engineering acceptance of rail vehicles iss 3.pdf · supersedes gmrt2000 iss 2 on 5/02/2010...

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.

Published by:

RSSB Block 2 Angel Square 1 Torrens Street London EC1V 1NY © Copyright 2009 Rail Safety and Standards Board Limited

Railway Group Standard GM/RT2000 Issue Three Date December 2009

Engineering Acceptance of Rail Vehicles

Content approved by:

Rolling Stock Standards Committee on 04 September 2009

Authorised by RSSB on 07 October 2009

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. .

Uncontrolled When Printed Document comes into force 5/02/2010 Supersedes GMRT2000 Iss 2 on 5/02/2010 Superseded by RIS-2700-RST Iss 1 with effect from 04/06/2016

This page has been left blank intentionally



R S S B 1

Railway Group Standard GM/RT2000 Issue Three Date December 2009 Page 1 of 43

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 5 6 Engineering Acceptance Requirements 5 7 Vehicles Temporarily Withdrawn from Service 11 8 Modifications and Engineering Change 11 9 Limitations 12 10 Safety performance 13 11 Responsibilities 13 12 Process integrity 15 13 Appeals 16 14 Provision of information 16 15 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

limited use on heritage or special service 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



2 R S S B


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 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.

Three December 2009 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 [email protected]. Other Standards and associated documents can also be viewed at www.rgsonline.co.uk.


http://www.rgsonline.co.uk/�


R S S B 3


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.



4 R S S B


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.



R S S B 5


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.

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).



6 R S S B


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.



R S S B 7


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 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 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).



8 R S S B


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:

• 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.



R S S B 9


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.

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);



1 0 R S S B


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.



R S S B 1 1


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



1 2 R S S B


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



R S S B 1 3


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 non-conformance 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



1 4 R S S B


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



R S S B 1 5


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.



1 6 R S S B


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.



R S S B 1 7


ORGANISATIONS INVOLVED

Train Operator or Third Party and Conformance Certification Body

Train Operator or Third Party and Vehicle Acceptance Body

Train Operator or Third Party and the infrastructure

controller

Train Operator and the

Certificates of Conformance

Vehicle Vehicle Maintenance Design Construction

Certificate of Engineering Acceptance

Other Route/ Vehicle Issues

Certificate of Technical Acceptance (Optional -

see GO/RT3270)

Certificate of Authority to Operate

(see GO/RT3270)

Figure 1

The role of Engineering Acceptance with Route Acceptance

= Engineering Acceptance Activity

Registration as “operational” on RSL

(see GM/RT2453)



1 8 R S S B


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.



R S S B 1 9


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.



2 0 R S S B


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:

• Customer Copy • Certification Body Copy



R S S B 2 1


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.



2 2 R S S B


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).



R S S B 2 3


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.



2 4 R S S B


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;



R S S B 2 5


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.



2 6 R S S B


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.



R S S B 2 7


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).



2 8 R S S B


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 Name ………………………………. against which compliance has been confirmed

Expiry Date................................. Name of Certification Body and (Where applicable due to a special limitation OFFICIAL STAMP or enter None, if none). Special Limitations : (if none, insert none)

................................................................

................................................................

................................................................

................................................................

Certificate No : XX/YY/0000/01

Form EA/2 December 2000 Customer Copy



R S S B 2 9


Appendix F (continued) Certificate of Conformance - Reverse (Example 1)


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.


.................................................... .......................................

....................................................

Vehicle Type & Class..............................................................................

Vehicle Number(s)...................................................................................


Vehicle Owner..........................................................................................




................................................................

................................................................

................................................................

................................................................


Form MP/2 December 2000 Customer Copy



3 0 R S S B


Appendix F (continued) Certificate of Conformance (Example 2)


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.


.................................................... .......................................

....................................................

Vehicle Type & Class..............................................................................

Vehicle Number(s)...................................................................................


Vehicle Owner..........................................................................................




................................................................

................................................................

................................................................

................................................................





R S S B 3 1


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)





3 2 R S S B


Appendix F (continued) Certificate of Engineering Acceptance (Example)


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.


.................................................... .......................................

....................................................

Vehicle Type......................................................................................................

Vehicle Number(s)..........................................................................................................

Vehicle Operator...............................................................................................

Vehicle Owner...................................................................................................

Issue Date ......................... Authorised By..............................

See overleaf for Mandatory Requirements Name ………………………………. against which compliance has been confirmed Expiry Date................................. Name of Certification Body and (Where applicable due to a special limitation OFFICIAL STAMP or enter None, if none)

Special Limitations : (if none, insert none) ................................................................ ................................................................ ................................................................ ................................................................

Certificate No : XX/0000/01

Form EA/7 December 2000

Customer Copy



R S S B 3 3


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 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




3 4 R S S B


Appendix F (continued)

Transit Movement (Engineering Acceptance) Certificate (Example)


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 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) OFFICIAL STAMP ................................................................ ................................................................ ................................................................ ................................................................ ................................................................ Certificate No : XX/YY/0000/01




R S S B 3 5


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.



3 6 R S S B


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”.



R S S B 3 7


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.



3 8 R S S B


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).



R S S B 3 9


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.



4 0 R S S B


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.



R S S B 4 1


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.



4 2 R S S B


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.



R S S B 4 3


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 General Criteria for Supplier's Declaration of Conformity. RIV 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)


engineering acceptance of rail vehicles iss 3.pdf · supersedes gmrt2000 iss 2 on 5/02/2010...

Documents