Impact Assessment for Changes to Railway Group Standards

Transcription

1 Impact Assessment for Changes to Railway Group Standards Version: Final Date: 27 January 2011 Relevant Railway Group Standard Title: Rail Vehicle Maintenance Number: GM/RT2004 Issue: Four Synopsis: This document sets out requirements for the provision of documentation for the maintenance of railway vehicles. Executive Summary The purpose of proposal 07/040 is to review those Railway Group Standards (RGS) relevant to vehicle maintenance and inspection. The requirements that remain mandatory and which have been assessed using the decision framework set out in the RGS Code as appropriate for retention have been transferred to a new RGS, GM/RT2004 issue 4. 1 Initiators of change One of the purposes of proposal 07/040, Vehicle Maintenance and Inspection Package, is to review the following standards: GM/RT2004 issue 3 GM/RT2005 issue 3 GM/RT2030 issue 2 GM/RT2455 issue 1 Requirements for Rail Vehicle Maintenance Certification Processes for NDT Operatives, Equipment and Facilities Used for Inspecting Rail Vehicles Axle Bearing Maintenance Freight Vehicle InService Inspections Using the scope criteria set out in the Railway Group Standards Code, the mandatory requirements held in these standards that mandate actions on other than duty holders or that are the sole of railway undertakings, and not required for cooperation, are withdrawn. The requirements that remain in scope of RGS and which have been assessed using the decision framework set out in the Code as appropriate for retention have been transferred to a new RGS, GM/RT2004 issue 4 Vehicle Maintenance and Inspection. Ref: 11 IA03 Page 1 of 19

2 2 Summary of changed controls and implications for industry The tables at Annex A (A.1 to A.4) state for each requirement in the standards listed in section 1, the way forward and the associated reason. 2.1 Withdrawn requirements The Railway Group Standards Code defines a duty holder as one or more infrastructure managers and / or railway undertakings or a combination of them, as the context requires. The requirement set out in clause 4.3 of GM/RT2455 mandates actions on other than duty holders (the Railtrack Safety & Standards Directorate). This requirement is out of scope and as a consequence, is withdrawn. The mandatory requirements set out in the standards listed in section 1 that are the of a single duty holder are out of scope of RGS and therefore are withdrawn. The withdrawal of these requirements does not, in itself, cause duty holders to alter the way they control the risks related to vehicle maintenance and inspection (see Annex for details). There are therefore no implications for duty holders so far as these changes are concerned. 2.2 Requirements transferred to GM/RT2004 issue 4 The requirements set out in the standards listed in section 1 that are assessed to be mandatory either because they are necessary to achieve the safe operation of the railway system or to address an open point in the draft Conventional Rail Locomotives and Passengers Technical Specification for Interoperability (CR LOC & PAS TSI), are retained in RGS and transferred to GM/RT2004 issue 4. The European Rail Agency (ERA) in draft DV29, The authorisation process of subsystems and vehicles under Directive 2008/57/EC, proposes a distinction between the requirements for authorisation to place a subsystem into service and requirements for operations and management by the duty holders. Therefore two distinct categories of maintenance information are required: One for a vehicle to be authorised to be placed into service which is to be provided by the manufacturer, One when the vehicle is placed into service and operated which is to be provided by the vehicle maintainer. GM/RT2004 issue 4 introduces this distinction and sets out the requirements for a maintenance file, required for a vehicle to be placed into service, and a maintenance plan, required when the vehicle is in operation. Ref: 11 IA03 Page 2 of 19

3 GM/RT2004 issue 4 sets out the requirements for: A maintenance file (set out in Part 2 of GM/RT2004 issue 4 and derived from the draft CR LOC & PAS TSI and transferred from GM/RT2004 issue 3) A maintenance plan (set out in Part 3 of GM/RT2004 issue 4 and transferred from GM/RT2004 issue 3, GM/RT2005 and GM/RT2030) Additional inspection for freight wagons (set out in Part 4 of GM/RT2004 issue 4 and transferred from GM/RT2455) 2.3 Impacts on National Technical Rules and National Safety Rules The maintenance file requirements (set out in Part 2 of GM/RT2004 issue 4) will need to be notified as a National Technical Rule (NTR) until the draft CR LOC & PAS TSI is published and compliant rolling stock is operated. The list of NTRs will therefore need to be updated. Annex II (Notification of National Safety Rules) of the Directive 2004/49/EC (the Railway Safety Directive) states the following: National safety rules that are to be notified to the Commission according to the procedure described in Article 8 [of the Directive] include: (...) 5. rules laying down requirements on additional internal operating rules (company rules) that must be established by infrastructure managers and railway undertakings (...) 7. rules concerning the investigation of accidents and incidents. The requirements for the maintenance plan and additional inspection for freight wagons (set out in Parts 3 and 4 of GM/RT2004 issue 4) will need to be notified as type 5 National Safety Rules (NSRs). The requirements for postincident and postaccident inspection for railway vehicles (Part 5 of GM/RT2004 issue 4) will need to be notified as type 7 NSRs. GM/RT2005 issue 3 and GM/RT2030 issue 2 are already listed as NSRs. All the requirements held in GM/RT2005 and some of the requirements in GM/RT2030 are withdrawn (see the following sections and annex tables for details). The list of NSRs will therefore need to be updated. Ref: 11 IA03 Page 3 of 19

4 3 Impacts 3.1 Safety impacts Following the withdrawal of the requirements that are the of a single duty holder, duty holders will continue to manage the risk related to vehicle maintenance and inspection by the application of their Safety Management System and their internal standards and procedures. There will therefore be no material detrimental impact on overall safety arising from the withdrawal of some of the requirements contained in the standards listed in Section 1. In addition, these standards, even though withdrawn, will still be available on the RSSB website, with the proviso that no further development of the standard will be undertaken. 3.2 Nonsafety impacts The withdrawal from RGS of measures that are out of scope of RGS, either because they are the of a single duty holder or because they do not apply to duty holders, is unlikely to have a material impact on costs as the withdrawal does not, of itself, cause duty holders to alter the way they manage the control of risk related to the vehicle maintenance. 4 Compliance with decision framework Section 4.2, Scope, of the Railway Group Standards Code states that: A measure shall be within the scope of RGS only if all of the following apply: a) It is railway specific b) It applies to duty holders c) It relates to an asset or process over which duty holders have control, d) It involves cooperation between any two or more duty holders. The requirements held in the standards listed in Section 1 that are the of a single duty holder and therefore do not involve cooperation between two or more duty holders are out of scope of RGS. These requirements are therefore withdrawn from RGS. The requirement set out in clause 4.3 of GM/RT2455 mandates actions on other than duty holders (the Railtrack Safety & Standards Directorate). This requirement is out of scope and as a consequence, is withdrawn. Ref: 11 IA03 Page 4 of 19

5 Section 4.3, Decision, of the Railway Group Standards Code states that: When taking a decision on any measure(s) that are in scope and either in, or proposed to be included in, a RGS, the relevant Standards Committee shall take an holistic view [ ] in order to confirm the measure(s) promote the longterm best interests if the mainline railway as a whole. The requirements that are in scope of RGS are assessed appropriate for retention as they promote the long term best interests of the railway as a whole. They are therefore retained in RGS and transferred to a new issue of GM/RT2004. Ref: 11 IA03 Page 5 of 19

6 Annex: Disposition of the requirements Table A1: GM/RT2004 GM/RT2004 issue 3, Requirements for Rail Vehicle Maintenance 4 PRINCIPLES Train Operators shall ensure that all Rail Vehicles presented for operation over Railtrack controlled infrastructure conform with the Mandatory Requirements. To ensure that Rail Vehicles continue to conform with the Mandatory Requirements Train Operators shall have a Policy (see section 5) that defines the management system for the Maintenance of the Rail Vehicles they operate. For each vehicle type, the Policy shall be supported by a Plan containing: technical requirements; minimum maintenance facilities to implement technical requirements; minimum staff competencies to implement technical requirements. The principles and objectives of the Policy shall be declared by the Train Operator in its Railway Safety Case that is subject to acceptance by Railtrack. The detail of the Policy may be contained in a separate document and may be referenced from the Railway Safety Case. The process of ensuring the adequacy of the maintenance facilities and staff competencies shall be declared by the Train Operator in the Policy. The confirmation that the Plan meets the requirements of this Standard is given by the issue of a Certificate of Conformance for maintenance by a Conformance Certification Body. 5 MAINTENANCE POLICY 5.1 General The Train Operator shall have a controlled Maintenance Policy for the Rail Vehicles they operate whether the vehicles are: owned by the Train Operator; or leased or hired by the Train Operator; or supplied by a third party, such as other Train Operators Where appropriate, the Train Operator shall obtain the support of the Vehicle Owner in the production of its policy. Train Operators may arrange for the Maintenance of Rail Vehicles they operate to be carried out under their own direct control or under the direct control of another organisation (see section and of this document). Where Maintenance is carried out by an organisation Ref: 11 IA03 Page 6 of 19

7 GM/RT2004 other than the Train Operator, the Train Operator shall ensure that its Policy is compatible with the management arrangements of the organisation carrying out the work. This does not absolve the Train Operator from having its own Policy. 5.2 Requirements for the Maintenance Policy The Policy shall describe in general terms how the Train Operator manages the Maintenance of the Rail Vehicles it operates and the roles and of its own and any other organisations involved Requirements for all Policies a) The defined roles and responsibilities of all the principal organisations concerned with the management of Maintenance of the Rail Vehicles. b) The competence of those responsible for setting the Policy. c) Identification of the relevant responsibilities of those managers charged with executing the policy. d) The involvement of any third parties carrying out work associated with Maintenance activities covered by the Policy and how they are to be qualified and controlled. e) Reference to the classes of Rail Vehicles covered by the Policy. f) A statement of confirmation that compliance with the following will be achieved: GM/RT2020, Policy for the Engineering of Wheelsets used on Railtrack Lines; and GM/RT2030, Axle Bearing Maintenance and Overhaul; Identification of a Maintenance Plan for each class of Rail Vehicles to be operated. g) A statement of intent that the Policy will be implemented on all Rail Vehicles embraced by the Policy. h) A statement of how the maintenance facilities are to be assessed and accredited. i) A statement of how Staff competencies requirements are to be assessed and accredited. j) The means by which the Maintenance of Rail Vehicles will be controlled to ensure that declared periodicity for attention is not exceeded. k) Details of the safety performance monitoring and reporting systems, (see GM/RT2250 and GK/RT0106). l) The method of ensuring that the records of the Ref: 11 IA03 Page 7 of 19

8 GM/RT2004 Maintenance of Rail Vehicles are established, maintained and are retrievable. Records shall cover the following: requirements as defined in specific Railway Group Standards; evidence that the defined Maintenance facilities Requirements and Staff competencies have been complied with; evidence that the Plan has been complied with; m) The normal frequency at which the Policy shall be reviewed and specific circumstances which trigger a review such as when: there is a significant change to the maintenance facilities or staff competencies at the location where the work is carried out; new types of rail vehicles are to be operated (including short term lease); there is a change in the organisation carrying out the work; there is a change of location where the work is to be carried out. n) The normal frequency of Plan review and specific circumstances which trigger a review such as: analysis from safety performance monitoring shows unacceptable risk; occurrence of significant incidents affecting safety; notification by other organisations of potential risk due to incidents with Rail Vehicles of the same type; the planning of significant changes to Rail Vehicle designs, operational patterns, staff, or maintenance facilities covered by the plans; instruction by Regulatory Bodies; o) A system for ensuring that regular internal (and where appropriate external) audits are undertaken to check the implementation and continuing effectiveness of the: Policy; Plan; and that any appropriate corrective actions are taken. p) The process to ensure that any replacement parts used for the Maintenance of safety critical systems of Rail Vehicles under its control do not jeopardise the safety in operation of those Rail Vehicles. Ref: 11 IA03 Page 8 of 19

9 GM/RT Additional Requirements for Policies where Rail Vehicle Maintenance is Not Under the Train Operator s Direct Control a) The process used to ensure that the Rail Vehicles are safe to operate each time they are offered for operation and the identification of those responsible for this. b) The process to ensure that all appropriate information relating to the operation of its Rail Vehicles, is made available to the Train Operator to assist them in developing and implementing their Policies and Plans. c) The process to ensure that if the Vehicle Owner or third party maintainer identifies an unacceptable risk requiring a change to the Policy or Plan the Vehicle Owner or third party maintainer immediately notifies the Train Operators using its Rail Vehicles on Railtrack controlled infrastructure. d) The process to ensure that the Rail Vehicles it operates are maintained by organisations qualified in accordance with GM/RT2450 and that the personnel employed are competent to perform their allocated tasks. For safety critical tasks see GO/RT ACCREDITATION OF MAINTENANCE FACILITIES AND COMPETENCY The Train operator shall assess and document the minimum engineering maintenance facilities and staff competencies necessary to implement the requirements of the Maintenance Plan. Accreditation of maintenance facilities and competency may either be carried out internally or by a suitably qualified third party. 7 MAINTENANCE PLAN 7.1 Requirements for the plan Retain in RGS Where the Maintenance of a Rail Vehicle is carried out by the vehicle owner or a third party, the owner may produce a Plan in accordance with this Standard and obtain a Certificate of Conformance from a Conformance certification body. Open point in CR LOC & PAS TSI Changes to any Plan which could affect the conformance to the Mandatory Requirements of the Rail Vehicles concerned shall be submitted to a Conformance certification body for certification, in accordance with the process for Engineering Acceptance of Rail Vehicles (see GM/RT2000). 7.2 Retain in RGS Open point in CR LOC & PAS TSI Ref: 11 IA03 Page 9 of 19

10 GM/RT2004 Appendix A A1 A5 Retain in RGS A6 Appropriate and auditable records of the brake tests shall be made and retained. A7 A9 Retain in RGS Appendix B Retain in RGS Appendix C C1 C3 (1 st paragraph) C3 (rest) C4 Appendix D Auditable records shall be kept of all Maintenance activities including inspection and testing. All failures of trainborne signalling and communications equipment shall be documented and shall be managed in accordance with GK/RT0106 Management of Safety Related Failures of Signalling and Operational Telecommunications Systems. Retain in RGS Retain in RGS Open point in CR LOC & PAS TSI Open point in CR LOC & PAS TSI Open point in CR LOC & PAS TSI Open point in CR LOC & PAS TSI Duplicate of GE/RT8016 issue one Open point in CR LOC & PAS TSI Ref: 11 IA03 Page 10 of 19

11 Table A2: GM/RT2005 issue 3, Certification processes for NDT Operatives, Equipment and Facilities used for Inspecting Rail Vehicles All requirements set out in GM/RT2005 are out of scope of RGS because they are the of a single duty holder (railway undertaking). Therefore they are all withdrawn from RGS. Ref: 11 IA03 Page 11 of 19

12 Table A3: GM/RT2030 issue 2, Axle Bearing Maintenance GM/RT2030 C1 GENERAL REQUIREMENTS C1.1 Compliance with GM/RT2004 All Retain in RGS C1.2 Third party axle bearing maintenance and overhaul C2 Where the maintenance and/or overhaul of axle bearings is contracted to a third party, the train operator shall ensure that they are qualified suppliers. AXLE BEARING MAINTENANCE POLICY REQUIREMENTS Open point in CR LOC & PAS TSI C2.1 Train operator s axle bearing maintenance policy The purpose of the axle bearing maintenance policy is to assure that the axle bearings remain in a safe and reliable operating condition at all times whilst in service use. The requirements to ensure this condition shall be identified by means of a structured process and shall be stated in the policy document. The policy shall also define each of the following and state how it is to be implemented: a) objectives and targets for the safety performance of all axle bearings fitted to all rail vehicles used by the train operator, in accordance with the requirements set out in GE/RT8250. These shall be developed from a safety assessment of the vehicles and axle bearings used by the train operator b) a procedure defining how the safety performance of the axle bearings shall be monitored. This shall identify: i. the information that is to be recorded and kept, including the information which defines the performance of the assembly in service and the condition of the axle bearing parts at overhaul ii. how the information is to be processed and iii. analysed the actions to be taken if the axle bearings fail to operate within the target levels set c) the policy for determining and reviewing: i. the criteria (bearing age, mileage or distance) at which the axle bearings shall be scrapped ii. the periodicity of maintenance attention iii. the periodicity of overhaul d) the procedures for assuring continued safe operation of vehicles fitted with axle bearings which are condition monitored by vehicle mounted equipment, where applicable e) the involvement of any third parties carrying out work associated with axle bearing maintenance activities covered by the policy and how they are qualified and controlled Ref: 11 IA03 Page 12 of 19

13 GM/RT2030 f) measures to maintain the axle bearings in a safe condition if they are stored unfitted, or are fitted to a wheelset which is unused for an extended period of time. C2.2 Review of axle bearing maintenance policy The axle bearing maintenance policy shall also: a) state the maximum time before the policy is reviewed and updated and any specific circumstances which will trigger an early review b) the basis on which the review will be undertaken c) identify the applicable maintenance plan for each type or family of axle bearings covered by the policy d) identify the procedure for review and updating the plan(s) e) state the maximum time before the plan(s) are normally reviewed and updated and any specific circumstances which will trigger an early review. C2.3 Axle bearing maintenance policy development and implementation C3 The axle bearing maintenance policy shall: a) be produced by competent personnel b) identify the manager(s) or representative responsible for executing the policy. RAIL VEHICLE MAINTENANCE PLAN REQUIREMENTS Rail vehicle maintenance plans, approved in accordance with the requirements set out in GM/RT2004, shall contain specific axle bearing maintenance and overhaul requirements applicable to each individual type or family of bearings used by the train operator. The purpose is to state all the actions and standards that are necessary to meet the requirements of the policy, for that type of bearing fitted to a particular rail vehicle type Each rail vehicle maintenance plan shall identify the following: a) the maximum time or distance between visual examinations of the complete assembly on the wheelset b) the maximum time or distance between rotational and end float checks, where applicable c) the method to be used and the maximum time or distance between regreasing by the addition of a measured quantity of new grease, where applicable d) the maximum time or distance at which the bearings shall be overhauled. e) the grease type to be used f) the criteria (if any) at which the bearings shall be scrapped g) the documents specifying the relevant standards for examination and acceptance at overhaul h) the documents specifying the working instructions for each action in the plan, as applicable i) the minimum engineering maintenance facilities required for the specified maintenance and overhaul Retain in RGS Open point in CR LOC & PAS TSI Ref: 11 IA03 Page 13 of 19

14 GM/RT2030 C4 j) the minimum level of competence for staff engaged in the execution of the specified maintenance and overhaul. COMPETENCE REQUIREMENTS C4.1 Levels of competence With respect to axle bearing maintenance or overhaul, persons shall be competent for the duties for which they are employed, in accordance with the following Appendices (of GM/RT2030): Level 1: Competence requirements for personnel and supervisors responsible for the overhaul of axle bearings. (Appendix 1) Level 2 Competence requirements for personnel and supervisors responsible for the maintenance of axle bearings or any activities which may disturb the axlebox/axle bearing assembly. (Appendix 2) Level 3 Competence requirements for personnel and supervisors responsible for work activities which may influence axle bearings. (Appendix 3) C4.2 Assessment following training Following training, the trainees shall be assessed by a competence assessor to establish that the required competence standard is achieved. C4.3 Direct supervision Any person failing to achieve the required standards of competence shall only work on axle bearings under direct supervision, as part of a training programme aimed at achieving the appropriate competence standard. C4.4 Maintaining competence C5 Systems shall be in place to ensure that the person s competence is maintained. The competence of all persons covered by this document shall become invalid in either of the following circumstances, until refresher training and reassessment has been successfully completed to regain the competence. a) after a period of two years, for Levels 1 to 3 b) after a period of six months maximum, for Levels 1 and 2, if none of the duties for which competence is held have been carried out in that time c) after a period of one year maximum, for Level 3, if none of the duties for which competence is held have been carried out in that time. RECORDS C5.1 Competence records For each person working on the overhaul and maintenance of axle bearings covered by this document, there shall be an auditable record of competence in accordance with GO/RT3260. The record shall: Ref: 11 IA03 Page 14 of 19

15 GM/RT2030 a) be available for inspection at all reasonable times b) clearly identify the types of axle bearings and/or vehicles on which the person has achieved the necessary competence level c) be kept uptodate and show the current position for each person, reflecting the evidence collected during the training and assessment process and the continued competence of onthejob experience d) be retained: i. at all times that the person is working in areas covered by this document, and ii. for a period of two years beyond the date when the person ceases to work in those areas. C5.2 Access to information C6 The Railway Group member shall ensure that persons be issued with, or have access to, all the publications and equipment necessary for them to undertake their duties. COMPETENCE ASSESSORS C6.1 Requirements for competence assessors Appendix 1 Competence assessors shall: a) have the relevant occupational skills, knowledge and experience to assess the categories of work competence defined in this document b) be qualified in accordance with the requirements of GO/RT3260 c) compile the criteria to be used for competence assessment against the requirements of this document d) assess competence against the requirements set out in this document. Competence requirements for personnel and supervisors responsible for the overhaul of axle bearings 1.1 Technical knowledge required for personnel and supervisors The train operator shall ensure that personnel and supervisors responsible for the overhaul of axle bearings have demonstrated that they have knowledge in the following areas: a) the principles of axle bearing operation b) axle bearing failure mechanisms and their causes c) the importance of achieving correct fit of the bearing on the axle journal and in the axlebox bore d) the nomenclature used for axle bearings and their overhaul e) identification/designation of different bearing types f) the requirements for corrosion protection g) the importance of using matched components for bearing assembly h) the importance of effective seals at the front and rear of the axlebox Ref: 11 IA03 Page 15 of 19

16 GM/RT2030 i) the importance of the correct grease type, quantity and method of application j) the importance of cleanliness during the overhaul of axle bearings and the consequences of dirt or liquid contamination k) the importance of axle end and journal condition l) the importance of the security of the axle end cap m) the consequences of axle bearing failure n) knowledge of the documentation covering axle bearing overhaul and its location at the workplace. 1.2 Practical skills required for personnel carrying out the work activities The train operator shall ensure that personnel who overhaul axle bearings have demonstrated that they have the skills to carry out the following operations, according to documented procedures: a) overhaul of * i. cartridge roller bearings ii. noncartridge roller bearings iii. plain axle bearings. * One or more of these bearing types may be excluded from the assessment if not relevant to the overhaul work carried out. In all cases, the competence record shall be marked in accordance with section C5.1b) b) use of any special equipment necessary to carry out the overhaul c) examination of axle bearing components, to identify any damage present and determine if parts are fit for reuse or need to be scrapped d) reassembly of axle bearings, maintaining acceptable standards of cleanliness and handling e) applying the appropriate quantity and quality of bearing lubricant f) reporting any bearing damage or defects which are present g) maintaining good quality records h) handling, storing and protecting the assembled axle bearings i) carrying out end float and other assembly checks j) removal and refitting of axle bearing assemblies onto axles. 1.3 Axle bearing management requirements for supervisors The train operator shall ensure that supervisors who are responsible for the overhaul of axle bearings have demonstrated that they have sufficient knowledge of the following requirements: a) the resources and equipment required b) control and calibration of the measuring equipment c) the skill requirements of the tasks d) control of the workplace to ensure axle bearings are correctly overhauled e) management of quality records f) management of a reporting system covering the nature and cause of rejection of scrapped axle bearings Ref: 11 IA03 Page 16 of 19

17 GM/RT2030 Appendix 2 g) provision of the documentation to cover axle bearing overhaul and the systems for its updating. Competence requirements for personnel and supervisors responsible for the maintenance of axle bearings or any activities which may disturb the axlebox/axle bearing assembly 2.1 Technical knowledge required for personnel and supervisors The train operator shall ensure that personnel and supervisors whose duties are within the scope of Appendix 2 have demonstrated that they have knowledge in the following areas: a) the principles of axle bearing operation b) axle bearing failure mechanisms and their causes c) axle bearing examination and defects which can be identified with the bearing insitu d) axle end condition and importance of correct security of the axle end cap e) axle bearing lubrication f) axle bearing assembly checks g) identification of the different bearing types h) the requirements for stringent cleanliness i) handling and storage of bearings and assembled wheelsets (GM/RT2020) j) the nomenclature used for axle bearings k) the importance of effective seals at the front and rear of the axlebox l) the consequences and restrictions of moving a vehicle with the axle end caps removed m) knowledge of the documentation covering the activities to be carried out and its location at the workplace. 2.2 Practical skills required for personnel carrying out the work activities The train operator shall ensure that personnel whose duties are within the scope of Appendix 2 have demonstrated that they have the skills to perform all tasks for which they are responsible. 2.3 Axle bearing management requirements for supervisors The train operator shall ensure that supervisors whose duties are within the scope of Appendix 2 have demonstrated that they have sufficient knowledge of the following requirements: a) the resources and equipment required for the activities being supervised b) the skill requirements of the tasks c) management of quality records d) provision of the documentation to cover the activities being supervised and the systems for its updating. Ref: 11 IA03 Page 17 of 19

18 GM/RT2030 Appendix 3 Competence requirements for personnel and supervisors responsible for work activities which may influence axle bearings 3.1 Technical knowledge required for personnel and supervisors The train operator shall ensure that personnel and supervisors whose duties are within the scope of Appendix 3 have demonstrated that they are aware of the potential risks to axle bearings which may arise from the duties carried out. They shall demonstrate that they have knowledge in the following areas: a) the basic principles of axle bearing operation b) an appreciation of the relevant axle bearing failure mechanisms and their causes c) the requirements for stringent cleanliness d) the correct storage and handling of assembled wheelsets (GM/RT2020) e) the correct storage and handling of partially or fully assembled axle bearings f) the correct practices for using water jets or other fluids near axle bearings g) knowledge of the documentation covering the activities to be carried out and its location at the workplace. 3.2 Practical skills required for personnel carrying out the work activities The train operator shall ensure that personnel whose work activities have the potential to influence the performance of axle bearings, or who are required to handle parts of the bearing or its assembly, have demonstrated that they have the skills to perform all tasks for which they are responsible. 3.3 Axle bearing management requirements for supervisors Train operators shall ensure that supervisors whose duties are within the scope of Appendix 3 have demonstrated that they have sufficient knowledge of the following requirements: a) the resources and equipment required for the activities being supervised b) the skill requirements of the tasks c) the correct handling and storage of axle bearings d) control of the workplace to ensure that axle bearings are not subjected to handling, contamination or other risks which may cause damage e) provision of the documentation to cover the activities being supervised and the systems for its updating. Ref: 11 IA03 Page 18 of 19

19 Table A4: GM/RT2455 GM/RT2455 issue 1, Freight Vehicle InService Inspections 4 THE REGISTERED LIST OF ACCEPTANCE CRITERIA 4.1 Establishing the Agreed Acceptance Criteria All Retain in RGS GB interworking 4.2 Third Party Confirmation of the Acceptability of the Proposed Criteria The agreed criteria shall be submitted to a Vehicle Acceptance Body (VAB) having accreditation for freight vehicles. The VAB shall confirm in writing that they are consistent with the relevant Railway Group Standard (RGS) and with system safety and safe interworking. 4.3 The Registered List of Acceptance Criteria (The Registered List) The initial list of agreed criteria, along with the written confirmation from a Vehicle Acceptance Body as described above, and a letter from each Freight Train Operator confirming its acceptance of the criteria and its commitment to implement them shall be forwarded to The Controller, RGS, Railtrack Safety & Standards Directorate The above information shall be forwarded by the compliance date of this RGS. Within two months of receipt the Directorate shall: satisfy itself that the list meets the relevant requirements of this document; confirm to each Freight Train Operator that the list has now become the Registered List, at which point the list becomes a mandatory requirement for all Freight Train Operators; make a copy of the Registered List available to any organisation having reasonable grounds for requesting one; ensure that there is a robust documentation system by which the Registered List can be kept and amended as necessary. 5 CHANGING THE REGISTERED LIST OF ACCEPTANCE CRITERIA Any proposed changes to the Registered List shall be subject to the process in 4 above. 6 NEW FREIGHT TRAINS OPERATORS this requirement mandates actions on non duty holders. All Retain in RGS GB interworking Ref: 11 IA03 Page 19 of 19