Transitions Between Signalling Systems

Rail Industry Standard RIS-0036-CCS Issue One Date December 2016 ` Transitions Between Signalling Systems Synopsis This standard sets out the requirements for managing the transition between running lines signalled with lineside signals and lines signalled using other signalling principles. Copyright in the Railway Group documents is owned by Rail Safety and Standards Board Limited. All rights are hereby reserved. No Railway Group document (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. members are granted copyright licence in accordance with the Constitution Agreement relating to Rail Safety and Standards Board Limited. In circumstances where Rail Safety and Standards Board Limited has granted a particular person or organisation permission to copy extracts from Railway Group documents, Rail Safety and Standards Board Limited accepts no responsibility for, nor any 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 documents may be reproduced. Published by Copyright 2016 Rail Safety and Standards Board Limited

Rail Industry Standard for the Transitions Between Signalling Systems Issue record Issue Date Comments One 03 December 2016 Original document Superseded or replaced documents Supersedes GKRT0036 Issue Two and GKGN0636 Issue One GKRT0036 Issue Two could not be retained as a National Safety Rule and is therefore reclassified as a Rail Industry Standard. The following Railway Group Standard is superseded or replaced, either in whole or in part as indicated: Superseded documents GKRT0036 issue two Transitions Between Signalling Systems GKGN0636 issue one Guidance on Transitions Between Signalling Systems Sections superseded Date when sections are superseded All 04 March 2017 All 04 March 2017 Supply GKRT0036 issue two Transitions Between Signalling Systems, ceases to be in force and is withdrawn as of 04 March 2017. The authoritative version of this document is available at www.rssb.co.uk/railway-groupstandards. Enquiries on this document can be forwarded to enquirydesk@rssb.co.uk. Page 2 of 37 RIS-0036-CCS Issue One: December 2016

Rail Industry Standard for the Transitions Between Signalling Systems Contents Section Description Page Part 1 Introduction 4 1.1 Purpose of this document 4 1.2 Background 4 1.3 Application of this document 4 1.4 Health and safety responsibilities 4 1.5 The structure of this document 4 1.6 Approval and authorisation of this document 4 Annexes Annex A Annex B Text of GKRT0036 issue two Transitions Between Signalling Systems 5 Text of GKGN0636 issue one Guidance on Transitions Between Signalling Systems 17 Definitions 37 References 37 Page 3 of 37 RIS-0036-CCS Issue One: December 2016

Rail Industry Standard for the Transitions Between Signalling Systems Part 1 Introduction 1.1 Purpose of this document 1.1.1 This standard sets out the requirements for managing the transition between running lines signalled with lineside signals and lines signalled using other signalling principles. 1.2 Background 1.2.1 The requirements in Railway Group Standard (RGS) GKRT0036 issue two Transitions Between Signalling Systems was notified as a National Safety Rules (NSRs). However, the requirements are not valid as NSRs in accordance with the rule management tool included in Annex 3 of the final report of the European Rail Agency s Task Force on National Safety Rules and cannot be retained in an RGS. As a consequence GKRT0036 has been withdrawn and replaced by this Rail Industry Standard (RIS): RIS-0036-CCS Transitions Between Signalling Systems, which reproduces the text of GKRT0036 issue two in its entirety as Annex A together with the supporting guidance GKGN0636 issue one in Annex B. 1.3 Application of this document 1.3.1 A member of may choose to adopt all or part of this document through internal procedures or contract conditions. Where this is the case the member of will specify the nature and extent of application. 1.3.2 Compliance requirements and dates have not been specified since these will be the subject of internal procedures or contract conditions. 1.3.3 The Standards Manual does not currently provide a formal process for deviating from RISs. However, a member of, having adopted a RIS and wishing to deviate from its requirements, may request a Standards Committee to provide observations and comments on their proposed alternative to the requirement in the RIS. Requests for opinions and comments should be submitted to by e-mail to proposals.deviation@rssb.co.uk. When formulating a request, consideration should be given to the advice set out in the Guidance to applicants and members of Standards Committee on deviation applications, available from s website. 1.4 Health and safety responsibilities 1.4.1 Users of documents published by are reminded of the need to consider their own responsibilities to ensure health and safety at work and their own duties under health and safety legislation. does not warrant that compliance with all or any documents published by is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties. 1.5 The structure of this document 1.5.1 The requirements of this RIS are the requirements set out in Annex A. The supporting guidance is set out in Annex B. 1.6 Approval and authorisation of this document 1.6.1 The content of this document was approved by Control Command and Signalling Standards Committee on 29 September 2016. 1.6.2 This document was authorised by on 28 October 2106. Page 4 of 37 RIS-0036-CCS Issue One: December 2016

Rail Industry Standard for the Transitions Between Signalling Systems Annex A Text of GKRT0036 issue two: Transitions Between Signalling Systems Page 5 of 37 RIS-0036-CCS Issue One: December 2016

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Railway Group Standard GK/RT0036 Issue Two Date September 2011 Transitions Between Signalling Systems Synopsis This document mandates the requirements for managing the transition between running lines signalled with lineside signals conforming to Railway Group Standards, and lines signalled using other signalling principles 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. Members are granted copyright licence in accordance with the Constitution Agreement relating to Rail Safety and Standards Board Limited. 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, nor any 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: Block 2 Angel Square 1 Torrens Street London EC1V 1NY Copyright 2011 Rail Safety and Standards Board Limited

Railway Group Standard GK/RT0036 Issue Two Date September 2011 Transitions Between Signalling Systems Issue record Issue Date Comments One November 1996 Original document Two September 2011 Replaces issue one. The document has been changed to include only interface measures in accordance with the RGS Code. Superseded documents The following Railway Group documents are superseded, either in whole or in part as indicated: Superseded documents GK/RT0036, issue one, Transitions Between Lineside Signalling Systems and Other Systems of Train Control Sections superseded Whole Date when sections are superseded 03 December 2011 Supply GK/RT0036, issue one, Transitions Between Lineside Signalling Systems and Other Systems of Train Control, ceases to be in force and is withdrawn as of 03 December 2011. The authoritative version of this document is available at www.rgsonline.co.uk. Uncontrolled copies of this document can be obtained from Communications,, Block 2, Angel Square, 1 Torrens Street, London EC1V 1NY, telephone 020 3142 5400 or e-mail enquirydesk@rssb.co.uk. Other Standards and associated documents can also be viewed at www.rgsonline.co.uk. Page 2 of 10

Transitions Between Signalling Systems Railway Group Standard GK/RT0036 Issue Two Date September 2011 Contents Section Description Page Part 1 Purpose and Introduction 4 1.1 Purpose 4 1.2 Introduction 4 1.3 Approval and authorisation of this document 4 Part 2 Requirements for Transitionss Between Signalling Systems 5 2.1 Primary safety objectives 5 2.2 Transitions between signalling systems 5 Part 3 Application of this document 7 3.1 Application - infrastructure managers 7 3.2 Application - railway undertakings 7 3.3 Health and safety responsibilities 8 Definitions 9 References 10 Page 3 of 10

Railway Group Standard GK/RT0036 Issue Two Date September 2011 Transitions Between Signalling Systems Part 1 Purpose and Introduction 1.1 Purpose 1.1.1 This document mandates the requirements for managing the transition between running lines signalled with lineside signalling systems conforming to GK/RT0045 Lineside Signals, Indicators and Layout of Signals, and those using other systems / aspects for providing information to train drivers. 1.2 Introduction 1.2.1 Principles 1.2.2 Scope 1.2.1.1 The requirements of this document are intended to ensure that: a) The driver is not confused by the presence of two signalling systems during the transition. b) The train s passage through the transition zone is safely controlled. c) The nature and mechanism of the transition is understood and agreed by infrastructure manager(s) and all railway undertakings authorised to run on the route. 1.2.2.1 This document applies to all running lines signalled with lineside signals which conform to Railway Group Standards where they connect with running lines signalled with or without lineside signals in accordance with other signalling principles. 1.2.3 Related requirements in other documents 1.2.3.1 The following Railway Group Standards contain requirements that are relevant to the scope of this document: GE/RT8026 GE/RT8030 GE/RT8035 GI/RT7033 GK/RT0045 GK/RT0055 GK/RT0075 Safety Requirements for Cab Signalling Systems Requirements for the Train Protection and Warning System (TPWS) Automatic Warning System (AWS) Lineside Operational Safety Signs Lineside Signals, Indicators and Layout of Signals Block System Interface Requirements (when published) Lineside Signal Spacing and Speed Signage 1.2.4 Supporting documents 1.2.4.1 The following Railway Group documents support this Railway Group Standard: GK/GN0636 Guidance on Transitions Between Signalling Systems. 1.3 Approval and authorisation of this document 1.3.1 The content of this document was approved by Control Command and Signalling Standards Committee on 23 June 2011. 1.3.2 This document was authorised by on 14 July 2011. Page 4 of 10

Transitions Between Signalling Systems Railway Group Standard GK/RT0036 Issue Two Date September 2011 Part 2 Requirements for Transitions Between Signalling Systems 2.1 Primary safety objectives 2.1.1 Information provided by the signalling system 2.1.1.1 Within each transition zone the signalling system shall provide the following information to the driver, where relevant: a) All changes to the permissible speed and any temporary or emergency speed restrictions that apply. b) The approach to any reduction in permissible speed or temporary or emergency speed restriction, with sufficient warning for the train to reduce speed. c) Any requirement for the train to reduce speed or to stop, with sufficient warning to comply. d) The route to be taken at a diverging junction, unless the method of operation and signalling system advises the driver of the speed for the route to be taken. 2.1.2 Signalling system management 2.1.2.1 The enabling and disabling of trainborne systems shall be automatic, unless manual intervention is compatible with train operations. 2.1.2.2 The signalling system shall provide facilities for the driver to monitor the enabling and disabling of trainborne systems. 2.1.2.3 A manual facility shall be provided for the driver to enable and disable trainborne systems if they fail to operate automatically. This facility shall not interfere with the driver s normal operation of the train. 2.1.2.4 The signalling system shall cause the train to be controlled as appropriate to the effects of the failure on safety if the driver fails to perform the manual changeover operation satisfactorily. 2.1.2.5 Where signalling system information is duplicated in the cab and the lineside signalling system, the information conveyed by both systems shall be consistent. 2.2 Transitions between signalling systems 2.2.1 Transitions from cab signalling to lineside signalling 2.2.1.1 Where the signalling braking distance (as set out in GK/RT0075) means that the first caution for a lineside signal stop aspect would be positioned on the approach to the transition zone, cab information equivalent to the information displayed by a lineside signal cautionary aspect sequence shall be provided to the driver. 2.2.1.2 Where the lineside signalling system includes Automatic Warning System (AWS) / Train Protection and Warning System (TPWS), an indication shall be given to the driver that this equipment is functional before the train reaches the end of the transition zone. 2.2.1.3 A lineside sign shall be provided indicating the point by which the changeover should be complete and where the driver is required to take action if this is not the case. Page 5 of 10

Railway Group Standard GK/RT0036 Issue Two Date September 2011 Transitions Between Signalling Systems 2.2.1.4 Where the cab signalling system provides speed information, a lineside sign shall be provided at the end of the transition zone confirming the permissible speed in the lineside signalled area. 2.2.2 Transitions from lineside signalling to cab signalling 2.2.2.1 If a reduction in speed is required beyond a transition to a cab signalling system that displays speed information, the lineside signals on the approach to the transition shall display a cautionary aspect sequence that is compatible with the speed reduction required. 2.2.2.2 Where the cab signalling system is dependent on the correct functioning of trainborne equipment, monitoring systems shall display information so that a defective train does not pass beyond the point at which safety depends on the correct functioning of trainborne equipment. 2.2.2.3 A lineside sign shall be provided indicating the point by which the changeover should be complete and where the driver is required to take action if this is not the case. 2.2.3 Transitions between two different lineside signalling systems 2.2.3.1 Where either signalling system at a transition is dependent on the correct functioning of trainborne equipment (for example, a tripcock associated with trainstop fitted lines), a monitoring system shall indicate to the driver that the trainborne equipment will correctly operate. 2.2.3.2 Monitoring systems shall give sufficient warning of defective equipment so that the train can be prevented from passing beyond the point at which safety depends on the correct functioning of the trainborne equipment, either automatically or by driver action. Page 6 of 10

Transitions Between Signalling Systems Railway Group Standard GK/RT0036 Issue Two Date September 2011 Part 3 Application of this document 3.1 Application - infrastructure managers 3.1.1 Scope 3.1.1.1 The requirements of this document apply to all work that affects signalling system transitions whether new or by alteration. 3.1.1.2 It is permissible for the infrastructure manager to designate specific infrastructure projects, ongoing when this document comes into force, for which compliance with the requirements of this document applicable to the design, construction and commissioning of new or altered infrastructure is not mandatory. When designating such projects, the infrastructure manager shall consider: a) Its responsibilities under its current safety authorisation. b) The stage reached by the project at the time this document comes into force (for example, approval in principle). c) Whether compliance is necessary to ensure compatibility with other parts of the infrastructure. d) Whether compliance is necessary to facilitate safe interworking having regard to changes to related requirements mandated on another infrastructure manager or a railway undertaking. e) The economic impact of compliance, subject to its current safety authorisation in relation to the infrastructure in question. 3.1.1.3 Action to bring existing signalling transitions into compliance with the requirements of this document is not required. 3.1.2 Exclusions from scope 3.1.2.1 There are no exclusions from the scope specified in 3.1.1 for infrastructure managers. 3.1.3 General compliance date for infrastructure managers 3.1.3.1 This Railway Group Standard comes into force and is to be complied with from 03 December 2011. 3.1.3.2 After the compliance date or the date by which compliance is achieved if earlier, infrastructure managers are to maintain compliance with the requirements set out in this Railway Group Standard. Where it is considered not reasonably practicable to comply with the requirements, authorisation not to comply should be sought in accordance with the Railway Group Standards Code. 3.1.4 Exceptions to general compliance date 3.1.4.1 There are no exceptions to the general compliance date specified in 6.1.3 for infrastructure managers. 3.2 Application - railway undertakings 3.2.1 Scope 3.2.1.1 The requirements of this document apply to all work that affects vehicles that are authorised to run on routes in which cab signalling system transitions occur or are being installed. Page 7 of 10

Railway Group Standard GK/RT0036 Issue Two Date September 2011 Transitions Between Signalling Systems 3.2.1.2 Action to bring vehicles that already accommodate existing cab signalling transitions into compliance with the requirements of this document is not required. 3.2.2 Exclusions from scope 3.2.2.1 There are no exclusions from the scope specified in 6.2.1 for railway undertakings. 3.2.2.2 The requirements in this document are not applicable to the following types of vehicles: a) Possession-only rail vehicles. 3.2.3 General compliance date for railway undertakings 3.2.3.1 This Railway Group Standard comes into force and is to be complied with from 03 December 2011. 3.2.3.2 After the compliance date or the date by which compliance is achieved if earlier, railway undertakings are to maintain compliance with the requirements set out in this Railway Group Standard. Where it is considered not reasonably practicable to comply with the requirements, authorisation not to comply should be sought in accordance with the Railway Group Standards Code. 3.2.4 Exceptions to general compliance date 3.2.4.1 There are no exceptions to the general compliance date specified in 6.2.3 for railway undertakings. 3.3 Health and safety responsibilities 3.3.1 Users of documents published by are reminded of the need to consider their own responsibilities to ensure health and safety at work and their own duties under health and safety legislation. does not warrant that compliance with all or any documents published by is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties. Page 8 of 10

Transitions Between Signalling Systems Railway Group Standard GK/RT0036 Issue Two Date September 2011 Definitions Transition The safe transfer of control of a train from one signalling system to another. Transition zone The section of line over which the transfer of control between signalling systems occurs. Page 9 of 10

Railway Group Standard GK/RT0036 Issue Two Date September 2011 Transitions Between Signalling Systems References The Catalogue of Railway Group Standards and the Railway Group Standards DVD give the current issue number and status of documents published by. This information is also available from www.rgsonline.co.uk. Documents referenced in the text RGSC 01 Railway Group Standards GE/RT8026 GE/RT8030 GE/RT8035 GI/RT7033 GK/RT0045 GK/RT0055 GK/RT0075 documents GK/GN0636 Railway Group Standards Code Safety Requirements for Cab Signalling Systems Requirements for the Train Protection and Warning System (TPWS) Automatic Warning System (AWS) Lineside Operational Safety Signs Lineside Signals, Indicators and Layout of Signals Block System Interface Requirements (when published) Lineside Signal Spacing and Speed Signage Guidance on Transitions Between Signalling Systems Other relevant documents documents GK/GN0645 GK/GN0675 Guidance on Lineside Signals, Indicators and Layout of Signals Guidance on Lineside Signal Spacing and Speed Signage Page 10 of 10

Rail Industry Standard for the Transitions Between Signalling Systems Annex B Text of GKGN0636 issue one: Guidance on Transitions Between Signalling Systems Page 17 of 37 RIS-0036-CCS Issue One: December 2016

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GN Published by: Block 2 Angel Square 1 Torrens Street London EC1V 1NY Copyright 2011 Rail Safety and Standards Board Limited GK/GN0636 Guidance on Transitions Between Signalling Systems Issue One: September 2011 Railway Industry Guidance Note for GK/RT0036

Guidance on Transitions Between Signalling Systems Issue record Issue Date Comments One September 2011 Original document. Superseded documents Supply Guidance developed to support GK/RT0036 issue two. This Rail Industry Guidance Note does not supersede any other Railway Group documents. The authoritative version of this document is available at www.rgsonline.co.uk. Uncontrolled copies of this document can be obtained from Communications,, Block 2, Angel Square, 1 Torrens Street, London EC1V 1NY, telephone 020 3142 5400 or e-mail enquirydesk@rssb.co.uk. Other Standards and associated documents can also be viewed at www.rgsonline.co.uk. Page 2 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling System Contents Section Description Page Part 1 Introduction 4 1.1 Purpose of this document 4 1.2 Copyright 4 1.3 Approval and authorisation of this document 4 Part 2 Guidance on Requirements for Transitions Between Signalling Systems 5 2.1 Primary safety objectives 5 2.2 Transitions between signalling systems 6 Part 3 Application of this document 9 3.1 Application - infrastructure managers 9 3.2 Application - railway undertakings 9 3.3 Health and safety responsibilities 10 Appendices Appendix A Transition within Network Rail Managed Infrastructure Lineside Signalling to RETB Working 11 Appendix B Transition between Network Rail and London Underground Limited Managed Infrastructure 12 Appendix C Transition between Network Rail Managed Infrastructure and High Speed 1 Cab Signalling 14 Definitions 17 References 18 Page 3 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling Systems Part 4 Introduction 4.1 Purpose of this document 4.1.1 This document gives guidance on interpreting the requirements of Railway Group Standard GK/RT0036, issue two, Transitions Between Signalling Systems. It does not constitute a recommended method of meeting any set of mandatory requirements. 4.1.2 The signalling systems referred to are those in accordance with GK/RT0045 Lineside Signals, Indicators and Layout of Signals, and GK/RT0055 Block System Interface Requirements (when published), or a different form of signalling, for example, London Underground. 4.1.3 All requirements in GK/RT0036 are reproduced in the sections that follow. Guidance is provided as a series of sequentially numbered clauses prefixed GN immediately below the boxed text to which it relates. Where there is no guidance given, this is stated. 4.1.4 Specific responsibilities and compliance requirements are laid down in the Railway Group Standard itself. 4.1.5 The appendices to this document set out examples of how transitions between specific systems should be managed. 4.2 Copyright 4.2.1 Copyright in the Railway Group documents is owned by Rail Safety and Standards Board Limited. All rights are hereby reserved. No Railway Group document (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. 4.2.2 members are granted copyright licence in accordance with the Constitution Agreement relating to Rail Safety and Standards Board Limited. 4.2.3 In circumstances where Rail Safety and Standards Board Limited has granted a particular person or organisation permission to copy extracts from Railway Group documents, Rail Safety and Standards Board Limited accepts no responsibility for, nor any 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. 4.3 Approval and authorisation of this document 4.3.1 The content of this document was approved by Control Command and Signalling Standards Committee on 23 June 2011. 4.3.2 This document was authorised by on 14 July 2011. Page 4 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling System Part 5 Guidance on Requirements for Transitions Between Signalling Systems 5.1 Primary safety objectives 5.1.1 Information provided by the signalling system 5.1.1.1 Within each transition zone the signalling system shall provide the following information to the driver, where relevant: a) All changes to the permissible speed and any temporary or emergency speed restrictions that apply. b) The approach to any reduction in permissible speed or temporary or emergency speed restriction, with sufficient warning for the train to reduce speed. c) Any requirement for the train to reduce speed or to stop, with sufficient warning to comply. d) The route to be taken at a diverging junction, unless the method of operation and signalling system advises the driver of the speed for the route to be taken. GN1 GN2 GN3 GN4 Permissible speed and speed restriction information is required by drivers so that they can control the speed of the train as it passes through the transition area. Information about changes in speed should be provided at a sufficient distance from the place at which the change in speed applies so that drivers can reduce the speed of the train in accordance with the relevant professional driving policy. Unless the permitted speed is displayed as part of the movement authority, drivers should know when a diverging route is set at a junction so that they can control the speed of the train at the junction. The actual information and the method of providing this information depends on: a) The signalling system provided on each side of the transition. b) The speed that trains pass through the transition. c) Whether the transition is to be performed while the train is moving or at a stand, and the extent to which drivers are required to make manual adjustments to controls while approaching and passing through the transition. 5.1.2 Signalling system management 5.1.2.1 The enabling and disabling of trainborne systems shall be automatic, unless manual intervention is compatible with train operations. GN5 GN6 Automatic changeover facilities allow drivers to concentrate on controlling their trains through transition zones. This is particularly important when travelling at high speed. Manual changeover should only be required where it will be normally operated when a train is stationary. Page 5 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling Systems 5.1.2.2 The signalling system shall provide facilities for the driver to monitor the enabling and disabling of trainborne systems. 5.1.2.3 A manual facility shall be provided for the driver to enable and disable trainborne systems if they fail to operate automatically. This facility shall not interfere with the driver s normal operation of the train. GN7 GN8 Because the correct operation of changeover facilities is part of the signalling transition, drivers should be able to observe progress of the changeover and be able to intervene if the automatic process fails to operate satisfactorily. The manual intervention facility should be available in sufficient time so that a driver can take or regain control of the changeover in time to avoid the train passing through the transition without the process being complete. 5.1.2.4 The signalling system shall cause the train to be controlled as appropriate to the effects of the failure on safety if the driver fails to perform the manual changeover operation satisfactorily. GN9 GN10 Failure of the changeover process should prevent the train from entering the area controlled by a signalling system to which the train or driver is unable to respond. Because the correct operation of changeover facilities is a prerequisite for interfacing with the signalling system beyond the transition, the train should be stopped or its speed restricted so that the final movement authority given by the previous signalling system is not exceeded. 5.1.2.5 Where signalling system information is duplicated in the cab and the lineside signalling system, the information conveyed by both systems shall be consistent. GN11 GN12 Drivers should not be confronted with conflicting information. If conflicting information is observed by the driver, the operational rules should require the most restrictive information to be obeyed. 5.2 Transitions between signalling systems 5.2.1 Transitions from cab signalling to lineside signalling 5.2.1.1 Where the signalling braking distance (as set out in GK/RT0075) means that the first caution for a lineside signal stop aspect would be positioned on the approach to the transition zone, cab information equivalent to the information displayed by a lineside signal cautionary aspect sequence shall be provided to the driver. GN13 Irrespective of the signalling system provided, drivers require adequate and timely information via the cab display that the train is approaching the end of its movement authority so that the train is brought to a stand at the lineside stop signal beyond the transition zone. Page 6 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling System 5.2.1.2 Where the lineside signalling system includes Automatic Warning System (AWS) / Train Protection and Warning System (TPWS), an indication shall be given to the driver that this equipment is functional before the train reaches the end of the transition zone. 5.2.1.3 A lineside sign shall be provided indicating the point by which the changeover should be complete and where the driver is required to take action if this is not the case. 5.2.1.4 Where the cab signalling system provides speed information, a lineside sign shall be provided at the end of the transition zone confirming the permissible speed in the lineside signalled area. GN14 GN15 Because there is no permanent reminder that the AWS / TPWS system is working, it is necessary to provide an indication that it has become operational as the train passes through the transition area. Absence of this feature could mean that a train could continue into a lineside signalled area with the driver unaware that the protection provided by this system is not available. If the changeover fails to complete in the allotted time, the provision of a lineside sign at a suitable location (based on permissible speed) acts as a final reminder that the necessary protection is not available. Suitable wording should be incorporated in sign AK209z, as set out in GI/RT7033. 5.2.2 Transitions from lineside signalling to cab signalling 5.2.2.1 If a reduction in speed is required beyond a transition to a cab signalling system that displays speed information, the lineside signals on the approach to the transition shall display a cautionary aspect sequence that is compatible with the speed reduction required. GN16 GN17 Drivers require adequate and timely information of the permissible speed at which the train is required to enter the cab-signalled area; for instance to observe a speed restriction or at the approach to the end of the movement authority. If this control were not applied, a train approaching a transition at permitted speed under clear signals could enter the cab signalled area with a significantly lower speed indicated on the driver s display. This would result in an intervention by the cab signalling equipment. 5.2.2.2 Where the cab signalling system is dependent on the correct functioning of trainborne equipment, monitoring systems shall display information so that a defective train does not pass beyond the point at which safety depends on the correct functioning of trainborne equipment. 5.2.2.3 A lineside sign shall be provided indicating the point by which the changeover should be complete and where the driver is required to take action if this is not the case. GN18 GN19 If the trainborne system fails to initialise, the train should be prevented from reaching the area beyond the transition where there are no lineside signals or other means of control. Trainborne equipment should be initialised and proved to be working before the train reaches the point at which a full cautionary aspect sequence would apply to the last lineside stop signal aspect. Page 7 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling Systems GN20 GN21 If the changeover fails to complete in the allotted time, the provision of a lineside sign at a suitable location (based on permissible speed) acts as a final reminder that the necessary protection is not available. Suitable wording should be incorporated in sign AK209z, as set out in GI/RT7033. Where the driver has to manually initialise the onboard equipment, the distance between the point of initialisation and proving should be compatible with the time required for this operation and for the display of a full cautionary aspect sequence if initialisation fails. 5.2.3 Transitions between two different lineside signalling systems 5.2.3.1 Where either signalling system at a transition is dependent on the correct functioning of trainborne equipment (for example, a tripcock associated with trainstop fitted lines), a monitoring system shall indicate to the driver that the trainborne equipment will correctly operate. 5.2.3.2 Monitoring systems shall give sufficient warning of defective equipment so that the train can be prevented from passing beyond the point at which safety depends on the correct functioning of the trainborne equipment, either automatically or by driver action. GN22 GN23 The monitoring system is required to avoid a train running into an area where part or all of the signalling system is ineffective due to defective on-train equipment. The correct operation of the monitoring equipment should be indicated to the driver. Failure to do so should either: a) Be indicated to the driver, or b) Prevent a movement authority into the affected area being given to the train. GN24 GN25 In the case of a mechanical trainstop system, a tripcock test facility should check that the position and alignment of the tripcock on the leading vehicle of every train will correctly interface with the trainstop infrastructure. The tripcock test facility should be located so that all of the relevant trains pass over it before reaching the transition zone. Page 8 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling System Part 6 Application of this document 6.1 Application - infrastructure managers 6.1.1 Scope 6.1.1.1 The requirements of this document apply to all work that affects signalling system transitions whether new or by alteration. 6.1.1.2 It is permissible for the infrastructure manager to designate specific infrastructure projects, ongoing when this document comes into force, for which compliance with the requirements of this document applicable to the design, construction and commissioning of new or altered infrastructure is not mandatory. When designating such projects, the infrastructure manager shall consider: a) Its responsibilities under its current safety authorisation. b) The stage reached by the project at the time this document comes into force (for example, approval in principle). c) Whether compliance is necessary to ensure compatibility with other parts of the infrastructure. d) Whether compliance is necessary to facilitate safe interworking having regard to changes to related requirements mandated on another infrastructure manager or a railway undertaking. e) The economic impact of compliance, subject to its current safety authorisation in relation to the infrastructure in question. 6.1.1.3 Action to bring existing signalling transitions into compliance with the requirements of this document is not required. 6.1.2 Exclusions from scope 6.1.2.1 There are no exclusions from the scope specified in 3.1.1 for infrastructure managers. 6.1.3 General compliance date for infrastructure managers 6.1.3.1 This Railway Group Standard comes into force and is to be complied with from 03 December 2011. 6.1.3.2 After the compliance date or the date by which compliance is achieved if earlier, infrastructure managers are to maintain compliance with the requirements set out in this Railway Group Standard. Where it is considered not reasonably practicable to comply with the requirements, authorisation not to comply should be sought in accordance with the Railway Group Standards Code. 6.1.4 Exceptions to general compliance date 6.1.4.1 There are no exceptions to the general compliance date specified in 6.1.3 for infrastructure managers. 6.2 Application - railway undertakings 6.2.1 Scope 6.2.1.1 The requirements of this document apply to all work that affects vehicles that are authorised to run on routes in which cab signalling system transitions occur or are being installed. 6.2.1.2 Action to bring vehicles that already accommodate existing cab signalling transitions into compliance with the requirements of this document is not required. 6.2.2 Exclusions from scope 6.2.2.1 There are no exclusions from the scope specified in 6.2.1 for railway undertakings. Page 9 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling Systems 6.2.2.2 The requirements in this document are not applicable to the following types of vehicles: a) Possession-only rail vehicles. 6.2.3 General compliance date for railway undertakings 6.2.3.1 This Railway Group Standard comes into force and is to be complied with from 03 December 2011. 6.2.3.2 After the compliance date or the date by which compliance is achieved if earlier, railway undertakings are to maintain compliance with the requirements set out in this Railway Group Standard. Where it is considered not reasonably practicable to comply with the requirements, authorisation not to comply should be sought in accordance with the Railway Group Standards Code. 6.2.4 Exceptions to general compliance date 6.2.4.1 There are no exceptions to the general compliance date specified in 6.2.3 for railway undertakings. 6.3 Health and safety responsibilities 6.3.1 Users of documents published by are reminded of the need to consider their own responsibilities to ensure health and safety at work and their own duties under health and safety legislation. does not warrant that compliance with all or any documents published by is sufficient in itself to ensure safe systems of work or operation or to satisfy such responsibilities or duties. GN26 No guidance is associated with Part 3. Page 10 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling System Appendix A Transition within Network Rail Managed Infrastructure Lineside Signalling to RETB Working The content of this appendix is for information only A.1 General A.1.1 This appendix provides an example of a transition between signalling systems employing lineside signals and Radio Electronic Token Block (RETB) signalling. A.1.2 A.1.3 RETB does not require worked lineside signals for the safe separation of trains. To ensure that there is a safe transition the following measures are applied. A.2 Transition from lineside signalling to RETB working A.2.1 The last signal for the lineside signalling area should be a stop signal with a sign Obtain Token. This signal should display a proceed aspect only when a token has been issued for the RETB section ahead. The aspect sequence on the approach to the last signal should not be capable of indicating that the last signal is displaying a proceed aspect. A.3 Transition from RETB working to lineside signalling A.3.1 At the termination of the RETB working, there should be a lineside stop signal with a sign Return Token. This signal should display a proceed aspect only when the token has been returned. A distant signal should be provided on the approach to the lineside stop signal; the aspect sequence on the approach to the last signal should not be capable of indicating that the last signal is displaying a proceed aspect. An RETB Loop Clear Marker Board should be provided to indicate where the longest train is clear of the RETB area and the overlap of the lineside stop signal. Page 11 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling Systems Appendix B Transition between Network Rail and London Underground Limited Managed Infrastructure he content of this appendix is for information only B.1 General B.1.1 This appendix provides an example of a transition between lineside signalling systems conforming to Railway Group Standards on Network Rail managed infrastructure and lineside signalling systems signalled to London Underground Limited (LUL) signalling principles not on Network Rail managed infrastructure. B.1.2 B.1.3 B.1.4 LUL generally uses a two aspect (red / green) system of signalling. The meaning of the red and green aspects of colour light signals is essentially the same as defined in GK/RT0045. In addition, two aspect (yellow / green) repeating signals are provided, where required, for sighting purposes and may be at less than the minimum signal spacing distance for the stop signal to which they apply. On some sections of line, an additional double yellow aspect is employed to give adequate warning on the approach to a stop aspect to non-lul trains. Aspect sequences are equivalent in function to those set out in GK/RT0045, but signal spacing is dependent upon the specific types of train permitted access to the line. To ensure that there is a safe transition the following measures are applied. B.2 Network Rail to LUL B.2.1 The last Network Rail signal should be a stop signal. B.2.2 B.2.3 B.2.4 B.2.5 B.2.6 B.2.7 Where the first LUL stop signal is at greater than minimum signal spacing distance from the last Network Rail signal, the last Network Rail signal should be a two aspect (red / green) or semaphore stop signal, except where the first LUL stop signal requires a yellow / green repeating signal and that is visible by the driver of a train standing at the last Network Rail stop signal. If this applies, the last Network Rail signal should be capable of displaying yellow and / or double yellow, as appropriate, to provide an aspect sequence complying with GK/RT0045 and the yellow / green repeating signal may be omitted. Where the first LUL stop signal is at less than minimum signal spacing distance from the last Network Rail stop signal, an aspect sequence complying with GK/RT0045 should be provided up to the first LUL stop signal. If the deceleration distance for a reduction in permissible speed on an LUL line commences before the last Network Rail signal, a warning board is provided, where required, as set out in GK/RT0075. No special lineside signs, other than the normally provided signal post identification signs, are necessary to mark the transition. On lines where LUL does not provide advance warning boards for temporary speed restrictions, there is no requirement for warning of temporary speed restrictions in this direction. On lines where LUL provides warning boards, these are also provided through the transition. Network Rail and LUL should liaise to ensure simultaneous implementation and removal of temporary speed restriction warning boards and indicators. For emergency speed restrictions, Network Rail should have a process in place (including necessary liaison) to provide adequate warning to train crew prior to them entering LUL infrastructure. Page 12 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling System B.3 LUL to Network Rail B.3.1 B.3.2 B.3.3 B.3.4 B.3.5 The last LUL signal is a stop signal. The aspect sequence to the first Network Rail stop signal should maintain the minimum signal spacing distance from the first caution to the stop signal. Where necessary, LUL repeating signals associated with a stop signal can be used to provide caution aspects as part of such sequences. Warning boards for reductions in permissible speed on Network Rail lines should not be placed before the last LUL stop signal. Where necessary, the permissible speed should be reduced before the transition to avoid the need for warning boards in such positions. No special lineside signs, other than the normally provided signal post identification signs, are necessary to mark the transition. On lines where all of the following apply: a) LUL does not provide advance warning boards for temporary speed restrictions; b) A temporary or emergency speed restriction is to be imposed on the Network Rail side of the transition; c) The deceleration distance commences on the LUL side of the transition; Network Rail and LUL should liaise to make suitable arrangements to adequately reduce train speed. B.3.6 B.3.7 On lines where LUL provides warning boards, these are also provided through the transition. Network Rail and LUL should liaise to ensure simultaneous implementation and removal of temporary speed restriction warning boards and indicators. For emergency speed restrictions, LUL has procedures (including necessary liaison) to provide adequate warning to train crew prior to entering Network Rail managed infrastructure. Page 13 of 18 GK/GN0636 Issue One: September 2011

Guidance on Transitions Between Signalling Systems Appendix C Transition between Network Rail Managed Infrastructure and High Speed 1 Cab Signalling he content of this appendix is for information only C.1 General C.1.1 This appendix provides an example of a transition between lineside signals conforming to Railway Group Standards on Network Rail managed infrastructure and a cab signalling system used on the High Speed 1 (HS1) rail link. C.1.2 C.1.3 C.1.4 HS1 employs a cab signalling system incorporating speed signalling aspects and is enforced by an associated Automatic Train Protection (ATP) system. The system (TVM430) is a fixed block system continuously transmitting speed codes to trains. The end of each block section is identified by a block section limit marker at the lineside. When entering Network Rail managed infrastructure, the cab signalling area finishes at the sighting point of the first lineside signal, and the lineside signalling area starts at the first lineside signal. The transition comprises any intervening areas. Signs are provided at the transition, to both: a) Mark the change to the method of signalling, and b) Indicate the change of infrastructure manager. C.1.5 When leaving Network Rail managed infrastructure, the lineside signalling area finishes at a point beyond the last lineside signal marked by a lineside sign where the cab signalling will normally have been enabled. C.2 Transition from Network Rail to High Speed 1 C.2.1 The last Network Rail signal should be a stop signal. If combined with a cab signalling block section marker, this signal displays only a red aspect. Clearance of the block marker causes the lineside signal aspect to be extinguished. C.2.2 C.2.3 C.2.4 C.2.5 C.2.6 The approach to HS1 cab signalling should be identified by one or more commencement of cab signalling signs at the lineside. The first of these signs is positioned prior to the point at which the cab signalling equipment is enabled. Additional signs are provided, as necessary, as a reminder to the driver that the cab signalling should be manually enabled if this has not already occurred. Enabling of the cab signalling is automatic and also disables the AWS, TPWS and switches off the AWS cab display and audible indications. The driver is also provided with a manual means of enabling the cab signalling. A commencement of gap sign indicating termination of the AWS should be positioned where the AWS should have been disabled based upon the speed of the train and time of operation of the onboard systems. The length of the first cab signalling block sections is sufficient to ensure that a train on which the cab signalling has not been enabled will stop within the overlap beyond the cab signalling block marker at the end of a movement authority given by the last lineside signal. The aspect sequence up to and including the last lineside signal should be such that any train permitted to use the line and complying with the lineside signal aspects enters the first cab signalling section at a speed no greater than the ATP speed limit at the entry to that section. Page 14 of 18 GK/GN0636 Issue One: September 2011