Ground Frames and Shunters Synopsis This document mandates the interface requirements for ground frames and shunters releases that may be operated by railway undertaking personnel. Copyright in the s is owned by Rail Safety and Standards Board Limited. All rights are hereby reserved. No (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. Content approved by: Control Command and Signalling (CCS) Standards Committee on 08 April 2010 and reconfirmed on 13 June 2013 Authorised by on 29 July 2013 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 s may be reproduced. Published by Block 2 Angel Square 1 Torrens Street London EC1V 1NY Copyright 2013 Rail Safety and Standards Board Limited
Issue record Issue Date Comments One 07 September 2013 Original document Superseded documents Superseded documents Sections superseded Date when sections are superseded GK/RT0039 issue one Semaphore and Mechanical Signalling GK/RT0041 issue one Track Circuit Block GK/RT0042 issue one Absolute Block GK/RT0051 issue one Single Line Control 9.2, 6.1 sentence 2, 6.3 para 4; Appendix A.5 para 3 BP3 and para 4 BP2; Appendix A.6 para 3; 5.6 paras 3 and 4; 6.5; 7.1 para 1 sentence 1 and 2, 7.2 para 1 BP2&4; 7.2 para 3; 7.3; 7.4; 8.2; 8.3 B9 para 2 sentences 1, 3 & 4; B9 para 3 sentence 1; B9 para 4, 5 & 6 [excl. 9 para 4 BP3] B9 (see impact assessment for details) C9, D9, E9, F9, G9, H9 (see impact assessment for details) 07 December 2013 07 December 2013 07 December 2013 07 December 2013 GK/RT0054 issue one Radio Electronic Token Block B9 07 December 2013 GK/RT0060 issue four Interlocking Principles GK/RT0061 issue two Shunters, Ground Frames, Switch Panels and Gate Boxes C2.2c, C2.4b; C2.4d; C1.2a, b &,c; C4.3 para 1 & 2; C5.1.4 para 2 sentence 1 B1 to B5 and B7 (see impact assessment for details) 07 December 2013 07 December 2013 GK/RT0063 issue one Approach Locking and Train Operated Route Release 4.2.2 para 1 & 2 07 December 2013 Other parts of GK/RT0041 issue one, GK/RT0042 issue one, GK/RT0051 issue one, GK/RT0054 issue one, GK/RT0060 issue four and GK/RT0063 issue one, are superseded by GK/RT0055 issue one, Block System Interface Requirements. Remaining parts of the superseded documents are withdrawn and cease to be in force as of 07 December 2013. Page 2 of 18
Supply 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 3 of 18
Contents Section Description Page Part 1 Purpose and Introduction 5 1.1 Purpose 5 1.2 Introduction 5 Part 2 Requirements for 6 2.1 Compatibility requirements for ground frames and shunters releases 6 2.2 Release of ground frames 7 2.3 Control of infrastructure 9 2.4 Shunters releases 11 Part 3 Application of this Document 12 3.1 Application infrastructure managers 12 3.2 Application railway undertakings 13 3.3 Health and safety responsibilities 13 Appendices Appendix A Colours of Levers, Switches and Indications 14 Definitions 15 References 18 Tables Table A.1 The standard colours used for lever frames 14 Table A.2 The standard colours used for switch panels 14 Table A.3 The standard colours used for indications 14 Page 4 of 18
Part 1 Purpose and Introduction 1.1 Purpose 1.1.1 This document mandates requirements for: 1.2 Introduction 1.2.1 Background a) Ground frames, where control of a part of the railway infrastructure may be transferred between a signaller and a ground frame operator, who may be an employee of a railway undertaking, and b) Shunters releases, where co-operation is required between the signaller and railway undertaking personnel to allow movements into and out of infrastructure controlled by a railway undertaking. 1.2.1.1 This document applies to: a) Ground frames, and b) Shunters releases. 1.2.1.2 This document does not include requirements for emergency panels, standby control centres or gate boxes, which are the responsibility of the infrastructure manager. 1.2.1.3 GK/RT0036 sets out the requirements for controlling the transition between lineside signalling conforming to s and other methods of train control where delegated control may also apply. 1.2.2 Related requirements in other documents 1.2.2.1 The following s contain requirements that are relevant to the scope of this document: GE/RT8000 GE/RT8270 GK/RT0036 GK/RT0045 GK/RT0055 GO/RT3215 The Rule Book Assessment of Compatibility of Rolling Stock and Infrastructure Transitions Between Signalling Systems Lineside Signals, Indicators and layout of Signals Block Systems Interface Requirements Requirements for the Weekly Operating Notice, Periodical Operating Notice and Sectional Appendix 1.2.2.2 Where co-operation is required by this document between the infrastructure manager and the railway undertakings in the design of new facilities such as ground frames, ground switch panels and shunters releases, the process for cooperation is set out in GE/RT8270 Assessment of Compatibility of Rolling Stock and Infrastructure. 1.2.3 Supporting document 1.2.3.1 The following Railway Group document supports this : GK/GN0677 Guidance on Page 5 of 18
Part 2 Requirements for 2.1 Compatibility requirements for ground frames and shunters releases 2.1.1 Before any new or changed infrastructure or rolling stock (including lineside and / or on-board control, command and signalling equipment) is brought into use, it is necessary to check that it is compatible with the infrastructure and rolling stock assets and operations on the routes on which it is to be used. 2.1.2 GE/RT8270 sets out the requirements and responsibilities for the assessment of compatibility between rolling stock and infrastructure assets, including control, command and signalling equipment and their operations. It sets out the arrangements by which the assessment of compatibility is undertaken and identifies those responsible for managing that assessment. 2.1.3 This document mandates the specific requirements for the assessment of compatibility for ground frames and shunters releases. 2.1.4 The assessment shall check that the provision of the ground frame or shunter s release is compatible with: a) The required documented operations, and b) The access requirements. 2.1.5 The assessment shall check that the method of ground frame release is compatible with the block system. 2.1.6 The assessment shall check that the ground frame or shunter s release functionality is compatible with: a) The required train movements, and b) The operational risk. 2.1.7 On lines worked by electric token block, no signaller token block, no signaller token block remote or one-train system with staff (see also GK/RT0055), the assessment shall check that the method of issuing and returning the token at ground frames which have shutting-in facilities is compatible with ground frame operations, including either: a) Provision of intermediate token instruments at the ground frame, or b) Local operating instructions. 2.1.8 The assessment shall check that the signalling system is configured to prevent insertion of a ground frame key into the wrong release instrument or mechanical lock. 2.1.9 The assessment shall check that the provision of signals worked from the ground frame is compatible with the train movements required on the running lines and into sidings. 2.1.10 Where non-block signals on running lines are used to protect the ground frame, the assessment shall check that the ground frame operating instructions include a requirement to clear the signals before the release is normalised. Page 6 of 18
2.1.11 The assessment shall check that the communication facilities between the signal box and the ground frame are compatible with the requirement for: a) Operating the ground frame release, and b) Safely controlling train movements. 2.1.12 The assessment shall check that the train detection systems provided at ground frames are compatible with: a) The maximum train lengths that will use the ground frame, and b) The train movements required, including shunting where vehicles may be left on the running line. 2.1.13 The assessment shall check that the ground frame control system is compatible with the requirement for ground frame operators to control the infrastructure. 2.1.14 The assessment shall check that the ground frame indications are compatible with the requirements for the operator to: a) Observe the operation of the infrastructure being controlled. b) Determine the position and completeness of the train where this cannot be directly observed. c) Correctly operate the ground frame controls. 2.2 Release of ground frames 2.2.1 Electrical release of ground frames from the signal box 2.2.1.1 The ground frame shall only be released when all of the following conditions are satisfied: a) The ground frame release control is operated at the signal box. b) All protecting stop signals are displaying the ON aspect. c) All conflicting signal routes are locked normal. d) The signal or block section containing the ground frame is known to be either: i) Clear, including the overlap, or ii) Occupied by a stationary train at the ground frame. 2.2.1.2 The ground frame shall only be normalised when all of the following conditions are satisfied: a) The infrastructure controlled from the ground frame is detected to be in the required position, and b) The ground frame release controls have been normalised at the signal box and the ground frame. Page 7 of 18
2.2.1.3 Where there is a shutting-in facility, a train detection system shall be provided at the ground frame, which shall extend between the following limits: a) The maximum train length plus 100 m on the approach side of the ground frame points or associated clearance point. b) To either: i) The clearance point of the ground frame facing points, or ii) 200 m beyond the switch toes of the ground frame trailing points. 2.2.1.4 The train detection systems shall be indicated in the controlling signal box. 2.2.2 Indirect release of ground frames from the signal box 2.2.2.1 The ground frame release shall be operated using one of the following: a) The token or one-train staff applicable to the single line section containing the ground frame. b) A ground frame release key permanently attached to the applicable token or one-train staff. c) A ground frame key, normally kept in a suitable receptacle in the signal box, which is issued to the ground frame operator by the signaller at the controlling signal box. 2.2.2.2 Where a ground frame key is provided on a line that is worked by the one-train system without staff, the key shall be: a) Permanently marked with the name of the ground frame to which it applies, and b) Uniquely configured for the ground frames within the block section and the control area of the signal box associated with the ground frame. 2.2.2.3 The instruments and mechanical locks associated with the ground frame key shall prevent insertion of a key or other token belonging to an adjacent section. 2.2.2.4 The token, one-train staff or ground frame key shall be held captive in the ground frame release device at all times when the ground frame is in use. 2.2.2.5 Removal of the token, one-train staff or ground frame key from the ground frame release device shall require: a) The ground frame release control normal, and b) Where detection is provided, the points detected normal. 2.2.2.6 Where there is a shutting-in facility on lines worked by the electric token block, no signaller token block or no signaller token block remote system, one of the following methods of issuing and returning the token shall be provided, either: a) Using an auxiliary token instrument at the ground frame, or b) In accordance with local operating instructions. Page 8 of 18
2.2.3 Release of ground frames on RETB lines 2.2.3.1 Any ground frame operated siding where shutting-in facilities are provided shall be designated as a token exchange point. 2.2.3.2 The electronic token shall only be returned when either: a) The train is clear of the running line into the sidings and the ground frame has been normalised, or b) The train has continued its journey under normal token exchange procedures. 2.2.3.3 A ground frame shall be released by an Annetts key. The Annetts key shall be kept in a steel cabinet, on the ground frame, which is fitted with a Castell lock. The ground frame Annetts key shall be physically attached to the ground frame cabinet by a chain. The Castell key that opens the cabinet containing the Annetts key shall be physically attached to the CDU (KABA) key, so that it is not possible to release the Annetts key and operate the ground frame without withdrawing the KABA key from the CDU. This prevents the electronic token from being returned when the ground frame is in use. 2.3 Control of infrastructure 2.3.1 Control of signals protecting ground frames 2.3.1.1 Stop signals protecting ground frames shall only display an OFF aspect when all of the following apply: a) The ground frame release is locked normal. b) The ground frame points are detected normal. c) On lines worked by the one-train system without staff, the ground frame key is detected to be secured within its receptacle, key release instrument or mechanical release. 2.3.2 Control of infrastructure operated from the ground frame 2.3.2.1 The ground frame interlocking shall prevent the operation of points or signals from the ground frame when the relevant release control is normal. 2.3.2.2 Where infrastructure is mechanically operated from a ground frame, the levers shall be interlocked so that: a) Clearance of a signal requires the relevant point levers to be set in the required position and locked where necessary. b) Operation of ground frame points requires the relevant signal levers normal and any route locking normal. c) A signal lever or signal route can only be normalised after the approach locking, where fitted, has been released. 2.3.2.3 Except where directly opposing locking is omitted, the interlocking shall prevent clearance of opposing signals on the same line at the same time. 2.3.3 Requirements for ground frame control and indication systems 2.3.3.1 Except where the operator has a direct view of the infrastructure controlled from the ground frame, correct operation of the infrastructure equipment shall be indicated to the ground frame operator. Page 9 of 18
2.3.3.2 The following controls shall be provided at each ground frame: a) A release control to open and close the ground frame, and b) Individual controls for each piece of infrastructure controlled. 2.3.3.3 Signals, where provided, shall exhibit their most restrictive aspect when the lever or switch is in the normal position. 2.3.3.4 Where a mechanical ground frame is provided: a) The levers shall be arranged in a straight line and numbered consecutively from left to right when observed from the operating position. b) A catch handle shall retain each lever in the required position. c) The normal position of the levers shall be back in the frame. d) The reverse position of the levers shall be pulled towards the operator. e) Each lever shall be identified with its function, using: i) An identification plate, and ii) A function related lever colour (see Appendix A). 2.3.3.5 A lever identification plate shall be fitted to the front of each lever. The plate shall show: a) The lever number. b) A description of the lever function. c) The identity of any levers required to be pulled in sequence before the lever to which the plate is affixed can be pulled. 2.3.3.6 Levers acting as electrical switches shall have shortened handles. 2.3.3.7 Where a ground switch panel is provided: a) Each control switch shall only have a normal and reverse position, with the normal position on the left. b) Each switch shall be securely retained in the operated position. c) Each control switch shall be identified with its function. 2.3.3.8 The following indications shall be provided at each ground frame: a) The state of the ground frame release from the controlling signal box. b) The state of slots on signals. c) Lever free indications where levers are electrically locked. d) Except where semaphore signals are directly visible from the ground frame, the signal lamp lit and the aspect displayed. e) The position of power operated points. Page 10 of 18
f) The state of electrical detection on mechanical points, which shall include an indication of whether the facing point lock, where fitted, is engaged. g) Train detection indications, where either: i) The ground frame interlocking includes train detection controls, or ii) The operator is required to determine the precise position of the train. 2.3.3.9 Where a ground frame diagram is provided, all of the following shall be included: 2.4 Shunters releases a) A diagrammatic representation of the area controlled, which is orientated in the correct relationship to the infrastructure controlled from the operating position when the ground frame is being operated. b) The line names and normal direction of running movements, as set out in the Sectional Appendix. c) The name of the signalling control centre that releases the ground frame. d) The identity of each controlled function within the infrastructure. 2.4.1 Requirements for shunters releases 2.4.1.1 Where provided, a shunter s release facility shall require the signaller and shunter to cooperatively control movement authorities into a depot or yard by releasing either: a) The points giving access to the depot or yard, or b) The signals or routes leading into the depot or yard. Page 11 of 18
Part 3 Application of this Document 3.1 Application infrastructure managers 3.1.1 Scope 3.1.1.1 The requirements in Part 2 of this document apply to all work that affects ground frames and shunters releases, whether new or alteration, except that action to bring existing ground frames and shunters releases into compliance with this document is not required, provided that they were compliant with the standards applicable at the time that they were brought into service. 3.1.1.2 When it is known, or becomes known, that existing ground frames and shunters releases do not comply with the requirements of this document, action to bring them into compliance is required when the associated signalling system as a whole is upgraded. Otherwise it is permissible for the ground frames and / or shunters releases equipment to be renewed on a like-for-like basis, commensurate with the standards that were in force at the time of their original installation. 3.1.1.3 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, but subject to its current safety authorisation in relation to the infrastructure in question. 3.1.1.4 Action to bring existing ground frames and shunters releases 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 comes into force and is to be complied with from 07 December 2013. 3.1.3.2 After the compliance dates or the date by which compliance is achieved if earlier, infrastructure managers are to maintain compliance with the requirements set out in this. Where it is considered not reasonably practicable to comply with the requirements, authorisation not to comply should be sought in accordance with the s Code. 3.1.4 Exceptions to general compliance date 3.1.4.1 There are no exceptions to the general compliance date specified in 3.1.3 for infrastructure managers. Page 12 of 18
3.2 Application railway undertakings 3.2.1 There are no requirements applicable to 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 13 of 18
Appendix A Colours of Levers, Switches and Indications The content of this appendix is not mandatory and is provided for guidance only A.1 Lever colours Colour BS381C shade ref. Lever functions Black n/a Mechanical points or power operated points without point bolt Blue 166 Mechanical facing point bolt Blue (top) Black (bottom) Blue (top) Brown (bottom) 166 n/a 166 411 Power operated points fitted with facing point bolt Red 537 Signals White n/a Spare Table A.1 The standard colours used for lever frames A.2 Switch colours Colour BS381C shade ref. Switch functions Black n/a Points Track circuited line Brown 414 Green 220 Acceptance or slot Red 537 Signals Table A.2 The standard colours used for switch panels A.3 Illuminated indication colours Colour Signal green Main signal OFF Switch functions Signal red Signal white Signal yellow Table A.3 Main signal ON Position light signal with red aspect ON (including PLS acting as LOS) Slot ON Track circuit occupied Lockout system in use Position light signal OFF Slot OFF Point detection N & R Lever or switch FREE Release given Other miscellaneous indications Position light signal with yellow aspect ON The standard colours used for indications Page 14 of 18
Definitions Annetts key A key used on RETB operated lines to enable the user of a ground frame to unlock a lever, to control the movements of points under local supervision. Auxiliary token instrument A supplementary token instrument located outside the signal box and used by railway undertaking personnel to facilitate prompt token exchange. An auxiliary token instrument located at a ground frame on single lines allows the token to be returned to the system when a train has been shut-in at the ground frame. This allows further tokens to be issued by the controlling signal boxes and hence trains to use the single line. Conversely, it allows a token to be withdrawn (with the co-operation of the signallers) to allow the ground frame to be operated and the previously shut-in train to depart. Castell key A key used on RETB operated lines to lock / unlock the cabinet, fitted to locally supervised ground frames, which houses the Annetts key. Catch handle A device attached to a lever which is used to secure the lever in either the normal or reverse positions. CDU Cab display unit (CDU). A device for use in the driving cabs of traction units, on board road vehicles and at the track side, which enables the user to receive and return coded electronic tokens. The CDU displays the electronic tokens issued to it. Controlling signal box The signal box which oversees the releasing of the ground frame. Depot or yard In the context of shunters releases, a set of one or more sidings controlled by a railway undertaking. Detection The proof (electrical or mechanical) that points or signals have responded correctly to any control command. Diagram A representation of the track layout and signals controlled from the ground frame to permit correct orientation of the operator to the equipment being controlled. Directly opposing locking Interlocking between two opposing signals. Facing point lock Equipment fitted to facing points on passenger lines to secure the points in the correct position for the passage of trains. Free indication A lamp or electrical indicator provided to show whether a lever is free to be operated by the ground frame operator. Page 15 of 18
Ground frame A control point comprising levers or switches to permit the local operation of points and, where provided, the associated signals. As applied to this document, the term ground frame includes a ground switch panel. Ground frame operator A person employed by a railway undertaking, who is authorised to operate a ground frame. Ground frame release The method by which the ground frame is unlocked to allow its use either by an electrical release or a mechanical key. Ground frame release device A device provided to lock and unlock a ground frame and retain the release device (for example, a token) until the ground frame is restored to normal. Ground frame release key A key, either directly released from a release instrument or attached to a token or train staff, which is used to release a ground frame. Interlocking A method, either mechanical or electrical, which prevents the operation of signalling equipment when it is unsafe to do so, that is to say, prevents the movement of points while a signal reading over them is clear. KABA key The key used to activate a cab display unit used on RETB worked lines (see RETB below). Levers A method of working a signalling system mechanically by using human effort. Normal position The position of a lever when it is back in the lever frame (away from the operator), also the position of a switch when it is turned to the left. Opposing signals Signals which protect the same piece of railway from opposite directions. Receptacle or key release instrument The place where the ground frame release key is secured when not in use. Release lever A lever that is subject to control from the supervising signalling centre and which, when operated, prevents the signalling centre from withdrawing the release. Where a switch is used instead of a lever, the releasing and backlocking function is carried out by relays. Restore The replacement of the ground frame to its normal state. RETB Radio electronic token block (RETB) is a method of protecting a single line of railway through the use of solid state interlocking and a radio link to the trains which use the line. Page 16 of 18
Reverse position The position of a lever when it is pulled towards the operator and also the position of a switch when it is turned to the right. Shunter s release A push button or switch that is controlled by a shunter which, when operated, allows points or a route to be operated by the supervising signalling centre. Shutting-in facilities A facility which permits a train to be shunted clear of a main line into a siding and then the ground frame normalised to permit normal train movements. Signalled movement A movement authority given by, and under the control of, the supervising signalling centre or by the ground frame on supervised lines or sidings. Slots / slotting In the context of ground frames, the control of a signalling function which requires cooperation between the signal box and a ground frame. Supervised lines Lines or sidings that are under the control of the ground frame operator. Page 17 of 18
References The Catalogue of s gives the current issue number and status of documents published by. This information is also available from www.rgsonline.co.uk. RGSC 01 s Code RGSC 02 Standards Manual s GE/RT8000 GE/RT8270 GK/RT0036 GK/RT0045 GK/RT0055 The Rule Book Assessment of Compatibility of Rolling Stock and Infrastructure Transitions Between Signalling Systems Lineside Signals, Indicators and Layout of Signals Block Systems Interface Requirements GO/RT3215 Requirements for the Weekly Operating Notice, Periodical Operating Notice and Sectional Appendix documents GK/GN0677 Guidance on Page 18 of 18