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Railway Group Standard
GM/RT2000
Issue Three
Date December 2009
Engineering
Acceptance of
Rail Vehicles
Synopsis
This document defines, where
applicable, a process, known as the
Engineering Acceptance process, to
confirm that a rail vehicle conforms to
the relevant Mandatory Requirements.
This document contains requirements
that are amended under the Railway
Group Standards Code (Issue Three)
as a small scale change. Reference
to the amended requirements is made
in the ‘Issue Record’. All other parts of
the document are unchanged from the
previous issue.
.
Copyright in the Railway Group Standards is owned by
Rail Safety and Standards Board Limited. All rights are
hereby reserved. No Railway Group Standard (in whole
or in part) may be reproduced, stored in a retrieval
system, or transmitted, in any form or means, without the
prior written permission of Rail Safety and Standards
Board Limited, or as expressly permitted by law.
RSSB Members are granted copyright licence in
accordance with the Constitution Agreement relating
to Rail Safety and Standards Board Limited.
In circumstances where Rail Safety and Standards Board
Limited has granted a particular person or organisation
permission to copy extracts from Railway Group
Standards, Rail Safety and Standards Board Limited
accepts no responsibility for, and excludes all liability in
connection with, the use of such extracts, or any claims
arising therefrom. This disclaimer applies to all forms of
media in which extracts from Railway Group Standards
may be reproduced.
Content approved by:
Rolling Stock Standards Committee on 04 September 2009
Authorised by RSSB on 07 October 2009
Published by:
RSSB
Block 2 Angel Square
1 Torrens Street
London
EC1V 1NY
© Copyright 2009
Rail Safety and Standards Board Limited
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Railway Group Standard
Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 1 of 43
Contents
Section
Description
Page
Part A
Issue record
Technical Content
Responsibilities
Compliance
Health and safety responsibilities
Supply
Part B
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
Appendices
A
B
C
D
E
F
G
H
I
J
K
L
M
References
RSSB
2
2
2
2
2
2
Purpose
Scope
Definitions
The context of Engineering Acceptance in the overall Acceptance Process
Introduction
Engineering Acceptance Requirements
Vehicles Temporarily Withdrawn from Service
Modifications and Engineering Change
Limitations
Safety performance
Responsibilities
Process integrity
Appeals
Provision of information
Records
3
3
3
4
5
5
11
11
12
13
13
15
16
16
16
Rail vehicles in international traffic
Certification of Conformance
Type conformance testing
Engineering Acceptance Certification
Procedure to obtain a Transit Movement (Engineering Acceptance) Certificate
Certificates
Suspension and withdrawal of certification
Requirement for Engineering Acceptance of non-compliant vehicles for
limited use on heritage or special service trains
This Appendix not used
Safety examination
Requirements applicable to a CCB
Requirements applicable to a VAB
Vehicle construction
18
19
22
24
26
27
35
36
38
40
41
42
43
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Railway Group Standard
GM/RT2000
Issue Three
Date December 2009
Page 2 of 43
Engineering Acceptance of Rail Vehicles
Part A
Issue Record
This document will be updated when necessary by distribution of a complete
replacement.
Revisions in the reissued document will be marked by a vertical black line in the
right hand margin adjacent to the revision.
Issue
One
Two
Date
June 1995
October 2000
Three
December 2009
Comments
Superseded GM/TT0109 & GM/TT0181
Supersedes GM/RT2002 and GM/RC2501
This document has not been marked with
vertical black lines because of extensive
revisions.
Supersedes GM/RT2000 issue 2
Small scale amendment relates only to the
scope of this document, inclusion of
Certificate of Engineering Acceptance
definition and deletion of the first four
paragraphs of section 5.
Technical Content
The technical content of this document was approved by Rolling Stock
Standards Committee on 04 September 2009.
Responsibilities
[No longer relevant.]
Compliance
This Railway Group Standard comes into force and is to be complied with from
06 February 2010.
Health and Safety
Responsibilities
In issuing this document, RSSB makes no warranties, express or implied, that
compliance with all or any documents published by RSSB is sufficient on its own
to ensure safe systems of work or operation. Each user is reminded of its own
responsibilities to ensure health and safety at work and its individual duties
under health and safety legislation.
Supply
The authoritative version of this document is available at www.rgsonline.co.uk.
Uncontrolled copies of this document can be obtained from Communications,
RSSB, Block 2 Angel Square, 1 Torrens Street, London EC1V 1NY, telephone
020 3142 5400 or e-mail enquiries@rssb.co.uk. Other Standards and
associated documents can also be viewed at www.rgsonline.co.uk.
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Railway Group Standard
Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 3 of 43
Part B
1 Purpose
This document mandates the principles related to Engineering Acceptance of rail
vehicles. Engineering Acceptance is used to confirm that a rail vehicle conforms
to the relevant Mandatory Requirements of Railway Group Standards.
2 Scope
The overall scope of Railway Group Standards is set out in the Railway Group
Standards Code.
The requirements of this document apply only when the Engineering Acceptance
process, using Vehicle Acceptance Bodies (VAB) and Conformity Certification
Bodies (CCB), is used to confirm that a rail vehicle conforms to the relevant
mandatory requirements of Railway Group Standards. An example of an
application of this process is when it is mandated by a duty holder’s safety
management system, such as the PWRA arrangements managed by Network
Rail.
Alternative processes for confirming that a rail vehicle conforms to all relevant
mandatory standards are permitted, subject to the requirements of Railways and
Other Guided Transport Systems (Safety) Regulations 2006 (ROGS), and
Railway Interoperability Regulations (2006) (RIR).
Where this document refers to route acceptance in accordance with GO/RT3270
it should be read as a reference to the process for assessment of compatibility of
rolling stock and infrastructure as set out in GE/RT8270 issue 2 or later.
3 Definitions
Certificate of Conformance
The formal declaration by a Conformance Certification Body (CCB) that the rail
vehicle(s) conforms to the relevant Mandatory Requirements within a specific
area of certification, ie, by design, as constructed, or as planned to be
maintained.
Certificate of Engineering Acceptance
The declaration by a Railway Undertaking, or by a Notified Body or a Competent
Person employed or contracted by a Railway Undertaking, that a rail vehicle
conforms to all of the relevant mandatory standards (including authorised
deviations), see GM/RT2453.
Class
A group of vehicles which have similar design and operating characteristics.
Conformance Certification Body (CCB)
A body with authority from the Directorate to issue specified Certificates of
Conformance for rail vehicles on its behalf.
The Directorate
The Safety & Standards Directorate of Railtrack.
Engineering Acceptance
The process whereby conformance of vehicles to the Mandatory Requirements
is confirmed and certificated.
Engineering Change
A change to a rail vehicle, including control software, in the area of design,
construction or maintenance which affects conformance to the Mandatory
Requirements.
Heritage Services
Passenger services where the predominant element consists of the re-creation
of railway services of a bygone era.
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Issue Three
Date December 2009
Page 4 of 43
Engineering Acceptance of Rail Vehicles
Mandatory Requirements
The requirements mandated in the Railway Group Standards listed in the
“Trains” Section in the current Catalogue of Railway Group Standards, including
the additional Engineering Acceptance list at the end of that section.
Regular Service
A normal repetitive service that operates for the routine carriage of passengers
and/or goods and which is not classified as heritage or special services.
Special Services
Services that are specially arranged in connection with particular events or
occasions, including charters, excursions, football specials, short-term
substitution in the event of non-availability of the normally rostered stock, and
emergency use.
Statement of Notification
A statement by a CCB submitted with the Design Conformance Certificate,
identifying critical areas for review under the conformance certification for
construction and/or maintenance.
Type Conformance Test
A test conducted on a vehicle, or part thereof, truly representative of the class, to
demonstrate conformance with one or more Mandatory Requirements.
Train Operator
The duty holder of the Railway Safety Case under which the vehicle concerned
will operate on Railtrack Controlled Infrastructure.
Vehicle Acceptance Body (VAB)
A body with authority from the Directorate to issue Certificates of Engineering
Acceptance.
4 The context of
Engineering Acceptance
in the overall
Acceptance Process
4.1
The process leading to operation of a rail vehicle on Railtrack Controlled
Infrastructure requires:
•
•
•
acceptance of a Railway Safety Case;
Route Acceptance (see GO/RT3270);
registration of the rail vehicle on the Rolling Stock Library (see GM/RT2453).
Engineering Acceptance forms part of the Route Acceptance process. Figure 1
shows these activities in diagrammatic form.
4.2
The acceptance process defined in this document is additional to and separate
from the requirements for rail vehicles to be approved by Her Majesty’s Railway
Inspectorate (HMRI) in accordance with the Railways and Other Transport
Systems (Approval of Works, Plant and Equipment) Regulations 1994.
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Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 5 of 43
5 Introduction
[Paragraphs 1, 2, 3 and 4 have been deleted.]
This document describes the process required for the issue of a Certificate of
Engineering Acceptance.
Engineering Acceptance is achieved by a demonstration that the vehicle
conforms to the Mandatory Requirements.
The confirmation that a rail vehicle conforms to the Mandatory Requirements and
the issue of corresponding certificates is carried out by CCBs and VABs who are
accredited to perform this work by the Directorate.
The process leading to Engineering Acceptance is normally in two stages, as
shown in the upper part of Figure 1 and summarised below.
Stage 1: Confirmation that the vehicle has been designed to be safe and to
interwork safely, that it has been built to that safe design and that the
maintenance planned will ensure the vehicle remains safe throughout its
operational life.
The rail vehicle is checked for conformance to the Mandatory Requirements
relating to vehicle design, vehicle construction and maintenance. A separate
Certificate of Conformance is issued for each area by a CCB.
Stage 2: An independent review of the conformance certification and the
evidence supporting the certification is then carried out by a VAB who, when
satisfied that appropriate Certificates of Conformance have been issued upon
the presentation of adequate supporting evidence, issues a Certificate of
Engineering Acceptance to complete the process.
For the types of rail vehicle indicated below, simplified processes are defined.
a) Road-Rail Vehicles (RRVs).
b) Rail Mounted Maintenance Machines (RMMMs).
c) Rail vehicles working in international traffic (including RIV vehicles registered
in Great Britain and foreign registered, and those subject to Bi-lateral
agreements).
6 Engineering
Acceptance
Requirements
6.1 Vehicles subject to Engineering Acceptance
Every rail vehicle to be operated on Railtrack Controlled Infrastructure shall have
a valid Certificate of Engineering Acceptance confirming its conformance to the
applicable Mandatory Requirements.
6.2 When Engineering Acceptance is required
A new Certificate of Engineering Acceptance shall be obtained in each of the
following cases.
a) A new or uncertificated rail vehicle is to be operated on Railtrack Controlled
Infrastructure.
A rail vehicle that was registered in the Rolling Stock Library on
31 March 1994 to operate on British Rail controlled infrastructure shall be
considered to have received Engineering Acceptance to operate on Railtrack
Controlled Infrastructure on that date.
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b) An engineering change is made to a rail vehicle in an area covered by
Mandatory Requirements, whether affecting its degree of conformance or not
(see also section 8.1).
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Issue Three
Date December 2009
Page 6 of 43
Engineering Acceptance of Rail Vehicles
c) The existing certification for a rail vehicle expires or becomes invalid and the
vehicle is required to continue operating.
6.3 Obtaining Engineering Acceptance
The design, construction and maintenance arrangements of a rail vehicle shall
be demonstrated to a CCB(s) as being appropriate to the safe operation and
safe interworking of the vehicle on Railtrack Controlled Infrastructure. The
CCB(s), upon satisfactory demonstration of conformance with the Mandatory
Requirements, will issue Certificates of Conformance for each appropriate
aspect as indicated in section 6.7.1.
The Certificates of Conformance, together with any requested supporting
evidence, shall be submitted to a VAB which, when satisfied that the vehicle
conforms and will continue to conform with the Mandatory Requirements, will
issue a Certificate of Engineering Acceptance as indicated in section 6.7.2.
6.4 Simplified processes for specific vehicle types
For certain types of rail vehicle, where the full two stage process described in
section 6.3 would be too complex for the limited risks involved, simplified
processes applying within the framework of this document are as follows:
a) For RRVs Engineering Acceptance requirements are contained in Railway
Group Standard GM/RT1300.
b) For RMMMs Engineering Acceptance requirements are contained in Railway
Group Standard GM/RT2402.
c) For Trains and Light Rail or Metro Vehicles for shared running on Railtrack
Controlled Infrastructure Engineering Acceptance requirements are
contained in GM/RT2452.
d) For all internationally registered rail vehicles (both Great Britain and foreign
registered), and working in international traffic, a Certificate of Engineering
Acceptance shall be provided in accordance with the alternative process
defined in Appendix A of this document. The vehicles shall be regarded as
having satisfied the requirements of Engineering Acceptance by the
international registration process.
It should be noted that plant and machinery, which is mounted on a rail vehicle
for its operation, shall be classified as an on-track machine if it meets both the
following criteria:
•
•
It can move or be moved by rail outside a possession;
It is rail mounted whether directly, or indirectly using a host vehicle,
when operating.
Where such a host vehicle is used, the combination of the host vehicle and the
plant and machinery shall be subject to Engineering Acceptance as an on-track
machine independently of any Engineering Acceptance relevant to the host
vehicle when used for other purposes. It is permissible for relevant aspects of
the latter certification to be taken into account (for example, brake system
performance would not require duplicate evaluation if the mass of the plant and
machinery resulted in the host vehicle remaining at its certificated gross laden
weight).
6.5 Applicable Mandatory Requirements
The vehicle shall conform to the Mandatory Requirements contained in Railway
Group Standards which are:
a) relevant to the vehicle concerned;
b) applicable by virtue of the compliance or implementation clause of the
individual document concerned.
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GM/RT2000
Issue Three
Date December 2009
Page 7 of 43
6.6 Exemption from Mandatory Requirements
Exemption from any of the Mandatory Requirements shall be expressly approved
and only as detailed in 6.6.1, 6.6.2 and 6.6.3.
6.6.1 Vehicles for regular services
For a new or modified vehicle, or a vehicle subject to change of operation,
where:
a) a change to the Railway Group Standard is proposed and the vehicle will fully
comply with the revised Mandatory Requirements, a Certificate of NonCompliance (NC) shall be obtained in accordance with GA/RT6001 granting
exemption from the current requirement in the interim.
b) further development is to be undertaken in order to fully comply with the
Mandatory Requirements, a Certificate of Temporary Non-Compliance (TNC)
shall be obtained in accordance with GA/RT6004, granting temporary
exemption from the current requirement.
c) full compliance with Mandatory Requirements is deemed impractical and a
permanent NC is required, a Certificate of Derogation (DGN) shall be
obtained in accordance with GA/RT6006 granting permanent exemption from
the requirement(s).
In such cases Certificates of Engineering Acceptance will not be granted until
exemption from the Mandatory Requirements has been obtained.
The introduction of revised or additional Mandatory Requirements is possible
during a build of new vehicles which have already been certificated, and the new
vehicles require modification prior to delivery or during commissioning in order to
comply with the original contract requirements. In such circumstances
exemption from these revised or additional Mandatory Requirements shall only
be granted by a derogation, applied for in accordance with section 6.6.1 c)
above. Exemption will not usually be granted where retrospective compliance
with the revised or additional Mandatory Requirements is required.
The introduction of revised or additional Mandatory Requirements is possible
between the certification of an original build of vehicles and a future build to the
original certificated design. Where the future build is within 5 years of the
contract for the original build, exemption from these revised or additional
Mandatory Requirements shall only be granted by a derogation in accordance
with section 6.6.1 c) above. Exemption will not usually be granted where
retrospective compliance with the revised or additional Mandatory Requirements
is required. Derogations granted for the original build shall not transfer to any
future build and application shall be specifically made for similar derogations
required for the future build. Any future build beyond the 5 year period shall
conform to the Mandatory Requirements applicable at the date of certification of
the future build.
6.6.2 Vehicles to be re-introduced for regular services
Where it is proposed to re-introduce a non-compliant vehicle into regular service
on Railtrack Controlled Infrastructure the following shall apply:
a) Where the non-compliant vehicle is of a class that has had continuous
registration, exemption from the Mandatory Requirements shall be subject to
the vehicle complying with a certificated maintenance plan and undergoing
Engineering Acceptance. It shall be demonstrated to the VAB that the design
and construction of the vehicle are unchanged from vehicles of the same
type in registered operational status. (See GM/RT2453).
b) Where the non-compliant vehicle is of a class that has not had continuous
registration but previously operated on the former British Rail infrastructure, a
derogation shall be obtained in accordance with section 6.6.1 c) above,
except where the vehicle being introduced is a direct replacement for a
withdrawn vehicle. (See GM/RT2453).
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Issue Three
Date December 2009
Page 8 of 43
Engineering Acceptance of Rail Vehicles
If the vehicle is of a type first introduced not more than 25 years prior to the
proposed date of re-introduction, and also remains within its original design
life, granting of such a derogation shall be provisional upon the vehicle
undergoing Engineering Acceptance and it being demonstrated to the VAB
that the design and construction of the vehicle are unchanged from those of
its former operational status, and that it had operated safely in service.
If the vehicle is of a type first introduced more than 25 years before the
proposed date of re-introduction, or it is outside its original design life, the
current Mandatory Requirements shall apply. The safety of its former
operation in service shall not be sufficient evidence to support Engineering
Acceptance.
In either case the vehicle shall comply with Mandatory Requirements that impose
retrospective action.
6.6.3 Vehicles for heritage or special services only
Where it is proposed to introduce a non-compliant vehicle to Railtrack Controlled
Infrastructure for use on Heritage or special service trains, a derogation shall be
obtained, in accordance with section 6.6.1 c) above. It is permissible to submit a
single request for a derogation covering all areas of NC for the complete vehicle,
subject to the request outlining the principal areas of NC.
Granting of such a derogation shall be provisional upon the vehicle undergoing
Engineering Acceptance, prior to registration, as defined in Appendix H, and
subject to the vehicle not exceeding an annual mileage limit of 15,000 miles.
The vehicle shall comply with Mandatory Requirements that impose
retrospective action.
Additional requirements for steam locomotives are contained in GM/RT2003.
6.7 Certificate types
The requirements for obtaining each certificate type are as indicated below.
6.7.1 Certificates of Conformance
Certificates of Conformance provided in accordance with the procedure and the
requirements governing their issue described in Appendix B, cover each of the
three areas.
a) A Certificate of Conformance for Vehicle Design shall confirm the vehicle
design has been scrutinised in accordance with the mandatory process and
has been found to conform to the relevant Mandatory Requirements.
The design scrutiny process, excepting for RRVs and RMMMs (see section
6.8.1), is defined in Railway Group Standard GM/RT2001.
The CCB will specify any type conformance testing it specifically requires to
provide evidence in support of its design conformance verification.
b) A Certificate of Conformance for Vehicle Construction shall confirm the
vehicle has been constructed to the certificated design (including materials,
processes, tests, measurements and sources of supply).
Certification of conformance of each rail vehicle shall be by:
•
•
8
a Certificate of Conformance for Vehicle Construction issued by a CCB in
accordance with Appendix M of this document; or
a Declaration of Conformity issued by the manufacturer in accordance
with the criteria specified in EN 45014 when it is qualified to do so by an
appropriately approved external authority subject to prior agreement in
writing by the Directorate. An equivalent national, international or industry
system may be used in place of the EN 45014 qualification only if it is
accepted in writing by the Directorate.
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GM/RT2000
Issue Three
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Page 9 of 43
The Certificate of Conformance shall also confirm that a documented safety
examination is carried out prior to release of the vehicle onto Railtrack
Controlled Infrastructure (see Appendix J), the scope and content of which
shall be confirmed by the CCB as covering critical issues identified under
build conformance.
c) A Certificate of Conformance for Vehicle Maintenance shall confirm that the
maintenance plan for the vehicle has been scrutinised and considered
appropriate to ensure the vehicle’s continued conformance with the relevant
mandatory standards throughout its operational life.
The essential maintenance requirements and supporting documentation are
defined in:
i)
ii)
iii)
iv)
GM/RT2004 for all vehicles including those in ii) and iii) below;
GM/RT1300 additional requirements for RRVs;
GM/RT2402 additional requirements for RMMMs;
GM/RT2003 for steam locomotives.
6.7.2
Certificates of Engineering Acceptance
Certificates of Engineering Acceptance are of two types.
a) A Certificate of Engineering Acceptance shall confirm the satisfactory
completion of the conformance certification referred to in section 6.7.1.
The procedure for issuing a Certificate of Engineering Acceptance and the
requirements governing its issue are described in Appendix D.
b) A Transit Movement (Engineering Acceptance) Certificate shall confirm that
the current condition of a specific vehicle is safe for it to make a defined
movement on Railtrack Controlled Infrastructure. The certificate permits, for
example, the required transfer of a non-conforming vehicle for repair or other
pre-service attention, and the movement of a non-conforming vehicle of
historic interest to a specific location for display.
The exceptional circumstances when a Transit Movement (Engineering
Acceptance) Certificate may be used, the process for obtaining a certificate
and the requirements governing its issue are detailed in Appendix E.
6.8 Certificates Required
The following certificates shall be obtained as appropriate.
6.8.1 Road-rail vehicles and rail mounted maintenance machines
a) A Certificate of Conformance for Maintenance;
b) A Certificate of Engineering Acceptance.
A Certificate of Conformance for Vehicle Design is not required for RRVs or
RMMMs. The design is scrutinised by the VAB in accordance with the
following standards which identify the process, the essential design
requirements and supporting documentation.
• GM/RT1300 - requirements for RRVs.
• GM/RT2402 - requirements for RMMMs.
6.8.2 Vehicles undergoing Type Conformance testing
a) A Certificate of Conformance for Design (conditional);
b) A Certificate of Conformance for Construction;
c) A Certificate of Engineering Acceptance (conditional).
6.8.3 Vehicles in international traffic under RIV regulations
a) A Certificate of Engineering Acceptance (marked for international
traffic);
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Engineering Acceptance of Rail Vehicles
6.8.4 Non-conforming vehicles re-introduced for regular services (of a
continuously registered class)
a) A Certificate of Conformance for Maintenance;
b) A Certificate of Engineering Acceptance.
6.8.5 Non-conforming vehicles re-introduced for regular services (not of a
continuously registered class)
a) A Certificate of Conformance for Design (where re-introduced more
than 25 years after first introduction);
b) A Certificate of Conformance for Construction (where re-introduced
more than 25 years after first introduction);
c) A Certificate of Conformance for Maintenance;
d) A Certificate of Engineering Acceptance.
6.8.6 Vehicles for heritage or special services only
a) A Certificate of Conformance for Maintenance;
b) A Certificate of Engineering Acceptance (maximum validity of 12
months).
6.8.7 Vehicles for single-journey only movements
a) A Transit Movement (Engineering Acceptance) Certificate (maximum
validity of 14 days, except as stated in Appendix E).
6.8.8 All other vehicles (including on-track machines)
a) A Certificate of Conformance for Design;
b) A Certificate of Conformance for Construction;
c) A Certificate of Conformance for Maintenance;
d) A Certificate of Engineering Acceptance.
6.9 Vehicle coverage by certificates
The number of vehicles that may be covered by a single certificate, and the
number of similar certificates that may apply to a single vehicle, are as indicated
in sections 6.9.1 to 6.9.3 of this document.
6.9.1 Certificates of Conformance for Design and Construction
a) It shall be permissible for up to ten current Certificates of Conformance
for Vehicle Design, or for Vehicle Construction, to exist for a rail vehicle
at any given time. Once ten current Certificates exist, any further
certification shall incorporate and supersede the previous ten
certificates.
b) It shall be permissible to obtain Certificates of Conformance for Vehicle
Design or Vehicle Construction for an individual rail vehicle or groups of
similar rail vehicles (including a fixed formation multiple unit set) subject
to the conditions defined in Appendix B, Sections B5 and B6.
6.9.2 Certificates of Conformance for Maintenance
a) Only one current Certificate of Conformance for Maintenance shall exist
for a given rail vehicle.
b) It shall be permissible to obtain a Certificate of Conformance for
Maintenance for a class of vehicles, identified by number range.
6.9.3 Certificates of Engineering Acceptance
a) Only one current Certificate of Engineering Acceptance shall exist for a
given rail vehicle.
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GM/RT2000
Issue Three
Date December 2009
Page 11 of 43
b) It shall be permissible to obtain a Certificate of Engineering Acceptance
for an individual rail vehicle or a group of similar rail vehicles (including
a fixed formation multiple unit set) subject to the conditions defined in
Appendix D, Section D5.
6.10 Type Conformance Tests
Type Conformance Tests identified by the CCB, as indicated in section 6.7.1 a),
shall be carried out in accordance with the requirements in Appendix C.
Type Conformance Tests fall into the following categories:
a) Tests that are not specific to the rail industry and in which the essential
knowledge relates to the specialism rather than the application (for example,
component life testing);
b) Tests that are specific to the rail industry and in which specialist knowledge
of the railway environment is essential. Such tests include, but not
exclusively:
•
•
•
•
•
•
•
Vehicle ride tests;
Track force tests;
δQ/Q tests;
Brake tests (parking brake and dynamic tests);
Bogie rotation tests;
Pantograph sway and pantograph forces tests;
Vehicle sway tests.
Type Conformance Tests within this category shall only be carried out by
suppliers qualified under the principles described in GM/RT2450 as competent
and experienced in the carrying out of testing of such components.
7 Vehicles temporarily
Withdrawn From Service
7.1 Requirements for Certificates of Conformance
The Engineering Acceptance certification for vehicles withdrawn from operation
for a period not exceeding 12 months shall remain valid only where the
Maintenance Plan (see GM/RT2004) provides for alternative maintenance
requirements appropriate to the period of its withdrawal and provides for a
documented safety examination prior to re-introduction to Railtrack Controlled
Infrastructure.
8 Modifications and
Engineering Change
8.1 Requirements for Certificates of Conformance
Certificates of Conformance shall be required for modifications to rail vehicles
that affect areas forming part of conformance to the Mandatory Requirements.
New certificates are still required in the case where the modification or
engineering change is considered to improve an already compliant performance
relative to the Mandatory Requirement(s), the new certificates providing
confirmation that such conformance of the modified vehicle has been
demonstrated.
8.2 Vehicles registered on 31 March 1994
In the case of a rail vehicle that was currently registered in the Rolling Stock
Library on 31 March 1994 to operate on British Rail controlled infrastructure, any
change made subsequent to that date affecting the conformance of the rail
vehicle to the Mandatory Requirements shall be subject to the Engineering
Acceptance process and duly certificated.
8.3 New components and alternative material
Certificates of Conformance shall be required for the introduction of a new
component or alternative material within an area affecting conformance if it is not
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physically a direct replacement for an existing item, or does not perform an
identical function, or is not similar in performance or weight to its predecessor.
A Certificate of Conformance for Construction is not required in the case of a
like-for-like replacement of equivalent or improved specification.
8.4 Collision-damaged vehicles
Certificates of Conformance shall be required for collision-damage repaired
vehicles if it has been necessary to depart from the previously accepted design
of the vehicle, including its structural configuration and materials, in order to
achieve the repair. In such circumstances a Certificate of Engineering
Acceptance shall be required supported by Certificates of Conformance for
Vehicle Design and Vehicle Construction. Where it is considered the repair does
not require re-certification, that decision shall be endorsed by a VAB in writing.
8.5 Fleet modifications
Appropriate certificates of Conformance and Engineering Acceptance shall be
obtained for the modified condition and RSL shall be notified as each vehicle is
transferred from the original Engineering Acceptance certificate to the new
certificate. The new certificates shall contain the numbers of all vehicles to be
modified. Prior to release of each vehicle onto Railtrack Controlled Infrastructure
it shall be subject to a documented safety examination (see Appendix J).
9 Limitations
9.1 Compatibility with the infrastructure
Limitations on the operability of the vehicle determined by its compatibility with
the infrastructure shall be identified, including the swept envelope (see
GM/RT2149) and the Route Availability number (see GE/RT8006).
It should be noted that the Engineering Acceptance process does not determine
whether a vehicle can operate on a particular route, but verifies the
determination of the data that is to be provided for consideration under the Route
Acceptance process defined in GO/RT3270.
9.2 Compatibility with the Mandatory Requirements
Limitations on the operability of the vehicle determined by engineering
considerations with respect to the Mandatory Requirements shall be identified.
Such operational scope and limitations of the vehicle shall be defined on the
Certificates of Engineering Acceptance and Certificates of Conformance for the
vehicle. Such limitations may, for example, limit the maximum speed of the
vehicle or its load carrying capacity.
Where the imposition of limitations on the use of an otherwise non-conforming
rail vehicle is necessary in order to ensure conformance with the Mandatory
Requirements, the CCB and VAB shall define those limitations on the relevant
certificates. The limitations defined in section 6.6 shall be defined where
applicable.
All limitations on the Certificates of Conformance, applicable to the rail vehicle,
shall be taken into consideration by a VAB. It is permissible for a VAB to impose
additional or alternative limitations to ensure conformance to the Mandatory
Requirements.
9.3 Conditional certification
Where a new rail vehicle is being introduced into operation and the maintenance
requirements are under development or can only be developed with in-service
experience, it is permissible for the CCB to issue a conditional Certificate of
Conformance for Vehicle Maintenance if it is satisfied that appropriate controls
are in place to ensure the safety of the rail vehicle. The conditional Certificate of
Conformance will have a specified expiry date and the vehicle shall not be
operated beyond that date without the issue of a superseding certificate.
Where the conformance of a new or modified vehicle with the Mandatory
Requirements can only be verified by a type conformance test, it is permissible
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to issue Certificates of Conformance for Vehicle Design and Engineering
Acceptance with special limitations. Such certificates with limitations will only be
issued after completion of a risk analysis, relating to those areas in which
conformance has not been demonstrated, undertaken by the VAB in conjunction
with the Design CCB and the demonstration to their satisfaction that adequate
control measures are in place. The conditional Certificate of Conformance will
have a specified expiry date to cover the anticipated period of testing only and
the vehicle shall not be operated beyond that date.
10 Safety Performance
10.1 All vehicles
Where evidence is received indicating that the continued safety of a vehicle’s
operation can no longer be relied upon, it shall be permissible for the Directorate
to withdraw that vehicle’s certification. Except where safety is immediately
prejudiced, the operator shall be given notice as required by Appendix G.
10.2 Non-conforming vehicles
In the case of non-conforming vehicles, or class of vehicles, registered in the
Rolling Stock Library on 31 March 1994 or granted a derogation against the
mandatory standards, it shall be permissible for the Directorate to give notice of
its intention to permanently withdraw that vehicle’s certification as required by
Appendix G. Such withdrawal shall only be permissible where the nonconformance increasingly prejudices the ability of the vehicle or class of
vehicles, to continue operating safely (see also Appendix G).
11 Responsibilities
11.1 The train operator
The responsibilities of the train operator for Engineering Acceptance are as
indicated in sections 11.1.1 and 11.1.2.
11.1.1 Certification of Conformance and Engineering Acceptance
The train operator, in seeking to obtain Certificates of Conformance for each
area of conformance, and a Certificate of Engineering Acceptance, shall be
responsible for the following.
a) Provision to the CCB and VAB of a listing of the vehicles for which
certification is sought.
b) Identification to the CCB and VAB of the area(s) of the rail vehicle to be
certificated.
•
•
For an unregistered rail vehicle this shall normally be all the parts of the
rail vehicle for which there are Mandatory Requirements.
For a rail vehicle subject to an engineering change this shall normally be
the area(s) of the rail vehicle which has been subject to, or affected by,
the engineering change.
c) Provision to the CCB and VAB of details of the design/modification status of
the rail vehicle for which certification is sought.
d) Provision to the CCB and VAB of such evidence as they consider necessary
to assess conformance to the relevant Mandatory Requirements in the
area(s) being certificated, including other areas affected.
e) Provision to the CCB(s) for Construction and Maintenance, and to the VAB,
of all Statements of Notification submitted with the Design Conformance
Certificate, identifying critical areas for review under the conformance
certification for construction or maintenance (see Appendices B10 and D1).
f) Provision to the CCB and VAB of details or copies of all relevant current
certification of the rail vehicle under Engineering Acceptance. For rail
vehicles that were deemed to meet the requirements of Engineering
Acceptance on 31 March 1994, this shall include a declaration with respect to
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any part of the rail vehicle that has remained unchanged since that date and
for which no certification under Engineering Acceptance exists.
It is permissible for the train operator to use different CCBs for each area of
conformance.
11.1.2 Maintenance of Certification Records
The train operator shall:
a) maintain documented records of all Certificates together with any appended
limitations and restrictions;
b) maintain an effective storage and indexed retrieval system for all Certificates
of Conformance and Engineering Acceptance relating to its registered
vehicles, whether operational or non-operational. The system shall provide
security and protection of the records;
c) maintain a register recording the issue of all certificates and any appended
limitations and restrictions;
d) maintain appropriate records to permit verification of the Engineering
Acceptance status of all vehicles it operates on Railtrack Controlled
Infrastructure.
Where a vehicle is regularly operated by several train operators, each train
operator shall retain a copy of the Certificate of Engineering Acceptance,
identifying the holder of the original certification and supporting documentation.
11.1.3 The involvement of third parties in the process
Where a train operator has not been identified it is permissible for a competent
third party such as a vehicle manufacturer or leasing company to carry out the
train operator’s responsibilities described in sections 11.1.1 and 11.1.2 of this
document. See also GO/RT3270.
Simultaneous discharging of the responsibilities by more than one party shall not
be permitted. This is to ensure that modifications which may adversely impact
on one another, with respect to the Mandatory Requirements, are not processed
simultaneously but in isolation to one another.
a) The manufacturer is permitted to carry out the responsibilities until such time
as the vehicle ownership is transferred to the purchasing organisation.
b) The vehicle owner is permitted to carry out the responsibilities until such time
as the operation of the vehicle is licensed to a train operator.
c) The train operator is permitted to engage a competent person or organisation
to carry out the responsibilities but, in such a case, the accountability shall
remain legally vested in the train operator.
That single party shall ensure that all CCBs and VABs carrying out certification
relative to the vehicle are aware of all work in hand affecting compliance of that
vehicle with mandatory standards.
CCBs and VABs will only accept certification requests from the appropriate party
as indicated in this section (see Appendices B1 b) and D1 b) ).
11.2 The Directorate
The Directorate shall be responsible for.
a) administration of the procedure for the Engineering Acceptance and
registration of rail vehicles.
b) having suitable procedures and arrangements in place to satisfy itself that
certification of rail vehicles is being carried out in accordance with the
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requirements of this document and shall ensure that the requirements in
Appendices K and L are met.
c) determining and implementing a process for directing organisations to act as
VABs and/or CCBs on its behalf.
d) determining and implementing standards of competence to be required of
organisations seeking to act as VABs and/or CCBs on its behalf, and of
representatives of those organisations who are to act as authorised
signatories.
e) qualifying and authorising competent organisations and their representatives.
f) maintaining a register of qualified VABs and CCBs, and of their authorised
signatories.
g) making available, to any body reasonably requiring the information, lists of
accredited CCBs and VABs.
h) auditing the CCBs and VABs to confirm that the process is being applied in a
manner that ensures system safety and safe interworking on Railtrack
Controlled Infrastructure. Where evidence is obtained that a CCB or VAB
has not satisfactorily discharged its responsibilities in respect of the
Engineering Acceptance process, the accreditation and work of the
organisation shall be reviewed by the Directorate. If considered necessary,
the Directorate shall suspend or withdraw the accreditation of the
organisation or signatory concerned. Any re-instatement of recognition shall
only be granted with the written authority of the Directorate.
i)
honouring certificates previously issued by a VAB or CCB no longer
operating as such, as long as the certificates remain valid. In this situation,
the control of the certificate rests with the Directorate.
It shall be permissible for the Directorate to employ a Managing Agent to
discharge some or all of the duties ascribed to it in this document in connection
with the accreditation and auditing of CCBs and VABs. In such circumstances
the Directorate shall have processes in place to confirm that those duties are
being discharged correctly. The legal accountability remains vested in the
Directorate.
12 Process Integrity
12.1 Suspension of Engineering Acceptance
In the event that the rail vehicle ceases to conform to the Mandatory
Requirements, the train operator shall notify the CCB/VABs issuing the
certificate of Engineering Acceptance and the certification shall be withdrawn in
accordance with the procedure defined in Appendix G. Where the Directorate or
the certificating CCB/VAB becomes aware of the situation independently, the
certification shall be withdrawn in accordance with Appendix G.
The train operator shall, on request for information, co-operate with a member of
the Railway Group, CCB or VAB obtaining evidence indicating that the rail
vehicle no longer conforms to the Mandatory Requirements.
Where the train operator refuses requests for confirmation of continued
conformance, the Directorate shall be notified.
12.2 Certification irregularities
If evidence of tampering or misuse of any Certificate of Conformance or
Certificate of Engineering Acceptance is obtained or received, the matter shall
be immediately reported to the Directorate.
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Engineering Acceptance of Rail Vehicles
13 Appeals
Any party to a dispute regarding the application of the Engineering Acceptance
process may appeal to the Directorate.
14 Provision of
Information
14.1 For Route Acceptance
The train operator shall submit vehicle information to the Rolling Stock
Acceptance Board for Route Acceptance in accordance with GO/RT3270. It
shall include, but not exclusively, the following:
a) Certificate of Engineering Acceptance as defined in this document;
b) Certificates of Derogation, Non-Compliance or Temporary Non-Compliance
where applicable;
c) the Route Availability number as defined in GE/RT8006;
d) a swept envelope portfolio as defined in GM/RT2149.
15 Records
15.1 Copies of Certificates
Copies of all certificates appropriate to their activities shall be retained by:
a) the CCB/VAB;
b) the train operator.
15.2 Life of records
Sufficient records and documents pertaining to certification of Vehicle Design,
Vehicle Construction, Vehicle Maintenance and Engineering Acceptance shall be
maintained in confirmation of the vehicle’s conformance for a period of 3 years
after the end of the operational life of the vehicle on Railtrack Controlled
Infrastructure. Other records and documentation, including those on RSL, shall
be retained for a period of 3 years after the certification it supports becomes
invalid.
15.3 Supporting evidence
Where a certificate is superseded by another of similar type, the supporting
evidence shall be retained in accordance with section 15.2 of this document.
Where one certificate incorporates and supersedes a number of previous
certificates, the supporting evidence for the superseded certificates is deemed to
become supporting evidence for the superseding certificate.
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Figure 1
The role of Engineering Acceptance with Route Acceptance
Certificates of Conformance
Other Route/
Vehicle Issues
Vehicle
Design
Vehicle
Maintenance
Construction
ORGANISATIONS
INVOLVED
Certificate of Engineering Acceptance
Train Operator or Third Party
and Conformance
Certification Body
Certificate of Technical
Acceptance (Optional see GO/RT3270)
Train Operator or Third Party
and Vehicle Acceptance Body
Certificate of Authority
to Operate
(see GO/RT3270)
Registration as
“operational” on RSL
(see GM/RT2453)
Train Operator or Third Party
and the infrastructure
controller
Train Operator and the
= Engineering Acceptance Activity
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Engineering Acceptance of Rail Vehicles
Appendix A
Rail Vehicles In International Traffic
A1 Vehicles subject to RIV regulations
The engineering risks associated with the use of foreign registered rail vehicles
subject to RIV regulations and working in international traffic are controlled by
those regulations.
For registration in Great Britain of rail vehicles under RIV regulations, the train
operator shall have obtained technical approval for the rail vehicle from a UIC
member railway. The approval shall be documented and detail all the relevant
UIC leaflet
s, ERRI reports and RIV regulations against which conformance has been
confirmed.
All rail vehicles (both Great Britain and foreign registered) compliant with the
above shall be regarded as having satisfied the requirements of Engineering
Acceptance by this process. This shall be confirmed by a Certificate of
Engineering Acceptance boldly marked “INTERNATIONAL VEHICLE (RIV)
CONFORMING TO UIC REQUIREMENTS” issued by a VAB approved by the
Directorate for the certification of such vehicles.
A2 Vehicles subject to bi-lateral agreements between railway
administrations
Vehicles that do not comply fully with the requirements of the RIV shall have
those elements that do not comply, or that may be affected by that NC,
scrutinised in accordance with the relevant Mandatory Requirements before
issue of a Certificate of Engineering Acceptance.
This shall be confirmed by a Certificate of Engineering Acceptance boldly
marked “INTERNATIONAL VEHICLE SUBJECT TO BI-LATERAL AGREEMENT”
issued by a VAB approved by the Directorate for the Certification of such
vehicles. The certificate shall give details of which aspects of the vehicle have
been assessed against the Mandatory Requirements and which against RIV/UIC
requirements
A3 Additional requirements
The additional requirements to be met before operation on Railtrack Controlled
Infrastructure are given in GO/RT3270 and GM/RT2453.
A4 Limit of application
The above process shall only be applied to vehicles operating in international
traffic and shall not be applied to vehicles which, though used on other railway
administrations, are to be introduced onto Railtrack Controlled Infrastructure for
operation which in itself does not constitute international traffic.
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Appendix B
Certification of Conformance
B1
The CCB, on receipt of an application for conformance certification, shall be
responsible for:
a) verifying that it is authorised by the Directorate to carry out the certification
requested;
b) verifying that the application is from an authorised party as defined in section
11.1.3 of this document;
c) identifying all the relevant Mandatory Requirements, including the document
number and issue of Railway Group Standard;
d) systematically satisfying itself that the rail vehicle, or engineering change to
the rail vehicle, conforms to each individual relevant Mandatory Requirement;
e) in the case of Certificates of Conformance for Design, agreeing a test
specification, including pass/fail criteria, for those aspects of the design in
which conformance with the Mandatory Requirements can only be
demonstrated by testing, and verifying that the vehicle’s conformance has
been demonstrated;
f) in the case of Certificates of Conformance for Construction, obtaining
evidence that an appropriate and documented safety examination is to be
carried out on each vehicle prior to its release onto Railtrack Controlled
Infrastructure;
g) in the case of Certificates of Conformance for Maintenance, obtaining
evidence that an appropriate safety examination exists, to be carried out after
maintenance attention and prior to release onto Railtrack Controlled
Infrastructure, within the Maintenance Plan;
h) issuing a Certificate of Conformance bearing a statement of the scope and
Mandatory Requirements against which conformance has been
demonstrated.
B2
On the Certificate of Conformance, the CCB shall:
a) define, where a Railway Group Standard permits conformance to one or
more of several optional criteria (for example, meets one particular braking
requirement), the particular criteria for which conformance has been
demonstrated;
b) identify operational limitations necessary to maintain conformance with the
Mandatory Requirements, sequentially numbering each individual limitation;
c) list all subsidiary certificates of exemption applicable to the rail vehicle and
obtained as indicated in Section 6.6.
B3
Prior to carrying out the appropriate scrutiny for a certificate of conformance, the
CCB shall:
a) identify and assess the areas of risk within the scope of the certification;
b) determine the scope and depth of the scrutiny of the design, construction or
Maintenance Plan appropriate to the assessed risk;
c) produce a log, recording in summary the decision chain.
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Engineering Acceptance of Rail Vehicles
B4
When scrutinising vehicles for conformance of construction it shall be
permissible to use a qualified subcontractor to sign-off the individual vehicles
subject to the CCB’s endorsement of the check list to be used, endorsement of
the subcontractor’s competence with particular reference to the type of vehicles
concerned, and periodic auditing of the work. Specimen signatures shall be held
in the CCB conformance certification records.
B5
Where Certificates of Conformance for Vehicle Design or Vehicle Construction
are issued for an individual rail vehicle or groups of similar rail vehicles (including
a fixed formation multiple unit set), each Certificate of Conformance shall
accurately identify the number of each rail vehicle covered by the certification.
Alternatively, it shall be permissible to identify the range of the vehicle numbers
where all vehicles within the range are covered by the certification, or where
those not included are specifically identified.
It shall be permissible to issue Certificates of Conformance for Vehicle
Maintenance for a class of vehicles without the need to specify individual vehicle
numbers. In such a case the range of the vehicle numbers shall be identified
and any vehicles within the range that are not covered by the Certificate shall be
specifically identified.
Where the number painted on the vehicle differs from its registered number
(used in RSL), both numbers shall be identified on the certificates.
In all cases where a Certificate of Conformance is issued for a group of vehicles
it shall bear sufficient information to allow the basis of certification to be identified
in a situation where all the vehicles concerned do not have an identical
configuration (because the modification status varies, for example). In this
context it shall be permissible to establish a portfolio of design codes, each
representing a given vehicle configuration. In this case the certification shall
indicate the design codes for which conformance with the Mandatory
Requirements has been checked.
B6
It shall be permissible for more than one current Certificate of Conformance for
Vehicle Design, or for Vehicle Construction, to exist for a rail vehicle at any given
time subject to a maximum of ten of any one type. In such circumstances, each
certificate shall carry a clear definition of its scope. The current certificates,
taken together, shall confirm compliance with all the relevant Mandatory
Requirements. Once the maximum number of current certificates has been
reached, the next certificate of that type shall incorporate the other certificates
and their limitations etc. No liabilities for the previous certificates will transfer to
the issuer of the superseding certificate.
Only one current Certificate of Conformance for Maintenance shall exist for a
given rail vehicle.
B7
A Certificate of Conformance shall be signed only by an Authorised Signatory
with the appropriate scope of recognition and employed by the CCB.
B8
The issue of all certificates shall be formally recorded by the CCB.
Two copies of each Certificate that each carry an original signature, the printed
name of the signatory and official stamp of the organisation, shall be labelled,
issued and distributed as follows:
•
•
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Customer Copy
Certification Body Copy
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The “customer copy” is that of the applicant. Other additional copies can be
supplied for information but should be stamped “copy”.
A copy of any certification for RRVs and RMMMs, issued under the Engineering
Acceptance process defined in GM/RT1300 and GM/RT2402 respectively, shall
be provided to the Rolling Stock Acceptance Board for information.
B9
A Certificate of Conformance shall normally be issued with no time limitation on
the validity, unless a time limit is identified against one of the “Special
Limitations”. The certificate shall normally remain valid until a change is made to
the vehicle that affects conformance to the mandatory standards.
Where a time limitation is imposed, this shall be specifically stated against the
respective limiting factor in the special limitations, and the appropriate expiry
date shall be entered on the certificate.
When a certificate is issued because of changes to a rail vehicle, it automatically
supersedes the previous certificate that covered that part of the conformance of
the rail vehicle concerned.
B10
A Statement of Notification shall be issued by the Design CCB listing all areas
identified during the design scrutiny process as critical considerations relating to
vehicle construction and maintenance. Areas to be identified for consideration
during other conformance certification shall include, but not exclusively so, the
following.
a) Areas of the vehicle body requiring tight manufacturing tolerances because of
swept envelope implications on gauging – Construction Conformance.
b) Critical limits of wear used in swept envelope determination, that must be
included within the Maintenance Plan produced in accordance with
GM/RT2004 – Maintenance Conformance.
c) Materials, the quality or choice of which is critical to safety performance or
prevention of unsafe conditions.
d) Brake performance which is close to the applicable braking curve –
Maintenance Conformance.
e) Welding in high-stressed areas – Construction Conformance.
f) Safety critical systems with critical maintenance periodicities – Maintenance
Conformance.
B11
Where Railway Group Standards mandate that information be supplied to the
infrastructure controller as part of the Route Acceptance process (for example,
swept envelopes and route availability number) that information shall be verified
as part of the Engineering Acceptance process (See GO/RT3270). The
appropriate Certificate of Conformance shall indicate, by reference to specific
documents, databases etc, the information that has been verified in this way.
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Engineering Acceptance of Rail Vehicles
Appendix C
Type Conformance Testing
C1 General
The scope of type testing carried out on a new vehicle, assembly or component
in verification of design is likely to exceed the scope of type conformance testing
required for the demonstration of conformance with the mandatory standards.
The requirements of this section relate only to type conformance testing.
C1.1 Determination of type conformance tests required
The type conformance tests required in support of other data to demonstrate
conformance with the Mandatory Requirements shall be determined by the CCB
(see GM/RC2510).
C1.2 Vehicles and components
Type conformance tests shall normally be performed on the first new or modified
production rail vehicle or component. However, by agreement with the CCB the
tests may be:
a) undertaken on a prototype rail vehicle or components;
b) undertaken on other than the first rail vehicle or components;
c) shared between a number of rail vehicles or components.
If Type Conformance Tests are performed on a prototype rail vehicle or
component, further testing on a production rail vehicle or component shall be
performed as necessary to confirm conformance to the Mandatory Requirements
of the effect of any design or construction changes incorporated into the
production rail vehicle or component.
C1.3 Test specification
The CCB shall ensure that the test specification for the vehicle includes its
requirements for evidence that the vehicle design conforms to the Mandatory
Requirements including, as appropriate:
a) a brief description of each test required by the CCB to verify conformance;
b) the rail vehicle loading conditions for each test as appropriate;
c) the environmental conditions for each test;
d) the pass/fail criteria for each test;
e) identification of the Mandatory Requirements to be confirmed by each test;
f) details of the evidence required to demonstrate compliance that is to be
provided to the CCB by the organisation conducting the test;
g) the corrective action process;
h) additional controls necessitated by vehicle engineering considerations to
ensure safety and safe interworking during the tests (additional controls may
be required as a result of the Route Acceptance process).
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C1.4 Test plan
The CCB shall ensure that a test plan is prepared and documented and that it
includes, as appropriate:
a) the test programme;
b) the testing organisation selected to conduct each test;
c) the test facilities to be used;
d) the involvement and qualification of any third parties;
e) the test methods;
f) the limits of tolerance for any test measuring methods;
g) a brief description of each test;
h) confirmation of compliance with the specified requirements determined under
section C1.3.
C1.5 Engineering Acceptance prior to on-track testing
Where compliance with certain Mandatory Requirements cannot be confirmed
until on-track type conformance testing has been carried out on Railtrack
Controlled Infrastructure, it shall be permissible for a provisional Certificate of
Engineering Acceptance, ie, a Certificate of Engineering Acceptance with
specific limitations, valid for the duration of the testing, to be issued, as
described below.
Prior to movement of a rail vehicle onto Railtrack Controlled Infrastructure for the
purposes of type conformance testing, Certificates of Conformance for both
Vehicle Design and Vehicle Construction (or Declaration of Conformity for
Vehicle Construction) shall be obtained for the rail vehicle in its current
design/modification status in accordance with the Engineering Acceptance
process. (A Certificate of Conformance for Maintenance is not required at this
stage). The areas where compliance with the Mandatory Requirements cannot
be confirmed until type conformance testing has been carried out shall be clearly
identified by the CCB, appropriate safeguards and/or limitations put in place and
the test specification identified on the Certificates of Design Conformance and
Engineering Acceptance.
The Certificate of Engineering Acceptance shall be limited by an expiry date to
cover the anticipated period of testing only and by any other limitations identified
on the Certificates of Conformance or that are necessary to ensure system
safety and safe interworking, all of which shall be clearly identified.
C1.6 Test location
It is permissible for type conformance testing to be undertaken on infrastructure
other than Railtrack Controlled Infrastructure where the infrastructure has no
influence on the test results. Tests in which the infrastructure has a significant
influence, such as vehicle ride tests, shall be carried out on Railtrack Controlled
Infrastructure.
C1.7 Maintenance
The rail vehicle shall be subject to a documented examination and maintenance
regime during the period of type conformance testing to ensure continuing
system safety and safe interworking. The operator shall obtain the VAB’s
endorsement of the proposed regime, such endorsement being confirmed by the
issuing of the provisional Certificate of Engineering Acceptance. The document
identifying the maintenance regime shall be clearly identified under special
limitations on the certificate.
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Issue Three
Date December 2009
Page 24 of 43
Engineering Acceptance of Rail Vehicles
Appendix D
Engineering Acceptance Certification
D1
On receipt of an application for engineering acceptance certification, the VAB
shall be responsible for:
a) verifying that it is authorised by the Directorate to carry out the certification
requested;
b) verifying that the application is from an authorised party as defined in section
11.1.3 of this document;
c) identifying all the relevant Mandatory Requirements;
d) verifying that all necessary current Certificates of Conformance have been
made available to confirm conformance of the rail vehicle to all the relevant
Mandatory Requirements for the current design/modification status of the rail
vehicle;
e) verifying that the Certificates of Conformance offered in support of the
application are valid (for example, date, signature, scope);
f) satisfying itself that conformance to the relevant Mandatory Requirements
has been demonstrated. (This shall be done through the selective
examination of sufficient evidence of the work carried out in support of the
issue of each Certificate of Conformance associated with the certification of
the rail vehicle. It shall include auditing of certification activities where
considered appropriate. A summary of the evidence examined, including key
facts and issues and unusual factors, shall be documented and maintained);
g) reviewing all statements of notification issued with the Certificate of
Conformance for Design, and ensure that the items listed have received due
consideration during the Conformance Certification identified;
h) verifying that the Certificates of Conformance are consistent and that any
limitations on an individual certificate do not conflict with any aspects of the
other supporting certificates;
i)
when satisfied that the rail vehicle conforms to all the relevant Mandatory
Requirements, issuing a Certificate of Engineering Acceptance.
The level of examination of the evidence and the depth of an audit by a VAB
shall be consistent with a documented assessment of the risks for the particular
rail vehicle certification. It is not a requirement for the VAB to verify all of the
work carried out by the CCBs in support of the certification.
D2
On a Certificate of Engineering Acceptance, the VAB shall:
a) define, where a Railway Group Standard permits conformance to one or
more of several optional criteria (for example, meets one particular braking
requirement), the particular criteria for which conformance has been
demonstrated;
b) identify operational limitations necessary to maintain conformance with the
Mandatory Requirements or to operate safely under a controlled test
programme, and indicate the extent of the validated gauging information,
sequentially numbering each individual limitation;
c) list all subsidiary Certificates of Conformance and exemption (obtained as
indicated in section 6.6) applicable to the rail vehicle;
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GM/RT2000
Issue Three
Date December 2009
Page 25 of 43
d) identify in the list new Certificates of Conformance relating to engineering
change or modification as a clear indication of the new issues examined by
the VAB.
D3
A Certificate of Engineering Acceptance shall be signed only by an authorised
signatory with the appropriate scope of recognition and employed by the VAB.
D4
The issue of all certificates shall be formally recorded by the VAB.
Three copies of each Certificate that each carry an original signature and official
stamp of the organisation, shall be labelled, issued and distributed as follows:
•
•
•
Customer Copy
Vehicle Acceptance Body Copy
Rolling Stock Library Copy
The “customer copy” is that of the applicant. Other additional copies can be
supplied for information but should be marked “copy”.
A copy of any certification for RRVs and RMMMs, issued under the Engineering
Acceptance process defined in GM/RT1300 and GM/RT2402 respectively, shall
be provided to the Rolling Stock Acceptance Board for information.
D5
It shall be permissible to issue a Certificate of Engineering Acceptance for an
individual rail vehicle or a group of similar rail vehicles (including a fixed
formation multiple unit set) provided that the basis of certification remains clear
in circumstances where all the vehicles do not have an identical configuration
(because their modification status varies, for example). Each Certificate of
Engineering Acceptance shall list accurately the number of each rail vehicle
covered by the certification.
Where the number painted on the vehicle differs from its registered number
(used in RSL), both numbers shall be identified on the certificates.
D6
A Certificate of Engineering Acceptance shall normally be issued with no time
limitation on the validity, unless a time limit is included on the certificate under
“special limitations”. The certificate shall normally remain valid until a change is
made to the vehicle that affects conformance to the mandatory standards.
D7
Where Railway Group Standards mandate that information be supplied to the
infrastructure controller as part of the Route Acceptance process (for example,
swept envelopes and route availability number) the integrity of that information
shall be verified as part of the Engineering Acceptance process (See
GO/RT3270). The Certificate of Engineering Acceptance shall indicate, by
reference to specific documents, databases etc, the information which has been
verified in this way.
D8
It shall be permissible to post-date a Certificate of Engineering Acceptance for a
vehicle covered by Appendix H of this document, in order to permit uninterrupted
operation between successive certificates (usually 12-monthly). The period of
post-dating shall not exceed four weeks.
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Issue Three
Date December 2009
Page 26 of 43
Engineering Acceptance of Rail Vehicles
Appendix E
Procedure to obtain a Transit Movement
(Engineering Acceptance) Certificate
E1
In the exceptional circumstances defined in section E2 only, where there is a
requirement to move a rail vehicle from one location to another, a Transit
Movement (Engineering Acceptance) Certificate, issued by a VAB, shall be
obtained to cover the move. In addition, the train operator shall be in possession
of Route Acceptance for the movement of the rail vehicle in its current condition
along the defined route(s).
E2
The use of the Transit Movement (Engineering Acceptance) Certificate shall be
permitted only in the following circumstances:
a) the movement of a registered, but non-conforming rail vehicle for
repair/overhaul, modification, testing or disposal;
b) in support of an application for Route Acceptance in connection with making
a defined transit movement of an unregistered rail vehicle on Railtrack
Controlled Infrastructure;
c) the movement of an unregistered vehicle of historical interest to a location
where it is to be displayed.
E3
The VAB shall examine the rail vehicle in accordance with Appendix J2, to
determine the limitations to be placed on the movement to ensure safety.
The level of examination by the VAB shall be consistent with a documented
assessment of the risks for the particular rail vehicle certification.
E4
For the cases referred to in sections E2 a) and b) above, each Transit
Movement (Engineering Acceptance) Certificate shall :
a) unless authorised in writing by the Directorate, have an expiry date not
exceeding 14 days from the date of issue (no extension to the expiry date on
the certificate shall be permitted nor, for any given vehicle, shall such a
certificate be issued within 6 months of the issue of a previous Transit
Movement certificate without written authorisation from the Directorate);
b) define the initial and final locations;
c) define any other limitations on the movement that are to be complied with;
d) have the certificate number on each page of the certificate.
E5
Exclusively for the case referred to in section E2 c) above, each Transit
Movement (Engineering Acceptance) Certificate shall:
a) relate to a single movement only (successive movements being permitted
under separate certification without a minimum elapsed time between);
b) have an expiry date equating to the date anticipated for completion of the
movement;
c) define the initial and final locations;
d) define any other limitations on the movement that are to be complied with,
including that the vehicle shall be hauled as a dead vehicle;
e) have the certificate number on each page of the certificate.
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Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 27 of 43
Appendix F
Certificates
All Certificates of Conformance and Engineering Acceptance shall conform to the
requirements of this Appendix.
F1
Certificates of Engineering Acceptance, Transit Movement (Engineering
Acceptance) and Conformance shall be as specified by the Directorate, as
shown in this Appendix.
F2
Certification bodies may add their own logo to the top left hand corner of their
certificates and their own form reference number. Deviations from the style or
format of the certificates shall not be permitted without the prior written approval
of the Directorate.
F3
Each certificate shall bear its own unique number and shall be of the form
indicated by the certificate no. indicated on the example certificates, the key to
the examples being given below.
XX
Accreditation code of specific VAB or CCB, as appropriate, as allocated
by the Directorate or its Managing Agent
YY
Code denoting subject area of Conformance certificate:
DS = Vehicle Design, BD = Vehicle Construction, MP = Maintenance
0000 4-digit number which uniquely identifies each Certificate of Conformance
of a particular type issued by a given Conformance Certification Body, in
a given calendar year
01
Calendar year of issue of certificate
F4 Single-sided certificates and supplementary pages
Where single-sided printing of certificates is preferred, or to enable all necessary
information associated with a Certificate of Conformance or Certificate of
Engineering Acceptance to be detailed, it shall be permissible to use
supplementary pages attached to the certificate concerned. When such
supplementary pages are used they shall include the following as a minimum:
a) the words “RAILTRACK Safety & Standards Directorate” in the top right hand
corner;
b) the associated certificate number on each page of the document;
c) Name and signature of the Authorised Signatory;
d) Name of CCB or VAB and official stamp;
e) Page Number and a means of identifying the total number of pages.
F5 Non-compliances and derogations
Where a current certificate of NC, TNC or derogation relating to a specific
Mandatory Requirement has been granted for the rail vehicle, details of the NC
or derogation shall be shown on the appropriate Certificates of Conformance and
Certificate of Engineering Acceptance.
F6 Endorsements
Changes occurring which relate to an already certificated rail vehicle shall be
covered by new certificates of Conformance and Engineering Acceptance.
Endorsements shall not be made to existing certificates. The data on such
certificates shall relate to the change and data from superseded certificates,
where the certificate incorporates the ten previous current certificates (see
section 6.9.1).
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Issue Three
Date December 2009
Page 28 of 43
Engineering Acceptance of Rail Vehicles
Appendix F
(continued)
Certificate of Conformance (Example 1)
RAILTRACK
Safety & Standards Directorate
CERTIFICATE OF CONFORMANCE FOR
VEHICLE DESIGN
This certificate formally records that the design of the following vehicle(s) has been scrutinised in
accordance with GM/RT2001 and conforms with the appropriate Mandatory Requirements as set
out in Railway Group Standards.
NAME OF CERTIFICATION BODY
ACCREDITATION CODE
....................................................
.......................................
....................................................
Vehicle Type & Class...............................................................................
Vehicle Number(s).....................................................................................................
Vehicle Operator......................................................................................
Vehicle Owner..........................................................................................
Issue Date ..........................
Authorised By.....................
See overleaf for Mandatory Requirements
against which compliance has been confirmed
Name ……………………………….
Expiry Date.................................
(Where applicable due to a special limitation
or enter None, if none).
Name of Certification Body and
OFFICIAL STAMP
Special Limitations : (if none, insert none)
................................................................
................................................................
................................................................
................................................................
Certificate No : XX/YY/0000/01
Form EA/2 December 2000
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Customer Copy
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Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 29 of 43
Appendix F (continued)
Certificate of Conformance Reverse (Example 1)
RAILTRACK
Safety & Standards Directorate
CERTIFICATE OF CONFORMANCE FOR
VEHICLE MAINTENANCE
This certificate formally records that the maintenance plan(s) of the following vehicle(s) have
been scrutinised in accordance with GM/RT2004 and conform with the appropriate Mandatory
Requirements as set out in Railway Group Standards.
NAME OF CERTIFICATION BODY
ACCREDITATION CODE
....................................................
.......................................
....................................................
Vehicle Type & Class..............................................................................
Vehicle Number(s)...................................................................................
Vehicle Operator......................................................................................
Vehicle Owner..........................................................................................
Issue Date ..........................
Authorised By.....................
See overleaf for Mandatory Requirements
against which compliance has been confirmed
Name ……………………………….
Expiry Date.................................
(Where applicable due to a special limitation
or enter None, if none).
Name of Certification Body and
OFFICIAL STAMP
Special Limitations : (if none, insert none)
................................................................
................................................................
................................................................
................................................................
Certificate No : XX/YY/0000/01
Form MP/2 December 2000
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Issue Three
Date December 2009
Page 30 of 43
Engineering Acceptance of Rail Vehicles
Appendix F
(continued)
Certificate of Conformance (Example 2)
RAILTRACK
Safety & Standards Directorate
CERTIFICATE OF CONFORMANCE FOR
VEHICLE MAINTENANCE
This certificate formally records that the maintenance plan(s) of the following vehicle(s) have
been scrutinised in accordance with GM/RT2004 and conform with the appropriate Mandatory
Requirements as set out in Railway Group Standards.
NAME OF CERTIFICATION BODY
ACCREDITATION CODE
....................................................
.......................................
....................................................
Vehicle Type & Class..............................................................................
Vehicle Number(s)...................................................................................
Vehicle Operator......................................................................................
Vehicle Owner..........................................................................................
Issue Date ..........................
Authorised By.....................
See overleaf for Mandatory Requirements
against which compliance has been confirmed
Name ……………………………….
Expiry Date.................................
(Where applicable due to a special limitation
or enter None, if none).
Name of Certification Body and
OFFICIAL STAMP
Special Limitations : (if none, insert none)
................................................................
................................................................
................................................................
................................................................
Certificate No : XX/YY/0000/01
Form MP/2 December 2000
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Issue Three
Date December 2009
Page 31 of 43
Engineering Acceptance of Rail Vehicles
Appendix F (continued)
Certificate of Conformance Reverse (Example 2)
This Certificate of Conformance for Maintenance has been issued on the basis of confirmation of
conformance with the Mandatory Requirements.
Maintenance Plans related to this certificate (To be completed)
Maintenance Plan Identification No.
Issue No.
Date
…………………………………….
……………
……………………
…………………………………….
……………
……………………
…………………………………….
……………
……………………
…………………………………….
……………
……………………
Applicable Gauge or Portfolio Reference
.....................................................
The scope of work and Mandatory Requirements (RGS catalogue issue
number will suffice) against which conformance has been confirmed
(including effect on other existing certification)
Certificate No : XX/YY/0000/01
Form MP/2 December 2000
RSSB
Customer Copy
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Issue Three
Date December 2009
Page 32 of 43
Engineering Acceptance of Rail Vehicles
Appendix F (continued)
Certificate of Engineering Acceptance
(Example)
RAILTRACK
Safety & Standards Directorate
CERTIFICATE OF ENGINEERING ACCEPTANCE
This certificate formally records that the following vehicle(s) conform to the appropriate
Mandatory Requirements as set out in Railway Group Standards.
NAME OF CERTIFICATION BODY
ACCREDITATION CODE
....................................................
.......................................
....................................................
Vehicle Type......................................................................................................
Vehicle Number(s)..........................................................................................................
Vehicle Operator...............................................................................................
Vehicle Owner...................................................................................................
Issue Date .........................
Authorised By..............................
See overleaf for Mandatory Requirements
against which compliance has been confirmed
Name ……………………………….
Expiry Date.................................
(Where applicable due to a special limitation
or enter None, if none)
Name of Certification Body and
OFFICIAL STAMP
Special Limitations : (if none, insert none)
................................................................
................................................................
................................................................
................................................................
Certificate No : XX/0000/01
Form EA/7 December 2000
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Issue Three
Date December 2009
Page 33 of 43
Engineering Acceptance of Rail Vehicles
Appendix F (continued)
Certificate of Engineering Acceptance –
Reverse (Example)
This Certificate of Engineering Acceptance has been issued
on the basis of the following Certificates of Conformance
and previous Certificate of Engineering Acceptance.
Vehicle Design...........................Vehicle Construction.......................
.............................
.........................
Maintenance..............................
Certificates of Conformance Issued under GM/RT2000 Issue Two
Previous Certificate of Engineering Acceptance......................................
(Where a Certificate of Conformance has not been issued, or where a Certificate of Engineering
Acceptance has not previously been issued for an existing vehicle, give reason below).
..................................................................................................................................
Vehicle Data (To be completed)
Route Availability No
(Laden)
.................
(Tare) .......................
Maximum Speed
(Laden)
.................
(Tare) .......................
Applicable Gauge or Portfolio Reference
.....................................................
Applicable Braking Curve(s)
.....................................................
Minimum Curve Radius
.....................................................
The scope of work and Mandatory Requirements (RGS catalogue issue
number will suffice) against which conformance has been confirmed
Mandatory Data for inclusion in RSL
All the mandatory data, defined in Railway Group Standard GM/RT2453, that is required for
inclusion in the RSL database, must be appended to this certificate. For a new vehicle, all the
mandatory data must be included (or the agreed design code for which all the mandatory data
has been supplied to RSL) but on an existing vehicle that is already registered, only the
mandatory data that has changed and is to be amended in the RSL database shall be included.
Certificate No : XX/0000/01
Form EA/7 December 2000
RSSB
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Issue Three
Date December 2009
Page 34 of 43
Engineering Acceptance of Rail Vehicles
Appendix F (continued)
Transit Movement
(Engineering Acceptance) Certificate
(Example)
RAILTRACK
Safety & Standards Directorate
Transit Movement (Engineering Acceptance) Certificate
This certificate formally confirms that the following vehicle(s) has been inspected and conforms
to the relevant system safety and safe interworking requirements. This authorises Engineering
Acceptance for the following defined movement on Railtrack Controlled Infrastructure only.
NAME OF VEHICLE ACCEPTANCE BODY
ACCREDITATION CODE
.........................................................................
.................................
Vehicle Type & Class....................................................................................
Vehicle Number(s)........................................................................................
Vehicle Operator...........................................................................................
Vehicle Owner...............................................................................................
Starting Location...........................................................................................
Final Location................................................................................................
Vehicle Data (To be completed)
Route Availability No
(Laden)
.................
(Tare) .......................
Maximum Speed
(Laden)
.................
(Tare) .......................
Applicable Gauge or Portfolio Reference
.....................................................
Applicable Braking Curve(s)
.....................................................
Minimum Curve Radius
.....................................................
Issue Date ..........................
Authorised By.......................
Expiry Date.................................
Name…………………………..
(Maximum of 14 days from date of issue
unless otherwise authorised)
Name of Certification Body and
Special Limitations : (if none, insert none)
................................................................
................................................................
................................................................
................................................................
................................................................
Form EA/8 December 2000
34
OFFICIAL STAMP
Certificate No : XX/YY/0000/01
Customer Copy
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Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 35 of 43
Appendix G
Suspension and withdrawal of certification
G1
Certificates of Conformance or Engineering Acceptance shall be suspended or
withdrawn by the Directorate, or the CCB or VAB that has issued certification for
rail vehicle, on receipt of evidence that:
a) a rail vehicle or a group of similar rail vehicles no longer conforms to the
Mandatory Requirements forming the basis of that certification, or
b) the vehicle(s) had not conformed at the time of certification.
G2
The operator shall be advised immediately of intention to suspend or withdraw
certificates and, except where safety is immediately prejudiced, the suspension
or withdrawal shall only take effect after a period of two weeks in which an
appeal may be considered.
G3
Where there is growing risk from continued operation of non-conforming
vehicles, including heritage and special service trains, the Directorate shall
normally give five years’ advance notice of intention to withdraw all certification
and to prohibit any future re-certification.
G4
The Directorate, CCB or VAB suspending or withdrawing the certification shall
immediately notify the Rolling Stock Library and the train operator of the
withdrawal. Where the certification is suspended or withdrawn by the
Directorate, the Directorate shall notify the CCB or VAB of the suspension or
withdrawal. Where the certification is suspended or withdrawn by a CCB or
VAB, the CCB or VAB shall notify the Directorate of the suspension or
withdrawal. All such communication shall be in writing.
G5
A suspended Certificate of Engineering Acceptance may be reactivated, with the
written authority of the Directorate, by the VAB following appropriate action to
ensure conformance of the rail vehicle to the Mandatory Requirements.
G6
The withdrawal of a certificate shall be accomplished by the issue of a similar
type of certificate carrying an expiry date identical to the date of issue.
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Issue Three
Date December 2009
Page 36 of 43
Engineering Acceptance of Rail Vehicles
Appendix H
Requirement for Engineering Acceptance of
non-compliant Vehicles for limited use on heritage
or special service trains
H1
Such vehicles shall satisfy the following requirements for Engineering
Acceptance:
(a) A derogation shall be obtained from the Directorate in order to authorise use
of the process below.
(b) The train operator shall satisfy the VAB that the design was previously
accepted for operation on Railtrack Controlled Infrastructure or that of the
former British Rail and that the design and manufacture of the rail vehicle
proved satisfactory in service.
(c) Any existing parts used in the construction of the rail vehicle shall be
examined and where necessary repaired/overhauled as an integral part of
the application of Engineering Acceptance;
(d) It shall be permissible to use a new replacement part, manufactured to the
original, proven standards and manufacturing methods pertaining at the time,
provided that it can be confirmed that the item has been manufactured
correctly and that it complies with those standards.
(e) Any replacement part used in the construction that is redesigned,
manufactured by a different manufacturing method (including the situation
where the original, proven method of manufacture or manufacturing
standards are unknown) shall be confirmed to be at least as good in its
performance as the original by the VAB.
(f) The relevant requirements mandated in this document for steam locomotives
and wooden bodied vehicles shall be met.
(g) Where the rail vehicle is already in existence it shall be overhauled in
accordance with the requirements of a VAB as an integral part of the
application of Engineering Acceptance. The overhaul shall include
incorporation of modifications as far as is reasonably practicable so that the
rail vehicle will meet the current Mandatory Requirements. In order to enable
the vehicle to be re-registered, the train operator shall obtain as a minimum:
(h) a Certificate of Conformance for Maintenance;
(i) a Certificate of Engineering Acceptance with an expiry date not exceeding 12
months from the date of issue.
(j) Any engineering change carried out to the rail vehicle since the period of
operation referred to in (b) above shall require acceptance using the
application of the full Engineering Acceptance process.
(k) Whilst registered on the Rolling Stock Library, such vehicles shall be subject
to an annual safety examination (see Appendix J).
(l) Each Certificate of Engineering Acceptance shall define the maximum annual
mileage, not exceeding 15000 miles, that the rail vehicle is permitted to travel
before requiring a further examination to confirm continuing conformance.
(m) The Certificate of Engineering Acceptance shall be marked boldly
“HERITAGE OPERATION ONLY” or “SPECIAL SERVICE OPERATION
ONLY”.
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GM/RT2000
Issue Three
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Page 37 of 43
H2
Additional restrictions on wooden bodied vehicles for the carriage of persons.
a) No additional wooden bodied rail vehicles designed or modified to carry
persons shall be certificated for registration to operate on Railtrack Controlled
Infrastructure.
b) Wooden bodied vehicles for the carriage of persons and which are currently
registered in the Rolling Stock Library shall not be subject to any engineering
change, including operational parameters such as an increase in speed, that
increases the risk associated with the operation of the rail vehicle. Any
permitted engineering change shall be subject to the requirements of
Engineering Acceptance.
c) Wooden bodied vehicles for the carriage of persons shall be re-certificated
under Engineering Acceptance and be permitted to operate on Railtrack
Controlled Infrastructure only if they continue to remain in a safe condition
and that their registration is continuous.
d) If a rail vehicle fails the requirements of the annual safety examination, or a
VAB has cause to withdraw the current confirmation that the rail vehicle
satisfies the relevant requirements, that VAB shall advise the Directorate.
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Issue Three
Date December 2009
Page 38 of 43
Engineering Acceptance of Rail Vehicles
Appendix J
Safety Examination
J1 Heritage and special service trains
The requirements defined in this section shall be used as part of the acceptance
process for vehicles operated in Heritage or Special Service trains (see
Appendix H).
J1.1
Where Engineering Acceptance requires a rail vehicle to be subject to, and
satisfy, an annual safety examination, the content of the annual examination
shall be defined by a VAB
J1.2
The VAB shall ensure that attention is given to ensuring conformance to the
relevant Mandatory Requirements applicable to the following areas, including the
correct functioning of all equipment, as part of the annual examinations of safety:
(a) loading gauge;
(b) wheelsets, their component parts and maintenance/overhaul;
(c) axle loads;
(d) minimum curves (horizontal and vertical);
(e) braking performance/parking brake;
(f) wheel/rail interface;
(g) maximum speed;
(h) correct operation of and interaction with signalling equipment,
electromagnetic interference and compliance with GM/RT1000;
(i) radios/radio control;
(j) safety labelling/OHE warning line/yellow ends (see GM/RT2177, GM/RT2180
& GM/RT2181);
(k) lights/warning horns (see GM/RT2180);
(l) speedometer/limiter;
(m) means of removal following an incident;
(n) RSL registration number for the vehicle;
(o) maintenance and inspection procedures to ensure continued safety,
including use of defect reporting processes;
(p) reporting of safety related information;
(q) safety stop device;
(r) speed limit;
(s) electrical and mechanical couplings;
(t) AWS or other trainborne signalling equipment;
(u) requirements of GM/RT2003 (where applicable).
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Railway Group Standard
Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 39 of 43
J1.3
The VAB shall carry out sufficient work to confirm conformance to the relevant
Mandatory Requirements.
J1.4
The VAB shall issue a Certificate of Engineering Acceptance only when it is
satisfied that the rail vehicle conforms to the relevant Mandatory Requirements.
The Certificate of Engineering Acceptance shall have an expiry date not
exceeding 12 months from the date of the examination, together with any
limitations on operation.
J1.5
If a rail vehicle fails the requirements of the annual safety examination, or a VAB
has cause to withdraw the current certification, the VAB shall advise the
Directorate. Any necessary restrictions to ensure continuing system safety and
safe interworking shall then be agreed in writing with the Directorate and
imposed on the operation of the rail vehicle.
J2 Transit movement (Engineering Acceptance)
A VAB shall only issue a Transit Movement (Engineering Acceptance) Certificate
(see Appendix E) after successfully completing a documented safety
examination.
Areas examined shall include all aspects in which incompleteness or faulty
installation could lead to unsafe operation. The areas shall be identified by
means of a risk assessment and shall take account of local knowledge and
information gained by feedback from the safety performance monitoring and
defect reporting of rail vehicles.
It is permissible to use section J1.2 as a guide to items also requiring
consideration for inclusion as appropriate, taking account of whether the vehicle
is to be operational or hauled ‘dead’.
J3 Vehicle construction and maintenance
A CCB shall only issue Certificates of Conformance for Construction and
Maintenance after demonstration that a documented safety examination is to be
carried out on each rail vehicle prior to release onto Railtrack Controlled
Infrastructure after its construction, modification and maintenance.
Areas examined shall include all aspects in which incompleteness or faulty
installation could lead to unsafe operation. The areas shall be identified by
means of a risk assessment and shall take account of local knowledge and
information gained by feedback from the safety performance monitoring and
defect reporting of rail vehicles.
It is permissible to use section J1.2 as a guide to items also requiring
consideration for inclusion as appropriate.
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Railway Group Standard
GM/RT2000
Issue Three
Date December 2009
Page 40 of 43
Engineering Acceptance of Rail Vehicles
Appendix K
Requirements applicable to a CCB
K1
The CCB shall:
(a) be accredited by the Directorate, its signatories also being accredited by the
Directorate;
(b) have specialist rail vehicle expertise appropriate to the activity and rail
vehicle type;
(c) act in an independent and impartial manner in the application of
Conformance Certification;
(d) have documented procedures for the identification of all the relevant
Mandatory Requirements;
(e) have auditable procedures to undertake the checking of conformance to the
Mandatory Requirements;
(f) undertake certification only in the areas covered by its scope of qualification;
(g) maintain a register recording the issue of all certificates and any appended
limitations and restrictions;
(h) maintain appropriate records to permit verification of their certification
activities under Engineering Acceptance;
(i) sign off Certificates only by authorised persons.
K2
Where a CCB delegates or sub-contracts part of the work leading to the issue of
a Certificate of Conformance, it shall have processes in place to control the
delegated or sub-contracted work. The controls shall include assessment of the
competence of the body undertaking the work.
K3
Where a modification is proposed to a steam locomotive which has no impact on
those areas unique to steam traction and does not in any way interface with
steam or steam systems on the locomotive, it shall be permissible to use an
approved Design Conformance signatory not having steam locomotives within
the scope of authorisation subject to the following conditions:
(j) the signatory shall be competent in the Mandatory Requirements relevant to
the modification;
(k) a steam locomotive technically competent authority shall be used in support
of the design conformance signatory to confirm that no issues were present
at any stage of the Scrutiny requiring expertise related to steam traction, and
shall sign a declaration to that effect;
(l) the steam technically competent authority shall be approved for that role by
the Directorate.
This section shall not be deemed to apply to the case of modifications relating to
the installation of major systems.
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Railway Group Standard
Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 41 of 43
Appendix L
Requirements applicable to a VAB
L1
The VAB shall:
(a) be accredited by the Directorate, its signatories also being accredited by the
Directorate;
(b) have specialist rail vehicle expertise appropriate to the activity and rail
vehicle type;
c) act in an independent and impartial manner in the application of Engineering
Acceptance;
d) have documented procedures for the identification of all the relevant
Mandatory Requirements;
e) have auditable procedures to undertake the checking of conformance to the
Mandatory Requirements. In the limited number of instances permitted by
Engineering Acceptance (see GM/RT1300, GM/RT2402 and the
requirements relating to Heritage Vehicles and Transit Movements defined in
this document GM/RT2000) a VAB may undertake some duties of the CCBs
as part of its activities;
f) undertake certification only in the areas covered by the scope of its
qualification;
g) maintain a register recording the issue of all certificates and any appended
limitations and restrictions;
h) maintain appropriate records to permit verification of their certification
activities under Engineering Acceptance;
i)
Sign off certificates only by authorised persons.
L2
Where a VAB delegates or sub-contracts part of the work leading to the issue of
a Certificate of Engineering Acceptance, it shall have processes in place to
control the delegated or sub-contracted work. The controls shall include
assessment of the competence of the body undertaking the work.
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Railway Group Standard
GM/RT2000
Issue Three
Date December 2009
Page 42 of 43
Engineering Acceptance of Rail Vehicles
Appendix M
Vehicle construction
M1
The confirmation of conformance, undertaken by the CCB, shall include the
following:
a) Identification of the relevant Mandatory Requirements.
b) Identification and confirmation of completion of tests, eg. non-destructive
testing of wheelsets.
c) Identification and confirmation of records of components and assemblies, eg.
Wheelsets.
d) Confirmation that suppliers are Qualified Suppliers or that there are sufficient
controls in place (see GM/RT2450, and GI/RT7002 where appropriate).
e) Identification and confirmation of measurements on individual vehicles, such
as:
•
•
•
•
effectiveness of electrical bonding;
integrity of electrical enclosures to meet Electricity at Work Regulations;
height of Overhead Line Equipment warning line above rail top;
height of headlight above rail top.
M2
The CCB shall prepare a documented inspection plan that ensures sufficient
checks are carried out to confirm that the individual vehicles have been
constructed or modified to the scrutinised design.
M3
The level of inspection and the level of an audit by the CCB shall be consistent
with a documented assessment of the risks for the particular rail vehicle
certification. Such a determination shall take account of any areas of potential
risk or criticality highlighted by the design scrutiny process: for example, in areas
where the swept envelope of the vehicle are identified as critical, the build
tolerance shall be considered.
M4
The level of inspection carried out shall be reviewed, and where necessary
revised, during a construction programme to take account of emerging trends, so
as to ensure each rail vehicle conforms to the scrutinised design and
construction requirements.
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Railway Group Standard
Engineering Acceptance of Rail Vehicles
GM/RT2000
Issue Three
Date December 2009
Page 43 of 43
References
RGSC 01
The Railway Group Standards Code
GA/RT6001
Railway Group Standards Change Procedures
GA/RT6004
Temporary Non-Compliance with Railway Group Standards
GA/RT6006
Derogations and Railway Group Standards
GE/RT8006
Interface Between Rail Vehicle Weights and Infrastructure
(to be published December 2000)
GI/RT7002
Acceptance of Systems, Equipment & Materials etc.
GM/RC2510
Code of Practice for the Acceptance Testing of Rail Vehicles
GM/RT1000
Compatibility Between Electric Trains and Electrification
GM/RT1300
Engineering Acceptance of Road-Rail Vehicles
GM/RT2001
Design Scrutiny of the Engineering Acceptance of Rail Vehicles
GM/RT2003
Certification Requirements for Registration of Steam Locomotives
GM/RT2004
Requirements for Rail Vehicle Maintenance
GM/RT2149
Requirements for Defining and Maintaining the Size of Railway Vehicles
GM/RT2177
Emergency and Safety Equipment and Signs on Rail Vehicles
GM/RT2180
Visibility and audibility of trains on the Track
GM/RT2181
Overhead Line Equipment (OLE) Warning Line on Traction and Rolling Stock
GM/RT2402
Engineering Acceptance of Rail Mounted Maintenance Machines
GM/RT2450
Qualification of Suppliers of Safety Critical Engineering Products and Services
GM/RT2453
Registration of Rail Vehicles and Mandatory Data Requirements
GO/RT3270
Route Acceptance of Rail Vehicles
GO/RT8270
Assessment of Compatibility of Rolling Stock and Infrastructure
EN 45014
RIV
General Criteria for Supplier's Declaration of Conformity.
Regulations governing the reciprocal use of wagons in international traffic
Railways and Other Transport Systems (Approval of Works, Plant and
Equipment) Regulations 1994
Railways and Other Guided Transport Systems (Safety) Regulations 2006
(ROGS)
The Railways (Interoperability) Regulations 2006 (RIR)
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