CIV003 Technical Approval of Design

Ref NR/SP/CIV/003Issue 2 Date April 2004

Technical Approval of Design- Construction and maintenance of Civil Engineering Infrastructure (formerly RT/CE/S/003)

This temporary front sheet facilitates change to the new Network Rail Standards referencing nomenclature.

The Ref above will be formally allocated to this standard when it is next changed in the meantime the contents, date and issue number of this Network Rail Standard are UNCHANGED and with immediate effect it should be referred to as (new ref) formerly (old ref).

This document is the property of Network Rail. It shall not be reproduced in whole or part nor disclosed to a third party without the written permission of the Standard Owner. Copyright 2004 Network Rail Uncontrolled copy once printed from its electronic source. Published & Issued by: Network Rail; 40 Melton Street, London NW1 2EE

RefIssueDate

RT/CE/S/0032

April 2004

Business Process Document

Specification Volume SW(H) ITechnical Approval of Design, Construction andMaintenance of Civil Engineering Infrastructure

Endorsement & Authorisation

Endorsed by:

Authorised by:

Andrew McNaughton, Chief Engineer

Accepted for issue by:

P McAleer, Head of Business Standards

Kim Teager, Professional Head of Structures Engineering

This document is the property of Network Rail. It shall not be reproduced in whole or part nor disclosed to a third party without thewritten permission of the Standard Owner. Copyright 2004 Network Rail

Uncontrolled copy once printed from its electronic source.

Published & Issued by: Network Rail 40 Melton Street, London NW1 2EE

Ref: RT/CE/S/003 Issue: 2

Date: April 2004

Page 2 of 55

Issue record

Issue Date Comments 2 February 2004 Supersedes RT/CE/S/003 Issue 1 1 October 2001 Supersedes RT/CE/P/003

This Specification will be updated when necessary by distribution of a complete replacement. Amendments from RT/CE/S/003 Issue 1 are marked by a vertical black line in the margin except for minor typographical changes.

Implementation

The provisions of this mandatory Specification shall be applied from 5th June 2004.

RT/CE/S/003 Issue 1 is withdrawn from 5th June 2004.

Compliance

This mandatory Specification shall be complied with by persons responsible for Design, construction and maintenance of Network Rails Civil Engineering Infrastructure.

Disclaimer

Network Rail has used its best endeavours to ensure that the content, layout and text of this document are accurate, complete and suitable for its stated purpose. It makes no warranties, express or implied, that compliance with the contents of this document shall be sufficient to ensure safe systems of work or operation. Network Rail will not be liable to pay compensation in respect of the content or subsequent use of this document for any purpose other than its stated purpose or for any purpose other than that for which it was prepared except where it can be shown to have acted in bad faith or there has been wilful default.

Supply

Copies of documents are available electronically, within Network Rails organisation. Hard copies of this document will be available to Network Rail employees on request to the Document Controller and to other organisations from Technical Indexes Ltd (01344 404409).

Published & Issued by Network Rail, 40, Melton Street, London NW1 2EE


Date: April 2004

Page 3 of 55

Contents

1 Purpose 4

2 Scope 5

3 Reference documentation 7

4 Definitions 8

5 Roles and Responsibilities 12

6 Approval in Principle 22

7 Certification of Detailed Design and Checking of Design of Permanent Works 29

8 Temporary Works 33

9 Verification of Construction 35

10 Records 36

Appendix A: Compliance With Railway Group Standards 38

Appendix B: Model Forms For Technical Approval 39

Appendix C: Guidance On Design Check Categories 54


Date: April 2004

Page 4 of 55

1 Purpose

This purpose of this Specification is to control the risk to Network Rails infrastructure, to railway operations, to railway passengers, members of the public and the environment that may arise due to work activities associated with the Design and construction of Permanent Way and the Design, construction and maintenance of Structures, Buildings, and other Civil Engineering Infrastructure on, over, under or adjacent to Network Rails infrastructure by defining procedures to be followed to:

obtain approval by Network Rail of the Design Concept and the principles of the Design for Schemes;

provide Design and Design Check certification for the Design of Schemes;

provide verification that Schemes have been constructed in accordance with the Design and are fit to be Taken into Use;

provide assurance to Network Rail that construction methods used will not adversely affect:

the structural integrity of a Structure or the safety of adjacent infrastructure;

the safety of railway operations;

the safety of the public;

verify that the structural integrity of a Structure following Maintenance Work has not been compromised;

ensure that the Design and construction of Temporary Works is adequate and that the safety of railway operations is not compromised;

where no equivalent industry standard is available, provide assurance to Network Rail to the extent that is reasonably practicable that the Design and construction of Structures owned by Outside Parties on, over or under Network Rails infrastructure will not adversely affect the safety of railway operations.

This Specification contains requirements supplementary to Network Rail Company Procedure RT/CE/P/044 Managing Structures Works in respect of the scope of this Specification. Compliance with this Specification, and with the Specifications referenced herein, will ensure compliance with RT/CE/P/044 and the Railway Group Standards as listed in Appendix A in respect of the technical approval of Design, construction and maintenance of Civil Engineering Infrastructure.


Date: April 2004

Page 5 of 55

2 Scope

This Specification applies to Permanent Way, Structures (including equipment support Structures), structural aspects of Buildings, and other Civil Engineering Infrastructure owned or to be owned by Network Rail in respect of:

Schemes requiring the Design and construction of Permanent Way and Structures including, but not limited to:

bridges and viaducts;

tunnels;

retaining walls;

coastal, estuarial and river defences;

earthworks;

train shed roofs;

platforms, platform canopies and other station Structures;

gantries, posts, masts, stanchions and towers supporting signalling, telecommunications, electrification, lighting or other operational electrical or mechanical equipment;

structural aspects of Buildings;

Emergency Works;

Temporary Works whose failure or presence could reasonably affect the Permanent Way, the structural integrity of the completed Structure, an existing Structure or other Network Rail infrastructure or cause harm to the public or railway staff, or otherwise transfer risk to the operational railway and public areas and, which are required;

for Construction Works for Schemes;

to carry out Maintenance Work on existing Structures;

to provide access for examination and inspection;

Staging works to enable a Scheme to be Taken into Use in stages.

In respect of Maintenance Work to Structures, this Specification applies only as regards roles and responsibilities (Clause 5), verification of construction (Clause 9) and records (Clause 10). This Specification does apply, however, to any Temporary Works which may be provided to enable such Maintenance Work to be carried out.

In respect of Temporary Works, this Specification applies except in cases where both the following conditions are met:


Date: April 2004

Page 6 of 55

failure or presence of the Temporary Works could not reasonably affect the safety of the railway or of any persons other than those under the control of the construction organisation responsible for the Construction Work (including sub-contractors and authorised visitors);

failure or presence of the Temporary Works could not reasonably affect the integrity of the permanent works.

This Specification applies to Structures on Network Rail infrastructure owned by an Outside Party when Network Rail undertakes Construction Work on behalf of the Outside Party.

This Specification shall apply, where reasonably practicable, to the Design, construction and maintenance of Structures owned by Outside Parties on, over, or under Network Rails infrastructure where such work could adversely affect the safety of railway operations, and the Outside Party has no equivalent process for technical approval. The process set out in Highways Agency Standard BD2: Technical Approval of Highway Structures is considered to be equivalent.

In cases where the Design, construction and Maintenance of Structures owned by Outside Parties is to be carried out entirely outside Network Rails infrastructure, but could adversely affect the safety of railway operations, Network Rail generally has no powers to require the Outside Party to adhere to this Specification. In such cases, reasonable efforts shall be made for the Outside Party to demonstrate that there is an equivalent process for technical approval in place.

This Specification does not apply to normal Permanent Way maintenance activities.

This Specification does not apply to Permanent Way renewals provided there is no significant realignment and no alteration is made to signalling controls. It does apply, however, to construction or alteration of cess walkways, positions of safety or track drainage.

This Specification does not apply to:

procedures for obtaining approvals from other Network Rail engineering disciplines in respect of Structures carrying signalling, telecommunications, electrification, lighting or other operational electrical or mechanical equipment, such as signal sighting or reduced electrical clearances approval;

non-structural aspects of Buildings (such as general layout, means of escape, architectural fixtures and finishes), except when the safety of railway operations or the structural integrity of a Structure may be affected or Temporary Works are required;

assessments of existing Structures.

This Specification does not apply to the processes to be followed to obtain any necessary consents or approvals from bodies outside Network Rail. Such bodies include, but are not limited to:


Date: April 2004

Page 7 of 55

Regulatory and statutory authorities;

Environment Agency;

planning, listed building and conservation area authorities;

land and property owners or leaseholders;

statutory undertakers and other public services and utilities owners.

Nevertheless the forms given in Appendix B may be used to support the Certificate of Compliance and Certificate of Completion in accordance with the Railways and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994 to Her Majestys Railway Inspectorate (HMRI).

This Specification does not apply to the procedures for obtaining approvals in respect of the New Roads and Street Works Act 1991.

3 Reference documentation

References are made to latest editions unless specific editions are cited.

Railway Group Standards:

GC/RT5101 Technical Approval Requirements for Changes to the Infrastructure GI/RT7003 Management of Construction Work in the Operational Railway

Environment

Network Rail Company Standards Forming the Group of Standards for Structures Works:

RT/CE/P/044 Managing Structures Works

Other Network Rail Company Standards

RT/CE/S/036 Management of Gauging and Clearances RT/CE/S/049 Track Design Handbook RT/CE/S/103 Track Inspection Requirements RT/D/P/088 Responsibility for Maintenance of Changed Assets RT/LS/S/008 Network Rail Contract Requirements Safety

Other Documents

Highways Agency Standard BD2: Technical Approval of Highway Structures Railways and Other Transport Systems (Approval of Works, Plant and Equipment) Regulations 1994 New Roads and Street Works Act 1991


Date: April 2004

Page 8 of 55

4 Definitions

In this Specification the following terms apply:

Acceptance An acknowledgement that a submission appears to be satisfactory.

Approval in Principle Confirmation that a professionally competent person or body is satisfied that:

the Design Concept proposals for the Scheme meet the requirements of the Remit and of this Specification;

suitable standards and/or Design criteria are proposed for the detailed Design and Design Check.

Asset Engineer The Network Rail person with formally delegated responsibility for the safe management of an asset in a geographical area or at a specific location.

Building A permanent fixed roofed structure other than a train shed or platform into which people can go and within which goods may be stored, or within which plant or equipment may be installed.

Checker The person responsible for the Design Check of a Scheme who is authorised to sign the Design Check certificate on behalf of the checking organisation.

Civil Engineer The person appointed by Network Rail to act on behalf of Network Rail in respect of technical approval, and who is independent of both the Designer and the Checker.

Civil Engineering Infrastructure The Permanent Way, Structures, and Buildings for which the applicable Network Rail Company Standards and Business Process Documents are the responsibility of either Network Rails Professional Head of Track Engineering or Network Rails Professional Head of Structures Engineering as applicable.

The term includes Structures supporting signalling, telecommunications, electrification, lighting and other operational electrical or mechanical equipment.

Construction Work Activities defined as construction work in the Construction (Design and Management) Regulations 1994 (the CDM Regulations) with the following modifications:

inclusion of similar work carried out in connection with the exploration for or extraction of mineral resources;

exclusion of inspection and examination activities.

The term also includes Temporary Works and uncompleted works for Schemes and Maintenance Work.


Date: April 2004

Page 9 of 55

Contractor's Engineering Manager The person within a Design and/or construction organisation as applicable with overall responsibility for all engineering activities in a contract as applicable to the Scheme or Maintenance Work, including any necessary interdisciplinary checks.

Contractor's Responsible Engineer The person responsible for the day-to-day management and co-ordination of the technical and engineering activities in a contract as applicable to a Scheme or Maintenance Work, and who is authorised to sign forms given in Appendix B on behalf of the Design or construction organisation as applicable.

Design Information in the form of drawings, diagrams, photographs, calculations and/or words (including specifications for performance, materials and workmanship) which together describe in detail what is to be constructed and, where applicable, how it is to be constructed. The term is also used to describe the process by which such information is produced, including the carrying out of structural calculations where necessary.

Design Check An independent review of the Design (including the carrying out of calculations where necessary) to ensure compliance with the Remit and to confirm the adequacy and completeness of the Design.

Design Concept The outline Design, as determined following a feasibility study or other preliminary Design and investigation work, that shows the purpose of the Scheme, all significant aspects related to performance requirements (including appearance where appropriate) and which demonstrates how the Remit will be achieved.

Designated Project Engineer A person appointed by Network Rail who is responsible to the Project Manager for day-to-day management and co-ordination of technical, engineering and associated interdisciplinary issues relating to a Scheme or Maintenance Work.

Designer The person responsible for the Design of Construction Work who is authorised to sign the submission for Approval in Principle and/or the certificate of Design and checking and/or the certificate of Design and Checking of Temporary Works on behalf of the Design organisation.

The Designer may also act as the Contractors Responsible Engineer for the Design.

Emergency Works Works carried out in response to an incident to restore railway operations and/or the railway infrastructure to being fit for purpose.


Date: April 2004

Page 10 of 55

Maintenance Work Any planned work requiring the reinstatement of the components of a Structure without resulting in a permanent change to the general form of the Structure, or any permanent reduction of the existing structure gauge or standards of safety.

The term includes:

like-for-like repairs and replacement of components;

repairs and replacement of components in similar or modern equivalent materials provided that such substitution does not affect the integrity or performance of the Structure;

good housekeeping activities such as cleaning, painting, removal of harmful vegetation from Structures, clearing mud and silt from watercourses and the like.

Method Statement An independently checked document detailing a comprehensive step-by-step account for an activity, or range of activities, which identifies hazards, resource requirements and method of working to control the risk from the work activity to the public, construction organisations personnel, and Network Rails operations, and which demonstrates that the execution will be in accordance with the Design.

Monitoring Checking of Construction Work by observation, measurement, testing or audit to verify that the execution is compliant with the specified technical requirements.

Outside Party An organisation other than Network Rail that is an infrastructure owner or developer, or a user or occupier of Network Rails infrastructure. The term includes highway authorities, passenger transport executives, public or private developers, train operating companies etc.

Outside Party Engineer A person appointed by Network Rail to liaise with an Outside Party on behalf of Network Rail in respect of infrastructure owned or to be owned by the Outside Party and who is independent of the Outside Party, or the Outside Partys construction organisation.

Permanent Way The structure of the track plus the ballast, blanketing (if any), cess walkway and associated drainage.

Project Manager A person appointed by Network Rail to manage a Project to deliver the Remit.

Remit The formal document issued by the Sponsors Agent describing the purpose, scope and objectives for a Scheme or Maintenance Work, an outline of the service required, key responsibilities, and outputs to be delivered at completion of the Scheme or Maintenance work phases.


Date: April 2004

Page 11 of 55

Scheme Any planned work (other than Maintenance Work) which results in a permanent change to Network Rails Permanent Way, Structures, Buildings and other Civil Engineering Infrastructure including new construction, relocation or alteration, refurbishment, recovery, decommissioning and demolition unless considered as Temporary Works.

The term includes work to protect Network Rails infrastructure when an Outside Party carries out work on, over, or under Network Rails infrastructure.

Sponsors Agent The Network Rail person who is the single point of contact between the sponsor and the Project Manager.

Structure Something built to support or retain a load.

For the purposes of this Specification the term includes bridges; viaducts; tunnels; culverts; retaining walls; coastal and estuarial defences; earthworks; gantries, posts, masts and stanchions carrying overhead line equipment, lighting or signals; train sheds; platform canopies; platforms; Buildings and water retaining structures. The term includes any permanent access facilities provided.

Taken into Use The state of new, altered or renewed Civil Engineering Infrastructure provided under a Scheme or Maintenance Works or Temporary Works, whether complete or not, when fit for the safe passage of trains, occupation by users, use of or passage by members of the public or installation of plant or equipment as applicable.

Temporary Works Temporary Structures or staging works which are provided to enable Construction Work to be carried out but which are removed or which come out of use at or before the completion of the permanent works or Maintenance Works.

For the purposes of this Specification, Temporary Works shall include but are not limited to:

existing Structures subjected to abnormal temporary loading;

temporary track alignments and associated Permanent Way;

access scaffolding and falsework;

temporary Structures to provide access for inspection and examination only;

excavations;

demolition if not considered part of the Scheme;

partially completed Structures subjected to significant temporary loading.

For the purposes of this Specification, temporary track and bridge works to be in place for 6 months or more shall be considered as permanent works.


Date: April 2004

Page 12 of 55

5 Roles and Responsibilities

5.1 General

5.1.1 Appointment of Persons

Those appointing persons to positions with responsibilities in accordance with the roles in this Specification shall ensure that appointees are competent to carry out their duties and understand their responsibilities. Appointments shall be documented.

A person may be appointed to one or more roles for a Scheme or Maintenance Work in accordance with this Specification, except that no person shall carry out more than one of the roles of Designer, Checker and Civil Engineer.

5.1.2 Competence

The Designer and Checker shall have demonstrable competence in the Design or checking of the type of Civil Engineering Infrastructure required for the Scheme. The Designer and Checker shall normally be a Chartered Civil or Structural Engineer.

The Civil Engineer shall have demonstrable competence, which may include a minimum of 10 years knowledge and experience of the Design and construction of Civil Engineering Infrastructure in a railway environment. The Civil Engineer shall normally be a Chartered Civil or Structural Engineer.

The Contractors Responsible Engineer shall have demonstrable competence, which may include a minimum of five years experience of the type of Civil Engineering Infrastructure required for the Scheme or Maintenance Work. The Contractors Responsible Engineer shall normally be a Chartered Civil or Structural Engineer.

The Outside Party Engineer shall possess relevant competence to be able to liaise with the Outside Party and/or the Outside Partys construction organisation to safeguard the interests of Network Rail with regard to the safety of the operational railway.

All other persons appointed to positions with responsibilities in accordance with the roles in this Specification or delegated duties shall:

have the skill, knowledge and experience needed to undertake their duties commensurate with the type and complexity of the Civil Engineering Infrastructure to be designed, constructed or maintained;

be made aware of their responsibilities;

have sufficient resources to undertake their duties;

understand and be able to judge when urgent or immediate action is necessary for safety reasons.


Date: April 2004

Page 13 of 55

5.2 Asset Engineer

Prior to the Remit for proposed work to Structures being agreed, the Asset Engineer shall determine if the work in question is to be classified as a Scheme or if it constitutes Maintenance Work in accordance with the definition given in this Specification. The decision shall be recorded.

The Asset Engineer shall consider classifying as a Scheme any proposed work which would otherwise constitute Maintenance Work in cases where one or more of the following apply:

the integrity of a Structure is likely to be significantly affected during the course of the work;

extensive or complex or tight-clearance Temporary Works are likely to be required;

there are likely to be substantial constraints upon the operational railway or upon station operations during the course of the work;

the extent of the proposed work is particularly large.

The Asset Engineer shall agree the appointment of the Civil Engineer, or may act as the Civil Engineer.

The Asset Engineer shall endorse the Approval in Principle Form A in the case of a Scheme for existing infrastructure.

5.3 Designated Project Engineer

5.3.1 General

A Designated Project Engineer shall be appointed for each Scheme or Maintenance Work. A person may be appointed to act as the Designated Project Engineer for one or more Schemes or Maintenance Work, but the limits of appointment shall be clearly documented and understood.

When requested by the Project Manager, the Designated Project Engineer may provide assistance in the development of the Remit for a Scheme or Maintenance Work.

When warranted by the scale, technical complexity or scope of the Scheme or Maintenance Work, the duties of the Designated Project Engineer may be allocated to more than one person. In such cases, all duties shall be covered and the division of duties shall be clearly recorded and understood by those required to act as a Designated Project Engineer.

The Designated Project Engineer shall ensure that the results of liaison and consultation on technical and engineering matters carried out with organisations external to Network Rail affected by a Scheme or Maintenance Work are acceptable to Network Rail.


Date: April 2004

Page 14 of 55

5.3.2 Design of a Scheme

The Designated Project Engineer may allocate, or agree the allocation of, different parts or aspects of a Scheme to different Design and/or Design Check organisations, but in such cases the Designated Project Engineer shall ensure that:

every part and aspect of the Scheme is covered, including the interfaces between them;

the split of responsibilities between the different Design organisations and/or Design Check organisations is clearly recorded and understood by the Designers and Checkers;

one Design organisation and/or Design Check organisation is made responsible for completeness of the whole Scheme.

The Designated Project Engineer shall ensure that before detailed Design and the Design Check commences, the organisations proposed to carry out the detailed Design and the Design Check can demonstrate relevant Design capability, including provision of sufficient competent Design or Design Check personnel as applicable, and other resources to carry out the detailed Design and the Design Check.

The Designated Project Engineer shall be satisfied that persons nominated to carry out the roles of the Designer and Checker are competent to carry out the roles. The results of the competence assessment shall be recorded.

The Designated Project Engineer shall ensure that the requirements of this Specification are communicated to organisations employed to carry out the Design and Design Check, and shall manage the Design for Schemes to ensure that:

the submission for Approval in Principle (AIP) is provided to the Civil Engineer and that, where reasonably practicable, AIP is obtained before authorisation for detailed Design to commence is given by the Project Manager, and in the case of a design and construct contract, before the contract is placed;

when the Scheme affects a public highway, or an Outside Party Structure, the agreement of the relevant highway authority or other Structure owner is obtained in accordance with Clause 6.5.6;

the detailed Design, and where applicable Temporary Works Design, is checked in accordance with this Specification;

the AIP is reviewed when any standards stated in the AIP are revised or new standards are issued prior to the permanent works being Taken into Use.

The Designated Project Engineer shall endorse submissions for AIP to confirm that the information specified in Clause 6.3 is provided in the submission.


Date: April 2004

Page 15 of 55

5.3.3 Execution of a Scheme or Maintenance Work

The Designated Project Engineer shall ensure that before Construction Work commences, the organisation proposed to carry out the Construction Work can demonstrate provision of sufficient competent construction personnel and other resources to execute the Construction Work safely.

The Designated Project Engineer shall ensure that the information (drawings, diagrams, specifications etc.) for a Scheme or Maintenance Work to be issued for construction by the Contractors Engineering Manager have been checked and approved in accordance with Clause 5.7.

The Designated Project Engineer shall ensure that the requirements of this Specification are communicated to organisations employed to carry out the Construction Work, and shall:

ensure that for Construction Work for Schemes:

Method Statements provided by the construction organisation are independently reviewed for adequacy and compliance with the Design, (including review by the Designer when the method of working may affect compliance with the Design);

except for Emergency Works, Construction Work for a particular element does not commence before the Design of the particular element has been checked and accepted by Network Rail;

Construction Work is monitored to confirm that the execution is in accordance with the Design and accepted Method Statement(s) without compromising operational safety.

manage Maintenance Works to ensure that Construction Work is monitored to confirm that the execution is in accordance with the Design and the accepted Method Statement(s) without compromising the integrity of existing Structures or operational safety;

ensure that Method Statements for Temporary Works are reviewed prior to construction;

ensure that Temporary Works are erected to provide clearances not less than the relevant minimum for the location specified in RT/CE/S/036: Management of Gauging and Clearances.

The Designated Project Engineer shall determine if Form C in accordance with this Specification is required for Temporary Works by giving consideration to the following:


Date: April 2004

Page 16 of 55

type of Temporary Works;

location and extent of the Temporary Works and their degree of separation from the operational railway and from areas accessible to railway passengers, railway personnel and the public;

clearances to the nearest running rail.

The decision shall be recorded.

When a Form C is required, the Designated Project Engineer shall:

ensure that Temporary Works with Design Check category III as defined in Clause 8.2 are acceptable to the Designer of the Scheme;

consider the submitted Design (taking any advice that may be required) and certify Acceptance on Form C on behalf of Network Rail when satisfied that the:

Temporary Works Design is satisfactory and acceptable to Network Rail;

procedures for the Design and Design Check of Temporary Works in accordance with this Specification have been followed.

The Designated Project Engineer shall determine the required competence of persons to carry out Monitoring of the Construction Work to ensure that the Construction Work complies with the Design, and shall advise the Project Manager accordingly. Monitoring shall be delegated to the Design organisation or to an organisation independent of the construction organisation.

The Designated Project Engineer shall formally accept Method Statements on behalf of Network Rail when satisfied as to the content. The form given in RT/LS/S/008: Network Rail Contract Requirements Safety Section 4 Attachment 2 may be used for this purpose.

The Designated Project Engineer shall ensure that any significant variations to the Design are submitted for technical approval, except where changes to a Design are proposed during possessions or at other times where it is impracticable for the changes to be accepted by Network Rail before work to implement the Design change is required to commence. In such cases the Designated Project Engineer shall ensure that the Design change is:

reviewed, and any necessary mitigation measures agreed with the Contractors Responsible Engineer and put in to place before the permanent works are Taken into Use;

checked, Form B for the change signed and the changed Design submitted for Acceptance by Network Rail within 3 days of the permanent works being Taken into Use.


Date: April 2004

Page 17 of 55

The Designated Project Engineer shall ensure that the Contractors Responsible Engineer is aware of the duty to complete and sign Form E in accordance with Clause 9 of this Specification:

before any significant part of a Scheme (except the track) is Taken into Use;

before any Temporary Works whose failure or presence could reasonably affect the safety of the railway or of any persons other than those under the control of the construction organisation are Taken into Use or otherwise used by the construction organisation;

before a Structure is Taken into Use following any significant part of Maintenance Works.

Where reasonably practicable, the Designated Project Engineer shall verify that Form E has been signed before the relevant facility is Taken into Use.

The Designated Project Engineer shall approve any person nominated by the Contractors Responsible Engineer to sign Form E on the latters behalf.

5.4 Civil Engineer

A person may be appointed to act as the Civil Engineer for one or more Schemes or Maintenance Works. The limits of appointment shall be clearly recorded and understood.

When warranted by the scale, technical complexity or scope of the Scheme, the duties of the Civil Engineer may be allocated to more than one person. In such cases, all duties shall be covered and the division of duties shall be clearly recorded and understood by those required to act as the Civil Engineer.

The Civil Engineer shall consider submissions for Approval in Principle (AIP) (taking any advice that may be required) and, when satisfied, shall give AIP except when in accordance with Clause 6.7, the Civil Engineers approval is subject to endorsement by a competent person appointed by the Professional Head of Track Engineering or Professional Head of Structures Engineering as applicable. The Civil Engineer shall sign Form A when satisfied that AIP may be given.

The Civil Engineer shall not sign Form A if not satisfied with the proposals (taking into account any comments on Form A).

When Form D is submitted in accordance with Clause 6.3.1, the Civil Engineer shall sign when satisfied (taking any architectural or asset owners advice as necessary) that the visual impact on the passenger/built/natural environment has been adequately addressed and, where applicable, when satisfied that planning, listed building, or conservation area consents have been obtained.


Date: April 2004

Page 18 of 55

When the Civil Engineer requires the Designer to use a draft standard not in the public domain, a copy of the draft shall be provided with the signed AIP.

The Civil Engineer shall place (or agree the placement of) each Scheme into the applicable category for the Design Check according to the categories specified in Clause 7.2.

When differences between the Checker and the Designer that are unable to be resolved are referred to the Civil Engineer in accordance with Clause 7.4, the Civil Engineer shall decide the resolution (taking any advice that may be required) and shall record the reasons for the decision.

The Civil Engineer shall sign Form B in accordance with Clause 7.6 when satisfied (taking any advice that may be required), to signify Acceptance on behalf of Network Rail that the procedures for Design and Design Check in accordance with this Specification have been followed.

When Temporary Works are identified on Form A, the Civil Engineer shall advise the Designated Project Engineer on the applicable category for the Design Check of proposals for Temporary Works according to the categories specified in Clause 8.2.

The Civil Engineer shall consider the information provided for Temporary Works in Design Check category III and, if satisfied with the information, shall sign Form C to endorse the Design and Design Check.

5.5 Designer

A person shall be nominated by the Design organisation to act as the Designer for a Scheme.

The Designer responsible for the Design to AIP stage may be different from the Designer responsible for Detailed Design.

The Designer(s) shall convert the Remit into the Design to AIP stage and/or the detailed Design, and shall as appropriate:

provide the submission for Approval in Principle (AIP) (Form A) to the Designated Project Engineer;

ensure that the Scheme is designed in accordance with the Remit and the signed Form A;

prepare a certificate of Design and checking (Form B), certify the Design on Form B as Designer, and arrange for the Design Check certification to be signed by the Checker and forwarded to the Designated Project Engineer;

ensure that records of the AIP are provided to the Designated Project Engineer;

when required by the Designated Project Engineer, review Method Statements for Construction Work for a Scheme and, if satisfied that the Design will not be compromised by the proposed methods of working, confirm Acceptance of the Method Statement to the Designated Project Engineer in writing.


Date: April 2004

Page 19 of 55

5.6 Checker

A person shall be nominated by the checking organisation to act as the Checker.

The Checker shall carry out a Design Check to confirm that the information shown on drawings, diagrams, and/or specifications (performance, materials and workmanship) is correct, and that as applicable:

the Design for a Scheme is compliant with the Remit and the Approval in Principle (AIP), and has been carried out without any error that affects the information shown on the drawings, diagrams or specifications;

Temporary Works have been designed in accordance with the Remit, the AlP and this Specification.

When satisfied, the Checker shall certify the Design as Checker using Form B or Form C as applicable.

5.7 Contractors Responsible Engineer

For each Scheme or Maintenance Work, a Contractors Responsible Engineer shall be nominated by the Design organisation or the construction organisation to liaise with the Designated Project Engineer. Where required due to the nature or complexity of the Scheme or Maintenance Work, the Designated Project Engineer may approve a deputy to the Contractors Responsible Engineer.

Different Contractors Responsible Engineers may be made responsible for the Design phase and the construction phase of the Scheme or Maintenance Works, or one person may be made responsible for both phases.

The Contractors Responsible Engineer shall verify that the Design information applicable to the relevant discipline for a Scheme or Maintenance Works (drawings, diagrams, specifications etc.) to be issued for construction has been checked and approved. Drawings shall be signed by the Designer, Checker and approver. The Contractors Responsible Engineer may act as approver.

The Contractors Responsible Engineer shall ensure that Method Statements are prepared and approved. The approver shall be the Contractors Responsible Engineer in the relevant discipline. The Contractors Responsible Engineer shall ensure that Method Statements signed by the author, checker and approver are submitted in accordance with RT/LS/S/008- 4 Attachment 2, revised if necessary, and briefed to those affected by, or carrying out the work described in the Method Statement.


Date: April 2004

Page 20 of 55

The Contractors Responsible Engineer shall ensure that:

the Design of Temporary Works, (including any required variations to the Design), is accepted by the Designated Project Engineer before work commences;

the Scheme or Maintenance Work is implemented in respect of Civil Engineering Infrastructure in accordance with the Design and accepted Method Statement without compromising operational safety;

the Designated Project Engineer is provided with advice on the effect of changes to standards on the proposed execution.

The Contractors Responsible Engineer shall verify that the completed permanent works are compliant with the Design (including any accepted amendments to the Design) taking advice as necessary from the Designer, and shall ensure that records of the Design as constructed are provided to the Designated Project Engineer. When satisfied prior to Construction Work being Taken into Use, the Contractors Responsible Engineer shall certify the permanent works are fit to be Taken into Use and, where applicable, provide a copy of Form E to the Designated Project Engineer.

(Alternatively, in cases where it is not reasonably practicable to attend on site in person, the Contractors Responsible Engineer shall nominate in writing a competent person to certify and, where applicable, provide a copy of Form E. The nomination shall be subject to the Designated Project Engineers approval.)

When significant changes to a Design are proposed during possessions or at other times where it is impracticable for the changes to be accepted by Network Rail before execution of the Design change is required to commence, the Contractors Responsible Engineer shall:

review, and agree any necessary mitigation measures with the Designated Project Engineer, and ensure that such measures are put in to place before the permanent works are Taken into Use.

ensure that the changed Design is submitted to Network Rail for Acceptance within 3 days of the permanent works being Taken into Use.

5.8 Outside Party Engineer

For each Structure owned or to be owned by an Outside Party, an Outside Party Engineer shall be appointed to liaise with the Outside Party, and/or the Outside Partys construction organisation to safeguard the interests of Network Rail with regard to safety of the operational railway. Both temporary situations and permanent situations shall be taken into account.


Date: April 2004

Page 21 of 55

The limits of appointment shall be clearly documented and understood by all persons appointed to act as an Outside Party Engineer. An Outside Party Engineer may be appointed to act for one or more:

Schemes affecting Outside Party controlled infrastructure;

works carried out by an Outside Party that affect Network Rails infrastructure.

The duties of the Outside Party Engineer may be carried out by more than one person, but all duties shall be covered and the division of duties shall be clearly documented and understood by those required to act as an Outside Party Engineer.

Where reasonably practicable, the Outside Party Engineer shall ensure that, where an Outside Party has no equivalent technical approval process, the Design, construction and maintenance of Outside Party Structures and any associated Temporary Works are technically approved in accordance with the principles of this Specification.

The Outside Party Engineer shall:

give a co-ordinated response to, and liaise with, the Outside Party and/or the Outside Partys construction organisation at all stages of the construction of Outside Party works;

ensure that the requirements of this Specification, and any other Network Rail Company Standards, railway-related safety rules, Regulations and railway industry standards relevant to the proposed Construction Work are communicated to the Outside Party;

where reasonably practicable, require the Outside Party and/or the Outside Partys construction organisation to take measures to ensure that Construction Work is designed, constructed and maintained in accordance with the principles of this Specification and any other Network Rail Company Standards, railway-related safety rules, Regulations and standards relevant to the Construction Work;

ensure that Method Statements provided for work by an Outside Party allow for inspection and maintenance of Outside Party Structures and associated Temporary Works during the period of construction;

keep records regarding decisions and agreed actions that may affect the safety of the operational railway;

ensure that Method Statements for Construction Work by an Outside Party demonstrate the Outside Partys construction organisations capability to carry out the Construction Work safely.


Date: April 2004

Page 22 of 55

6 Approval in Principle

6.1 General Requirements

Approval in Principle shall be obtained using Form A, where reasonably practicable before authorisation for the detailed Design to commence is given by the Project Manager.

Except for Emergency Works, Form A shall be signed by the Civil Engineer before the execution phase of a Scheme commences.

6.2 Time at which a Submission for Approval is to be Made

6.2.1 Approval in Principle (AIP) for a Scheme

The submission for Approval in Principle (AIP) for a Scheme shall be made when the Design has progressed sufficiently for the Design Concept to be determined and the Design standards and method to be used established but before detailed Design has commenced.

In the case of Schemes intended for construction (execution) by means of design-and-construct contracts, the submission for AIP shall be included in the tender submission (unless AIP for the Scheme has previously been given). When an alternative tender is provided, the submission AIP shall be included with the tender documentation in all cases.

For Schemes involving Permanent Way, the submission shall be made following completion of an accurate topographical survey.

In order to avoid delays, misunderstandings and possible abortive work, early communication shall be established between the various parties involved in the AIP process. Where practicable, preliminary discussions shall take place before the formal submission for AIP in order to agree the Design Concept or to identify any special criteria or proposed departures from standards.

6.2.2 Approval in Principle (AIP) for Emergency Works

An application for Approval in Principle (AIP) for Emergency Works shall be made using Form A as soon as is reasonably practicable, but no later than 28 days after the incident requiring the Emergency Works.

6.3 Information to be Submitted

6.3.1 Schemes

A Scheme may be divided into more than one part, with a separate submission for Approval in Principle (AIP) for each part, but in such cases:


Date: April 2004

Page 23 of 55

the nature of the division shall be clear and all parts of the Scheme shall be covered;

each AIP submission shall take account of and reference the AIP submissions for the other parts of the Scheme.

A separate submission for AIP may be made for each Structure or a single submission may be made for a generic group of equipment support Structures.

The information to be submitted to the Civil Engineer for AIP for Schemes shall be as follows:

a copy of the approved Remit;

an AIP submission form (Form A) providing details of the Scheme and signed on behalf of the organisation responsible for the Design to this stage;

a minimum of two copies of the preliminary general arrangement drawing or drawings (if applicable);

other relevant supporting information such as topographical surveys, site investigation reports, additional drawings, sketches, photographs;

details of any other AIPs previously submitted or to be sought in connection with the Scheme;

for equipment support Structures, the statement from the asset owner in accordance with Clause 6.5.3;

a copy of Form D, in cases where the Scheme is likely to have an important visual impact on the passenger/built/natural environment or when full planning, listed building, or conservation area consents are necessary.

The information to be shown on Form A will vary according to the nature of the Scheme. A model Form A is given in Appendix B, suitable to cover the majority of Schemes and from which items should be selected as applicable. For simple Schemes, many of the items may not be relevant. For complex or unusual Schemes, additional information may be necessary.

Identification of Design standards and specifications to be used and all proposed deviations from these standards and specifications is required in all cases.

Significant elements of a Scheme such as piles, steelwork connections etc. not to be designed by the Designer but to be designed by a specialist design or construction organisation shall be specifically identified on Form A.


Date: April 2004

Page 24 of 55

6.3.2 Emergency Works

The information to be submitted for AIP for Emergency Works shall comply with Clause 6.3.1 as far as is reasonably practicable in the circumstances. In addition, details of the effects of the incident causing the Emergency Works on the infrastructure shall be included.

6.4 Submission for Approval in Principle

6.4.1 Schemes

The submission for Approval in Principle shall demonstrate that:

a) the Scheme complies with the Remit; b) the overall Design Concept and appearance of the Scheme is

appropriate for its purpose, location and site conditions; c) the Scheme is appropriately economical; d) adequate geotechnical and other relevant investigations and surveys

have been or will be undertaken (including, where appropriate, consideration of the likely effects of mineral extraction);

e) the proposed Design loadings (including accidental loadings) are suitable;

f) the proposed Design standards and methods of Design are suitable; g) the requirements/recommendations of HMRI, Railway Group Standards

and Network Rail Company Standards are adequately addressed, with any proposed departures justified;

h) any significant Design matters not covered by standards are adequately addressed;

i) the Scheme will not result in unsatisfactory clearances, platform stepping distances, signal sighting or other constraints on the operational railway;

j) arrangements for the interface between the Civil Engineering Infrastructure content of the Scheme and any services or any signalling, telecommunications, electrification, lighting or other operational electrical or mechanical equipment which may form part of the Scheme are satisfactory;

k) the effects of the Scheme on existing infrastructure (including Buildings) have been adequately considered;

l) where the Scheme includes Structures supporting signalling, telecommunications, electrification, lighting or other operational electrical or mechanical equipment, the Design adequately addresses all the performance requirements dictated by such equipment;

m) the likely effects of the Scheme on the environment and on organisations external to Network Rail have been adequately considered;


Date: April 2004

Page 25 of 55

n) arrangements for liaison and consultation with bodies external to Network Rail (e.g. local authorities, statutory undertakers, Environment Agency, adjacent landowners) are satisfactory;

o) in the case of strengthening or partial renewal or removal of Structures, the stability of the whole Structure and all its parts at all stages of the Scheme have been adequately considered, including the long-term adequacy of remaining elements of the Structure and supporting soil;

p) provisions for examination, maintenance and eventual renewal/removal are satisfactory;

q) risks to health and safety during construction, maintenance, use, railway operations and occupational health and safety are controlled as far as is reasonably practicable;

r) if used properly, the Scheme will be safe in use so far as is reasonably practicable;

s) the anticipated method of construction/erection (and of future demolition where appropriate) pay due regard to safety.

6.4.2 Emergency Works

The submission for Approval in Principle for Emergency Works shall comply with Clause 6.4.1 as far as is reasonably practicable in the circumstances, except when the Emergency Works are considered to be Temporary Works in which case compliance with Clause 8 shall apply.

6.5 Requirements applicable to Particular Forms of Structures and Methods of Construction and Use

6.5.1 Previously-Designed Structural Elements

Except for type-approved Permanent Way components, significant previously-designed structural elements intended to be incorporated within a Scheme shall be identified on Form A.

A copy of the certificate of Design and checking or other evidence of the adequacy of the Design of any such element shall be included with the Approval in Principle submission, or else shall be submitted with the certificate of Design and checking for the Scheme in accordance with Clause 7.5.

6.5.2 Temporary Works

Significant Temporary Works likely to affect the operational railway, station operation or the public and the provision of which can reasonably be foreseen at AIP stage shall be identified on Form A.


Date: April 2004

Page 26 of 55

Where Temporary Works are identified on Form A, a statement shall be provided as to how and by whom their Design and Design Check are proposed to be carried out (including the proposed Design Check category) and how railway operational safety is to be addressed.

6.5.3 Equipment Support Structures

In the case of Structures intended for the support of signalling, telecommunications, electrification, lighting or other operational electrical or mechanical equipment, the AIP submission shall include a statement, signed by or on behalf of the Asset Engineer for the relevant equipment, to the effect that the proposals are acceptable as regards the performance requirements relating to such equipment.

6.5.4 Existing Structures to Remain in Association with New Construction

Where parts of existing Structures are to remain in association with new construction, their nature and extent shall be identified in the Approval in Principle submission, with a statement showing how the issue of the suitability of these elements for continuing service has been or will be addressed.

6.5.5 Staged Construction

When Construction Work for a Scheme is to be carried out in stages, the Approval in Principle submission shall detail the proposed stages and associated method of working, and where applicable demonstrate the structural adequacy of new, altered, and existing Structures at all stages of the construction.

6.5.6 Public Road, Bridleway, Footpath Bridges and Outside Party Structures

If a Scheme affects a bridge carrying a public road, bridleway or footpath or an Outside Party Structure, the agreement of the relevant highway authority or Structure owner shall be obtained and recorded at the Approval in Principle stage. For bridges carrying a public road, bridleway or footpath, this may be done by submitting to the highway authority for signature a completed form Highway Authority Agreement to Proposed Bridgeworks according to the model shown in Appendix B.

6.5.7 Leased Structures

If a Scheme affects a Station, Depot or other Network Rail property leased to a train or freight operating company or other organisation, the comments of the relevant company or organisation shall be requested and if obtained included in the Approval in Principle submission.


Date: April 2004

Page 27 of 55

6.6 Giving Approval

If the submission for Approval in Principle (AIP) is satisfactory:

Form A, and, where submitted, Form D shall be signed, dated and any comments as considered applicable added to the relevant form;

the Design Check category according to the criteria given in Clause 7.2 shall be determined or agreed.

The Civil Engineers signature and associated comments shall be deemed to constitute AIP (subject to endorsement on behalf of the Professional Head of Track Engineering or the Professional Head of Structures Engineering as applicable as given below).

In the case of Schemes intended for construction (execution) by means of a design-and-construct contract, the contract shall not be placed until the tender AIP submission has been fully considered by Network Rail and all technical matters likely to have a significant effect on the contract cost have been agreed with the Civil Engineer.

AIP shall not be given if there is reasonable cause to not be satisfied with the submission, or insufficient information has been submitted.

6.7 Endorsement of Approval in Principle

After signature by the Civil Engineer, Form A and supporting documentation shall be forwarded to the Professional Head of Track Engineering or the Professional Head of Structures Engineering as applicable for endorsement of the Approval in Principle (AIP) in the following cases:

all Schemes with a proposed Design Check category III;

any other class or type of work for which the relevant Professional Head advises in writing that endorsement of AIP is required generally;

any other Scheme for which the relevant Professional Head considers that endorsement of AIP is required following a screening decision;

any other Scheme for which the Civil Engineer or Designated Project Engineer considers that endorsement of AIP is appropriate.

In the following cases, the relevant Professional Head shall be provided with outline details of the proposals sufficient for a screening decision to be made as to whether or not endorsement of AIP is required:

Permanent Way Schemes using non-standard components;

Permanent Way Schemes using Design values in excess of normal in accordance with RT/CE/S/049;

new and altered Structures with non-standard live or imposed loading;


Date: April 2004

Page 28 of 55

cases where the Design involves consideration of the aerodynamic effects due to trains travelling at speeds greater than 125mph;

Structures which include significant features or characteristics which have not previously been used in a Structure subject to railway live loading;

structural use of advanced composites (plastics/resins/carbon fibre/glass fibre composite materials), unless a general exemption is advised in writing by the Professional Head of Structures;

reinforced earth construction subject to railway live loading;

all hard - faced reinforced earth construction, unless an exemption is advised in writing by the Professional Head of Structures (and excepting overline bridge abutments and retaining walls which will be owned and maintained by an Outside Party);

works in or which could significantly affect or be affected by rivers or tidal waters (other than conventional river bed or river bank protection works and conventional coastal or estuarial defence works);

bridgeworks for which the anticipated construction contract exceeds 3 million;

any other class or type of work for which the relevant Professional Head advises in writing that submission for a screening decision is required generally;

any other Scheme which the Civil Engineer or Designated Project Engineer considers should be submitted to the Professional Head for a screening decision.

A competent Chartered Civil or Structural Engineer appointed to act on behalf of the Professional Head of Track Engineering or the Professional Head of Structures Engineering as applicable shall consider the information submitted, give a screening decision where required, and act on the information as applicable in accordance with Clauses 6.4 - 6.7 inclusive.

6.8 Alterations after Approval

An amended Form A or an addendum shall be submitted to the Civil Engineer and shall be considered in accordance with Clauses 6.4 - 6.8 inclusive if for any reason after Approval in Principle (AIP) has been given, proposals are made for:

any important alteration to the Design;

any additional important departure from relevant standards used for the Design.

In cases where the Designer changes after AIP has been granted, the new Designer shall provide documented Acceptance of the original Form A to the Designated Project Engineer, or resubmit the AIP.


Date: April 2004

Page 29 of 55

6.9 Lapsing of Approval in Principle

If Construction Work for a Scheme has not started within three years of the date of Approval in Principle, the latter shall be deemed to have lapsed.

7 Certification of Detailed Design and Checking of Design of Permanent Works


Designs and Design Checks shall be carried out in accordance with the Approval in Principle (including comments) using reasonable professional skill and care. Different parts or aspects of a Scheme may be allocated to different Design organisations and/or to different Design Check organisations, provided that:

every part and aspect of the Scheme is covered, including the interfaces between them;

the split of responsibilities between the different organisations is clearly recorded and understood by those persons within the organisations carrying out the Design and/or Design Check.

Except for Emergency Works, Construction Work shall not commence until the Civil Engineer has accepted Form B and the information to be issued for construction by the Contractors Engineering Manager has been verified by the relevant Contractors Responsible Engineer as checked and approved in accordance with Clause 5.7.

7.2 Design Check Categories

A Scheme shall be placed into the applicable Design Check category shown in Table 1. The Design Check category shall be stated on Form A, and the Design shall be checked in accordance with the applicable method given in Table 1. In cases of doubt, the category for the Design Check shall be that which is considered reasonable in the circumstances. The reasons for the decision shall be recorded.

Guidance on the applicable Design Check category for Schemes is given in Appendix C.

Except as given in Table 1, the Design Check shall be carried out without reference to the Design calculations or assumptions.

When the Design is carried out in-house by the construction organisation or in-house by a sub-contractor to the construction organisation, the method of checking shall be enhanced as follows:

checking of Design Check category I Designs shall be carried out in accordance with the method specified for category II;

checking of Design Check category II Designs shall be carried out in accordance with the method specified for category III.


Date: April 2004

Page 30 of 55

However, when the Design is carried out by a Design organisation appointed by the construction organisation for the provision of Design services, the above enhancements in checking method are not required.

In the case of Temporary Works Design, excepting the Design of tube-and-fitting scaffolding, the Civil Engineer may waive the requirements for enhancement of checking method if satisfied that:

the Design is carried out by a specialist Design unit within the construction organisation;

the specialist Design unit has adequate Design capability and effective functional independence from other parts of the construction organisation.

Any such waiver granted by the Civil Engineer shall be in writing.

Category Type of Scheme Method of Checking (but see note below)

0 Designs for which calculations would not normally be carried out, and the Design can be adequately checked by inspection.

Designs for which, although simple calculations may be carried out, the consequences of failure would be unlikely to affect safety and would be financially small.

No formal Design Check is required.

I Standard or simple Designs using simple methods of analysis are involved and all aspects of Design are in accordance with relevant standards.

Assemblies of elements or components which have themselves been designed and checked and/or accepted.

The Design shall be checked in the same group or team as that which prepared the Design, but by people other than the Designers. Those carrying out the Design Check may refer to the Design calculations and the assumptions on which the calculations are based, but shall critically consider the assumptions in order to be satisfied that the assumptions are valid.

II All Designs which are not in categories 0, I or III.

The Design shall be checked by the same organisation as that which prepared the Design, but in a separate group or team, which has not been concerned with the development of the Design.

III Complex or unusual Designs or where significant departures from relevant standards, novel methods of analysis or considerable exercise of engineering judgement are involved.

The Design shall be checked by an organisation independent of the Design organisation (i.e. by an organisation which is a separate legal entity).

Table 1: Design Check categories


Date: April 2004

Page 31 of 55

7.3 Scope and Method of Design Check

A Design Check shall include the following:

compliance of the Design with the Approval in Principle (AIP) submission (including any comments by the Form A signatories and including any addenda or amendments to the AIP);

the structural adequacy of the Design (including any effects of the Scheme on its surroundings);

all non-structural safety-related aspects of the Design;

site conditions (including dimensions) to the extent that could reasonably be expected to affect:

the safety and practicability of construction;

the safety and proper functioning of the completed Scheme.

When the Civil Engineer identifies that the method of Design employed by the Designer is novel, the method of checking shall not use the same method as for the Design. In such cases, where practicable, recognised methods shall be used for the Design Check.

The computerised method used for a category III Design Check, or when the Civil Engineer has identified the computerised programme used for the Design as novel, shall not be the same computerised method as used for the Design. For other categories of Design Check, and when the computerised method is not novel, the same computerised method may be used, but the input information shall be checked.

The Civil Engineer shall be provided with a Design Check statement to show the methodology to be adopted to carry out the Design Check.

The Design Check statement shall:

specify the method of analysis to be used, including any computerised methods as applicable;

detail the programme for the Design Check, and interfaces with the Designer;

state how compliance with the requirements of this Clause will be achieved.

7.4 Liaison between Designers and Checkers

A Design Check may start before the Design is complete, provided the independence specified in Table 1 is maintained. Those carrying out the Design shall liaise with those carrying out the Design Check as necessary to ensure that their results are comparable and to resolve any points of disagreement that may arise. Design and Design Check calculations and assumptions may be exchanged if necessary to reach agreement.

Differences which cannot be resolved shall be referred to the Civil Engineer for resolution, with reasons for the lack of agreement.


Date: April 2004

Page 32 of 55

7.5 Use of Previously-designed Structural Elements

If a significant previously-designed structural element is to be used, those carrying out the Design and the Design Check shall be competent to understand the proper application and limitations of the Design of that element and shall ensure that the use of the element within the Scheme is appropriate.

When such an element is to an established Design produced by a recognised manufacturer and satisfactory evidence of structural adequacy can be provided, the Design Check shall show that the strength or load capacity as stated by the manufacturer is adequate to resist the Design loading safely.

When the element is in accordance with a certificated Network Rail-authorised standardised Design, the Design Check shall be sufficient to demonstrate that the Design load used for the Design of the element is not less than the loading to be applied to the element, and that operational safety will not be compromised.

In all other cases, a copy of the certificate of Design and checking or other evidence of the adequacy of the Design of the element shall be submitted with the certificate of Design and checking for the Scheme in accordance with Clause 7.6 unless such evidence has already been included with the AIP submission in accordance with Clause 6.5.1.

7.6 Certificate of Design and Checking

A certificate of Design and checking (Form B) according to the model shown in Appendix B shall be prepared and signed on behalf of the organisation(s) carrying out the Design and the Design Check. The signed Form B together with the Design shall be submitted to the Civil Engineer for signature.

In cases where different Designers and/or Checkers are responsible for different parts of a single Structure (e.g. the substructure and superstructure of a footbridge), a Lead Designer and/or a Lead Checker shall be identified and agreed by Network Rail and one of the following arrangements shall apply:

a single Form B shall be submitted and signed by the Lead Designer/Checker as taking responsibility for the whole;

a single Form B shall be submitted with multiple signature sections to cover the various Design/checking contributions and signed by the Lead Designer/Checker as taking responsibility for the interfaces;

each of the various Designers/Checkers shall submit and sign a separate Form B, one of which shall be signed by the Lead Designer/Checker as taking responsibility for the interfaces.

Form B shall be signed when, so far as can reasonably be ascertained from the information submitted:


Date: April 2004

Page 33 of 55

the Design is satisfactory;

the procedures specified in this document have been followed.

Signatures on Form B by persons from the Design and Design Check organisations shall be construed as indicating that the signatories accept responsibility for the adequacy and accuracy of their respective contributions to the Design or Design Check, and that reasonable professional skill and care have been used.

The signature of the Civil Engineer shall be construed as Acceptance that the procedures followed for the Design and Design Check are in accordance with this Specification.

7.7 Changes to the Design

When a significant change to the Design of a Scheme is considered necessary, the proposed change shall be subject to redesign and checking in accordance with Clauses 7.1 - 7.6 inclusive except:

when the proposed change can adequately be checked by inspection and Design calculations are not required;

when simple Design calculations are required but the consequence of the change will not alter the structural integrity of the new or altered Structure;

when the proposed change affects clearances to Structures only.

Where reasonably practicable, a proposed change to a Design shall not be implemented until Form B for the change has been accepted by Network Rail.

When significant changes to a Design are necessary during possessions or at other times where it is impracticable for the Design change to be accepted by Network Rail before work to implement the Design change is required to commence, the Design change shall be reviewed, and any necessary mitigation measures agreed and put into place before the permanent works are Taken into Use.

In such cases, the Design change shall be checked, Form B signed and the Design submitted to Network Rail for Acceptance within 3 days of the permanent works being Taken into Use.

8 Temporary Works


The Design of Temporary Works identified on Form A shall be checked in accordance with the principles in Clauses 7.1 - 7.5.

When not identified on Form A, the Design of Temporary Works whose failure or presence could reasonably affect the safety of the railway or the safety of any persons other than those under the control of the construction organisation shall be checked in accordance with the principles in Clauses 7.1 - 7.5, except that references to AIP may be ignored.


Date: April 2004

Page 34 of 55

Temporary Works shall be designed and checked to ensure that, except during periods when normal train operations are suspended or when the Designated Project Engineer agrees other means of maintaining the safety of the operational railway, no interference is caused to any of the following:

lineside signs and signals, and other train control equipment (including radio and electrical interference);

driver-only operation platform equipment;

the vision of train crew and operating staff, including signal sighting;

access to, or use of, places of safety adjacent to running lines;

the maintenance of specified clearances between any passing rail vehicles and the Construction Work;

the safe use of station platforms or access to and/or from emergency exits in stations and Buildings.

Temporary Works shall not be constructed until the Designated Project Engineer has accepted the Form C.

8.2 Category for Checking of Temporary Works

The method to be used for the Design Check of Temporary Works shall accord with the applicable Design Check category in Table 1.

Guidance on the applicable Design Check category for Temporary Works is given in Appendix C.

8.3 Certificate of Design and Checking of Temporary Works

A certificate of Design and checking of Temporary Works (Form C) according to the model shown in Appendix B shall be prepared and signed on behalf of the organisation(s) carrying out the Design and the Design Check. The signed Form C and the Design for the Temporary Works together with appropriate supporting information and the Method Statement for their execution and/or removal shall be submitted for Acceptance to the Designated Project Engineer.

In cases where different Designers and/or Checkers are responsible for different parts of a single Temporary Works structural assembly (e.g. a scaffolding framework and its ground support), a Lead Designer and/or a Lead Checker shall be identified and agreed by Network Rail and one of the following arrangements shall apply:


Date: April 2004

Page 35 of 55

a single Form C shall be submitted and signed by the Lead Designer/Checker as taking responsibility for the whole;

a single Form C shall be submitted with multiple signature sections to cover the various Design/checking contributions and signed by the Lead Designer/Checker as taking responsibility for the interfaces;

each of the various Designers/Checkers shall submit and sign a separate Form C, one of which shall be signed by the Lead Designer/Checker as taking responsibility for the interfaces.

When proprietary elements such as scaffolding, falsework and access bridges are to be incorporated in the Temporary Works, evidence to show that the strength as stated by the manufacturer is adequate to safely resist the loading to be applied shall be provided with Form C.

8.4 Category III Temporary Works

After Acceptance by the Designated Project Engineer, Form C and supporting documentation for all Temporary Works in Design and Design Check category III shall be sent for endorsement to the Civil Engineer or other person delegated in accordance with Clause 5.1.2.

9 Verification of Construction

9.1 Schemes

9.1.1 Structures

Verification that Construction Work is compliant with the Design shall be carried out by:

consideration of Method Statements;

provision of certification to confirm materials compliance with the Design;

Monitoring of fabrication and Construction Work against the Design and accepted Method Statement.

Where required by the Designated Project Engineer, the Designer shall identify any necessary materials and commissioning tests required to enable verification to be provided that the Construction Work is compliant with the Design.

Before all or any significant part of the permanent works for a Scheme are Taken into Use, Form E in respect of such works shall be completed and signed by the Contractors Responsible Engineer or other nominated person, according to the model shown in Appendix B.


Date: April 2004

Page 36 of 55

When Construction Work is carried out during periods when normal train operations are suspended or when other means of maintaining the safety of the operational railway are utilised, and such Construction Work is to be Taken into Use (whether the permanent works are completed or not), the completed Form E as applicable shall be shown to the Engineering Supervisor or other person responsible for the provision of access within 3 metres of the track. A copy of the completed Form E shall be provided to this person within 3 days.

9.1.2 Permanent Way

Verification that completed Permanent Way for a Scheme is compliant with the Design shall be provided in accordance with Network Rail Company Standard RT/D/P/088: Responsibility for Maintenance of Changed Assets.

The track shall be Taken into Use by a person certificated competent in accordance with RT/CE/S/103: Track Inspection Requirements.

9.2 Maintenance Work

Verification that Maintenance Work has been carried out without affecting the integrity of the Structure shall be carried out by:

consideration of Method Statements;

provision of certification to confirm materials compliance with the Design;

Monitoring and audit of fabrication and Construction Work against the Design and the accepted Method Statement.

Before all or any significant part of the Maintenance Works are Taken into Use, Form E shall be completed and signed by the Contractors Responsible Engineer or other nominated person and (where applicable) shall be shown/provided to the Engineering Supervisor, all in accordance with Clause 9.1.1.

9.3 Temporary Works

Before all or any significant part of Temporary Works are Taken into Use, Form E shall be completed and signed by the Contractors Responsible Engineer and (where applicable) shall be shown/provided to the Engineering Supervisor, all in accordance with Clause 9.1.1.

10 Records

10.1 General

The original or a good - quality copy of all record documentation shall be given to the maintaining Network Rail Group, Department or Function as relevant.


Date: April 2004

Page 37 of 55

10.2 Approval in Principle

The completed Form A together with other supporting documentation included in the AIP submission shall be retained as a record of Approval in Principle.

10.3 Design and Checking

The completed Form B shall be retained with the records of the Design and construction of the Scheme. Records of the Design shall include:

Design calculations presented in a logical and orderly manner so that the calculations may be readily understood by a competent person without assistance from the Designer;

a copy of the certificate of Design and checking or other evidence of the adequacy of the Design in respect of any significant previously-designed structural element used in the Scheme;

information in the form of drawings, diagrams, photographs, calculations and/or words (including specifications for performance, materials and workmanship) which together describe in detail what has been constructed.

10.4 Material Tests

Records shall be kept of all certification to confirm materials compliance with the Design.

10.5 Verification Certification

The completed Form(s) E as applicable and any supporting documentation shall be retained as a record of certification of the Construction Work as fit to be Taken into Use.


Date: April 2004

Page 38 of 55

Appendix A: Compliance With Railway Group Standards

Compliance with this Specification, and with the Specifications referenced herein, will ensure compliance with the following Clauses of Railway Group Standards, in respect of the technical approval of design, construction and maintenance of civil engineering infrastructure:

GC/RT5101 Technical Approval Requirements for Changes to the Infrastructure (Issue 1)

Clause 5.1: Scheme Elements (in respect of track, Structures, requirements of Outside Parties and neighbours);

Clause 5.2: Scheme Phases (in respect of Approval in Principle, Design and checking and execution);

Clause 5.3: Technical Approval;

Clause 6: Competency;

Clause 7: Records

GI/RT7003: Management of Construction Work in the Operational Railway Environment (Issue 1)

Clause 5: Representative for Outside Party Construction Work

Clause 9.2: Technical Approval of Design before Start of Work

Clause 9.3: Conformity with Approved Design

Clause 9.4: Changes to Approved Design

Clause 11: Approval of Works


Date: April 2004

Page 39 of 55

Appendix B: Model Forms For Technical Approval

Models for forms referred to:

Form A: Approval in Principle (4 pages)

Highway Authority Agreement to Proposed Bridgeworks

Form B: Certificate of Design and Checking (3 pages)

Form C: Certificate of Design and Checking of Temporary Works (4 pages)

Form D: Aesthetic Acceptance

Form E: Certificate of fitness to be Taken into Use

Notes:

1. These forms may be re-presented and set out on the headed paper of the organisations responsible for preparing them, provided the relevant information shown on the models is included.

2. The signatures indicated on the model forms are the minimum required. Further signatures may be added on the forms to accord with local procedures if necessary.

3. Each page on the forms shall include the title of the Scheme and other relevant details given in the box at the top of the model form.

4. Text given in italics on the models is intended as guidance to those preparing the forms and should therefore be omitted from the completed versions.


Date: April 2004

Page 40 of 55

NETWORK RAIL (Insert name of Group, Department or Function.) FORM A: APPROVAL IN PRINCIPLE (Page .... of ....)

Title of Scheme: (State if Form A applies only to part of Scheme.) Location ELR Mileage OS grid ref. Structure No.

Part 1: Scheme Details (Note: relevant information should be given under the headings below. The main headings and their numbering should be used for all submissions unless the Designated Project Engineer directs or permits otherwise. Where a heading is not applicable to a particular submission, not applicable or N/A should be entered. Where a heading is relevant, suitably numbered sub-headings should be used. Information under additional headings may be necessary for certain Schemes.)

(This form may also be used for Outside Party Works.)

1.1 Network Rail Sponsor (Specify name of Group, Department or Function.) 1.2 External organisation(s) for whose benefit the Scheme is required (if applicable) 1.3 Proposed date for completion of construction (Specify stage dates if applicable.) 1.4 Organisation responsible for Design to AIP stage (if not as shown in the page heading)

1.5 Existing conditions 1.6 Proposed works 1.7 Alternative solutions to the Remit considered 1.8 Design criteria (underline bridge)

1.9 Design criteria (overline bridge) 1.10 Design criteria (footbridge) 1.11 Design criteria (equipment support structure)

1.12 Design criteria (soil-retaining structure) (except where part of a bridge structure) 1.13 Design criteria (Station platform) 1.14 Design criteria (Station canopy or building) 1.15 Design criteria (Earthwork) 1.16 Design criteria (other Structures) 1.17 Design criteria (Permanent Way) 1.18 Design life

1.19 Organisation proposed to be responsible for detailed Design 1.20 Design standards 1.21 Departures from Design standards (with justification) 1.22 Geotechnical considerations 1.23 Design statement (Describe the methodology to be adopted to execute the Design.) 1.24 Accompanying drawings and other documents 1.25 Any other relevant information (Give information as appropriate.)


Date: April 2004

Page 41 of 55

(Form A continued) Part 2: Designer Submission I confirm that the applicable criteria specified in Network Rail Company Specification RT/CE/S/003 have been considered, and the Design is submitted for Approval in Principle on behalf of (name and address of organisation responsible for Design to AIP stage).

Signed Title

Name (Print) Date

To be signed by the Designer responsible for the Design to AIP stage or other person authorised to sign on behalf of the organisation responsible for the Design.

Part 3: Construction organisation acknowledgement of submission by a sub-contract Designer The organisation named in Part 2 is engaged as a sub-contractor to the organisation stated below. I formally ackn

CIV003 Technical Approval of Design

Documents

Transcript of CIV003 Technical Approval of Design