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NR/SP/CIV/003

Issue
Date

2
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

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RT/CE/S/003
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Business Process Document


Specification Volume SW(H) I
Technical Approval of Design, Construction and
Maintenance of Civil Engineering Infrastructure
Endorsement & Authorisation
Endorsed by:

Kim Teager, Professional Head of Structures Engineering

Authorised by:

Andrew McNaughton, Chief Engineer

Accepted for issue by:

P McAleer, Head of Business Standards

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

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Issue record
Issue
2
1

Date
February 2004
October 2001

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RT/CE/S/003 Issue 1 is withdrawn from 5th June 2004.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

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Contents
1

Purpose

Scope

Reference documentation

Definitions

Roles and Responsibilities

12

Approval in Principle

22

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

Temporary Works

33

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

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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.

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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:

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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:

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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.

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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
GI/RT7003

Technical Approval Requirements for Changes to the Infrastructure


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
RT/CE/S/049
RT/CE/S/103
RT/D/P/088
RT/LS/S/008

Management of Gauging and Clearances


Track Design Handbook
Track Inspection Requirements
Responsibility for Maintenance of Changed Assets
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

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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.
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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.

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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.

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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.

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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.
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5.2

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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.

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5.3.2

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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.

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5.3.3

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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:

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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 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.

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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.

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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 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.
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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.

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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:

5.8

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.

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.

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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.

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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 designand-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:
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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.

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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;
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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 previouslydesigned 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.

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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.

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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-andconstruct 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 ;

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;


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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.
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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


7.1

General Requirements

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 Designs shall be carried out in accordance


with the method specified for category ;

checking of Design Check category Designs shall be carried out in


accordance with the method specified for category .
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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
0

Type of Scheme

Method of Checking
(but see note below)
Designs for which calculations would No formal Design Check is required.
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.
Standard or simple Designs using
simple methods of analysis are
involved and all aspects of Design are
in accordance with relevant
standards.

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
Assemblies of elements or
components which have themselves the assumptions on which the
calculations are based, but shall
been designed and checked and/or
critically consider the assumptions in
accepted.
order to be satisfied that the
assumptions are valid.
All Designs which are not in
The Design shall be checked by the
same organisation as that which
categories 0, or .
prepared the Design, but in a
separate group or team, which has
not been concerned with the
development of the Design.
Complex or unusual Designs or
The Design shall be checked by an
where significant departures from
organisation independent of the
relevant standards, novel methods of Design organisation (i.e. by an
analysis or considerable exercise of organisation which is a separate legal
engineering judgement are involved. entity).
Table 1: Design Check categories
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7.3

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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 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:

7.4

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.

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.
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7.5

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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:
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the Design is satisfactory;

the procedures specified in this document have been followed.

RT/CE/S/003
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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
8.1

General Requirements

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.
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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:

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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 Temporary Works

After Acceptance by the Designated Project Engineer, Form C and supporting


documentation for all Temporary Works in Design and Design Check category 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.

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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.

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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.

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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

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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.

2.
3.
4.

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.
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.
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.
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.

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NETWORK RAIL (Insert name of Group, Department or Function.)


FORM A: APPROVAL IN PRINCIPLE

RT/CE/S/003
2
April 2004

(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.)

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(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
acknowledge the submission of this certificate to Network Rail in support of our contract*/sub-contract* obligation
for provision of the AIP stage Design on behalf of (name and address of organisation responsible for Construction Works).
(* Delete as applicable - further acknowledgement section(s) shall be completed where there is more than one layer of sub-contract
relationship. Insert not required if a direct contract with Network Rail.)

Signed

Title

Name (Print)

Date

To be signed by the Contractors Responsible Engineer or other person authorised to sign on behalf of the
organisation responsible for the Construction Work.
Part 4: Designated Project Engineer comments
I have considered the submission for the above Scheme and confirm that the information specified in Network Rail
Company Specification RT/CE/S/003 is included in the submission. My comments on the submission are as shown
below.

(Notes:
1.
The Design organisation should leave reasonable space for comments here.
2.
The Designated Project Engineers comments may be given on a separate sheet of paper or in a covering letter if more convenient.
In such cases the comments must be identified clearly with the Scheme and Form A to which they relate and must be signed.)

Signed

Title

Name (Print)

Date

To be signed by the Designated Project Engineer.

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Form A (continued)
Part 5: Civil Engineer comments
I have considered the submission for Approval in Principle of the above Scheme in order to be satisfied that the
Designer has adequately addressed the applicable criteria specified in Network Rail Company Specification
RT/CE/S/003, and confirm that:
The Design of the permanent works shall be checked as category .......... . (Insert 0, , or as appropriate.)
The Design of the Temporary Works shall be checked as category .......... . (Insert 0, , or as appropriate, or delete if

not applicable.)

The Scheme does*/does not* require endorsement by Network Rails Professional Head of Track*/Structures*
Engineering in accordance with Network Rail Company Specification RT/CE/S/003.
(* Delete as applicable. *Part 7 of Form A is to be completed where endorsement is required.)

My comments on the submission are as shown below. Provided these comments are adequately addressed, I
hereby give Approval in Principle to the Scheme.

(Notes:
1.
The Design organisation should leave reasonable space for comments here.
2.
The Civil Engineers comments may be given on a separate sheet of paper or in a covering letter if more convenient. In such cases
the comments must be identified clearly with the Scheme and Form A to which they relate and must be signed.)
3.
The comments space and signature box must be repeated where more than one person is to sign, with a clear statement as to
who is signing for what (e.g. for a Property Scheme, a non-technical person might sign for items (a), (b), (c) and (m) in Clause 6.4.1
and the Civil Engineer for the other items).
4.
In the case of equipment-supporting Structures, insertion of an additional signature box is recommended, with suitable wording to
record acceptance by or on behalf of the Asset Engineer for the relevant equipment (see Clause 6.5.3).

Signed

Title

Name (Print)

Date

To be signed by the Civil Engineer.

Signed

Title

Name (Print)

Date

To be signed by other responsible person (if applicable).

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(Form A Continued)
Part 6: Asset Engineer Endorsement (Schemes for existing infrastructure only)
I have considered the submission for the above Scheme and confirm that the information specified in Network Rail
Company Specification RT/CE/S/003 is included in the submission. My comments on the submission are as shown
below.

(Notes:
1.
The Design organisation should leave reasonable space for comments here.
2.
The Asset Engineers comments may be given on a separate sheet of paper or in a covering letter if more convenient. In such cases
the comments must be identified clearly with the Scheme and Form A to which they relate and must be signed.)

Signed

Title

Name (Print)

Date

To be signed by the Asset Engineer.


Part 7: Endorsement by Network Rail Professional Head of Track*/Structures* Engineering (* Delete
as applicable.)

I have considered the submission for Approval in Principle of the above Scheme as required by Network Rail
Company Specification RT/CE/S/003 in order to be satisfied that the applicable criteria specified in Network Rail
Company Specification RT/CE/S/003 have been adequately addressed by the Designer, and my comments on the
submission are as shown below.
Provided these comments are adequately addressed I hereby endorse the Approval in Principle submission.

(Notes:
1.
The Design organisation should leave reasonable space for comments here.
2.
The Professional Heads comments may be given on a separate sheet of paper or in a covering letter if more convenient. In such
cases the comments must be identified clearly with the Scheme and Form A to which they relate and must be signed.)

Signed

Title

Name (Print)

Date

To be signed on behalf of Network Rails Professional Head of Track*/Structures* Engineering.


(* Delete as applicable.)

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NETWORK RAIL (Insert name of Group, Department or Function.)


HIGHWAY AUTHORITY AGREEMENT TO PROPOSED BRIDGEWORKS
(Note: use of this form is optional.)

Bridge number

Mileage

ELR

Local name/location

OS grid ref.
Road number

Brief description of existing conditions:


Brief description of proposed works:
Proposed Design criteria
Design loading: Full HA; ......... units HB. No provision for abnormal loads.
Design speed of road traffic: ......... mph.
Standard of parapet containment: ......... .
Road/footpath layout: as shown on Drawing No. ......... .

(Complete as
applicable.)

Road profile: as shown on Drawing No. ......... .


Specification for road surfacing:

I confirm that the above proposals are acceptable to the Highway Authority subject to the amendments and
comments shown below.

(Give comments as and if appropriate.)

I confirm that the Highway Authority does not wish to contribute towards widening or other improvements to the
bridge in association with the proposed works.
Signed

Title

Name (Print)

Date

For (Give name of Highway Authority.)

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NETWORK RAIL (Insert name of Group, Department or Function.)


FORM B: CERTIFICATE OF DESIGN AND CHECKING

RT/CE/S/003
2
April 2004

(Page .... of ....)

Title of Scheme: (State if the certificate applies only to part of Scheme.)


Location
ELR

Mileage

OS grid ref.

Structure No.

(Note: where different Designers and/or Checkers are responsible for different parts of a single Structure, suitable wording shall be added
to identify the Lead Designer and/or Lead Checker in accordance with Clause 7.6.)

Part 1: Design Design organisation: ..............................................................


I certify that reasonable professional skill and care have been used in the Design of the Scheme (or part of Scheme)
identified above, with the objective of ensuring that the Design:
(a) complies with the Approval in Principle recorded on Form A signed by
on (insert name of Civil Engineer
and date), including associated comments by the Professional Head of Track*/Structures* Engineering in giving
endorsement;
(* Delete as applicable.)

(b) complies with the Design standards, codes and methods stated on the above Form A (including any stated
departures or dispensations), with the following amendments and/or additions:
(State any Design standards, codes, methods or criteria additional to those given on Form A. State also any departures from Design
standards, codes or methods further to those given on Form A, with justification.)

(c) is accurately described by the following drawings, schedules, performance, materials and workmanship
specifications and other documents:
(List the relevant documents, each of which must be uniquely identified by number or otherwise, e.g. by title and date. Drawing
numbers should include revision letters if applicable.)

Signed

Title

Name (Print)

Date

To be signed by the Designer or other person authorised to sign on behalf of the organisation responsible for
the Design.
I certify that the staff who have prepared the above Design are competent to carry out their duties and that they
have used reasonable professional skill and care.
Signed

Title

Name (Print)

Date

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

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(Form B continued)
Part 2: Check

Checking organisation: ..........................................................

I certify that reasonable professional skill and care have been used in checking the Design of the Scheme (or part of
Scheme) identified in Part 1 of this certificate, with the objective of ensuring that the Design:
(a) complies with the Approval in Principle recorded on Form A signed by
on (insert name of Civil Engineer
and date), including associated comments by the Professional Head of Track*/Structures* Engineering in giving
endorsement;
(* Delete as applicable.)

(b) complies with the Design standards, codes and methods stated on the above Form A (including any stated
deviations or dispensations), with the amendments and/or additions (if any) stated in Part 1 of this certificate:
The justification given for these amendments and/or additions is acceptable.
I confirm that the Design was checked as Design Check category ..... (insert I, II or III) and that the Design Check has
been carried out with the independence specified in RT/CE/S/003.
Signed

Title

Name (Print)

Date

To be signed by the Checker or other person authorised to sign on behalf of the organisation responsible for
the Design Check.
I certify that the staff who have completed the above check are competent to carry out their duties and that they
have used reasonable professional skill and care.
Signed

Title

Name (Print)

Date

To be signed by the Director or other person authorised to sign on behalf of the organisation responsible for
the Design Check to whom the Checker is responsible.
(Note: for categories I and II checks the signature above may be the same as that in Part 1.)

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(Form B continued)
Part 3: Construction organisation acknowledgement of submission by a sub-contract Designer
The organisation named in Part 1 is engaged as a sub-contractor to the organisation stated below. I formally
acknowledge the submission of this certificate to Network Rail in support of our contract*/sub-contract* obligation
for provision of the Design of the above Scheme on behalf of (name and address of organisation responsible for Construction
Works).
(* Delete as applicable - further acknowledgement section(s) shall be completed where there is more than one layer of sub-contract
relationship. Insert not required if a direct contract with Network Rail.)

Signed

Title

Name (Print)

Date

To be signed by the Contractors Responsible Engineer or other person authorised to sign on behalf of the
organisation responsible for the Construction Work.
Part 4: Acceptance on behalf of Network Rail
I accept that, so far as can reasonably be ascertained from the information submitted, the relevant procedures for
detailed Design and checking as specified in Network Rail Company Specification RT/CE/S/003 have been followed
properly.
I have considered the Design Check statement provided in accordance with RT/CE/S/003 Clause 6.3, and confirm
that the method of checking stated was a suitable method to be used.
Signed

Title

Name (Print)

Date

To be signed by the Civil Engineer.

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NETWORK RAIL..(Insert name of Group, Department or Function.)


FORM C: CERTIFICATE OF DESIGN AND CHECKING OF TEMPORARY
WORKS
(Page .... of ....)
Title of Scheme or Maintenance Works: (State if the certificate applies only to part of Scheme.)
Location
ELR

Mileage

OS grid ref.

Structure No.

(Note: where different Designers and/or Checkers are responsible for different parts of a single Temporary Works structural assembly,
suitable wording shall be added to identify the Lead Designer and/or Lead Checker in accordance with Clause 8.3.)

Part 1: Design

Design organisation ..............................................................

The matters itemised in the checklist below have been considered in preparation of the Design of the following
Temporary Works:
(Identify Temporary Works as necessary - e.g. South abutment cofferdam.)

Matters considered

Yes/No

1. Is the overall Design Concept appropriate for the purpose, location and site conditions?
2. Do the Temporary Works control the risks to health and safety as far as is reasonably
practicable?
3. Has an adequate geotechnical investigation been undertaken?
4. Are the proposed Design loadings (including accidental loadings) appropriate?
5. Are the proposed Design standards and methods of Design suitable and have significant
Design matters not covered by standards been addressed?
6. Have the requirements of Network Rail Company Standards and any other railway-related
safety rules, Regulations and standards relevant to the proposed Temporary Works been met,
and any necessary non-compliances justified?
7. Are the recommendations of HM Railway Inspectorate Principles and Guidance addressed
with any proposed departures justified?
8. Does the Design result in unsatisfactory train to structure clearances, platform stepping
distances, unsatisfactory signal sighting conditions or other operating constraints?
9. Has adequate investigation of existing services in the location been undertaken?
10. Is the interface between the structural content of the Temporary Works with the track and
with signalling, telecommunications, electrification, lighting and other operational electrical and
mechanical equipment satisfactory?
11. Have the effects of the Temporary Works on existing railway infrastructure/Buildings been
adequately considered?
12. Have the effects of the Design/function of the Temporary Works on the environment been
considered?
13. Are arrangements for liaison and consultation with bodies external to Network Rail
satisfactory and have all necessary approvals from external bodies been obtained?
Notes:
(Give explanation for No or Not applicable response to any item above (Yes in the case of item 8) and any other explanations as
required. Reference explanations to the relevant items.)

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(Form C continued)
I certify that reasonable professional skill and care have been used in the Design of the Temporary Works identified
in Part 1 of this certificate, with the objective of ensuring that the Design is:
(a)

in accordance with the requirements of the Contract and with the following standards and codes:

(State the standards or codes relevant to the Design. State also any departures from these standards or codes, with justification.)

(b) accurately described by the following drawings and other documents:


(List the relevant documents, each of which must be uniquely identified by number or otherwise, e.g. by title and date. Drawing numbers
should include revision letters if appropriate.)

The checklist above indicates the matters that have been considered in preparation of the Design of the Temporary
Works.
I propose that the Design of the Temporary Works be checked as category ..... (insert I, II or III as appropriate).
Signed

Title

Name (Print)

Date

To be signed by the Temporary Works Designer or other person authorised to sign on behalf of the
organisation responsible for the Design of the Temporary Works.
I certify that the staff who have prepared the above Design are competent to carry out their duties and that they
have used reasonable professional skill and care.
Signed

Title

Name (Print)

Date

To be signed by the Director or other person authorised to sign on behalf of the organisation responsible for
the Temporary Works Design to whom the Temporary Works Designer is responsible.

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(Form C continued)
Part 2: Check

Checking organisation: ...........................................................

I certify that reasonable professional skill and care have been used in checking the Design of the Temporary Works
identified in Part 1 of this certificate, with the objective of ensuring that:
(a) the Design is in accordance with the requirements of the Contract and the checklist of matters considered
given in Part 1;
(b) the standards and codes stated in Part 1 are appropriate;
(c) any departures stated in Part 1 from the standards and codes are appropriate in the circumstances;
(d) the Design is in accordance with the standards and codes (including any departures) stated in Part 1.
I confirm that the Design of the Temporary Works was checked as Design Check category ..... (insert I, II or III) and
that the Design Check has been carried out with the independence specified in RT/CE/S/003.
Signed

Title

Name (Print)

Date

To be signed by the Temporary Works Checker or other person authorised to sign on behalf of the
organisation responsible for the Design Check of the Temporary Works.
I certify that the staff who have completed the above check are competent to carry out their duties and that they
have used reasonable professional skill and care.
Signed

Title

Name (Print)

Date

To be signed by the Director or other person authorised to sign on behalf of the organisation responsible for
the Design Check of the Temporary Works to whom the Temporary Works Checker is responsible.

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(Form C continued)
Part 3: Construction organisation acknowledgement of submission of Temporary Works Design
I formally submit this certificate to Network Rail in support of our contract*/sub-contract* obligation for provision
of the Design of the Temporary Works identified in Part 1 of this certificate on behalf of (name and address of
organisation responsible for Construction Works).
(* Delete as applicable - further acknowledgement section(s) shall be completed where there is more than one layer of sub-contract
relationship. Insert not required if a direct contract with Network Rail.)

Signed

Title

Name (Print)

Date

To be signed by the Contractors Responsible Engineer or other person authorised to sign on behalf of the
organisation responsible for the Construction Work.
Part 4: Acceptance on behalf of Network Rail
I accept, subject to the comments below (and subject to endorsement in Part 5 for Temporary Works checked as
Design Check category ), the general form and concept of the Temporary Works identified in Part 1 of this
certificate, and I agree with the Design Check category stated in Part 2.
I accept that, so far as can reasonably be ascertained from the information submitted, the relevant procedures set
out in Network Rail Company Specification RT/CE/S/003 for the Design and checking of the Temporary Works
identified in Part 1 have been followed properly.
(Notes:
1.
The organisation submitting Form C should leave reasonable space for comments here.
2.
The Designated Project Engineers comments may be given on a separate sheet of paper or in a covering letter if more convenient,
and in such cases must be identified clearly with the Temporary Works Design and the Form C to which the comments relate and
signed.)

Signed

Title

Name (Print)

Date

To be signed by the Designated Project Engineer.


Part 5: Endorsement by the Civil Engineer
I have considered the Temporary Works identified in Part 1 of this certificate, to be checked as Design Check
category as required by Network Rail Company Specification RT/CE/S/003, and my comments on the submission
are as shown below.
Provided these comments are adequately addressed I hereby endorse the Acceptance that has been signed by the
Designated Project Engineer in Part 4 of this certificate.
(Notes:
1.
The organisation submitting Form C should leave reasonable space here for comments.
2.
The Civil Engineers comments may be given on a separate sheet of paper or in a covering letter if more convenient, and in such
cases must be identified clearly with the Temporary Works Design and the Form C to which the comments relate and signed.)

Signed

Title

Name (Print)

Date

To be signed by the Civil Engineer.


Page 51 of 55

Ref:
Issue:
Date:

RT/CE/S/003
2
April 2004

NETWORK RAIL..(Insert name of Group, Department or Function)


FORM D: AESTHETIC ACCEPTANCE
Title of Scheme: (State if Form D applies only to part of Scheme.)
Location
ELR

Mileage

OS grid ref.

Structure No.

Part 1: Scheme Details as regards visual impact


(Describe the proposals, giving all significant information which, taken together with the information provided in the AIP submission, is
necessary to explain the visual impact of the Scheme.)

Part 2: Designer Submission


I certify that reasonable professional skill and care have been used by (name and address of organisation responsible for
Design to AIP stage) in preparing the Design for the Scheme (or part of Scheme) identified above.
All necessary Planning*/listed building*/conservation area* consents have been obtained.
(* Delete as applicable.)

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: Main Contractor acknowledgement of submission by a Sub-contract Designer
I formally acknowledge the submission of this certificate to Network Rail in support of our contract*/sub-contract*
obligation for provision of the AIP stage Design on behalf of (name and address of organisation responsible for Construction
Works).
(* Delete as applicable - further acknowledgement section(s) shall be completed where there is more than one layer of sub-contract
relationship. Insert not required if a direct contract with Network Rail.)

Signed

Title

Name (Print)

Date

To be signed by the Contractors Responsible Engineer or other person authorised to sign on behalf of the
organisation responsible for the Construction Work.
Part 3: Acceptance on behalf of Network Rail
I accept that the above proposals have been reviewed as regards their likely visual impact on the
passenger/built/natural environment and are considered acceptable in this respect.
Signed

Title

Name (Print)

Date

To be signed by the Civil Engineer.

Page 52 of 55

Ref:
Issue:
Date:

RT/CE/S/003
2
April 2004

NETWORK RAIL..( Insert name of Group, Department or Function.)


FORM E: CERTIFICATE OF FITNESS TO BE TAKEN INTO USE
Title of Scheme or Maintenance Works: (State if the certificate applies only to part of Scheme.)
Location
ELR

Mileage

OS grid ref:

Structure No.

Construction organisation: ...................................................................................................................................


I certify that, to the best of my knowledge and belief, the Construction Work described below has been carried out
in accordance with the accepted Design except as identified (see note 2 at foot of page):

Subject to the adequacy of the accepted Design and subject to the satisfactory completion of any necessary track,
signalling, telecommunications and/or electrification work, I certify that, to the best of my knowledge and belief, the
Construction Work is fit to be Taken into Use as regards:
safe passage of trains
safe passage of road traffic
safe passage of pedestrians
safe station platform operation
safety of neighbours
safety of the public
other (specify)

Restrictions (if any):

(Tick all boxes which are applicable. Note above if any restrictions are required, e.g. maximum speed of trains,
maximum weight of road vehicles.)
Signed

Title

Name (Print)

Date

Time

To be signed by the Contractors Responsible Engineer or other person appointed to sign on behalf of the
organisation responsible for the Construction Work.
Notes:
1. This certificate is to be completed on site before any significant Construction Work (including Temporary
Works), except for the track, is Taken into Use.
2. Describe briefly the Construction Work to be Taken into Use and identify any departures from the accepted
Design and/or any uncompleted elements.
Example: Bridge No. XX Up side superstructure erected. Bearing base plates supported on temporary live
load steel packs pending completion of grouting. Up side walkway/handrailing not completed temporary
barrier and notice installed at each end to prevent use.
3. In cases where work is carried out during a railway possession, the completed and signed certificate is to be
shown to the Engineering Supervisor before the end of the possession.

Page 53 of 55

Ref:
Issue:
Date:

RT/CE/S/003
2
April 2004

Appendix C: Guidance On Design Check Categories


The following Design Check categories are generally applicable for the indicated types of Scheme and items of
Temporary Works respectively. However, appropriate engineering judgement shall be exercised to determine the
appropriate category in individual cases, taking account of all the relevant circumstances.

Permanent Works
Category 0
Surface car parks (unless very extensive);
Track drainage Schemes;
Soil-retaining Structures not exceeding 600 mm retained height at locations such as cutting toes where failure would not cause
an obstruction to trains.

Category
Permanent Way Schemes incorporating plain line only;
Bridge superstructures based closely on a bridge with design previously certificated with Design Check category or , i.e.
with no modifications or only minor modifications;
Single span simply-supported slab or deck-type bridge superstructures with span not exceeding 15 metres and skew not
exceeding 20;
Footbridges of conventional construction with span not exceeding 20 metres;
Culverts of conventional construction generally;
Reinforced concrete box culverts with span not exceeding 6 metres;
Gravity or counterfort retaining walls not exceeding 5 metres retained height;
Soil stabilisation Schemes involving toe weighting, sheet piling or bored piles;
Station platforms on level or near-level ground or in cuttings;
Single-storey Buildings and platform canopies of conventional construction.

Category
All Schemes not in Design Check category 0, or .

Category
Permanent Way Schemes incorporating a complex bespoke layout such as a station throat or a major junction;
Bridges and other Structures with a high degree of redundancy;
Bridges with any span exceeding 50 metres;
Bridges with skew exceeding 45 or lead exceeding half the span except:

if based closely on a bridge with design previously certificated Design Check category , i.e. with no modifications
or only minor modifications;

simply-supported torsionally-flexible types such as half-through girders with steel floor;


Bridges and other Structures with difficult foundation problems;
Complex, unusual or innovative geotechnical works (including cutting or embankment stabilisation works with difficult ground
conditions);
New road or rail tunnels;
Significant structural works in existing tunnels or tunnel shafts (other than conventional lining strengthening works such as brick
ring replacement or sprayed concrete)
Any other Scheme which the Civil Engineer or the relevant Professional Head considers should be in Design Check category .

Page 54 of 55

Ref:
Issue:
Date:

RT/CE/S/003
2
April 2004

Temporary Works
Category 0
Proprietary falsework systems used in accordance with the manufacturers recommendations;
Proprietary access towers used in accordance with the manufacturers recommendations;
Temporary pedestrian edge protection to excavations etc. for use only by persons under the control of the construction
organisation;
Ground support for scaffolding, access towers, small crane lifts and the like where loading is modest and it is clear that the
substrate is firm.
Minor unsupported (vertical-sided or battered) excavations, including:

normal service trenches;

other excavations up to about 1 square metre plan area (if subject to railway or road vehicular live loading, not
exceeding about 600mm in the direction of traffic).

Category
Proprietary previously-designed road vehicle bridge or footbridge superstructure systems used at the rated loading, and used in
accordance with the manufacturers recommendations;
Single-level propped soil-retaining Structures;
Cantilever soil-retaining Structures up to 3.0 metres retained height;
Reinforced soil Structures up to 3.0 metres retained height;
Temporary level crossings;
Demolition of single-span arch bridges;
Temporary pedestrian edge protection to excavations etc. for public use;
Tube-and-fitting scaffolding if ground-supported and not more than 6 metres high and not spanning more than 3 metres.

Category
Multi-level-propped soil-retaining Structures;
Anchored soil-retaining Structures up to 6.0 metres retained height;
Cantilever soil-retaining Structures up to 6.0 metres retained height;
Reinforced soil Structures up to 6.0 metres retained height;
Shield-driven tunnels up to 4.5 metres diameter;
Jacked undertrack Structures up to 6.0 metres span;
Temporary station platforms;
Temporary road vehicle bridges and footbridges other than proprietary superstructure systems as given for Category I;
Tube-and-fitting scaffolding if not ground-supported (e.g. suspended from a Structure) and/or if more than 6 metres high and/or
if spanning more than 3 metres.
Demolition of multi-span arch bridges.

Category
Temporary track alignments
Temporary bridges carrying rail traffic
Temporary Works for Outside Parties
Structures exceeding the Design Check category limits.

Category , or (to be determined on a site-specific basis)


Ground support/foundations for the following: large crane lifts, proprietary road vehicle bridge or footbridge superstructure
systems, temporary bridges carrying rail traffic, other temporary Structures;
Unsupported (vertical-sided or battered) excavations exceeding the Design Check category 0 limits;
Temporary Works where there is a reasonable potential for impact by road vehicles or construction traffic.

Notes:
1. The categories above assume average soil conditions, normal types of construction and normal acceptable deflections.
Consideration shall be given to enhancing the category if:

soil conditions are unusual or the soil has an exceptionally low strength;

the type of construction is unusual;

deflections are critical, such as when the track or a Structure is in close proximity.
2. For Temporary Works with Design Check category 0 (particularly where calculations are not done), a suitable Method
Statement may in many cases be sufficient to describe and control the design parameters (general form, materials,
clearances etc.). In such cases Form C is not required.

Page 55 of 55

NETWORK RAIL
PROJECTS & ENGINEERING

BRIEFING NOTE
RT/CE/S/003
Issue 2
TECHNICAL APPROVAL OF DESIGN, CONSTRUCTION AND
MAINTENANCE OF CIVIL ENGINEERING INFRASTRUCTURE
Compliance Date: 5th June 2004
Background / Synopsis
RT/CE/S/003 was issued in October 2001 in response to the requirement under Railway Group
Standard GC/RT5101 for Technical Approval procedures for changes to the infrastructure to be in
place. Since that date, difficulties in interpretation and inconsistent application of RT/CE/S/003 have
become apparent, and changes to the detail in RT/CE/S003 to clarify and simplify the process and
guidance on the Technical Approval process was considered necessary.
A series of workshops was held during September and October 2003 to identify problems experienced
in the application of RT/CE/S/003 and to suggest possible solutions to those problems, in particular by:
(a) preparing and issuing a Good Practice Guide
(b) amending RT/CE/S/003.
The amendments in RT/CE/S/003 in Issue 2 are based on the recommendations of the report of the
workshops produced by Owen Williams Railways submitted. The report also gives recommendations
for the content of a Good Practice Guide on Technical Approval.

Key Changes / Compliance


RT/CE/S/003 Issue 2 is to be issued in conjunction with publication of the Good Practice Guide.
RT/CE/S/003 Issue 2 is Volume SW (H) 1 within the framework of structures standards, and is in
accordance with the new format for such documents. Accordingly Clauses 3 9 in Issue 1 have
become Clauses 4 10 respectively (i.e. the previous Clause 3 is now Clause 4 etc.).
The significant amendments are below. In addition various minor amendments have been made to
improve clarity, readability and consistency of wording throughout the document.
Clause 2

Scope

The provisions whereby some items of Maintenance Work require AIP were identified as causing some
difficulties in application. The Clause has therefore been amended such that any work classed as
Maintenance Work by the Civil Engineer will be exempt from AIP and Form B. The definition of
Maintenance Work has been revised accordingly.). Consequently RT/CE/S/003 Issue 2 only applies to
Maintenance Work only as regards roles & responsibilities, verification of construction and records.

Page 1 of 6

The reference to the High Street Environment has been deleted as it was considered misleading and
new wording substituted to make clear the scope of RT/CE/S/003 with as regard to Temporary
Works. (In fact Form C would normally be necessary for Temporary Works in a high street because
public safety would be involved.)
The text has been is adjusted clarify that the scope includes construction of cess walkways etc. and
non-structural aspects of buildings by the addition of examples is covered
Clause 4

Definitions

Approval in Principle:
Design:

Designer:
High Street Environment:
Maintenance Work:

Scheme:
Taken into Use:
Technical Approval:

Clause 5.2

words added to clarify that the Design Concept included in the scope.
text amended to clarify that a Design can in some emergency
circumstances consist purely of verbal instructions, and also to emphasise
that Design is not simply calculations.
amended because the Designer will not normally be in a position to act as
CRE for the construction phase.
definition deleted.
definition expanded to give examples and to add caveat regarding effect on
structural integrity. Provided this definition is respected, Maintenance
Work does not require AIP or Form B. (See Clause 5.2.)
amended to clarify that Maintenance Work is excluded.
text added for completeness.
definition deleted (because Technical Approval consists of everything set
out in the Standard).

Asset Engineer

Amended to give further criteria for determining whether proposed work is to be classified as a
Scheme or as Maintenance Work.
Clause 5.3.3 Execution of a Scheme or Maintenance Work
Reference to High Street Environment deleted and wording substituted for clarity.
Text revised because DPE cannot ensure that the design change will be accepted he/she can only
hope that it will be.
Text amended to reflect the purpose of Form E (which is not a completion certificate but a certificate
that the works are fit to be Taken into Use), and also to require DPEs approval of any person
deputising for the CRE to sign Form E.
Clause 5.4

Civil Engineer

Amended to emphasise that the Civil Engineer must not sign Form A if not satisfied (i.e. a right side
failure) and also to make it clear that Form D is not always required.
Clause 5.5

Designer

Additional text to clarify role within process. (meaning self-explanatory).

Page 2 of 6

Clause 5.7

Contractors Responsible Engineer

Text added to clarify that there may be different CREs for the Design phase and the execution phase.
(Note that there may be a design CRE for Maintenance work even though AIP and Form B do not
apply the work still has to be specified properly and safely.)
New paragraph added to recognise that it may not be reasonable to expect the CRE to attend on site
personally (particularly for minor works).
Clause 6

Title: amended (to reflect accurately what this Section deals with).

Clause 6.3.1 Information to be submitted - Schemes


important added to make it clear that Form D is required only in certain cases.
significant added to make it clear that minor elements do not have to be identified.
Clause 6.3.2 Information to be submitted - Emergency works
Additional text (meaning self-explanatory).
Clause 6.4.1 Submission for approval in principle - schemes
Wording of first sentence amended and some material transferred to amended item (s).
Clause 6.5.1 Previously designed structural elements
significant added to make it clear that minor elements do not have to be identified. Also
requirement for Design certification to be provided at AIP stage amended so that it can be provided
either with Form A or with Form B.
Clause 6.5.2 Temporary Works
Text revised (meaning self-explanatory).
significant added to clarify that minor Temporary Works do not have to be identified.
Clause 6.5.3 Equipment Support Structures
Words added (meaning self-explanatory).
Clause 6.6

Giving approval

Text revised to reflect the realities of contract timescales.


Clause 6.7

Endorsement of approval in principle

Major amendment to reduce the number of Schemes for which Form A has to be signed by HQ by
introducing classes of work for which preliminary proposals are to be provided to HQ for a screening
decision. It is hoped this will alleviate the long timescales sometimes experienced in receiving HQ
Form A signatures, while still providing HQ with the necessary degree of technical control.

Page 3 of 6

Clause 6.8

Alterations after approval

important added to make it clear that minor alterations/deviations do not warrant a new or
addendum Form A.
Clause 7.2

Design check categories

Checking method A deleted from Table 1 and text added before Table 1 to enhance category for
Designs done in-house by contractor. (This is a relaxation of the previous requirement which was
perceived as being too onerous whereby the majority of designs are carried out by consultants
appointed by design and build contractors.)
Clause 7.5

Use of previously designed structural elements

significant added to make it clear that minor elements are excluded from the requirement.
Previous last paragraph deleted (because it is considered that there is no reason why a Design which
has already been checked needs to be checked again if it is to be reused unaltered).
Clause 7.6

Certificate of design and checking

New paragraph added regarding identification of Lead Designer/Checker and allowing for Form B in
cases where there is more than one Designer/Checker.
Clause 8.2

Category of checking of temporary works

Text regarding categorisation of Temporary Works deleted (because it is considered that


categorisation should depend essentially on structural complexity closeness to the railway can be
dealt with adequately by Method Statements).
Clause 8.3

Certificate of design and checking of temporary works

New paragraph added regarding identification of Lead Designer/Checker etc.


Clause 9.1.1 Verification of schemes construction - structures
Text amended to clarify that Form E is not a completion certificate and that it must be shown to the
Engineering Supervisor before the structure is taken into use at the end of a possession.

Clause 10.3 Design and checking


New bullet added (meaning self-explanatory).
Appendix B
Form A
Heading numbering added (with note regarding using them). Sub-headings deleted (these will be
covered in the GPG). Additional Design criteria headings added for different types of Structure.

Page 4 of 6

Form B
Note added regarding identification of Lead Designer/Checker.
Reference to check category 0 deleted (because category 0 Designs do not need to be checked
according to Table 1).
Provision made for comments by the Civil Engineer.
Form C
Note added regarding identification of Lead Designer/Checker. Prompt added after matters
considered box for explanation of any No response/other explanations.
Reference to check category 0 deleted (reason as for Form B).
Provision made for comments by the Designated Project Engineer.
Form D
Part 1: Heading and note amended to make it clear that it is only information additional to the AIP
submission that is required, and that it is the visual aspects which are important.
Part 3: text amended to reflect that modern design may be visually less appealing than older designs.
Form E
Major amendment to reflect the purpose of Form E. Checklist boxes added to emphasise that it is not
only the safety of trains that may be important, and to make the person signing think about things.
Other wording self-explanatory.
Former Appendix B deleted (material transferred to Good Practice Guide).
Appendix C
Self-explanatory notes added at beginning and end of appendix.
Permanent works: some category III items transferred to Clause 6.7 for screening decision by HQ.
Temporary Works: additional examples given for various categories.

Page 5 of 6

Implementation
This Specification will require to be varied into the existing contracts for which design
of civil engineering is within the scope of the contract by the compliance date of
5th June 2004.

A All
C&S Civil & Structural
E&P Electrification (AC and/or DC) & Plant
M Maintenance
P Track
S Signalling
T Telecoms
H Safety & Site Working

Business Unit Owner


Structures/ Civil Engineer
Of Interest To:
This Specification will be of interest to:
Network Rail

Structures Engineers;
Structure Renewals Engineers;
Track Engineers;
Track Renewals Engineers;
Earthworks Engineers;
Design & Construction Engineers (Track and Structures);
Outside Party Engineers.

Framework contractors
Design consultants
Construction organisations
Name and Title of Author
John Horsler (Owen Williams Railways)
Page 6 of 6

Maintenance

System
Comm.

Equipment
Site Test

Equipment
Site Inst.

Construction

General

MI&T

Design

Equipment

General

System Design

Key:
M, I & T = Manufacture, Inspection & Test at Works
Comm. = Commissioning
Inst. = Installation

Design

General

Technical Workscope Applicability


(Please tick relevant boxes)