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Prevention and
Mitigation of
Overruns – Risk
Assessment
Synopsis
This document defines the
requirements for risk assessment of
the design and operational use of
track and signalling, so as to control
the risks associated with trains
exceeding the end of their movement
authority.
Published by:
Authorised by Safety & Standards Directorate
Railtrack PLC
Evergreen House
160 Euston Road
London NW1 2DX
Brian Alston
Controller, Railway Group Standards © Copyright 2000 Railtrack PLC
Uncontrolled copy from the catalogue dated August 2004
Contents
Section Description Page
Part A
Issue Record 2
Technical Content 2
Responsibilities 2
Compliance 2
Health and Safety Responsibilities 3
Supply 3
Part B
1 Purpose 5
2 Scope 5
3 Definitions 6
4 Assessment of Overrun Risk during Track Layout and Signalling Design 7
5 Operational Use of Infrastructure 10
6 Review of Overrun Risk at Existing Layouts 11
7 General Requirements for Overrun Risk Assessments and Reviews 11
References 14
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Part A
Issue Record
This document will be updated when necessary by distribution of a complete
replacement.
Revisions in the reissued document will be marked by a vertical black line in the
right hand margin adjacent to the revision.
Technical content
Approved by: Francis How, Principal Signalling & Telecoms Engineer
Enquiries to be directed to the Industry Safety Liaison Dept. Tel: 0207 904 7518.
Responsibilities
Railway Group Standards are mandatory on all members of the Railway Group *
and apply to all relevant activities that fall into the scope of each individual’s
Railway Safety Case. If any of those activities are performed by a contractor, the
contractor’s obligation in respect of Railway Group Standards is determined by
the terms of the contract between the respective parties. Where a contractor is
a duty holder of a Railway Safety Case then Railway Group Standards apply
directly to the activities described in the Safety Case.
* The Railway Group comprises Railtrack and the duty holders of the Railway
Safety Cases accepted by Railtrack.
Compliance
The provisions of sections 4 and 5.1 of this document are mandatory for design
and implementation work undertaken on all schemes for which the signalling
scheme plan is first approved on or after 07 April 2001.
The provisions of section 5.2 are mandatory as from 07 April 2001, except in
respect of timetable changes that are to be implemented prior to May 2002.
Sections 5.3, 6.3, 7.2, 7.3, 7.4, 7.5 and 7.6 shall be implemented in accordance
with the compliance dates set for the related sections (4, 5 and 6) to which they
are linked.
Any Railway Group member deviating from the requirements set out in this
document shall ensure that the situation is regularised in accordance with the
requirements of GA/RT6001, GA/RT6004, or GA/RT6006.
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Supply
Controlled and uncontrolled copies of this document may be obtained from the
Industry Safety Liaison Dept, Safety & Standards Directorate, Railtrack PLC,
Evergreen House, 160 Euston Road, London, NW1 2DX.
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Part B
1 Purpose
The purpose of this document is to define the requirements for risk assessment
of the design and operational use of track and signalling so as to control the
risks associated with trains exceeding the end of their movement authority.
2 Scope
2.1 Subject Matter that is Within the Scope of GI/RT7006
2.1.1
The overall scope of Railway Group Standards (RGSs) is as specified in
Appendix A of GA/RT6001.
This document contains requirements which are applicable to the duty holders of
the Infrastructure Controller category of Railway Safety Case .
2.1.2
Specifically this document contains requirements that are applicable to:
a) the design of track layouts and fixed block signalling systems on Railtrack
controlled infrastructure.
Although this document refers to stop signals, this includes fixed block end of
movement authorities issued to the driver via a cab signalling system (see
definition of stop signal).
2.1.3
This document requires the assessment of risk associated with the overrun of a
stop signal at danger arising from:
2.1.4
The accident scenarios arising from overruns that are within the scope of this
document are:
a) collisions with other trains (primarily those on conflicting paths, but also
including rear end collisions).
2.2 Subject Matter that is Not Within the Scope of This Document
2.2.1
The scope of this document does not include:
e) control of collision risk when a train is signalled onto an occupied line (see
GK/RT0044).
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f) measures applicable to train operators for the control of overrun risk (eg
driver training; use of driver reminder appliance; crashworthiness of rolling
stock).
3 Definitions
Acceptably Low Risk
Levels of risk that are:
a) tolerable.
Area of Conflict
A section of line ahead of a signal at danger on which a head-on, crossing or
same direction converging collision with another legitimately positioned train
(whether moving or stationary) could occur in the event of the signal being
passed at danger. For the purposes of this document, the area of conflict
commences where the two movements first become foul of each other (eg at
points, a fixed crossing, a switch diamond crossing, or the commencement of
interlaced tracks), and extends to the location where one of the following
conditions is first met:
a) The rear of the overrunning train is clear of the route of the authorised train
movement.
b) The leading end of the overrunning train reaches another stop signal that is
applicable to its direction of movement.
c) The leading end of the overrunning train is 100 metres beyond the Automatic
Warning System (AWS) magnet of a stop signal that controls movements in
the opposite direction to that of the overrunning movement.
Although this definition specifically excludes a section of line on which the only
possible collisions are rear end, such collisions are considered as part of the risk
assessment process, and are within the overall scope of this document.
Full Overlap
An overlap of at least 180 metres (or 400 metres in the case of a semaphore
signal where the preceding caution signal is also a semaphore type), as defined
in GK/RT0064.
The definitions of reduced and restricted overlaps are set out in GK/RT0064.
Operational Use
The manner in which the track and signalling is used for the purposes of running
trains, including factors such as:
c) timetabling of trains.
e) regulation policy and rules (both those applied by signallers and those
implemented via automatic route setting systems).
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Overrun
Passing the end of movement authority. On lines signalled with lineside signals,
the conventional terminology for an overrun is a Signal Passed At Danger
(SPAD). The definition includes both failure to come to a stand at a signal at
danger, and starting from rest against a signal at danger.
Stop Signal
A signal which is capable of displaying a “stop” aspect to a train driver. For the
purposes of this document, this includes not only conventional colour light and
semaphore signals (main and shunt types), but also stop signs/boards, and in-
cab end of movement authority instructions issued to the driver via a cab
signalling system.
Train Protection System
A system that automatically applies the brakes on a train to control the risk of an
overrun arising from driver error. Automatic Train Protection (ATP) systems, the
Train Protection and Warning System (TPWS) and trainstops are all forms of
train protection systems. The AWS does not constitute a train protection system
for the purposes of this document.
4 Assessment of
Overrun Risk During
Track Layout and
Signalling Design
4.1 Infrastructure Design: Overrun Risk Control Objectives
New and modified track layouts and signalling shall be designed so as to:
a) eliminate the potential for overrun collisions and derailments, wherever this is
reasonably practicable.
b) make use of risk reduction measures which mitigate overrun risk to levels
that are as low as reasonably practicable, wherever the potential for collision
has not been eliminated.
d) The minimisation of the time window during which a collision could occur in
an area of conflict (principally by reducing the length of the area of conflict).
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overrun risk could be affected by the project, not just those signals being
provided or altered.
In conjunction with the assessment, signalling options shall be identified,
evaluated and selected so that, together with the track layout, the risk control
objectives set out in section 4.1 are achieved.
a) A stop signal on plain line with no points or crossings between the stop signal
and the next stop signal ahead, meeting all the following criteria:
i. The signal and the associated preceding caution signal(s), and the
associated AWS equipment, are compliant with the requirements of the
RGSs that are in force at the time of the risk assessment and which are
relevant to the control of overrun risk.
ii. There are no station platforms between the stop signal and the
immediately preceding caution signal.
iv. A full overlap is provided beyond the signal, with no provision made for
the use of reduced or restricted overlaps. See GK/RT0064.
v. There is full signal spacing (in three aspect territory) or at least one third
of the signal spacing (in four aspect territory) between the stop signal and
the next stop signal ahead. See GK/RT0034.
vi. There are no infrastructure features between the stop signal and the next
stop signal ahead that could either increase the likelihood of a collision or
could significantly worsen the consequences of a collision or derailment.
b) A stop signal on a line fitted with a train protection system, meeting all the
following criteria:
ii. The action of the train protection system and, where applicable, the
setting and interlocking of facing points ahead of the stop signal, is such
that all trains overrunning the stop signal will be routed so as to avoid, or
be brought to a stand short of, all areas of conflict and all infrastructure
features that could either increase the likelihood of a collision or could
significantly worsen the consequences of a collision or derailment.
iii. The action of the train protection system is such that all trains
overrunning the stop signal will be brought to a stand so as to avoid a
rear end collision with a train standing at a stop signal ahead (this criteria
has to be met in respect of all routes that the train might follow after
overrunning the stop signal under consideration).
iv. The action of the train protection system is such that all trains
overrunning the stop signal will not derail on any points or crossings
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ahead (this criteria has to be met in respect of all routes that the train
might follow after overrunning the stop signal under consideration).
a) The possible routes by which the train could approach the stop signal.
d) The frequency with which trains are routed past the signal.
b) where the train might eventually come to a stand (whether by driver action,
activation of the train protection system, or by derailment).
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the risk assessment mandated by that RGS shall form an integral part of the risk
assessments required by this document.
b) the options for the track layout shall be reconsidered (in accordance with
section 4.2)
4.8.2
The infrastructure controller shall seek and consider the views of train operators,
regarding the adequacy of the proposed arrangements from a safety
perspective, before giving final approval for implementation.
4.9 Implementation
4.9.1
The infrastructure controller shall ensure that the approved overrun risk
reduction measures are incorporated into the design of the infrastructure and
also, where applicable, into procedures, timetables and other arrangements for
the operation of the railway.
4.9.2
Where the risk reduction measures are not all being implemented together, the
infrastructure controller shall agree with the train operator(s) the prioritisation of
implementation in order to gain optimal safety benefit.
5 Operational use of
infrastructure
5.1 Layout and Signalling to be Used in Accordance with Assumptions
The infrastructure controller shall devise and implement documented procedures
for track layouts and signalling to ensure that the operational use is not in breach
of any constraints or assumptions that were incorporated into, or underpinned,
the risk assessment. The application of this requirement is limited to track
layouts and signalling that have been assessed in accordance with the
requirements of this document.
b) elements of the infrastructure other than the track layout and signalling.
A significant change, in this context, is one that is likely to invalidate the basis of
any previous overrun risk assessment. Where no previous assessment exists, a
significant change is one that is likely to breach relevant constraints or
assumptions that were incorporated into the design of the track and signalling.
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The infrastructure controller shall seek and consider the views of train operators,
regarding the results of the review.
6 Review of Overrun
Risk in Existing Layouts
6.1 Requirement for the Review of Overrun Risk on Existing Layouts
A review of overrun risk at existing signals that protect junctions shall be
conducted at least once by October 2005. Where a signal has been the subject
of either a review in accordance with section 5.2, or risk assessment in
accordance with section 4 of this document, a further review is not required.
7 General
Requirements for
Overrun Risk
Assessments and
Reviews
7.1 Provision and Application of Documented Procedures
The infrastructure controller shall devise and implement documented procedures
to support the requirements of this document, including procedures for:
a) overrun risk assessment and review of track layout and signalling design
options.
b) ensuring that the operational use of the track and signalling does not breach
design constraints and assumptions relevant to overrun risk.
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Where benchmarks or targets are used in the evaluation of the tolerability of risk,
their validity for the particular application shall be assessed and confirmed prior
to use.
The infrastructure controller shall approve the use of any data, benchmarks and
targets used in overrun risk assessment and review.
7.5 Use of Tools and Models to Support Risk Assessments and Reviews
Where models or other design support tools are used to assist with overrun risk
assessments and reviews, these shall be:
a) validated prior to first use, and any subsequent change of use, in order to
ensure that they are appropriate for their application.
7.6 Records
7.6.1
Records of risk assessments and reviews shall be kept for as long as they
continue to be applicable to the current layout, signalling or operational use. The
records shall include details of all the following:
c) Options considered.
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h) Any data, benchmarks or targets used and the justification for their use.
7.6.2
In respect of section 5.2, where the decision has been taken not to carry out a
review because the change was considered not to be significant, a record of the
change and the justification for the decision shall be kept.
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References
Railway Group Standards
GA/RT6001 Railway Group Standards Change Procedures
GA/RT6004 Temporary Non-Compliance with Railway Group Standards
GA/RT6006 Derogations from Railway Group Standards
GC/RT5033 Terminal Tracks – Managing the Risk
GK/RT0034 Lineside Signal Spacing
GK/RT0044 Controls for Signalling a Train onto an Occupied Line
GK/RT0064 Provision of Overlaps, Flank Protection and Trapping
GO/RT3252 Signals Passed at Danger (SPADs)
The Catalogue of Railway Group Standards and the Railway Group Standards
CD-ROM give the current issue number and status of documents published by
the Safety & Standards Directorate.
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