Safe Working Authorities

Question 1

What is a Safe Working Authority (SWA)?

Answer 1

A Safe Working Authority may be used to authorise rail movements not otherwise permitted under the normal system of safe working.

Question 2

When can a Safe Working Authority be used?

Answer 2

When the Automatic Signalling System fails, or is otherwise compromised.

Question 3

What is an example of a situation requiring a Safe Working Authority?

Answer 3

A disabled train due to a failure in the Automatic Signalling System.

Example: When the Automatic Signalling System fails, or is otherwise compromised – disabled train.

Question 4

What are the three categories of Safe Working Authority?

Answer 4

SWA-01:Used in all situations except disabled train situations.

SWA 02: Used solely to manage disabled train situations.

SWA 03: Used solely to manage all MTMV and Work Train situations into and within Protected Work Areas.

Question 5

What is an imperfectly displayed signal?

Answer 5

Signals displaying any aspect not described in the rules or signals, not showing an authorised aspect.

Question 6

What is an MTMV?

Answer 6

Mobile Track Maintenance vehicle.
Rail-bound maintenance vehicles / machines. For example, tampers, regulators, track stabilisers, ballast cleaners etc. Generally operate track circuits so must comply with signals. May operate singularly or as a group.

Question 7

What is a RIC?

Answer 7

Rail Incident Coordinator
A competent person appointed, or performing, as designated by the Access Provider / Operator the duties of the RIC at the site of an incident. In charge of all rail personnel on site as per NRSS / 5.

Question 8

What is an RPO?

Answer 8

Rail Protection Officer
The person with overall responsibility for providing rail protection for the protected work area.

Question 9

What is a Switch Locked Siding?

Answer 9

A siding within an interlocked station or block section fitted with points that can only be reversed for the siding after an electric lock has been released.

Question 10

What are the three levels of Authority?

Answer 10

Self-authorisation
Verbal authorisation
Written authorisation

Question 11

What Authority is required to pass an absolute starting signal when failed or displaying an imperfectly displayed aspect?

Answer 11

Verbal from Signaller.

Question 12

What Authority is required to pass an absolute starting signal when when failed or displaying an imperfectly displayed aspect with a Restricted Speed aspect?

Answer 12

R aspect illuminated, Proceed (must ascertain the reason for ‘R’ light).

Question 13

What Authority is required to pass an absolute starting signal when when entering the wrong line.

Answer 13

SWA-01 from the Train Controller.

Question 14

What Authority is required to pass a signal when when MTMV / Work Train to enter a Protected Work Area using:
* Mis.60
* Blocking
* Lockout Zones

Answer 14

SWA-01 or SWA-03 from the Train Controller, followed by verbal authority from the Rail Protection Officer.

Question 15

What Authority is required to pass an absolute starting/departure signal when when an MTMV / Work Train needs to pass a signal within a Protected Work Area that has failed or displaying an imperfectly displayed signal, or cannot be cleared using:
* Mis.60
* Blocking
* Lockout Zones

Answer 15

SWA-01 or SWA-03 from the Train Controller, followed by verbal authority from the Rail Protection Officer.

Question 16

What Authority is required to pass an absolute starting signal when when a Shunting movement and cannot set back within the signal.

Answer 16

Verbal from the Signaller to depart.

Question 17

To pass a departure signal:
* when failed, or
* displaying an imperfectly displayed aspect

Answer 17

SWA-01 from the Train Controller.

Question 18

To pass a failed, or displaying an imperfectly displayed departure signal with a Restricted Speed aspect

Answer 18

R aspect illuminated, Proceed (must ascertain the reason for ‘R’ light)
R aspect not illuminated, SWA-01 from the Train Controller.

Question 19

What is the Authority to pass a Block entry board?

Answer 19

SWA-01 from Train Controller.

Question 20

Train Controller, Before issuing an authority for a following movement into a block section, you must ensure the rail vehicle ahead has:

Answer 20

• Cleared the intermediate signal in advance, or
• Called clear and complete of the signal / board for entry into the Protected Work Area to allow authorisation of a following infrastructure movement.

Question 21

Train controller
You must receive verbal authority from the RPO when allowing entry into a protected work area. You must ensure the ‘RPO authority also required’ is included in the following sections when issuing the following:
* Clause 8 of SWA-01, or
* Clause 7 of SWA-03

Question 22

Setting Back
When proceeding through the block section and completely clear of station limits,

Answer 22

Movement Authority:
SWA-01 from the Train Controller.

Question 23

Setting Back
Setting back is required after entering station limits if the movement has not cleared the block section for repositioning movement.

Answer 23

Movement Authority:
SWA-01 from the Train Controller.

Question 24

Train Controller, when more than one setting back movement is required, you must arrange for:

Answer 24

The trains to be coupled together, where practicable for the setting back movements, or

Individual trains to set back on separate authorities.

You must only issue another SWA-01 when the previously authorised movement is clear and complete of the block section.

Question 25

Relief Rail Vehicle, what authority is required to pass a departure signal displaying a block entry Restricted Speed aspect to recover a disabled rail vehicle

Answer 25

‘R’ aspect illuminated – Proceed. If not illuminated, SWA-02 from the Train Controller

Question 26

Relief Rail Vehicle, what authority is required to pass a starting signal or block entry board to run on the ‘wrong line’ to recover a disabled rail vehicle

Answer 26

SWA-02 from the Train Controller.

Question 27

Relief Rail Vehicle, what authority is required to pass a permissive Intermediate signal at stop to recover a disabled rail vehicle

Answer 27

Self-authorisation by the Operator provided the movement is stopped at the signal for 10 seconds

Question 28

Relief Rail Vehicle, what authority is required to set back in a block section when recovering a disabled rail vehicle

Answer 28

SWA-02 from the Train Controller.

Question 28

In an interlocked Station, what is the most common movement authority?

Answer 28

Verbal Authority, (from signaller when applicable.)

Question 29

When using a SWA-03 for an MTMV or a Work Train to enter and / or work within a protected work area and must pass absolute signals at stop, you must:

Answer 29

* Tell the Rail Protection Officer * Obtain safety assurances from the signaller for the area concerned, and * Set the route * Apply signal blocking * Issue a SWA-03

Question 30

Operator (Exceedance of Authority) If any signal is exceeded, you must:

Answer 30

 Stop the rail vehicle  Broadcast an emergency radio call on radio channel 1  Tell the Train Controller and where applicable, the signaller, immediately.  Prevent a collision with other vehicles.  Act on instructions provided.

Question 31

Train Controller, If you have been informed that a rail vehicle has exceeded a limit of authority, you must immediately:

Answer 31

o Arrange to stop the rail vehicle if not already stopped. o Arrange to stop any other rail movements that are at risk. o Tell o The NCM immediately. o RPO’s at affected work sites. o Affected operators to wait for further instructions. o Other affected Train Controllers or Signallers.

Question 31

When is a SWA-01 used?

Answer 31

Used in all situations except a disabled train situation.

Question 32

How many clauses does a SWA-01 have?

Answer 32

11.

Question 33

What is a SWA-01 required for?

Answer 33

 Pass a failed or imperfectly displayed departure signal, and/or including. o Failure of ‘R’ light illumination. o Travelling to a Switch-lock siding and immediately returning to the station in the rear. o Travelling to a Switch-lock siding and continuing onto the next station in advance. o Signal Passed At Danger (SPAD)  Pass a Departure Signal at Stop for a following movement into a Block Section when the train ahead has cleared the intermediate section.  Pass a Signal or Block Entry Board to enter a Protected Work Area using Blocking or a Mis60.  Pass a Starting Signal or Block Entry Board to enter the Wrong Line (includes SPAD).  Set back within a Block Section after the movement has: o Cleared station limits to proceed to the next station, o Entered station limits but has not cleared the block section, o Setting back short distances within the block section.  Authorise a train to work in either direction in a section.

Question 34

What is the difference between clause 3 & 4 when issuing a SWA-01?

Answer 34

Clause 3 - Single-line area Clause 4 - Multi-line area.

Question 35

What is an example of when Clause 8 (other instructions) is used in a SWA-01?

Answer 35

RPO authority required before entering the protected work area. Call clear and complete of signal number XXX (entering or within a protected work area).

Question 36

What are Clauses 9a & 9b used for?

Answer 36

Clause 9a must be used to enter details of the last train movement to clear the section/block section. Clause 9b must be used to enter details of the last track occupancy to clear the section/block section where this occupancy occurred after the last train movement.

Question 37

What are three SWA-01 precautions and checks? (Card 1)

Answer 37

1. Verify that the Section is clear and that the authority is safe to issue. 2. Observe the Block open arrows if provided to ascertain the last train direction and identify and locate, a. Any opposing trains. b. Any following trains. c. The previous train to enter the affected section. d. Train movements on adjacent lines. 3. Confirm with the operator that the rail vehicles concerned are, a. Complete and clear of any intermediate signal to allow a following movement (only) or, b. Clear the block section to enable a following / opposing movement.

Question 38

What are the remaining four SWA-01 precautions and checks? (Card 2)

Answer 38

4. Confirm that any track occupancies are authorised to enter the Block section after a train is clear. 5. If a train crossing occurs at the station in advance, tell the operator of the opposing train that a SWA-01 is about to be issued. 6. Confirm with any signaller that controls entry to, or exit from the section that the last train has been correctly identified and no other movements have been signalled or authorised. 7. In multi-line areas that allow rail vehicle movements in both directions, confirm that no opposing trains have been wrongly routed to conflict on the affected section and line.

Question 39

What Authority is required to pass a Starting Signal or Block entry Board to run on the "wrong line" to recover a disabled train? Who provides this Authority.

Answer 39

Written Authority (SWA-02) from Train Control.

Question 40

What Authority is required for an Operator to open a Switchlock?

Answer 40

Verbal Authority from Train Control

Question 41

A train enters a Block Section on a SWA-01 authority and is required to shunt a Switch Lock Siding, what position must the Switch Lock be in whilst shunting occurs?

Answer 41

"Release" Position

Question 42

If other trains need to be set back clear of the Block Section before a relief train is able to recover a disabled train, how would the setting back movements be authorised.

Answer 42

Written (SWA-01) authority from Train Control.

Question 43

Define absolute Signal

Answer 43

A signal that must not be passed at "stop" without the authority of Train Control or the Signaller.

Question 44

When must an Operator check the setting of points when travelling on a SWA authority?

Answer 44

All points must be checked for correct setting by the Operator except those confirmed as correctly set by Train Control, or where applicable, the Signaller.

Question 45

Identify a situation that would require the issue of a SWA-01

Answer 45

Pass a departure signa fitted with an R light, failed to illuminate.

Question 46

Identify a situation that would require the issue of a SWA-01

Answer 46

Pass a Signal; or Block Entry Board to enter a Protected Work Area, using blocking or track and time permit (Mis 60)

Question 47

What are the five precautions and checks before issuing a SWA-01 Authority?

Answer 47

Ensure the section is clear and there are no opposing movements (check last train is clear or last track occupancy clear.) Advising opposing movements at crossing station of SWA intentions. Check with the adjacent signaller that no conflicting movements are authorised. Route is correctly set. If setting back, is a pilot required.

Question 48

What are the six precautions and checks before issuing a SWA-02 Authority?

Answer 48

Verify disabled train location. Establish where relief is being provided from. Confirm protection is being used. Check the authority will not conflict with other train/track occupancies. Check and confirm route is correctly set. Undertake any additional checks if setting back to the station in the rear.

Question 49

What are the five precautions and checks before issuing a SWA-03 Authority?

Answer 49

Confirm the identity and location of the operator of the MTMV / work train. Cross check with any signaller controlling entry into the Protected Work Area. Confirm with the RPO that it is safe and there is a clear understanding before starting the SWA-03 issue process. (Safe working conversation.) Check and confirm the route is correctly set. Include "RPO Authority also required" in Clause 7, if applicable.

Question 50

What are the five steps to prepare and transmit a SWA-01?

Answer 50

Apply signal blocking. Draw the SWA-01 on the Train Control Diagram. Prepare the SWA-01 and add the authority number to the diagram. Transmit the SWA-1 to the signaller (if applicable) and obtain a correct read back. Transmit the SWA-01 to the Operator and obtain a correct read-back.

Question 51

What are the six steps to prepare and transmit a SWA-02?

Answer 51

Apply signal blocking Draw SWA-02 on the Train Control Diagram. Prepare the SWA-02 and add the authority number to the diagram. Transmit the SWA-02 to the Signaller (if applicable) and obtain a correct read back. Transmit the SWA-02 (Clauses 1-3) to the Operator of the disabled train and obtain a correct read-back. Transmit the SWA-02 to the Operator of the relief train and obtain a correct read back.

Question 52

What are the five steps to prepare and transmit a SWA-03?

Answer 52

Apply signal blocking (if not already applied) Draw the SWA-03 on the Train Control Diagram. Prepare the SWA-03 and add the authority number to the diagram. Transmit the SWA-03 to the Signaller (if applicable) and obtain a correct read-back.

Question 53

When Scope is required to change for a SWA-01 or SWA-02, what must happen?

Answer 53

The Safe Working Authority must be re-issued. This is done by using the 'Other Instructions' clause on the replacement SWA to cancel the existing SWA. EXAMPLE: SWA-02 2002 cancels SWA-02 2001.

Question 54

When Scope is required to change for a SWA-03, what must happen? (if the route changes)

Answer 54

The SWA-03 must be cancelled, a new route set up and then a new SWA-3 is issued.

Question 55

REMEMBER to include SWA authority numbers when endorsing your Train control diagram.

Answer 55

Cross them out when the SWA is cancelled.

Question 56

What are Block entry boards?

Answer 56

Provided in multi-line area where a signal is not available and define entry into a block section. Considered absolute and may only be passed with appropriate written authority SWA 1

Question 57

What are Station Entry Boards

Answer 57

Provided in multi-line areas where a signal is not available and define entry into an interlocked station for wrong line running. These are considered absolute and may only be passed with Verbal Authority from the Signaller.

Question 58

What Authority is required to pass a block entry board in order for an MTMV or Work Train to gain entry into a Protected Work Area? Who provides this authority?

Answer 58

After the Train Controller has received permission from the Rail Protection Officer, SWA-01 is required from Train Control.

Question 59

What does a starting signal control?

Answer 59

Entry into a Block Section where movements are signalled in one direction only.

Question 60

What authority is required for a movement to pass an Absolute Intermediate Signal at stop that is within a Protected Work Area?

Answer 60

After the Train Controller ahs received permission from the Rail Protection Officer, Verbal

Question 61

What authority is required for a train to pass a Permissive Intermediate Signal at stop to recover a disabled train?

Answer 61

Self-Authorisation by Operator provided movement has stopped at the signal for a minimum period of 10 seconds.

Question 62

If a route secured under a SWA-03 needs to be changed, what must happen to the existing SWA-03

Answer 62

The SWA-03 must be cancelled and new SWA-03 issued.

Question 63

The Operator of a relief locomotive is required to pass an Absolute Intermediate Signal at stop before reaching the disabled train. How may this signal be passed?

Answer 63

The Operator must be in possession of a SWA-02 which includes Clause 7.

Question 64

A movement is to set back a short distance when a following movement is in the Block Section. What must Train control do before setting back the movement?

Answer 64

Confirm that the following movement has stopped at a location clear of the setting back limits.

Question 65

A train has stalled mid-Block Section and requires a double banking movement to move the train to the next station. At what point would Train control issue the Operator with a SWA-02?

Answer 65

To re-enter the Block Section.

Question 66

What authority is required for a train to pass a Block Entry Board and who provides this authority?

Answer 66

SWA-01 from Train Control.

Question 67

"A" lights fitted to Absolute intermediate signals directly controlled by Train Control, are ordinarily not illuminated.

Answer 67

True.

Question 68

Define a setting back movement.

Answer 68

To move in the reverse direction to that provided in the current proceed authority.

Question 69

Where can you call clear and complete of for a SWA-01

Answer 69

A Block section, an intermediate signal (when following movement), The signal/board being passed when entering a Protected Work Area

Question 70

Where do you call clear and complete of for a SWA-02, disabled train situation?

Answer 70

Block section (Departure signal of interlocked station)

Question 71

Where must you call clear and complete of for setting back movments:

Answer 71

When clear of the block section, completely passed the departure or starting signal or Block entry board to authorise an opposing or following movement, or Setting back short distances, when the setting back movement has been confirmed arrived at the setting back location.

Question 72

What is the purpose of an 'A' light?

Answer 72

A lights are provided on some intermediate absolute signals to: Protect points and cross over roads at switch locked sidings, and Assist with recovering disabled rail vehicles, axle counter resets and signalling communication failures. They also change an absolute signal to permissive.

Question 73

What speed must the train or rail vehicles travel whilst under a SWA.

Answer 73

Restricted Speed, not exceeding 40km/h, being prepared to find the track obstructed and prepared to stop within half of the visible distance ahead.

Question 74

When issuing a SWA-01 you must specify the requirements for when the movement is clear of the limits of Authority.

Question 75

You must tell the Train Controller when the movement is clear and complete for? (proceed movements)

Answer 75

The next interlocked station that governs entry for opposing movements into the same block direction. The call must be made when the movement is completely past the departure / starting / block entry board to authorise an opposing movement, or When completely past the next intermediate signal beyond the location where the authority is issued, to allow authorisation of the following movement, or Called clear and complete of the signal / board for the entry into or within the Protected Work area to allow authorisation of a following infrastructure movement.

Question 76

You must tell the Train Controller when the movement is clear and complete for? (Setback movements)

Answer 76

Setting back clear of the Block Section. The call must be made when the movement is completely past the departure or starting signal, or block entry board to authorise an opposing or following movement or, Setting back short distances when the setting back movement has confirmed arrived at the setting back destination.

Question 77

When a SWA-01 is required for planned work:

Answer 77

Confirm with the Rail Protection Officer that it is safe and a clear understanding before starting the SWA-01 issue process. If a SWA-01 is issued to enter or within a protected work area for track maintenance activity: use Clause 8 and include the following words ‘RPO Authority Also Required’ before entering or within the protected work area, and calling clear of the signal/board for entry into or within the protected work area.

Question 78

When a SWA-01 is required due to a failure not related to planned work:

Answer 78

1. Verify that the section is clear and that the authority is safe to issue. 2. Observe the block open arrows if provided to ascertain the last train direction and identify and locate: A. any opposing train(s) B. any following train(s) C. the previous train to enter the affected section D. train movements on adjacent lines. 3. Confirm with the Operator that the rail vehicle(s) concerned are: A. complete and clear of an intermediate signal to allow a following movement (only), or B. clear of the block section to enable a following/opposing movement. 4.Confirm that any track occupancies authorised to enter the block section after a train, are clear. 5. If a train crossing occurs at the crossing station in advance, tell the Operator of the opposing train that a SWA-01 is about to be issued. 6. Confirm with any Signaller that controls entry to, or exit from the section that the last train has been correctly identified and no other movements have been signalled or authorised. 7. In multi-line areas that allow rail vehicle movements in both directions, confirm that no opposing trains have been wrongly routed to conflict on the affected section and line.

Question 79

Signaller, Where you control the interlocking at a station, confirm the:

Answer 79

A. correct route is set for the movement (advising all isolated points en route) B. signals / points have been collared / tagged / blocked to prevent conflicts with other rail vehicles and track occupancies C. SWA-02 has been received and repeat it back correctly to the Train Controller.

Question 79

Confirmation of route protection, SWA-02:

Answer 79

In automatic signalling areas, carry out indication re-check on the opposing block entry signals in accordance with the Local Network instructions. When points detection is not indicated, confirm that the points have been isolated and are correctly set and secured for the intended route. Attempt to clear the signal/route to ensure interlocking is locked. Apply signal blocking to the section concerned to prevent conflicts with other rail vehicles and track occupancies.

Question 79

Situations that require a SWA-01

Answer 79

To pass a failed or imperfectly displayed departure signal (including failed R light, switch locked siding return or through and SPAD. Pass a departure signal at stop for a following movement. Pass a signal to enter or