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© Copyright 2015
Rail Safety and Standards Board Limited
Issue Two September 2015
Rail Industry Guidance Note for GO/RT3437
RSSB
Guidance on Defective On-Train Equipment
Published by:
GO/GN3637
GN
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Guidance on Defective On-Train Equipment (DOTE)
Issue record
Issue
Date
Comments
One
September 2013
Original document, the contents of this document
were transferred from GO/RC3537 issue 5 and
amended to reflect changes to GO/RT3437 and
to GE/RT8000 Rule Book module TW5.
Two
September 2015
Amendments made to align with changes to
GE/RT8000 Rule Book module TW5.
Superseded documents
The following Railway Group documents are superseded, either in whole or in part as
indicated:
Superseded documents
GO/GN3637 Issue one
Guidance on Defective On-Train Equipment
Sections
superseded
Date when
sections are
superseded
All
05 December
2015
Supply
The authoritative version of this document is available at www.rgsonline.co.uk. Enquiries
on this document can be forwarded to [email protected].
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Guidance on Defective On-Train Equipment (DOTE)
Contents
Section
Description
Page
Part 1
G 1.1
G 1.2
G 1.3
G 1.4
Introduction
Purpose of this document
The structure of this document
Copyright
Approval and authorisation of this document
4
4
4
4
4
Part 2
G 2.1
G 2.2
Guidance on Defective On-Train Equipment (DOTE)
Responsibilities of infrastructure managers
Responsibilities of railway undertakings
5
5
6
Appendices
Appendix A List of on-train equipment for inclusion in DOTE contingency plans
Appendix B List of on-train equipment to be considered for inclusion in DOTE
contingency plans
References
RSSB
11
24
30
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Guidance on Defective On-Train Equipment (DOTE)
Part 1 Introduction
G 1.1
Purpose of this document
G 1.1.1
This document gives guidance on interpreting the requirements of Railway Group
Standard GO/RT3437. It does not constitute a recommended method of meeting any set
of mandatory requirements.
G 1.2
The structure of this document
G 1.2.1
All requirements from Railway Group Standard GO/RT3437 are reproduced with a grey
background in this document.
G 1.2.2
Guidance is provided as a series of sequentially numbered clauses prefixed ‘G’
immediately below the greyed text to which it relates.
G 1.2.3
Specific responsibilities and compliance requirements are laid down in the Railway Group
Standard itself.
G 1.3
Copyright
G 1.3.1
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.
G 1.3.2
RSSB members are granted copyright licence in accordance with the Constitution
Agreement relating to Rail Safety and Standards Board Limited.
G 1.3.3
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.
G 1.4
Approval and authorisation of this document
G 1.4.1
The content of this document was approved by TOM Standards Committee on (proposed
28 July 2015).
G 1.4.2
This document was authorised by RSSB on (proposed 30 July 2015).
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Guidance on Defective On-Train Equipment (DOTE)
Part 2
G 2.1
Guidance on Defective On-Train Equipment
(DOTE)
Responsibilities of infrastructure managers
Extract from GO/RT3437
Section 2.1.1 Review of DOTE contingency plans
2.1.1.1 Infrastructure managers shall review and, if appropriate, comment, on all draft
DOTE contingency plans submitted to them by railway undertakings.
G 2.1.1
G 2.1.2
When an infrastructure manager is reviewing draft DOTE contingency plans, it should
check that the following items are covered:
a)
All items of on-train equipment listed in Appendix A of GO/RT3437, and relevant to
the railway undertaking, have been identified.
b)
Any items of on-train equipment listed in Appendix B of GO/RT3437 that the railway
undertaking has decided to include.
c)
There are statements that identify all locations on routes used by the railway
undertaking concerned, at which:
i)
A defective train or vehicle can be turned, re-marshalled or replaced.
ii)
A defective train or vehicle can be examined by a rolling stock technician.
iii)
The defective on-train equipment can be repaired or replaced.
iv)
The train or vehicle can be taken out of service.
d)
All maintenance depots used by the railway undertaking, and the items of equipment
that can be repaired or replaced at each depot, are specified.
e)
All stations that are suitable for the detraining of passengers are identified (see also
G 2.2.4).
f)
There are procedures that are designed to control any identified risks.
g)
There is consistency with the contents of the Sectional Appendix (where relevant).
h)
The procedures in the plan comply with the requirements of GO/RT3437 and, where
they do not follow the additional guidance in this document, there is appropriate and
sufficient evidence that the alternative arrangements will control risk to an equivalent
or lower level.
An infrastructure manager may, following their review of a DOTE contingency plan,
decide that it can accept the contents without further comment. The infrastructure
manager should inform the railway undertaking(s) concerned if this is the case.
Extract from GO/RT3437
Section 2.1.2 Advising railway undertakings of changes to facilities
2.1.2.1
G 2.1.3
RSSB
Infrastructure managers shall inform railway undertakings of any changes to
facilities, either temporary or permanent, that will affect the detraining of
passengers at stations identified in a published DOTE contingency plan.
Changes to facilities should include, but not be limited to, the factors shown as G 2.2.4.2
of this guidance note.
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Guidance on Defective On-Train Equipment (DOTE)
G 2.2
Responsibilities of railway undertakings
G 2.2.1
Production of contingency plans
Extract from GO/RT3437
Section 2.2.1 Requirement for the production of a contingency plan for defective
on-train equipment
2.2.1.1
G 2.2.1.1
Railway undertakings shall produce and publish a DOTE contingency plan that
describes the actions to be taken when any item of on-train equipment, as listed
in Appendix A of this document, becomes defective and gives due consideration
to the inclusion of the items listed in Appendix B.
Each railway undertaking should arrange for a competent person(s), with a suitable
knowledge of that undertaking's train operation, to produce their DOTE contingency plan.
G 2.2.1.2
The DOTE contingency plan should describe the action to be taken when a defect is
found on a train or vehicle about to enter service, or when on-train equipment becomes
defective on any train or vehicle which is in service.
G 2.2.1.3
The DOTE contingency plan should provide detailed instructions to train operators
controllers and others responsible for its implementation, about the action to be taken
when any item of on-train equipment specified in the plan and operated by the railway
undertaking is reported as defective. These should accurately supplement the working
instructions in the Rule Book, which determine the precise instructions to be given to
drivers and others in each case (see G 2.2.2).
G 2.2.1.4
Appendix A of this document lists those items of on-train equipment which have a clear
interface and, therefore are within the scope of GO/RT3437. However, railway
undertakings should include in their DOTE contingency plans, any additional items of ontrain equipment fitted only to specific rolling stock fleets. Appendix B provides a list of ontrain equipment that railway undertakings should consider for inclusion in their DOTE
contingency plan, according to their operational circumstances.
G 2.2.1.5
This document provides specific guidance in respect of all items of on-train equipment
listed in both appendices of GO/RT3437. The following options have been provided to
support railway undertakings determine, as part of their contingency plans, how best to
manage trains that are found to have defective on-train equipment whilst in service:
a)
For the train or vehicles to proceed only as far as the next available location.
b)
For the train or vehicles to complete the journey it is currently on and then be
allowed to make one further non-passenger journey to a maintenance depot.
c)
For the train or vehicles to complete its journeys for the remainder of the day
provided its final journey of the day ends at a maintenance depot.
G 2.2.1.6
The DOTE contingency plan should identify all items of on-train equipment that can be
repaired or replaced on all classes of rolling stock using each maintenance depot,
including main works, used by the railway undertaking.
G 2.2.1.7
The DOTE contingency plan should state the location to which a train or vehicle, which
has been permitted to enter service with defective on-train equipment, or on which ontrain equipment has become defective when in service, should proceed.
G 2.2.1.8
When drafting DOTE contingency plans, consideration should be given to likely traffic
levels. For certain on-train equipment defects, it would be consistent with a risk-based
contingency plan for different arrangements to be in place on those lines identified as
lightly used, as opposed to densely trafficked commuter lines. The recommendations for
managing specific equipment defects set out in Appendices A and B give examples of
when such differences might be applicable.
G 2.2.1.9
The DOTE contingency plan should aim to minimise the effect on network performance of
a train remaining stationary for a prolonged period.
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Guidance on Defective On-Train Equipment (DOTE)
G 2.2.2
G 2.2.2.1
DOTE contingency plans – instructions to staff
The Rule Book, GE/RT8000, sets out the circumstances when trains or vehicles are
permitted to enter service with defective on-train equipment and sets out the measures
that should be applied in such cases. It also sets out the measures that should be
applied when on-train equipment becomes defective on a train or vehicle which is in
service. In some situations there may be a range of measures which can be taken. The
Rule Book informs drivers that they must obtain instructions about arrangements for
dealing with the train or vehicle.
G 2.2.2.2
It should be noted that not all items of on-train equipment listed in the appendices of
GO/RT3437 have related requirements in the Rule Book. Some equipment, such as
Automatic Train Protection (ATP), do not have a Rule Book entry as this equipment is not
in general use and is applicable to certain rolling stock types only and in certain areas.
Where this is the case, the specific guidance will refer users to the alternative source of
such information (such as Sectional Appendices).
G 2.2.3
G 2.2.3.1
Use of competent people in the resolution of DOTE situations
For some items of defective on-train equipment, a competent person may be used to:
a)
Accompany the driver in the cab, as a mitigating measure when the defect affects incab indications of signals (e.g. Automatic Warning System (AWS), Train Protection
and Warning System (TPWS)) or forward visibility from the cab (the windscreen), or
to monitor driver alertness (Drivers Safety Device (DSD), vigilance device).
b)
Travel elsewhere in the train, such as the cab of the rear (empty) unit after operation
of the emergency bypass switch (EBS) following a brake defect or in passenger
accommodation after failure of the passenger communication apparatus (PCA) or
door-related defects.
G 2.2.3.2
Use of a competent person in the driving cab should be limited to allowing a train to reach
a location where other controls, such as reforming the train, can be applied as soon as is
reasonably practicable after a defect is discovered. The likelihood of driver distraction
increases the longer the competent person remains in the cab. DOTE contingency plans
should identify the approximate journey times for which a competent person could be
used, to enable those responsible for implementing plans to have clear guidance as to
the limits on such working.
G 2.2.3.3
The railway undertaking should check that the competent person accompanying the
driver has the necessary route knowledge. When the role of the competent person
requires the observation of signals (for example, defective AWS, TPWS or obscured
windscreen), route knowledge should be sufficient to enable the competent person to
identify, and interpret correctly, the signals and other indicators applicable to the train,
particularly when the route includes complex layouts. Where the defective equipment
relates to driver alertness, the competent person only needs to know how to stop the train
if the driver becomes incapacitated, but it would be advantageous for them to be aware
what response is required to in-cab warnings, such as AWS.
G 2.2.3.4
Where the primary purpose of a competent person is to reassure or provide information
to passengers, they may remain in place for the remainder of the journey, or the day.
G 2.2.3.5
GE/RT8000 module TW5 sets out the defective on-train equipment that require a
competent person to be used, and the operational consequences of using (or not using) a
competent person. GE/RT8000 also sets out the duties of a competent person for the
types of failure it includes. Railway undertakings should be aware that other documents,
such as Sectional Appendices and Local Instructions, may also provide specific
instructions according to the type of equipment and geographical circumstances.
G 2.2.4
G 2.2.4.1
Determining what is a suitable station
The DOTE contingency plan should identify, if necessary, the suitable stations at which
passengers in any train or vehicle with defective on-train equipment should be detrained.
G 2.2.4.2
In determining the suitability of a station for detraining passengers, the following factors
should be taken into account:
RSSB
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Guidance on Defective On-Train Equipment (DOTE)
a)
The potential number of passengers involved.
b)
The means of control and maintaining the safety of the detrained passengers.
c)
The ability to allow a train to remain at the station until alternative transport has been
arranged for passengers or staff (where this is the position, that fact should be
clearly stated).
d)
Provision of facilities for people with disabilities.
e)
Waiting facilities, for example, the provision of refreshments or toilet facilities.
f)
Ratio of available staff to the number of passengers being detrained.
g)
Communication facilities, for example, the coverage for mobile telephones or
provision of public telephones.
G 2.2.4.3
As part of the process for drafting a DOTE contingency plan, prior to submitting a draft
copy to the infrastructure manager responsible for managing the network, the railway
undertaking should liaise, discuss and, if possible, reach an agreement with the
infrastructure manager responsible for the management of the selected station involved,
that it is suitable for use as proposed.
G 2.2.5
Requirement for the distribution of draft and published DOTE contingency plans
Extract from GO/RT3437
Section 2.2.2 Requirement for the distribution of draft and published DOTE
contingency plans
2.2.2.1
Railway undertakings shall distribute a copy of their respective DOTE
contingency plan, in draft when they are in development, and in final published
format to the following:
a) The infrastructure manager responsible for the mainline railway.
b) Infrastructure managers responsible for stations where a DOTE contingency
plan states that passenger detrainments are permitted.
G 2.2.5.1
c) Other railway undertakings affected by the operation of a DOTE contingency
plan.
No guidance is provided for this requirement.
G 2.2.6
Requirement to monitor and amend a published DOTE contingency plan
Extract from GO/RT3437
Section 2.2.3 Requirement to monitor and amend a published DOTE contingency
plan
2.2.3.1
Railway undertakings shall monitor the effectiveness of a published DOTE
contingency plan in order to identify any shortcomings.
2.2.3.2
G 2.2.6.1
Railway undertakings shall amend and update their published plan if required
as a result of DOTE contingency plan monitoring.
Railway undertakings will have developed and published contingency plans that
specifically deal with what will happen in case of a train that has defective on-train
equipment. Once the plans have been published, there is a need to make sure that they
continue to work efficiently and correctly as intended. For this purpose, joint monitoring of
the effectiveness of published DOTE contingency plans should include the following:
a)
A review of the application of the DOTE contingency plan; this should crossreference the user application instructions as outlined in GE/RT8000 Rule Book,
module TW5, as well as any other relevant source publication (such as Sectional
Appendices or Local Instructions).
b)
A joint assessment of ‘on the day’ amendments to a DOTE contingency plan.
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Guidance on Defective On-Train Equipment (DOTE)
G 2.2.7
G 2.2.7.1
Dealing with exceptional circumstances
Where a railway undertaking finds that it is not possible to follow the agreed, published
DOTE contingency plan due to exceptional circumstances, the railway undertaking and
the infrastructure manager should discuss, resolve and document alternative
arrangements. Exceptional circumstances may include:
a)
Where the train involved is the first train off a branch line in the morning or the last
train at night.
b)
Equipment becoming defective where it is not possible to make alternative transport
arrangements for the passengers affected – special operating conditions may have
to be applied in such circumstances, such as speed restrictions or arranging with the
signaller for blocking or clearing of signals as appropriate.
c)
Where public disorder may result in a higher level of risk than if the train had been
allowed to continue in service.
d)
Temporary changes to the status of elements of the published DOTE contingency
plan, for example unforeseen reduction of staff at a station defined in the plan as
suitable.
e)
Where crowding in trains or on stations is at such a level it is likely to create a
serious safety incident.
G 2.2.7.2
Exceptional weather conditions are likely to affect the assumptions about alternative
transport arrangements that were used to compile the DOTE contingency plan. The likely
effects of weather on alternative transport arrangements should be considered as part of
the contingency arrangements.
G 2.2.7.3
In all of the above circumstances, the balance of risk between continuing in service with
the defect and the consequences of cancelling or reducing the capacity of trains, should
be taken into account and fully documented.
G 2.2.7.4
Alternative arrangements should not be applied to trains which have defective AWS,
ERTMS, TPWS or ATP.
G 2.2.8
Requirement to review DOTE contingency plans
Extract from GO/RT3437
Section 2.2.4 Requirement to review DOTE contingency plan
2.2.4.1
Railway undertakings shall review their published DOTE contingency plan
whenever the following occur:
a) Changes are made to routes over which they operate.
b) Changes to the train service pattern or the level of train service are made
that affect a published DOTE contingency plan.
c) Changes are made to their rolling stock fleet.
d) Removals, modifications, additions and/or withdrawals are made to on-train
equipment.
e) Changes are made to the rolling stock maintenance arrangements that affect
a published DOTE contingency plan.
f) Changes are made to facilities, either temporary or permanent, at stations
identified for the detraining of passengers in a published DOTE contingency
plan.
G 2.2.8.1
RSSB
g) After an issue arising from an application of the DOTE contingency plan.
No guidance is provided for this requirement.
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Guidance on Defective On-Train Equipment (DOTE)
G 2.2.9
G 2.2.9.1
Reviews of published plans when circumstances change
Any review should be a robust critique of the DOTE contingency plan and should result in
an action plan being developed to improve the clarity and content of the plan and to
address any identified deficiencies.
G 2.2.9.2
The critique should be based upon the application of the DOTE contingency plan and
involve those who have had to use it, regardless of which employer is involved, and as
such should include infrastructure managers.
G 2.2.9.3
When factors a) to f) of section 2.2.4.1 prompt a review of the DOTE contingency plan,
the review should identify the effects of the change in operation or circumstance and any
amendments that should be made to the plan. Any amendments to the plan should then
be made in accordance with the normal process.
G 2.2.9.4
Factor c) of 2.2.4.1 uses the term ‘fleet’; this refers to changes to the classes of trains
operated by the railway undertaking. For example, the introduction of a new class of
traction into a railway undertaking’s operations might cause changes to be made to
DOTE plans.
G 2.2.9.5
Factor d) of 2.2.4.1 refers to changes (such as technical updates and equipment
modifications) that might be made to the classes of trains already being operated by the
railway undertaking.
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Guidance on Defective On-Train Equipment (DOTE)
Appendix A List of on-train equipment for inclusion in DOTE
contingency plans
The content of this appendix is mandatory.
The content of this appendix details the minimum list of on-train equipment for
which DOTE contingency plans shall be produced (a cross reference to the
corresponding sections of GE/RT8000 Rule Book Module TW5, unless otherwise
shown, is provided):
1)
2)
3)
4)
5)
6)
7)
8)
9)
10)
11)
12)
13)
14)
15)
16)
17)
18)
19)
20)
21)
22)
23)
24)
25)
26)
27)
28)
29)
30)
31)
32)
33)
34)
RSSB
Air suspension (Section 3)
Automatic Dropping Device (Module AC – Section 12).
Automatic Train Protection (ATP) (not in the Rule Book).
Automatic Warning System (AWS) (Section 4)
Brake defects (Section 5)
Doors (external) – general guidance (Section 6)
Door defects on passenger vehicles (Section 6)
Doors (external) – defects in service at any location. Guidance specific to
power operated doors (Section 6)
Doors (external) – defects in service at any location. Guidance specific to
central locking (Section 6)
Driver’s Reminder Appliance (DRA)(Section 7)
Driver’s Safety Device (DSD) (Section 8)
Driving cab windows - broken or obscured (Section 9)
Driving controls defective (Section 10)
Emergency Bypass Switch (EBS) (Section 11)
ERTMS Equipment (Section 12)
Headlights, marker lights and tail lamps (Section 14)
Hot axle boxes and activation of lineside hot axle box detectors (Section 15)
Lifeguards (Section 16)
Locked wheels / wheel flats / shifted tyres / dragging brakes (Section 26)
On-Train Data Recorder (OTDR) (Section 17)
Public Address system - DO trains (Section 18)
Sanding equipment to assist train braking (Section 19)
Selective Door Opening (Section 20)
Speedometer (Section 21)
Tilt Authorisation and Speed Supervision system (TASS) (tilting trains only)
(Not in the Rule Book)
Track Circuit Actuators (TCA) (Section 22)
Traction Interlock Switch (TIS) - DO passenger trains (Section 23)
Traction Interlock Switch (TIS) - Other passenger trains (Section 23)
Train Protection and Warning System (TPWS) (Section 24)
Train radio equipment (Section 25)
Tripcocks (not in the Rule Book)
Vigilance equipment (Section 8)
Warning horn (Section 27)
Wheel Slide Protection (WSP) equipment (Section 28)
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Guidance on Defective On-Train Equipment (DOTE)
Air Suspension
G A.1.1.1
Trains should not be permitted to enter service from a maintenance depot if the air
suspension is not inflated on any bogie.
G A.1.1.2
Trains are permitted to enter service from other than a maintenance depot if the air
suspension is not inflated on any bogie, but will be subject to any speed restrictions
imposed by company instructions.
G A.1.1.3
If the air suspension becomes deflated on any vehicle when in service, the train may
continue in service but will be subject to any speed restrictions imposed by company
instructions.
G A.1.1.4
Consideration should be given to any gauge constraints applicable to vehicles with
deflated air suspension on the routes the train will operate over.
Automatic Dropping Device (ADD)
G A.1.2.1
If the Automatic Dropping Device becomes defective on a train in service, the train may
complete its journeys for the remainder of the day provided its final journey ends at a
maintenance depot. Any movement of the train should be in accordance with the Rule
Book, GE/RT8000 module AC.
Automatic Train Protection (ATP)
G A.1.3.1
If the Automatic Train Protection becomes defective on a train in service, the train should
proceed only as far as the next available location. In the case of a passenger train, the
passengers should be detrained at the first suitable station, after which the train should
proceed only as far as the next available location. It should be noted that the instructions
to train drivers and other staff involved in dealing with defective ATP equipment are
published by Network Rail in the Sectional Appendices applicable to the routes on which
ATP is installed and do not appear in the GE/RT8000 Rule Book.
Automatic Warning System (AWS)
G A.1.4.1
A train should not be permitted to enter service from a maintenance depot if the AWS is
defective, isolated or the seal is broken in any cab that is required to be driven from with
AWS in operation.
G A.1.4.2
A train is permitted to enter service (but not passenger service) from other than a
maintenance depot if the AWS is defective, isolated or the seal is broken in the cab to be
driven from with AWS in operation, to travel to a maintenance depot.
G A.1.4.3
A train or traction unit on which the AWS is defective, isolated or the seal is broken on the
isolating handle may be allowed to enter service from other than a maintenance depot as
long as:
a)
The AWS will not be required to be used.
b)
It is a non-passenger train making a movement to a maintenance depot.
G A.1.4.4
If the Automatic Warning System becomes defective on a train not fitted with ERTMS in
service, and if operating over a line fitted with AWS, the train should proceed only as far
as the next available location. In the case of a passenger train, the passengers should
be detrained at the first suitable station, after which the train should proceed only as far
as the next available location.
G A.1.4.5
If a train is operating on a line on which AWS is not fitted and the on train AWS
equipment becomes defective, consideration should be given as to whether the train will
at any point operate over a line fitted with AWS whilst the on train AWS equipment is
defective.
G A.1.4.6
If the AWS becomes defective on a train in service, but ATP is available and operational,
the train may continue its journey provided it remains in an ATP fitted area.
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Guidance on Defective On-Train Equipment (DOTE)
G A.1.4.7
If a competent person is available to accompany the driver, the guidance contained at G
2.2.3 of this document should be used to determine how far the train can proceed and
any movements should be made in accordance with the Rule Book module TW5.
Brake defects
G A.1.5.1
If the automatic brake system becomes defective on a train in service, the train or vehicle
should proceed in accordance with the instructions set out in the Rule Book, GE/RT8000
module TW5.
Doors (external) – general guidance
G A.1.6.1
The railway undertaking’s staff should be provided with instructions and guidance for
implementing their DOTE contingency plan in respect of external door defects. The
instructions should address in particular:
a)
Where the only door in the train that gives access to, or egress from,
accommodation for passengers with reduced mobility is defective.
b)
When a decision is required about placing the affected vehicle out of passenger use
but allowing the train or unit to remain in service, or withdrawing the train or unit.
G.A.1.6.2
Before a passenger train is permitted to enter service with more than two defective doors
on one or both sides of the train, consideration should be given to the likely effect on
station dwell times.
G.A.1.6.3
If a door cannot be closed, module TW5 of the Rule Book states that the signaller should
be told and instructions obtained. Appropriate actions in accordance with the Rule Book
should be taken in situations where open doors (such as plug type) would cause a train
or vehicle to become out of gauge when a train is worked forward with the defective door
open.
G.A.1.6.4
The DOTE contingency plan should take account of the operational impact of the train or
unit not entering service as planned, for example:
a)
Cancellation of train services, especially the first and last advertised trains and
infrequent services.
b)
Overcrowding of trains and station platforms and increased station dwell times.
c)
The planned diagram for the vehicle or unit before the defect can be repaired.
d)
Alternative access and egress available for passengers, in normal service and in
emergencies (including for passengers with reduced mobility).
G.A.1.6.5
The DOTE contingency plan should take account of the practicability of preventing
passenger access to the vehicle if it remains in service.
G.A.1.6.6
It is advisable that DOTE contingency arrangements plan for the affected vehicle to be
taken out of service for repair within 24 hours of it entering service with the defective
door. Though research into the risks from keeping a train in service (subject to the
limitations indicated) shows that they are lower than the risks to passengers from
cancelled or overcrowded trains caused by withdrawal of the affected unit, the risks
increase if the train remains in service with defective doors longer than 24 hours.
G.A.1.6.7
When doors are locked out of use, consideration should be given to the method of
advising passengers that the emergency egress devices at the affected doors will still be
operable (if this is the case). This information could be provided by the use of signs,
public address announcements or by the provision of a member of staff at the affected
doors.
RSSB
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GO/GN3637 Issue two final: September 2015
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Guidance on Defective On-Train Equipment (DOTE)
Door defects on passenger vehicles
G A.1.7.1
‘A Door’ includes a pair of doors at the same door opening.
G A.1.7.2
The Rule Book GE/RT8000 requires the vehicle concerned to be placed out of public use
if:
G.A.1.7.3
a)
all doors including those only available to the public for use as an emergency exit
are defective on one or both sides of the vehicle and the nearest door on the next
vehicle is also defective.
b)
a door only used as an emergency exit at the leading end of the first passenger
vehicle or the trailing end of the last one.
The Rule Book GE/RT8000 allows a vehicle to remain in public use with permission from
operations control if the following doors are defective:
a) all doors including those only available to the public for use as an emergency exit on
one or both sides of the vehicle but the nearest door on the next vehicle is available for
use.
b) a door at the leading end of the first passenger-carrying vehicle.
c) a trailing-end door of the last passenger-carrying vehicle.
The following colours show:
Yellow door – Door out of use.
Black door – An emergency door that is out of use.
Red coach – Passengers cannot travel in this vehicle.
Yellow coach – Permission needed for passengers to use vehicles.
Green coach – Passengers can travel in this vehicle.
Leading end door and Trailing end door defective
All doors out of use on one vehicle – nearest door on next vehicle available
All doors out of use on one vehicle – nearest door on next vehicle not available
End doors out of use at a vehicle end with no gangway
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GO/GN3637 Issue two final: September 2015
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Guidance on Defective On-Train Equipment (DOTE)
Emergency door at leading or trailing end out of use.
Doors (external) – defects in service at any location. Guidance specific to power
operated doors
G A.1.8.1
If there is a failure of the door operating controls at all positions on a train with power
operated doors, the guard should either release a train crew door, or use an emergency
door release facility to release one door. If this is not possible, passengers should be
detrained at the first suitable station and the train should proceed only as far as the next
available location. The driver should report the circumstances to the signaller and act in
accordance with the instructions given.
G A.1.8.2
If a door cannot be closed, module TW5 of the Rule Book states that the signaller should
be told and instructions obtained. Appropriate actions in accordance with the Rule Book
should be taken in situations where open doors (such as plug type) would cause a train
or vehicle to become out of gauge when a train is worked forward with the defective door
open.
G A.1.8.3
If there is a failure of a Door Key Switch (DKS) and the only other DKS is in the driving
cab from which the train is being driven, the train may complete its journey. If the doors
are to be operated by a guard they should not enter the driving cab to use the DKS until
the train has come to a stand.
Doors (external) – defects in service at any location. Guidance specific to central
locking
G A.1.9.1
If there is a failure of the door operating controls at all positions on a train with slam doors
that are fitted with central locking, and it is practicable to release the emergency lock on
one door, and to allow passengers to alight from or enter the train through that door,
passengers should be detrained at the first suitable station and the train should proceed
only as far as the next available location.
G A.1.9.2
On a train with slam doors fitted with central locking, if the central locking becomes
defective on all doors of a vehicle, and it is practicable to place the vehicle out of use and
transfer the passengers to another vehicle, the train may continue its journey. If this is
not possible, passengers should be detrained at the first suitable station and the train
should proceed only as far as the next available location.
Driver’s Reminder Appliance (DRA)
G A.1.10.1
A train should not be permitted to enter service from a maintenance depot if the DRA is
defective in any cab that will be driven from with the DRA required to be used.
G A.1.10.2
A train is permitted to enter service, from a location other than a maintenance depot if the
DRA is isolated in any cab that will be driven from with the DRA required to be in use. But
arrangements should be made for the train to make its last journey to a maintenance
depot.
G A.1.10.3
If the DRA becomes defective when it is in service, the train may continue normally,
subject to the considerations at G A.1.10.4 of this document, but arrangements should be
made for the train to make its last journey to a maintenance depot.
G A.1.10.4
DOTE contingency plans should consider, when determining how long a train may remain
in service with a defective DRA, the likely number of occasions that trains will be stopped
at signals and the extent to which drivers are reliant on its use.
Driver’s Safety Device (DSD)
G A.1.11.1
RSSB
A train should not be permitted to enter service from a maintenance depot if the DSD is
defective or isolated in any cab that is required to be used.
Page 15 of 30
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Guidance on Defective On-Train Equipment (DOTE)
G A.1.11.2
A train is permitted to enter service (but not passenger service) from other than a
maintenance depot if the DSD is defective or isolated in the cab to be used, to travel to a
maintenance depot, provided AWS or TPWS are operative.
G A.1.11.3
If the DSD becomes defective on a train in service and AWS or TPWS are operative, the
train should proceed only as far as the next available location. In the case of a passenger
train, the passengers should be detrained at the first suitable station, after which the train
should proceed only as far as the next available location subject to the limitations shown
in GE/RT8000 module TW5.
G A.1.11.4
Details for dealing with a train on which the DSD is defective and either the AWS or
TPWS are not operative are shown in GE/RT8000 module TW5.
G A.1.11.5
If the DSD becomes defective on a train in service and both AWS and TPWS are not
operative, the train should not make any further movement until a competent person is
provided. In the case of a passenger train, the passengers should be detrained at the
first suitable station, after which the train should proceed only as far as the next available
location.
G A.1.11.6
A train on which the DSD is defective or isolated in any cab that is required to be used
and on which the AWS and TPWS are not operative, may be permitted to enter service
(not passenger service) from other than a maintenance depot to travel to a maintenance
depot, as long as a competent person is provided.
G A.1.11.7
A train on which the DSD is defective or isolated in any cab that is required to be used
may enter passenger service, provided the routes over which it will operate are fitted with
ATP and all cabs in which the train will be driven are fitted with ATP which is operable.
G A.1.11.8
A train in service on which the DSD is defective or isolated may continue its journey
provided it remains in an ATP fitted area and the cab from which it is being driven is fitted
with ATP which is operable.
G A.1.11.9
If the DSD becomes defective or isolated and the ERTMS is working correctly, the train
can continue normally as long as it will only operate over a line on which ERTMS is in
operation. Consideration should be taken for plans to be made should the train be
required to leave a line on which ERTMS is in operation whilst the DSD is defective or
isolated.
G A.1.11.10
If the DSD becomes defective or isolated and the ERTMS is not working correctly and
required for use, the train should not make any further movement until a competent
person is provided.
G A.1.11.11
Details for dealing with the train when a competent person is available to accompany the
driver, including setting out the duties of the competent person, are shown in GE/RT8000
module TW5.
Driving cab windows - broken or obscured
G A.1.12.1
A train should not be permitted to enter service from a maintenance depot if any cab
window is broken or obscured and prevents the driver obtaining a clear view of the line
ahead or train dispatch equipment.
G A.1.12.2
If a train is to enter service from other than a maintenance depot with a broken or
obscured windscreen, appropriate action should be taken. This may include reducing the
speed of the train. If the train cannot proceed safely the signaller should be informed and
a competent person may be required to assist the driver.
G A.1.12.3
In the event of a report from a driver that the driving cab windscreen is broken or
obscured, and the driver considers that the safe operation of the train will be affected, the
driver’s judgement, together with the availability of a competent person to accompany the
driver, should be taken into account in determining how long the train may continue safely
in service.
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GO/GN3637 Issue two final: September 2015
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Guidance on Defective On-Train Equipment (DOTE)
G A.1.12.4
GE/RT8000 module TW5 sets out the duties of a competent person accompanying the
driver when the cab windscreen is broken or obscured.
Driving controls defective
G A.1.13.1
If the driving controls become defective in the leading cab the train should proceed only
to the first location where it can clear the running line.
G A.1.13.2
It may be necessary for a competent person to be provided to assist with the movement.
Emergency Bypass Switch (EBS)
G A.1.14.1
The Emergency Bypass Switch is a device operated by the driver to restore brake control
following defects in the brake continuity on train formations with ‘energise to release’
electric brake control (predominantly multiple-units). Once operated, other safety systems
are isolated, e.g. the train brake system no longer has the function of brake (train)
continuity detection (for train divisions) and passenger communication alarms may be
disabled on certain fleets. As a consequence, it will not be possible to apply the
emergency brake in any other driving cab than the one from which the train is being
driven.
G A.1.14.2
A train should not be allowed to enter service from a maintenance depot if the EBS has
been operated in any cab.
G.A.1.14.3
A train can enter service (but not passenger service) with the EBS operated to travel to a
maintenance depot for repair as long as permission has been given and the signaller has
been informed. If the train is formed of more than one unit, a guard or competent person
should be provided.
G.A.1.14.4
If the EBS is operated whilst in passenger service and the train is formed of more than
one multiple unit, if possible, all passengers should be transferred to the leading unit. A
guard or competent person should travel in the rear unit.
ERTMS Equipment
G A.1.15.1
A train or traction unit may not be permitted to enter service from a maintenance depot if
the on-board ERTMS equipment is not working in any cab which is required to be driven
from with ERTMS in operation.
G A.1.15.2
A train or traction unit on which ERTMS is not operative may be allowed to enter service
from other than a maintenance depot as long as the ERTMS will not be required to be
used.
G A.1.15.3
A train or traction unit may be allowed to enter service from other than a maintenance
depot, where ERTMS is in operation, with ERTMS not working in a cab to be driven from
over a line on which ERTMS is in operation as long as one of the following applies:
a) On a line where lineside signals are provided, both AWS and TPWS are operating.
b) On a line where lineside signals are not provided, to travel (not in passenger service)
to a maintenance depot for repair.
G.A.1.15.4
If ERTMS becomes defective when it should be in operation on a line fitted with lineside
signals and AWS and TPWS are operating, the train may proceed obeying all lineside
signals. If AWS and TPWS are not operating it will be necessary for the train to proceed
but under degraded working conditions.
G.A.1.15.5
If ERTMS becomes defective when it should be in operation and AWS and TPWS are not
operating, it will be necessary for the signaller to authorise the driver to pass each end of
authority without a movement authority in line with rule book module S5 passing a signal
at danger or an end of authority (EOA) without a movement authority (MA).
G.A.1.15.6
If an ERTMS failure occurs when required to be in operation over a line not fitted with
lineside signage. Consideration would need to be given to extended journey times over
the portion of line affected.
RSSB
Page 17 of 30
GO/GN3637 Issue two final: September 2015
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Guidance on Defective On-Train Equipment (DOTE)
Headlights, marker lights and tail lamps
G A.1.16.1
A traction unit should not enter service from a maintenance depot if any headlight, tail
lamp or marker light is not working on any vehicle that is required to be at the front or rear
of a train.
G A.1.16.2
A train may enter service, from other than a maintenance depot, with a failed headlight as
long as a portable headlight has been provided.
G A.1.16.3
If the headlight completely fails when in service a train can proceed at reduced speed (20
mph/30km/h) until such point as a portable headlight can be provided, during this
movement a white light is required to be displayed at the front of the train. Once the
portable headlight has been fitted the train can proceed at a higher speed (75 mph/120
km/h).
G A.1.16.4
A train can enter service with a defective tail lamp if it is fitted with two tail lamps and one
is working, or a portable tail lamp is provided.
G A.1.16.5
If a built-in tail lamp becomes defective on a train in service resulting in no tail lamp being
displayed, and a portable tail lamp is provided, the train may continue in service until its
next scheduled visit to a maintenance depot.
G A.1.16.6
If a portable tail lamp is not available the train should proceed only as far as the next
available location.
G A.1.16.7
If a train with two built-in tail lamps enters service with one lamp defective, the train may
complete its journeys for the remainder of the day, provided that its final journey of the
day ends at a maintenance depot.
Hot axle boxes and activation of lineside hot axle box detectors
G A.1.17.1
A train, traction unit or vehicle should not be allowed to enter service with a hot axle box.
G A.1.17.2
If a hot axle box is detected by any means, and if the driver decides (in accordance with
the Rule Book GE/RT8000 TW5) that the train may go forward for examination by a
rolling stock technician, the train should proceed only as far as the next available location.
The judgement of the rolling stock technician should form the basis of any decision
regarding what further measures need to be applied, for example, detaching the affected
vehicle.
G A.1.17.3
If the driver decides that the train may go forward only after examination by a rolling stock
technician, the judgement of the rolling stock technician should be relied upon in
determining what further measures need to be applied.
Lifeguards
G A.1.18.1
A train should not be permitted to enter service with a loose or damaged lifeguard.
G A.1.18.2
A train should not be permitted to enter service with a missing lifeguard at the leading end
of the train.
G A.1.18.3
If a lifeguard on a train or vehicle in service is loose or damaged, it may become a hazard
to the infrastructure with the potential to cause derailment. The driver may decide, in
accordance with the GE/RT8000 Rule Book TW5, that the train may proceed forward only
after examination by a rolling stock technician. The judgement of the rolling stock
technician should form the basis of any decision regarding what further measures need to
be applied.
Locked wheels / wheel flats / shifted tyres / dragging brakes
G A.1.19.1
In the event of locked wheels, wheel flats, shifted tyres or dragging brakes on a train or
vehicle in service, and the driver decides that the train may proceed forward for
examination by a rolling stock technician, the train should proceed only as far as the next
available location. The judgement of the rolling stock technician should form the basis of
any decision regarding what further measures need to be applied.
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GO/GN3637 Issue two final: September 2015
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Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Guidance on Defective On-Train Equipment (DOTE)
G A.1.19.2
GM/RT2466 Railway Wheelsets sets out requirements for railway wheelsets.
On-Train Data Recorder (OTDR)
G A.1.20.1
A train may enter service from any location with a defective On-Train Data Recorder in the
cab required to be used provided there is another data recorder on the train which is
functioning correctly. The train may complete its journeys for the rest of the day. Railway
undertakings should be aware that OTDRs other than the one located at the driving cab
from where the train is being driven may not record the same range of drivers’ activities
(such as AWS/TPWS).
G A.1.20.2
If the OTDR in a cab that is required to be used becomes defective on a train in service,
the railway undertaking concerned should apply their contingency arrangements for this
defect as if it had been found on entry into service.
Public Address system - DO trains
G A.1.21.1
On DO (passenger) trains, the Public Address system (PA) provides a means of
communication between the controlling signaller and passengers in the event of the
driver becoming incapacitated.
G A.1.21.2
In the event of:
a)
A DO train entering service from other than a maintenance depot with a defective PA
system in any vehicle.
Or
b)
The PA system on a DO train becoming defective in any vehicle in service.
The train may complete its journeys for the rest of the day as long as the passengers can
be moved to a vehicle in which the PA is working and the affected vehicle placed out of
passenger use. The final journey of the day should finish at a maintenance depot.
G A.1.21.3
If a competent person, who has access to the affected vehicle(s), is available to provide
safety information to passengers, the train may complete its journeys for the rest of the
day, provided it completes its last journey at a maintenance depot.
Sanding equipment to assist train braking
G A.1.22.1
A train should not be permitted to enter service from a maintenance depot if the sanding
equipment is defective or the sand boxes are empty.
G A.1.22.2
A train is permitted to enter service from other than a maintenance depot if the sanding
equipment is defective or the sand boxes are empty, except where the driver believes
that there may be difficulty in stopping the train. In all circumstances, the train should end
its final journey of the day at a location where the sand can be replaced, the sanding
equipment repaired, or a maintenance depot.
G A.1.22.3
If sanding equipment that is used to assist train braking becomes defective on a train in
service, or if the supply of sand is completely exhausted, the train should end its final
journey of the day at a location where the sand can be replaced, the sanding equipment
repaired, or a maintenance depot.
G A.1.22.4
If the driver believes that there may be difficulty in stopping the train if it was to continue
in service, the train should proceed only as far as the next available location, if necessary
at reduced speed. In the case of a passenger train, the train may proceed at reduced
speed to the next available location to detrain passengers, or passengers should be
detrained at the first suitable station, depending on the judgement of the driver.
RSSB
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GO/GN3637 Issue two final: September 2015
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Supersedes GOGN3637 Iss 1 on 05/12/2015
Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Guidance on Defective On-Train Equipment (DOTE)
Selective Door Opening
G A.1.23.1
If the Selective Door Opening (SDO) facility, which is required to be used, becomes
defective on a train in service or on a train entering service from other than a
maintenance depot, the train may complete its journeys for the remainder of the day,
provided that measures can be put in place to control the hazard to passengers of
opening doors where there is no platform. Consideration should be given to the number
of short platforms on the route, availability of public address systems and competent staff
on trains and at stations, and the likelihood of local awareness of passengers of the
hazard (for example daily commuters compared with infrequent travellers). Measures
may include:
a)
Providing a competent person in the affected vehicle to prevent egress where there
is no platform.
b)
Use of the Public Address system.
c)
Locking the affected door(s) out of use.
d)
Transferring passengers from the affected vehicle(s) and for the vestibule doors on
the affected vehicle(s) to be locked.
e)
Reducing the length of the train.
f)
Changing the stopping pattern to avoid the short platforms.
g)
Redeploying the train to another route without short platforms.
G A.1.23.2
The train should end its final journey of the day at a maintenance depot.
G A.1.23.3
If alternative measures cannot be applied, passengers should be detrained at the first
suitable station.
Speedometer
G A.1.24.1
A train or traction unit should not be allowed to enter service unless there is a working
speedometer in any driving cab which is required to be driven from.
G A.1.24.2
If no operative speedometer is available in any cab required to be used on a train in
service, the train should proceed only as far as the next available location.
G A.1.24.3
An alternative speedometer might be provided by the Train Management System (TMS)
or other systems. If the size of the display and location in the cab allows it to be viewed
and read from the normal driving position, it can be considered as an operative
speedometer. This information should be included in the working instructions for each
class of traction unit or shown in the contingency plan.
Tilt Authorisation and Speed Supervision system (TASS) (tilting trains only)
G A.1.25.1
The DOTE contingency plan should identify the hazards associated with Tilt Authorisation
and Speed Supervision (TASS) systems becoming defective in service and the controls
for those hazards. Provided that the train tilt system has failed in the tilt centred position
(“right side” failure), such controls might include allowing the train to run at permissible
speed (not enhanced permissible speed - EPS), or confining the train to routes where
there is no TASS lineside equipment.
G A.1.25.2
If the Speed Supervision system becomes defective when a train is in service, the train
may complete its journeys for the remainder of the day provided its final journey ends at a
maintenance depot. In such circumstances, the train may only proceed at permissible
speed (not enhanced permissible speed).
G A.1.25.3
If the Tilt Authorisation system becomes defective when a train is in service then the train
may complete its journeys for the remainder of the day provided its final journey ends at a
maintenance depot.
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Supersedes GOGN3637 Iss 1 on 05/12/2015
Amendments to this document are published on RSSB Standards Catalogue http://www.rssb.co.uk/railway-group-standards
Guidance on Defective On-Train Equipment (DOTE)
Track Circuit Actuators (TCA)
G A.1.26.1
A train may enter service from other than a maintenance depot with one or more TCAs
isolated provided that for a train composed of one or two vehicles, there is at least one
TCA working on the train, or if the train is composed of three or more vehicles there is a
TCA working on either of the first two vehicles and a TCA working on either of the last
two vehicles. If a TCA becomes defective whilst in service GE/RT8000 module TW5 sets
out the requirements for when a train may continue normally, or should only proceed as
far as the next location.
Traction Interlock Switch (TIS) - DO passenger trains
G A.1.27.1
If the Traction Interlock Switch (TIS) has been isolated on a train in service, the
passengers should be detrained at the first suitable station. The train should then
proceed only as far as the next available location.
Traction Interlock Switch (TIS) - Other passenger trains
G A.1.28.1
A train should not enter service if the TIS has been operated or is unsealed in any cab.
G A.1.28.2
On lines where the risk is low, for example passenger numbers are low and trains are
one or two vehicles in length, consideration should be given to allowing the train to
remain in service to the end of the day, provided its last journey is to a maintenance
depot and a competent person is provided with access to each vehicle of the train.
Train Protection and Warning System (TPWS)
G A.1.29.1
A train should not be permitted to enter service from a maintenance depot if TPWS is not
working in any cab which is required to be driven from with the TPWS in operation.
G A.1.29.2
A train is permitted to enter service (but not passenger service) from other than a
maintenance depot if TPWS is defective, when it is required to be in use, for one
movement directly to a maintenance depot.
G A.1.29.3
If the TPWS becomes defective on a train in service, but ATP is available and
operational, the train may continue its journey provided it remains in an ATP fitted area.
G A.1.29.4
A train or traction unit on which TPWS is not operative may be allowed to enter service
from other than a maintenance depot as long as the TPWS will not be required to be
used.
G A.1.29.5
If the TPWS becomes defective or fails to activate when it should have done, on a train
on which TPWS should be fully operational, the train should proceed only as far as the
next available location. GE/RT8000 module TW5 details the operational consequences
when a competent person is available to accompany the driver and sets out the duties of
the competent person.
Train radio equipment
G A.1.30.1
A train or traction unit should not enter service with a defective GSM-R radio unless an
operative portable or transportable radio is provided in the cab to be used.
G A.1.30.2
A defective GSM-R cab radio is considered to be one that displays:
G A.1.30.3
RSSB
a)
Failure XX.
b)
MT Fatal.
c)
Cab Radio Flt.
d)
EPROM/RAM Flt.
e)
A blank screen.
If a GSM-R cab radio cannot be registered for any reason but it displays GSM-R GB,
indicating that it is attached to the network, it should be assumed that it is operative and
capable of sending and receiving calls (including Railway Emergency Calls).
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Guidance on Defective On-Train Equipment (DOTE)
G A.1.30.4
Radio Electronic Token Block (RETB) is an essential part of the train movement control
system, therefore a train should not enter service from any location without the operative
cab equipment. If a train radio becomes inoperative in service, the instructions published
for the operation of the system for the route concerned contain the measures to be taken
by the driver. Contingency arrangements involving passengers should take account of
the remoteness of, and availability of road access to, areas served by some routes using
RETB.
Tripcocks
G A.1.31.1
If a tripcock becomes defective on a train in service, the train should proceed only as far
as the next available location. In the case of a passenger train, the passengers should
be detrained at the first suitable station, after which the train should proceed only as far
as the next available location. The instructions to train drivers and other staff involved for
dealing with defective tripcocks are published by Network Rail in the Regional Sectional
Appendices applicable to the routes on which tripcocks are used.
Vigilance equipment
G A.1.32.1
A train should not be permitted to enter service from a maintenance depot if the vigilance
is defective or isolated in any cab that is required to be used.
G A.1.32.2
A train is permitted to enter service (but not passenger service) from other than a
maintenance depot if the vigilance is defective or isolated in the cab to be used, to travel
to a maintenance depot, provided AWS and TPWS are operative.
G A.1.32.3
If a train is proceeding to a maintenance depot, it may enter passenger service if driven
from an unaffected cab.
G A.1.32.4
If the vigilance equipment becomes defective in service and AWS and TPWS are
operative, the train should proceed only as far as the next available location. In case of a
passenger train, the passengers should be detrained at the first suitable station, after
which the train should proceed only as far as the next available location subject to the
limitations shown in GE/RT8000 module TW5.
G A.1.32.5
If the vigilance equipment becomes defective on a train in service and AWS and TPWS
are not operative, the train should not make any further movement until a competent
person is provided. In the case of a passenger train, the passengers should be detrained
at the first suitable station, after which the train should proceed only as far as the next
available location.
G A.1.32.6
A train on which the vigilance is defective or isolated in any cab that is required to be
used and on which the AWS and TPWS are not operative, may be permitted to enter
service (not passenger service) from other than a maintenance depot, to travel to a
maintenance depot, as long as a competent person is provided.
G A.1.32.7
A train on which the vigilance is defective or isolated in any cab that is required to be
used may enter passenger service provided the routes over which it will operate are fitted
with ATP and all cabs in which the train will be driven are fitted with ATP which is
operable.
G A.1.32.8
A train in service on which the vigilance is defective or isolated may continue its journey
provided it remains in an ATP fitted area and the cab from which it is being driven is fitted
with ATP which is operable.
G A.1.33
Warning horn
G A.1.33.1
A train should not be permitted to enter service from a maintenance depot if the warning
horn is defective in any cab that is required to be used.
G A.1.33.2
If a train enters service from other than a maintenance depot with the warning horn
partially defective, or if there is a partial failure of the horn, for example one tone not
working, on a train in service, the train may complete its journeys for the remainder of the
day, provided that its final journey of the day ends at a maintenance depot.
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Guidance on Defective On-Train Equipment (DOTE)
G A.1.33.3
When the warning horn becomes completely defective on a train in service, the train
should proceed only as far as the next available location.
G A.1.34
Wheel Slide Protection (WSP) equipment
G A.1.34.1
A train should not be permitted to enter service from a maintenance depot if the WSP
equipment is defective.
G A.1.34.2
A train is permitted to enter service (but not passenger service) from other than a
maintenance depot if the WSP is defective, for one movement directly to a maintenance
depot, except where the driver believes that there may be difficulty in stopping the train.
G A.1.34.3
If the WSP becomes defective on a train in service, the train should end its final journey
of the day at a maintenance depot. The following factors should be taken into account in
determining whether the train can complete its journeys for the remainder of the day
provided its final journey of the day ends at a maintenance depot:
G A.1.34.4
RSSB
a)
The driver believes that local track conditions are making the train difficult to stop.
b)
Weather conditions could make the train difficult to stop.
If it is decided that the train should not continue in service, then the train should proceed
only as far as the next available location. In the case of a passenger train, the
passengers should be detrained at the first suitable station before that location.
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Guidance on Defective On-Train Equipment (DOTE)
Appendix B List of on-train equipment to be considered for
inclusion in DOTE contingency plans
Extract from GO/RT3437
Appendix B
The content of this appendix details items of on-train equipment which should be
considered by railway undertakings for inclusion in their DOTE contingency plans:
1)
Bodyside windows.
2)
Cab heating/cooling equipment.
3)
Fire detection systems.
4)
Hydraulic buffers.
5)
On-train emergency equipment.
6)
Passenger Communication Apparatus (PCA).
7)
Public Address system – Non-DO trains.
8)
Train lighting (internal).
9)
Vehicle couplings.
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Guidance on Defective On-Train Equipment (DOTE)
G.B.1.1
Bodyside windows
G.B.1.1.1
If a train or vehicle enters service from other than a maintenance depot with a broken
bodyside window, or if a bodyside window is broken on a train or vehicle in service, it may
complete its journeys for the remainder of the day.
G.B.1.1.2
If a vehicle is permitted to travel above 100mph, it should not exceed 100mph unless the
railway undertaking is satisfied that the aerodynamic shock from passing trains will not
pose a risk of damage to a passing train due to the failure of the damaged window.
G.B.1.1.3
A window with a crack longer than 80mm is normally considered to be broken. If, in the
circumstances, the railway undertaking is satisfied that:
a)
The measures in place, such as an emergency window, boarding up of the broken
window or locking off the vehicle, are sufficiently robust to remain effective to control
risks to passengers and others for a longer period than the day of the breakage, and
b)
The measures can be monitored
The train may continue in service until the time when originally scheduled to arrive at a
maintenance depot, rather than divert it specially to a maintenance depot at the end of
the day.
G.B.1.1.4
When considering whether a measure is robust in this context, the impact of normal
operating conditions including speed, tunnels and passing trains should be considered.
G.B.1.1.5
A train should not be permitted to enter service from a maintenance depot with a broken
window.
G.B.1.2
Cab heating / cooling equipment
G.B.1.2.1
In the event of a report from a driver that the cab heating or cooling equipment is
defective, and the driver considers that the safe operation of the train will be affected, the
driver’s judgement should be taken into account in determining for how long the train may
continue safely in service. Remarshaling multiple units to prevent the affected cab from
being used is a possible short-term alternative measure.
G.B.1.3
Fire detection systems
G.B.1.3.1
If the fire detection system on a train which is in service, controlling fire hazards to
passenger accommodation, becomes defective, the train should proceed only as far as
the next available location. Passengers should, if necessary, be detrained at the first
suitable station.
G.B.1.3.2
The train, however, may complete its journeys for the rest of the day provided that it ends
its final journey at a maintenance depot if the fire detection system is, for example, for an
engine, and that engine can be isolated thereby adequately reducing the hazard the fire
detection system was controlling.
G.B.1.4
Hydraulic buffers
G.B.1.4.1
Defective hydraulic buffers may affect the safe movement of the train and lead to
derailment, particularly on curves. If a train or vehicle has developed defective hydraulic
buffers, the train should proceed only as far as the next available location. In the case of
a passenger train, the passengers should, if necessary, be detrained at the first suitable
station.
G.B.1.4.2
Consideration should be given to the potential effects of the curvature of the line over
which the train is to travel and to reducing the speed of the train in order to prevent the
possibility of derailment.
G.B.1.5
On-train emergency equipment
G.B.1.5.1
Each railway undertaking should identify what emergency equipment each train should
be equipped with. Trains should not be allowed to enter service if any part of the specified
emergency equipment is missing or is incomplete.
RSSB
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Guidance on Defective On-Train Equipment (DOTE)
G.B.1.5.2
The specified equipment referred to in G B.1.5.1 does not include the cab emergency
equipment required by Rule Book instructions.
G.B.1.6
Passenger Communication Apparatus (PCA)
G.B.1.6.1
The Passenger Communication Apparatus (PCA) provides a means of enabling
passengers to alert the driver to a train defect, a hazard to their safety or welfare on the
train, such as a violent disturbance or illness or a passenger endangered during train
dispatch. On some trains, the PCA also provides two-way communication between the
driver and the location in the train at which the PCA has been activated.
G.B.1.6.2
A driver only (DO) train should not enter service from any location with a defective or
isolated PCA.
G.B.1.6.3
In the event of a train other than a DO train entering service from other than a
maintenance depot with a defective PCA, or the PCA becoming defective while in
service, the train may complete its journeys for the remainder of the day provided that
suitable measures have been adopted and remain in place, and it ends its final journey at
a maintenance depot.
G.B.1.6.4
If it is not practicable to apply suitable measures, passengers should be detrained at the
next suitable station. After the passengers have been detrained, the train may proceed to
a maintenance depot.
G.B.1.6.5
On lines where trains are of short length (for example one, two or three vehicles) and
passenger numbers are low, consideration should be given to allowing the train to remain
in service to the end of the day, provided its last journey is to a maintenance depot and a
competent person (such as a guard), who has access to all passenger accommodation
on the train and has access to apply the brake in emergency or communicate with the
driver, is provided to reassure passengers.
G.B.1.7
Public Address system - Non-DO trains
G.B.1.7.1
In the event of a train entering service from other than a maintenance depot with a
defective PA system in any vehicle, or the PA system becoming defective in any vehicle
on a train in service, examples of contingency arrangements include:
G.B.1.7.2
a)
Locking a vehicle out of use.
b)
Arranging for staff to provide information to passengers in the defective vehicle.
The railway undertaking may, depending on the circumstances of each defect and the
contingency arrangements available, permit the train to remain in service with
contingency arrangements in place:
a)
For the rest of the day.
Or
b)
G.B.1.7.3
Until the next scheduled visit to a maintenance depot.
The DOTE contingency plans for defective PA should take account of the type of
operation, the type of rolling stock, the requirements for information to be given to
passengers and the number of on-train staff who could provide it as an alternative to PA.
The plan should consider the frequency of scheduled visits to a maintenance depot and
the likelihood of a train failure or other incident occurring, when the PA could assume a
safety-related function.
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Guidance on Defective On-Train Equipment (DOTE)
G.B.1.8
Train lighting (internal)
G.B.1.8.1
Failure of internal lighting may present hazards to the safety of passengers in certain
circumstances. The effect of failure of lights throughout the train, compared with failure in
one vehicle only, may influence the contingency arrangements to be applied in such
situations. If the train lighting becomes defective on a train or vehicle in service or
entering service from other than a maintenance depot, the train may complete its
journeys for the remainder of the day provided its final journey ends at a maintenance
depot, if:
a)
Measures are put in place to reduce or eliminate the hazards, such as placing the
vehicle(s) out of use and transferring the passengers to another vehicle(s).
b)
The route(s) to be travelled has no long tunnels or passenger journeys can be
completed during daylight.
Or
c)
The route(s) to be travelled during hours of darkness do not have AOCL/ABCL level
crossings (this is because during certain failures of such crossings a train may not
be able to proceed over such a crossing unless its internal lights are illuminated see GE/RT8000 module TW8 for the rules applicable in this situation).
G.B.1.8.2
If none of these options is available, the passengers should be detrained at either the first
suitable station or the next available location, depending on local conditions, and the train
should then proceed as empty coaching stock to a maintenance depot. The railway
undertaking should judge, on a route by route basis, whether tunnels are sufficiently long
to justify contingency measures or so short as to make the period of darkness as the train
passes through it minimal. The effectiveness of public address in this situation and the
consequences for passenger safety and welfare of detraining passengers should also be
considered.
G.B.1.9
Vehicle couplings
G.B.1.9.1
Trains should not be permitted to enter service from a maintenance depot if the vehicle
coupling is defective or damaged on any vehicle.
G.B.1.9.2
Trains are permitted to enter service from other than a maintenance depot if the vehicle
coupling is defective or damaged on any vehicle provided arrangements are made to
prevent the train being used on a diagram where it will need to couple to another train.
G.B.1.9.3
If a coupling becomes defective or is damaged during a journey, the train may complete
its journeys for the day provided arrangements are made to prevent the train being used
on a diagram where it will need to couple to another train. The train should make its last
journey to a maintenance depot.
G.B.1.9.4
Special care should be taken to provide drivers and operations control with advice of
defective couplings so that all concerned parties are aware that the train cannot be
coupled to another.
RSSB
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Guidance on Defective On-Train Equipment (DOTE)
Definitions
Alternative portable or transportable radio
An alternative portable or transportable radio is one which has an emergency call function
that is compatible with the radio system in use.
Competent person
A person who has passed as being qualified and has the required knowledge and skills to
carry out a particular rule, regulation, instruction or procedure. Specifically within the
scope of this document, it is a person qualified to carry out the duties prescribed for a
competent person in GE/RT8000 module TW5, as part of contingency measures for
DOTE.
Defective on-train equipment (DOTE)
On-train equipment which is not performing its intended safety function, either fully or in
part, or is isolated, or missing, with the result that risks to safe interworking or to the
safety of passengers and the railway workforce are increased. The requirements of
GO/RT3437, the guidance in this document and the associated instructions in
GE/RT8000 apply to equipment listed in Appendices A and B of GO/RT3437.
DOTE contingency plan
A plan produced by a train operator which sets out the action to be taken when on-train
equipment becomes defective on any train or vehicle operated by that train operator, and
which meets the requirements in GO/RT3437 Defective On-Train Equipment.
ERTMS (European Rail Traffic Management System)
ERTMS is a signalling, train control and communications system designed to harmonise
the different national train control and command systems in Europe. The deployment of
ERTMS is intended to create a seamless European railway system and increase
European railway’s competitiveness.
ERTMS has two basic components:
a)
ETCS, the European Train Control System, is an automatic train protection system
(ATP) to replace the existing national ATP-systems.
b)
GSM-R, a radio system for providing voice and data communication between the
track and the train, based on standard GSM using frequencies specifically reserved
for rail application with certain specific and advanced functions.
First suitable station
The next station on a train’s journey where passengers can be detrained. See G 2.2.4 for
guidance on determining what is a suitable station.
In service
A train is in service from the time it starts its journey until the time it completes its journey.
Journey
The route between the depot, siding, platform line or other authorised place where the
train enters service and the depot, siding, platform line or other authorised place where
the train:
a)
Reaches its destination.
b)
Is required to reverse before continuing to its destination.
c)
Is required to have vehicles attached or detached.
d)
Is terminated short of its destination as a result of:
i)
Infrastructure fault.
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Guidance on Defective On-Train Equipment (DOTE)
ii)
Line blockage.
iii)
Defective on-train equipment.
iv)
Any other operational reason.
This definition also applies to short distance shunting movements.
Maintenance depot
A location identified in the train operator’s DOTE contingency plan with the facilities to
repair or replace the specified items of defective on-train equipment.
Next available location
The next location on a train’s journey where it can be repaired, terminated or reformed.
Other railway undertakings affected
Railway undertakings whose operations may be affected by the DOTE contingency plans
of other railway undertakings.
Out of service
A train is out of service between the time it has completed its journey and the time it
starts another journey. The detraining of passengers, transferring passengers from a
vehicle or securing a vehicle out of use does not alone constitute taking a train out of
service.
Placed out of passenger use
Where vehicles have external and interior doors locked to prevent access by passengers.
RSSB
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Guidance on Defective On-Train Equipment (DOTE)
References
The Catalogue of Railway Group Standards gives the current issue number and
status of documents published by RSSB. This information is also available from
www.rgsonline.co.uk.
RGSC 01
RGSC 02
Railway Group Standards Code
The Standards Manual
Documents referenced in the text
None.
Other relevant documents
Railway Group Standards
GE/RT8000
Rule Book module AC – AC electrified lines
GE/RT8000
Rule Book module TW1 – Preparation and movement of
trains - general
GE/RT8000
Rule Book module TW5 - Preparation and movement of
trains – Defective or isolated vehicles and on-train
equipment
GE/RT8000
Rule Book module TW8 – Level crossings – drivers’
instructions
GM/RT2466
Railway Wheelsets
GO/RT3437
Defective On-Train Equipment
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