Engineering Acceptance of Rail Vehicles

Transcription

1 Engineering Acceptance of Rail Vehicles Synopsis This document defines the Engineering Acceptance process by which conformance to Railway Group Standards is confirmed for rail vehicles which are required to access Railtrack Controlled Infrastructure. Signatures removed from electronic version Submitted by Nick Howland Standards Project Manager Authorised by Brian Alston Controller, s This document is the property of Railtrack PLC. It shall not be reproduced in whole or in part without the written permission of the Controller, s, Railtrack PLC. Published by Safety & Standards Directorate, Railtrack PLC, Railtrack House, DP01 Euston Square London NW1 2EE Copyright 2000 Railtrack PLC

2 This page has been left blank intentionally

3 Page 1 of 45 Contents Section Description Page Part A Issue record 2 Technical Content 2 Responsibilities 2 Compliance 2 Health and safety responsibilities 2 Supply 2 Part B 1 Purpose 3 2 Scope 3 3 Definitions 3 4 The context of Engineering Acceptance in the overall Acceptance Process 4 5 Introduction 4 6 Engineering Acceptance Requirements 5 7 Vehicles Temporarily Withdrawn from Service 11 8 Modifications and Engineering Change 11 9 Limitations Safety performance Responsibilities Process integrity Appeals Provision of information Records 16 Appendices A Rail vehicles in international traffic 18 B Certification of Conformance 19 C Type conformance testing 22 D Engineering Acceptance Certification 24 E Procedure to obtain a Transit Movement (Engineering Acceptance) Certificate 26 F Certificates 27 G Suspension and withdrawal of certification 35 H Requirement for Engineering Acceptance of non-compliant vehicles for use on heritage or special trains 36 I This Appendix not used J Safety examination 38 K Requirements applicable to a CCB 40 L Requirements applicable to a VAB 41 M Vehicle construction 42 References 43 RAILTRACK 1

4 Page 2 of 45 Issue Record Part A 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 Issue Date Comments One June 1995 Superseded GM/TT0109 & GM/TT0181 Two October 2000 Supersedes GM/RT2002 and GM/RC2501 This document has not been marked with vertical black lines because of extensive revisions. Technical Content Developed by: Ray Ford, Vehicles Specialist, Railtrack S&SD Approved by: Keith Rose, Principal Vehicles Engineer, Railtrack S&SD Enquires to be directed to the Industry Safety Liaison Dept Tel: Responsibilities s are mandatory on all members of the Railway Group* and apply to all relevant activities which fall within the scope of each individual s Railway Safety Case. If any of those activities are performed by a Contractor, the Contractor s obligations in respect of s is determined by the terms of the contract between the respective parties. Where the Contractor is a duty holder of a Railway Safety Case then Railway Group Standards apply directly to the activities described in the Railway Safety Case. * The Railway Group comprises Railtrack and the duty holders of Railway Safety Cases accepted by Railtrack. Compliance The requirements mandated in this document shall be complied with by the dates detailed below. The inclusion of Conformance Type Testing as part of Design Conformance shall be implemented no later than 04 June In all other respects the requirements for certification of rail vehicles, engineering change, transfer of responsibility or need for re-approval are to be complied with from 02 December Health and Safety Responsibilities Supply In issuing this Standard, Railtrack PLC makes no warranties, express or implied, that compliance with all or any s 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. Controlled and uncontrolled copies of this Standard may be obtained from The Catalogue Secretary, Safety and Standards Directorate, Railtrack PLC, Railtrack House, DP01, Euston Square, London, NW1 2EE. 2 RAILTRACK

5 Page 3 of 45 RAILTRACK 3

6 Page 4 of 45 1 Purpose 2 Scope Part B 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 s. The overall scope of s is as specified in Appendix A of GA/RT6001. This document contains requirements which are applicable to the duty holders of the following categories of Railway Safety Case: Infrastructure Controller Train Operator This document applies to the Engineering Acceptance of all rail vehicles which operate under a train operator s Railway Safety Case on Railtrack Controlled Infrastructure. This includes on-track machines, rail mounted maintenance machines, road-rail vehicles and self-propelled road-rail recovery vehicles. It also includes private owner wagons and locomotives operating under Private Wagon Registration Agreement (PWRA) and Private Locomotive Registration Agreement, and foreign registered rail vehicles working in international traffic. This document does not apply to shunting movements requiring limited access to Railtrack Controlled Infrastructure for the specific purpose of transit between sidings. These shall be separately approved by the infrastructure controller. 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 formal declaration by a Vehicle Acceptance Body (VAB) that the rail vehicle(s) conforms to all the relevant Mandatory Requirements. 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. 4 RAILTRACK

7 Page 5 of 45 Mandatory Requirements The requirements mandated in the s listed in the Trains Section in the current Catalogue of s, 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 Introduction The infrastructure controller, in order to meet its legal obligations, needs to be assured that rail vehicles permitted to operate on the infrastructure it controls are safe. Engineering Acceptance is the process by which this assurance is provided. The safe design of a rail vehicle within the scope of Engineering Acceptance does not include its ability to operate safely on specific routes (which is covered by the Route Acceptance process), nor does it include those issues of vehicle interior design that do not affect the ability of the vehicle to operate safely on RAILTRACK 5

8 Page 6 of 45 Railtrack Controlled Infrastructure. Such vehicle interior design issues are the responsibility of the train operator and are covered by HMRI requirements. Engineering Acceptance is required for every rail vehicle as a pre-requisite to its operation under a train operator s Railway Safety Case on Railtrack Controlled Infrastructure. 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. 6 RAILTRACK

9 Page 7 of 45 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). 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 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 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; RAILTRACK 7

10 Page 8 of 45 b) applicable by virtue of the compliance or implementation clause of the individual document concerned. 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, and Vehicles for regular services For a new or modified vehicle, or a vehicle subject to change of operation, where: a) a change to the is proposed and the vehicle will fully comply with the revised Mandatory Requirements, a Certificate of Non- Compliance (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 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 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 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 c) above, 8 RAILTRACK

11 Page 9 of 45 except where the vehicle being introduced is a direct replacement for a withdrawn vehicle. (See GM/RT2453). 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 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 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/RT Certificate types The requirements for obtaining each certificate type are as indicated below 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 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: 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 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 RAILTRACK 9

12 Page 10 of 45 system may be used in place of the EN qualification only if it is accepted in writing by the Directorate. 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) GM/RT2004 for all vehicles including those in ii) and iii) below; ii) GM/RT1300 additional requirements for RRVs; iii) GM/RT2402 additional requirements for RMMMs; iv) GM/RT2003 for steam locomotives 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 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 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/RT requirements for RRVs. GM/RT requirements for RMMMs 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). 10 RAILTRACK

13 Page 11 of Vehicles in international traffic under RIV regulations a) A Certificate of Engineering Acceptance (marked for international traffic); 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 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 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) Vehicles for single-journey only movements a) A Transit Movement (Engineering Acceptance) Certificate (maximum validity of 14 days, except as stated in Appendix E) 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 to of this document 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 B 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. RAILTRACK 11

14 Page 12 of Certificates of Engineering Acceptance a) Only one current Certificate of Engineering Acceptance shall exist for a given rail vehicle. 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 D Type Conformance Tests Type Conformance Tests identified by the CCB, as indicated in section 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 8 Modifications and Engineering Change 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. 8.1 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. 12 RAILTRACK

15 Page 13 of 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 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/RT 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. RAILTRACK 13

16 Page 14 of 45 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 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 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 and 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 14 RAILTRACK

17 Page 15 of 45 Acceptance on 31 March 1994, this shall include a declaration with respect to 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 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 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 and 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) ) The Directorate The Directorate shall be responsible for. a) administration of the procedure for the Engineering Acceptance and registration of rail vehicles. RAILTRACK 15

18 Page 16 of 45 b) having suitable procedures and arrangements in place to satisfy itself that certification of rail vehicles is being carried out in accordance with the 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 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. 16 RAILTRACK

19 Page 17 of Appeals 14 Provision of Information Any party to a dispute regarding the application of the Engineering Acceptance process may appeal to the Directorate 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/RT 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 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 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. RAILTRACK 17

20 Page 18 of 45 Figure 1 The role of Engineering Acceptance with Route Acceptance Other Route/ Vehicle Issues Certificates of Conformance Vehicle Vehicle Maintenance Design 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) Train Operator or Third Party and the infrastructure controller Registration as operational on RSL (see GM/RT2453) Train Operator and the = Engineering Acceptance Activity 18 RAILTRACK

21 Page 19 of 45 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. RAILTRACK 19

22 Page 20 of 45 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 of this document; c) identifying all the relevant Mandatory Requirements, including the document number and issue of ; 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 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. 20 RAILTRACK