on preparing
Identify hazards
Causal analysis Consequence analysis
Loss analysis
Options analysis
Impact analysis
Demostrate achievement of ALARP +specify requirements for safe interworking()-mandatory on holders of railway safety cases
Railway Group Standardswhich can beused to
1..* which are specified in
+authorised deviation from requirement()
-temporary non-compliance-non-compliance subject to standards change-derogation
Deviation proposalnecessary tosupport
0..*
against particular clausescontained in
+Euronorms()+TSI's()
European requirements1..*
Fig. 1 Relation between Railway Group Standards and engineering safety cases (UML diagram)
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All railway projects have to demonstrate safety for system design (including systems, equipment or operating methods) and therefore have to manage all of the safety risk associated with each project. This is usually achieved by preparing an engineering safety case to demonstrate that:
a) all of the hazards introduced by the project have been identified, and
b) mitigations are in place to reduce the safety risk level to ALARP for every hazard.
GK/RT0206 and GK/GN0806 describe the particular process used to demonstrate safety for signalling and operational telecommunications projects.
Guidance on how to prepare an engineering safety case is contained in the Engineering Safety Management ‘Yellow Book’ published by RSSB. This includes supplementary application notes, which cover particular subject areas, including software, human factors and independent safety assessment.
The size and content of an engineering safety case should be proportionate to the scope of the project to which it applies and the number and complexity of the hazards that have to be managed.
Where a completely novel system is to be introduced, the engineering safety case process, as described in the ‘Yellow Book’, should be applied in full from first principles. This requires identification of all hazards and implementation of risk mitigation measures for each across the whole project.
Where a project introduces novel design features or has novel elements within it, the engineering safety case process should be followed to demonstrate that risk level is ALARP for the novel aspect of the project, including how the novel aspect interacts within the context of the complete system. The remainder of the project should be managed as a conventional project.
Conventional projects that apply proven designs (for example, conventional re-signalling, remodelling or capacity enhancement schemes) should follow the engineering safety case process in sufficient detail to demonstrate safety for the proposed applications or design configurations in the environment that the application is being used. Emphasis should be placed on managing the hazards arising from the elements of the design that differ from previous applications.
For small, simple projects, engineering safety cases may be limited to justification of the decisions made on application design.
Consideration should be given to the use of generic safety cases for projects that do not include a novel element.
Projects can use compliance with Railway Group Standards as a contribution to demonstrating that safety risk is ALARP. Appendix A1 provides examples of typical and commonly encountered hazards and the Railway Group Standards that address the safe inter-working associated with each hazard.
In some cases, Railway Group Standards place a requirement on projects to complete risk analyses (for example, overrun risk assessment), which may form part of an engineering safety case.
Projects should use the typical hazards listed in Appendix A1 as a starting point to identifying and mitigating the risk associated with signalling projects. Compliance with Railway Group Standards, by itself, may not be sufficient to demonstrate that risk level is ALARP and additional mitigation measures may have to be developed by the project.
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C3 Guidance on standards hierarchy
This diagram illustrates the relationship between the Railway Group Standards and the top-level requirement for safe interworking.
Railway Group members
Process requirement
System requirement
-see appendix B1Competence management
-see appendix B2Safety cases
-see appendix B3Compliance
-see appendix B4Acceptance
-see appendix B5Asset life cycle
1...*
1...*
1...*
-see appendix C1Infrastructure requirement
-see appendix C2Principles requirement
-see appendix C1.1Train control and interface
-see appendix C1.2Points
+ensure safe interworking()
-EU requirements for high-speed lines-EU requirements for conventional lines
Technical specifications for interoperabilitypartially satisfy
-see appendix C1.6Miscellaneous equipment
-see appendix C1.3Lineside signals and signs
-see appendix C1.4Level crossings
-see appendix C1.5Train detection
-see appendix C2.1Route setting, holding and releasing
-see appendix C2.2Control systems
1...*
1...*
+mandate UK requirements()-apply to all Railway Group members
Railway Group Standardsensure safe interworking between
1...*
2...*
partially conflict with
address the same areas as
-includes the Rule BookOperational requirements
1...*
Fig. 2 Relationship between Railway Group signalling documents and top-level safety requirements
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The tables contained in appendices B1 – B5 and C1 – C2.2 show the relationship between Railway Group signalling documents and the overarching requirements that address relevant subject areas.
Flow charts in Appendices D1 and D2 illustrate how Railway Group Standards and other signalling related documents relate to particular work-streams. Examples are given for:
a) selecting a signalling system (Appendix D1), and
b) application of standards during the signalling design process (Appendix D2).
C4 Guidance on conflicts
Where proposed risk mitigation measures conflict with the requirements contained in Railway Group Standards, projects should submit applications for deviation, in accordance with the Railway Group Standards Code.
Where conflicting requirements exist within Railway Group Standards, projects should submit applications for non-compliance, together with proposals for standards change, in accordance with the Railway Group Standards Code.
Proposed solutions to support non-compliance applications should consider the standards hierarchy. As a general principle, requirements contained in primary standards take precedence over related standards and so any conflicting requirement between the two can be prioritised.
The chart in section C3 can be used as a guide to establish the general hierarchy of Railway Group signalling documents. Appendices B1 – B5 and C1 – C2.2 can be used to identify relationships between the various standards.
Technical advice should also be sought from RSSB.
Non-compliance certificates issued by RSSB form part of project safety case documentation and contribute towards demonstration that safety risk is ALARP.
Conflicts between requirements contained in Railway Group Standards and requirements contained in European Technical Standards for Interoperability can be addressed by compliance with GE/RT8050 (see Appendix B3).
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Appendix A1 Examples of hazard associated with a typical conventional signalling scheme These tables list typical hazards that need to be managed by projects, and provide guidance on where to find mitigations within Railway Group Standards. The Railway Group Standards listed below primarily relate to signalling technical and operational requirements. Other Railway Group Standards exist that can also be used to demonstrate mitigation of hazards. A full list is contained in the Catalogue of Railway Group Standards.
Hazards that can result in a SPAD Standards that contain mitigations
Design Implement Life cycle Operation Decommission Signaller replaces signal to danger in error causing SPAD
GK/RT0025
GO/RT3259 GE/RT8000
Driver does not understand signal GO/RT3251 GE/RT8000
Driver starts train without movement authority GE/RT8018 GE/RT8030 GE/RT8060 GK/RT0031 GK/RT0032
GK/RT0091
Driver misjudges braking GE/RT8030 GK/RT0034
GK/RT0007 GO/RT3251
Driver misinterprets signal aspect GE/RT8030 GE/RT8035 GE/RT8037 GK/RT0031 GK/RT0032 GK/RT0036 GK/RT0039
GK/RT0209 GE/RT8034 GK/RT0210
GO/RT3251
Driver does not see signal GE/RT8018 GE/RT8030 GE/RT8035 GE/RT8037 GK/RT0031
GK/RT0209 GC/RT5202 GE/RT8034 GK/RT0210
GO/RT3251
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Hazards that can result in a SPAD Standards that contain mitigations Design Implement Life cycle Operation Decommission
Driver responds to wrong signal GE/RT8018 GE/RT8030 GE/RT8035 GE/RT8037 GK/RT0009 GK/RT0031 GK/RT0032
GE/RT8034 GK/RT0210
GO/RT3251
Driver distracted by conflicting or misleading information and misreads signal
GE/RT8018 GE/RT8030 GE/RT8035 GE/RT8037
GE/RT8034 GK/RT0210
GE/RT8000
Insufficient braking distance approaching signal GK/RT0007 GK/RT0034
GK/RT0209 GE/RT8040
Driver has insufficient signal sighting time GE/RT8037 GK/RT0209 GC/RT5202 GE/RT8034 GK/RT0210
Signal displays incorrect aspect to driver due to electromagnetic interference
GE/RT8015
GI/RT7002 GK/RT0209
Signal displays incorrect aspect due to disarrangement of signalling system
GK/RT0206 GK/RT0027 GK/RT0217
GK/RT0101 GE/RT8000
Signal displays incorrect aspect to driver due to implementation error
GK/RT0060 GK/RT0206
GK/RT0207 GK/RT0208 GK/RT0209
GK/RT0101
Signal fails to display aspect due to inadequate engineering of signal assembly or component
GK/RT0206
GI/RT7002
Signal fails to display aspect due to life cycle failure GK/RT0206 GK/RT0106GK/RT0210
Signal fails to display aspect due to vandalism GE/RT8063 Signal fails to display aspect due to power supply failure GI/RT7017
GK/RT0206
GK/RT0210
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Hazards resulting from a SPAD Standards that contain mitigations Design Implement Life cycle Operation Decommission
Train collides with another train or train derails GI/RT7006 GK/RT0060 GK/RT0064
GO/RT3251
Train collides with buffer stop GC/RT5033 GI/RT7006
GE/RT8040 GO/RT3251
Infrastructure controller / System interface hazards Signal displays incorrect aspect to driver due to electromagnetic interference
GE/RT8015
GI/RT7002
Signal displays incorrect aspect due to disarrangement of signalling system
GK/RT0027 GK/RT0217
GK/RT0101 GE/RT8000
Signal displays incorrect aspect to driver due to implementation error
GK/RT0060 GK/RT0206
GK/RT0207 GK/RT0208 GK/RT0209
GK/RT0101
Signal fails to display aspect due to inadequate engineering of signal assembly or component
GK/RT0206 GI/RT7002
Signal fails to display aspect due to life cycle failure GK/RT0206 GK/RT0106 GK/RT0210
Signal fails to display aspect due to vandalism GK/RT0206 GE/RT8063 Signal fails to display aspect due to power supply failure GI/RT7017
GK/RT0206 GK/RT0106
Points move or fail causing derailment or collision GI/RT7004 GK/RT0060
Train detection system does not detect train GE/RT8217 GK/RT0011 GK/RT0217
GO/RT3208
Signalling control data corrupted GK/RT0105 GK/RT0210 Signalling system functionality incomplete GK/RT0060
GK/RT0101 GK/RT0206
GK/RT0101 GK/RT0207 GK/RT0209
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Infrastructure controller / System interface hazards Standards that contain mitigations
Design Implement Life cycle Operation Decommission
Signalling system contains installation errors GK/RT0101 GK/RT0208 GK/RT0209
Signalling system incorrectly reset by technician GE/RT8000 GK/RT0027 GK/RT0101 GK/RT0217
Signalling disarranged by authorised person GE/RT8000 GK/RT0101
Signalling system disarranged by unauthorised person GK/RT0206 GE/RT8063 GK/RT0210
Signalling system or component life cycle failure GE/RT8000 GK/RT0106 GK/RT0210
Interlocking logic inadequate GK/RT0060 GK/RT0101
GK/RT0101 GK/RT0209
Wrong component installed after failure
GI/RT7001 GK/RT0101 GK/RT0209 GK/RT0330
System or component has latent or hidden failure mode GK/RT0206 GI/RT7002
System or component failure inadequately managed GI/RT7001 GK/RT0101 GK/RT0106
Altered system, conflicting standards within systems and components are not compatible
GK/RT0206 GK/RT0207
GI/RT7001 GI/RT7002
Elements of system do not mitigate risk GK/RT0206 GI/RT7002
System or interfacing system not upgraded to current standards
GK/RT0060 GK/RT0206
System does not provide for life cycle management GK/RT0206 GI/RT7001 GK/RT0210
System cannot withstand environmental or operating impact
GK/RT0206 GI/RT7002 GK/RT0210
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Infrastructure controller / System interface hazards Standards that contain mitigations
Design Implement Life cycle Operation Decommission Existing or obsolete system does not meet required functionality
GK/RT0101 GK/RT0206
Functionality requirements not properly specified or misunderstood
GK/RT0101 GK/RT0206 GK/RT0207
GI/RT7001
Life cycle management requirements not properly implemented
GI/RT7001 GK/RT0101 GK/RT0210
Authorised person disconnects / reconnects wrong function as part of protection arrangements
GI/RT7001 GE/RT8000
Train operator / System interface hazards
Driver does not understand signal GO/RT3260
Driver starts train without movement authority GE/RT8018 GE/RT8030 GE/RT8060
GK/RT0091 GO/RT3475
Driver misjudges braking GE/RT8030 GK/RT0007 GK/RT0034
GO/RT3251
Driver misinterprets signal aspect GE/RT8030 GE/RT8035 GE/RT8037 GK/RT0031 GK/RT0032 GK/RT0036 GK/RT0039
GK/RT0209 GE/RT8034 GO/RT3251
Driver does not see signal GE/RT8018 GE/RT8030 GE/RT8035 GE/RT8037 GK/RT0031
GK/RT0209 GC/RT5202 GE/RT8034 GK/RT0210
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Train operator / System interface hazards Standards that contain mitigations
Design Implement Life cycle Operation Decommission
Driver responds to wrong signal GE/RT8018 GE/RT8030 GE/RT8035 GE/RT8037 GK/RT0009 GK/RT0032
GE/RT8034 GK/RT0210
GO/RT3251
Driver distracted by conflicting or misleading information and misreads signal
GE/RT8018 GE/RT8030 GE/RT8035 GE/RT8037
GE/RT8034 GK/RT0210
Driver has insufficient signal sighting time GE/RT8037 GK/RT0209 GC/RT5202 GE/RT8034 GK/RT0210
Insufficient braking distance approaching signal GK/RT0007 GK/RT0034
GK/RT0209 GE/RT8040
Driver does not understand how to slow down train GO/RT3251 Driver exceeds permitted speed limit GE/RT8012
GE/RT8030 GI/RT7033
GO/RT3251
Driver misinterprets authorised speed GI/RT7033 GK/RT0038
GC/RT5060 GO/RT3251
Driver does not receive speed information GI/RT7033 GK/RT0206
GC/RT5202
Train moves without degraded movement authority GE/RT8018 GE/RT8030
GO/RT3251 GO/RT3259 GE/RT8000
Train takes wrong degraded movement authority GE/RT8018 GE/RT8030
GO/RT3251 GO/RT3259 GE/RT8000
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Train operator / System interface hazards Standards that contain mitigations
Design Implement Life cycle Operation Decommission
Train cab design not compatible with signalling system GE/RT8270 GI/RT7002
Train length exceeds available capacity GE/RT8004 GE/RT8000
Vehicle design incompatible with train detection system GK/RT0011 GI/RT7002
Design of train not compatible with signalling system GE/RT8015 GE/RT8270 GI/RT7002
Driver starts train before station work is completed GE/RT8060 GE/RT8000 Train strikes member of public or vehicle on level crossing
GI/RT7011 GI/RT7012
Train strikes track worker after movement authority granted
GK/RT0029 GK/RT0030
GE/RT8000
Signaller / System interface hazards
Signaller cannot interface with control panel GK/RT0009 GK/RT0025
GK/RT0209 GK/RT0210 GO/RT3259
Signaller cannot interface with system indications GK/RT0009 GK/RT0025
GK/RT0209 GK/RT0210 GO/RT3259
Signaller confused by presentation of information or information overload
GK/RT0025 GK/RT0206 GK/RT0207
GK/RT0209 GO/RT3259
Signaller sets two or more conflicting routes GK/RT0039 GK/RT0060
GK/RT0209
Signaller cancels route and sets another conflicting route GK/RT0060 GK/RT0063
GK/RT0209
Signaller sets route into occupied section GK/RT0041 GK/RT0042 GK/RT0044 GK/RT0051 GK/RT0054 GK/RT0060
GK/RT0209
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Signaller / System interface hazards Standards that contain mitigations
Design Implement Life cycle Operation Decommission
Signaller sets route with risk of overrun conflict GI/RT7006 GK/RT0064 GK/RT0206
Signaller controls points within route after movement authority has been issued
GK/RT0060 GK/RT0209
Signaller gives release within set route GK/RT0060 GK/RT0061
GK/RT0209
Authorised person moves points by hand within set route GE/RT8000 GO/RT3259 GO/RT3260
Authorised person moves or secures incorrect points GE/RT8000 GO/RT3259 GO/RT3260
Unauthorised person moves points within set route GK/RT0206 GE/RT8063 GK/RT0210
Signaller incorrectly calls train past red signal when section occupied
GO/RT3259 GE/RT8000
Signaller replaces signal to danger in error causing SPAD
GK/RT0025
GO/RT3259
Signaller issues wrong degraded movement authority GK/RT0025 GO/RT3259
Station operator / System interface hazards
Platform staff dispatch train when starting signal is at red GE/RT8030 GE/RT8060
GO/RT3475 GE/RT8000
Train authorised to leave in wrong direction GE/RT8000
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Appendix B1 Process requirement: Competence management
Process category Competence management
Overarching requirement Railways (Safety Critical Work) Regulations
HSE Railway Safety Principles and Guidance Part 3a: Developing and Maintaining Staff Competence
Primary standard GO/RT3260 Competence Management for Safety Critical Work
Related standards
Signalling and telecommunications Other standards relate to train driving, train working and signallers
GK/RT0101 Competence Standards for Signalling and Telecommunications Staff
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Railway Group Guidance Note GK/GN0801 Issue One Date August 2004 Page 20 of 39
Appendix B2 Process requirement: Safety cases
Process category Railway safety cases
Overarching requirement Railways (Safety Case) Regulations 2000
as amended by
Railways (Safety Case) (Amendment) Regulations 2003
Primary standard Nil
Related standards
Guidance Notes
GE/GN8561 Guidance on the Preparation of Risk Assessments within Railway Safety Cases
Engineering Safety Management (Yellow Book)
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Appendix B3 Process requirement: Compliance
Process category Compliance management
Overarching requirement Railways (Safety Case) Regulations
The Railways (Interoperability) (High Speed) Regulations 2002
These regulations implement EU directive 96/48EU, Interoperability Requirements for High Speed Lines. They apply to those parts of the UK infrastructure that form part of the trans-European high-speed rail system
Further regulations are being developed to implement EU directive 2001/16EU, Interoperability Requirements for Conventional Lines
Emerging Technical Standards for Interoperability (TSIs)
Primary standard Nil
Related standards
Standards change
GE/RT8050 Process for Dealing with Issues between Railway Group Standards and TSIs for High-Speed Operation
The Railway Group Standards Code
Deviations (Temporary non-compliance, derogation, non-compliance pending standards change, subject committees)
The Railway Group Standards Code
Guidance Notes GE/GN8550 Guidance on Issues between Railway Group Standards and TSIs for High-Speed Operation
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Railway Group Guidance Note GK/GN0801 Issue One Date August 2004 Page 22 of 39
Appendix B4 Process requirement: Acceptance
Process category Acceptance
Overarching requirement Railways (Safety Case) Regulations
HSE Railway Safety Principles and Guidance Parts:
1
2a Guidance on Infrastructure
2d Guidance on Signalling
2e Guidance on Level Crossings
2f Guidance on Trains
3a Developing and Maintaining Staff Competence
Primary standard GI/RT7002 Acceptance of Systems, Equipment and Materials for Use on Railtrack Controlled Infrastructure
GE/RT8270 Route Acceptance of Rail Vehicles, including changes in Operation or Infrastructure
Related standards
GK/RT0206 Signalling and Operational Telecommunications Systems: Safety Requirements
GK/RT0209 Testing and Commissioning of Signalling and Operational Telecommunications Systems
GE/RT8015 Electromagnetic Compatibility between Railway Infrastructure and Train
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Railway Group Guidance NoteGK/GN0801 Issue One Date August 2004 Page 23 of 39
Appendix B5 Process requirement: Asset life cycle
Process category Asset life cycle (including change control)
Overarching requirement Construction, design and maintainability regulations
Primary standard
See also Safety Cases and Acceptance processes
GK/RT0210 Asset Management for the Safety of Signalling and Operational Telecommunications Systems and Equipment
Related standards
See systems tables for specific signalling technologies
Design
GK/RT0207 Signalling Design
Construction GK/RT0208 Installation of Signalling and Operational Telecommunications Equipment
Verification and validation GK/RT0209 Testing and Commissioning of Installation of Signalling and Operational Telecommunications Equipment
GK/RT0027 Resetting and Restoration to Service of Signalling Systems
Maintenance and faulting GK/RT0106 Management of Safety Related Failures of Signalling and Operational Telecommunications Systems
GK/RC0606 Management of Safety Related Failures of Train Borne Signalling and Operational Telecommunications Systems
Asset life cycle records GI/RT7001 Management of Safety Related Records
GE/RT8047 Reporting of Safety Related Information
GE/RT8250 Safety Performance Monitoring and Defect Reporting
System authorities GE/RT8049 Creation and Management of System Authorities
Guidance Notes GE/GN8547 Guidance on the Reporting of Safety Related Information
GE/GN8510 Railway Group Safety Performance Monitoring – Definitions and Guidance
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Appendix C1 System requirement: Infrastructure requirements
Process category Infrastructure requirements
Overarching requirement
See also Asset Life Cycle and Acceptance
European Union Directives for Interoperability:
96/48EU Interoperability Requirements for High-Speed Lines
2001/16EU Interoperability Requirements for Conventional Lines
as described by the emerging Technical Standards for Interoperability (TSIs)
HSE Railway Safety Principles and Guidance Part 2a: Guidance on Infrastructure (see Appendices B1.1 – B1.6 for particular guidance)
Primary standards GI/RT7002 Acceptance of Systems, Equipment and Materials for Use on Railtrack Controlled Infrastructure
GE/RT8015 Electromagnetic Compatibility between Railway Infrastructure and Train
BR13442 50Hz Single Phase AC Electrification: Immunisation of Signalling and Telecommunications against Electrical Interference
Related standards
TSI compliance GE/RT8050 Process for Dealing with Issues between Railway Group Standards and TSIs for High-Speed Operation
Train control and interface systems
See Appendix C1.1
Points See Appendix C1.2
Lineside signals and signs See Appendix C1.3
Level crossings See Appendix C1.4
Train detection See Appendix C1.5
Miscellaneous equipment See Appendix C1.6
Guidance Notes GE/GN8550 Guidance on Issues between Railway Group Standards and TSIs for High-Speed Operation
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Appendix C1.1 Infrastructure requirement: Train control and interface
Process category Train control and interface systems
Overarching requirement See Appendix C1
HSE Railway Safety Principles and Guidance Part 2d: Guidance on Signalling
HSE Railway Safety Principles and Guidance Part 2f: Guidance on Trains
Primary standards See Appendix C1
Related standards
Automatic train protection and supervision systems
GE/RT8012 Controlling the Speed of Tilting Trains through Curves
GE/RT8019 Tilting Trains: Controlling Tilt Systems to Maintain Clearances
GE/RC8517 Recommendations for Systems for the Supervision of Enhanced Permissible Speeds and Tilt Enable
GE/RT8018 Mechanical Trainstop Systems
GE/RT8035 Automatic Warning System (AWS)
GE/RT8030 Requirements for a Train Protection and Warning System (TPWS)
Driver interface
See also Lineside Signals and Signs
GE/RT8000 Rule Book Modules (including block regulations)
GE/RT8026 Safety Requirements for Cab Signalling Systems
GE/RT8060 Technical Requirements for Dispatch of Trains from Platforms
GK/RT0091 Drivers Reminder Appliances
GM/RT2161 Requirements for Driving Cabs of Railway Vehicles
Train interface GE/RT8014 Hot Axle Bearing Detection
GE/RT8015 Electromagnetic Compatibility between Railway Infrastructure and Trains
GE/RC8514 Approved Code of Practice – Hot Axle Bearing Detection
Signalling interface GK/RT0036 Transition between Lineside Signalling Systems and Other Systems of Train Control (partially superseded by GE/RT8026)
GK/RT0025 Signalling Control and Display Systems
GK/RT0026 Signallers Route Lists
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Infrastructure interface GC/RT5101 Technical Approval Requirements for Changes to the Infrastructure
GK/RT0007 Alteration to Permissible Speeds
Track worker interface GK/RT0029 Train Activated Warning Systems
GK/RT0030 Signalling Lockout Systems for the Protection of Personnel On or Near the Line
Guidance Notes GE/GN8502 Operation of Trams and Light Rail Vehicles over Railtrack Controlled Infrastructure
GE/GN8526 Guidance on Safety Requirements for Cab Signalling Systems
GK/GN0525 Guidance on Signalling Control Centres
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Railway Group Guidance NoteGK/GN0801 Issue One Date August 2004 Page 27 of 39
Appendix C1.2 Infrastructure requirement: Points
Process category Points
Overarching requirement See Appendix C1
HSE Railway Safety Principles and Guidance Part 2d: Guidance on Signalling
Primary standards See Appendix C1
Related standards
Point systems GI/RT7004 Requirements for Design, Operation and Maintenance of Points
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Appendix C1.3 Infrastructure requirement: Lineside signals and signs
Process category Lineside signals and signs
Overarching requirements See Appendix C1
HSE Railway Safety Principles and Guidance Part 2d: Guidance on Signalling
Primary standards See Appendix C1
Also:
GK/RT0032 Provision of Lineside Signals
GI/RT7033 Lineside Operational Safety Signs
Related standards
Layout and positioning GK/RT0034 Lineside Signal Spacing
GK/RT0036 Transition between Lineside Signalling Systems and other Systems of Train Controls (partially superseded by GE/RT8026)
GE/RT8037 Signal Position and Visibility
GK/RT0038 Signing of Permissible Speeds and Speed Restrictions
Equipment Signals:
GK/RT0009 Identification of Signalling and Related Equipment
GK/RT0031 Lineside Signals and Indicators
Signs:
GI/RT7033 Lineside Operational Safety Signs
GC/RT5060 Equipment for Signing of Temporary and Emergency Speed Restrictions
Particular life cycle requirements
GE/RT8034 Maintenance of Signal Visibility
GC/RT5202 Vegetation – Managing the Risks
GO/RT3252 Signals Passed at Danger
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Appendix C1.4 Infrastructure requirement: Level crossings
Subject category Level crossings
Overarching requirement See Appendix C1
HSE Railway Safety Principles and Guidance Part 2e: Guidance on Level Crossings
Primary standard See Appendix C1
GI/RT7012 Requirements for Level Crossings
Related standards
Selection of type GI/RT7011 Provision, Risk Assessment and Review of Level Crossings
Guidance Notes GI/GN7611 Guidance on Provision, Risk Assessment and Review of Level Crossings
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Appendix C1.5 Infrastructure requirement: Train detection
Subject category Train detection
Overarching requirement See Appendix C1
HSE Railway Safety Principles and Guidance Part 2d: Guidance on Signalling
HSE Railway Safety Principles and Guidance Part 2f: Guidance on Trains
Primary standard See Appendix C1
GK/RT0011 Train Detection
Related standards
Axle counters GK/RT0217 Technical Requirements for Axle Counters
GE/RT8217 Introduction and Use of Axle Counters – Managing the Risk
Block regulations GE/RT8000 Rule Book modules TS1-TS8
Degraded mode GO/RT3208 Arrangements Concerning the Non-Operation of Track Circuits During the Leaf Fall Contamination Period
Guidance Notes GK/GN0611 Guidance on Train Detection
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Railway Group Guidance NoteGK/GN0801 Issue One Date August 2004 Page 31 of 39
Appendix C1.6 Infrastructure requirement: Miscellaneous equipment
Process category Miscellaneous equipment
Overarching requirements See Appendix C1
Primary standards See Appendix C1
Related standards
Plug in components GK/RT0330 Plug in and Interchangeable Railway Signalling Equipment
Lineside signals See Appendix C1.3
Points See Appendix C1.2
Level crossings See Appendix C1.4
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Appendix C2 System requirement: Principles
Process category Principles requirements
Overarching requirements
European Union Directives for Interoperability:
96/48EU Interoperability Requirements for High-Speed Lines
2001/16EU Interoperability Requirements for Conventional Lines
as described by the emerging Technical Standards for Interoperability (TSIs)
HSE Railway Safety Principles and Guidance Parts:
1
2d Guidance on Signalling
2e Guidance on Level Crossings
Primary standards GK/RT0206 Signalling and Operational Telecommunications Systems Safety Requirements
GK/RT0060 Interlocking Principles
Related standards
Route setting, holding and releasing
See Appendix C2.1
Control systems See Appendix C2.2
Guidance Notes GK/GN0806 Guidance on Signalling and Operational Telecommunications Systems: Safety Requirements
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Appendix C2.1 Principles requirement: Route setting, holding and releasing
Process category Route setting, holding and releasing
Overarching requirements See Appendix C2
Primary standards See Appendix C2
Related standards
Block systems GK/RT0041 Track Circuit Block
GK/RT0042 Absolute Block
GK/RT0051 Single Line Control
GK/RT0054 Radio Electronic Token Block
(See also BR1654 Radio Electronic Token Block System)
Controls and indications GK/RT0025 Signalling Control and Display Systems
Particular interlocking requirements
GK/RT0039 Semaphore and Mechanical Signalling
GK/RT0044 Controls for Signalling a Train Onto an Occupied Line
GK/RT0061 Shunters Release, Ground Frames, Switch Panels and Gate Boxes
GK/RT0063 Approach Locking and Train Operated Route Release
SPAD mitigation GK/RT0064 Provision of Overlaps, Flank Protection and Trapping
GI/RT7006 Prevention and Mitigation of Overruns – Risk Assessment
GC/RT5033 Terminal Tracks – Managing the Risks
GO/RT3252 Signals Passed at Danger
Staff safety systems GK/RT0029 Train Activated Warning Systems
GK/RT0030 Signalling Lockout Systems for the Protection of Personnel On or Near the Line
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Railway Group Guidance Note GK/GN0801 Issue One Date August 2004 Page 34 of 39
Guidance Notes GK/GN0525 Guidance on Signalling Control Centres
GI/GN7606 Guidance on Prevention and Mitigation of Overruns – Risk Assessment
GC/GN5533 Guidance on Assessment of Risks from Train Overruns at Terminal or Bay Platforms
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Railway Group Guidance NoteGK/GN0801 Issue One Date August 2004 Page 35 of 39
Appendix C2.2 Principles requirement: Control systems
Process category Control systems
Overarching requirements See Appendix C2
Primary standards See Appendix C2
GK/RT0105 The Transmission of Safety Related Information
Related standards
Remote control SSP50 Remote Control Standby Arrangements
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Railway Group Guidance Note GK/GN0801 Issue One Date August 2004 Page 36 of 39
Appendix D1 Guidance on selecting a signalling system
SIGNALLING SYSTEM
Interoperability requirements
Track layout
Operating requirements
Principles requirements
Alterations GC/RT5101
European standards for interoperability96/48EC High-Speed Lines2001/16EC Conventional Lines- Technical Specifications for Interoperability (TSIs)- Notified National Standards- Resolution of issues GE/RT8050
Signalling mandatory requirements
Methods of signallingCab GE/RT8026Lineside GK/RT0031, 32, 34 and 37Transition GK/RT0036
Operating systems GK/RT0025
Train protection systems GI/RT7006AWS GE/RT8035TPWS GE/RT8030Tilt supervision GE/RT8012 and 8019Trainstop GE/RT8018
Level crossings GI/RT7011 and 7012
Point operation GI/RT7004
Train detection GK/RT0011
Track workers GK/RT0029 and 0030
Safety requirements
Train speeds GK/RT0007
Rolling stock GE/RT8270
Timetable
Railway Safety Case (See appendix B2)
Interlocking principles GK/RT0060
Control systems GK/RT0105
Competence systems GO/RT3260
Equipment safetyAcceptance GI/RT7002EMC GE/RT8015AC Lines BR13442
Safety management The Yellow Book
Overall system safety GK/RT0206
LegislationHSE Railway Safety Principles and Guidance Parts2a/d/e
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Railway Group Guidance NoteGK/GN0801 Issue One Date August 2004 Page 37 of 39
Appendix D2 Standards relating to the signalling design process
Selection ofsignalling system
(Appendix D1)
Particular mandatory requirements
Infrastructure requirements (Appendix C1)
Train control and interface systems (Appendix C1.1)Points (Appendix C1.2)Lineside signals and signs (Appendix C1.3)Level crossings (Appendix C1.4)Train detection (Appendix C1.5)Miscellaneous equipment (Appendix C1.6)
Principles requirements (Appendix C2)
Route setting, holding and releasing (Appendix C2.1)Control systems (Appendix C2.2)
Competencemanagement(Appendix B1)
Detailed Design GK/RT0207Design specificationDesign production
Risk assessment
Overrun mitigation GI/RT7006 and GC/RT5033
Level crossings GI/RT7011Safety justification GK/RT0206
Deviation resolution
The Railway GroupStandards Code
Acceptance and approval
New equipment GI/RT7002GE/RT8016BR13442
Rail vehicles GE/RT8270
SIGNALLING SYSTEM
Detailed design GK/RT0207Design verification
Design certification and issue
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References The Railway Group Standards Code Railway Group Standards and other Railway Group Documents
GC/GN5533 Assessment of Risks from Train Overruns at Terminal or Bay Platforms
GC/RT5033 Terminal Tracks – Managing the Risk
GC/RT5060 Equipment for Signing of Temporary and Emergency Speed Restrictions
GC/RT5101 Technical Approval Requirements for Changes to the Infrastructure
GC/RT5202 Vegetation – Managing the Risk
GE/GN8502 Operation of Trams and Light Rail Vehicles over Railtrack Controlled Infrastructure
GE/GN8510 Railway Group Safety Performance Monitoring – Definitions and Guidance
GE/GN8526 Guidance on Safety Requirements for Cab Signalling Systems
GE/GN8547 Reporting of Safety Related Information
GE/GN8550 Guidance on Issues between Railway Group Standards and TSIs for High-Speed Operation
GE/GN8561 Guidance on the Preparation of Risk Assessment within Railway Safety Cases
GE/RC8514 Approved Code of Practice – Hot Axle Bearing Detection
GE/RC8517 Recommendations for Systems for the Supervision of Enhanced Permissible Speeds and Tilt Enable
GE/RT8000 The Rule Book
GE/RT8004 Local Operations Instructions
GE/RT8012 Controlling the Speed of Tilting Trains through Curves
GE/RT8014 Hot Axle Bearing Detection
GE/RT8015 Electromagnetic Compatibility between Railway Infrastructure and Train
GE/RT8018 Mechanical Trainstop Systems
GE/RT8019 Tilting Trains: Controlling Tilt Systems to Maintain Clearances
GE/RT8026 Safety Requirements for Cab Signalling Systems
GE/RT8030 Requirements for a Train Protection and Warning System (TPWS)
GE/RT8034 Maintenance of Signal Visibility
GE/RT8035 Automatic Warning System (AWS)
GE/RT8037 Signal Positioning and Visibility
GE/RT8040 Low Adhesion between the Wheel and the Rail – Managing the Risk
GE/RT8047 Reporting of Safety Related Information
GE/RT8049 The Creation and Management of System Authorities
GE/RT8050 Process for Dealing with Issues between Railway Group Standards and TSIs for High-Speed Operation
GE/RT8060 Technical Requirements for Dispatch of Trains from Platforms
GE/RT8063 Deterring Unauthorised Access and Vandalism
GE/RT8217 Introduction and Use of Axle Counters – Managing the Risk
GE/RT8250 Safety Performance Monitoring and Defect Reporting
GE/RT8270 Route Acceptance of Rail Vehicles, including Changes in Operation or Infrastructure
GI/GN7606 Prevention and Mitigation of Overruns – Risk Assessment
GI/GN7611 Guidance on Provision, Risk Assessment and Review of Level Crossings
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Railway Group Guidance NoteGK/GN0801 Issue One Date August 2004 Page 39 of 39
GI/RT7001 Management of Safety Related Records
GI/RT7002 Acceptance of Systems, Equipment and Materials for Use on Railtrack Controlled Infrastructure
GI/RT7004 Requirements for Design, Operation and Maintenance of Points
GI/RT7006 Prevention and Mitigation of Overruns – Risk Assessment
GI/RT7011 Vision, Risk Assessment and Review of Level Crossings
GI/RT7012 Requirements for Level Crossings
GI/RT7017 Signalling and Safety-Related Telecommunications Power Supplies and Circuits
GI/RT7033 Lineside Operational Safety Signs
GK/GN0525 Guidance Note: Signalling Control Centres
GK/GN0611 Guidance on Train Detection
GK/GN0806 Guidance on Signalling and Operational Telecommunications Systems: Safety Requirements
GK/RC0606 Management of Safety Related Failures of Train Borne Signalling and Operational Telecommunications Systems
GK/RT0007 Alterations to Permissible Speeds
GK/RT0009 Identification of Signalling and Related Equipment
GK/RT0011 Train Detection
GK/RT0025 Signalling Control Centres
GK/RT0026 Signallers’ Route Lists
GK/RT0027 Resetting and Restoration to Service of Signalling Systems
GK/RT0029 Train Activated Warning Systems (to be superseded on 2 October 2004 by GI/RT7012 – Requirements for Level Crossings)
GK/RT0030 Signalling Lockout Systems for the Protection of Personnel On or Near the Line
GK/RT0031 Lineside Signals and Indicators
GK/RT0032 Provision of Lineside Signals
GK/RT0033 Lineside Signs
GK/RT0034 Lineside Signal Spacing
GK/RT0036 Transition between Lineside Signalling Systems and other Systems of Train Control
GK/RT0038 Signing of Permissible Speeds and Speed Restrictions
GK/RT0039 Semaphore and Mechanical Signalling
GK/RT0041 Track Circuit Block
GK/RT0042 Absolute Block
GK/RT0044 Controls for Signalling a Train Onto an Occupied Line
GK/RT0051 Single Line Control
GK/RT0054 Radio Electronic Token Block
GK/RT0060 Interlocking Principles
GK/RT0061 Shunters Releases, Ground Frames, Switch Panels and Gate Boxes
GK/RT0063 Approach Locking and Train Operated Route Release
GK/RT0064 Provision of Overlaps, Flank Protection and Trapping
GK/RT0091 Driver’s Reminder Appliance
GK/RT0101 Competence Standards for Signalling and Telecommunications Staff
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Railway Group Guidance Note GK/GN0801 Issue One Date August 2004 Page 40 of 39
GK/RT0105 The Transmission of Safety Related Information
GK/RT0106 Management of Safety Related Failures of Signalling and Operational Telecommunications Systems
GK/RT0206 Signalling and Operational Telecommunications Systems: Safety Requirements
GK/RT0207 Signalling Designs
GK/RT0208 Installation of Signalling and Operational Telecommunications Equipment
GK/RT0209 Testing and Commissioning of Installation of Signalling and Operational Telecommunications Equipment
GK/RT0210 Asset Management for the Safety of Signalling and Operational Telecommunications Systems and Equipment
GK/RT0217 Technical Requirements for Axle Counters
GK/RT0330 Plug in and Interchangeable Railway Signalling Equipment
GO/RT3208 Arrangements Concerning the Non-Operation of Track Circuits During Leaf Fall Contamination Period
GO/RT3251 Train Driving
GO/RT3252 Signals Passed at Danger
GO/RT3259 Competence and Fitness Requirements for Signallers and Crossing Keepers
GO/RT3260 Competence Management for Safety Critical Work
GO/RT3475 Operational Requirements for the Dispatching of Trains from Platforms
The Catalogue of Railway Group Standards and the Railway Group Standards CD-ROM give the current issue number and status of documents published by RSSB. This information is also available from www.rssb.co.uk.
Other References BR13442 50Hz Single Phase AC Electrification: Immunisation of Signalling and Telecommunications against Electrical Interference
BR1654 Radio Electronic Token Block System
HSE Railway Safety Principles and Guidance
Railways (Safety Critical Work) Regulations
SSP50 Remote Control Standby Arrangements
SSP80 Controls required for Routes and Signals
STDG025 Quartz Halogen Level Crossing Road Light Traffic Signals (to be superseded on 2 October 2004 by GI/RT7012 – Requirements for Level Crossings)
Engineering Safety Management (The Yellow Book)
96/48EU Interoperability Requirements for High-Speed Lines
2001/16EU Interoperability Requirements for Conventional Lines
UML for systems engineering (IEE professional applications of computing series)
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