Uncontrolled copy from the catalogue dated August 2004

Railway Group Standard

GI/RT7002
Issue One
Date April 1999

Acceptance of
Systems,
Equipment and
Materials for use
in Railtrack
Controlled
Infrastructure

Synopsis
This Standard defines the
requirements for the acceptance of
systems, equipment and materials for
use in Railtrack controlled
infrastructure.

Submitted by

This document is the property of

Railtrack PLC. It shall not be
reproduced in whole or in part without
the written permission of the Controller,
Railway Group Standards,
Anthony Sutton
Railtrack PLC.
Standards Project Manager
Published by
Authorised by Safety & Standards Directorate,
Railtrack PLC,
Floor DP01, Railtrack House,
Euston Square,
London NW1 2EE
Richard Spoors
Controller, Railway Group Standards © Copyright 1999 Railtrack PLC
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Railway Group Standard

Acceptance of Systems, Equipment and GI/RT7002
Issue One
Materials for use in Railtrack Controlled Date April 1999
Infrastructure Page 1 of 7

Contents
Section Description Page

Part A
Issue Record 2
Responsibilities 2
Compliance 2
Health and Safety Responsibilities 2
Supply 2

Part B
1 Purpose 3
2 Scope 3
3 Definitions 3
4 Principles 4
5 Product Assessment 4
6 Product Acceptance 5
7 Records 6
8 Requirements Relating to Products in Service 6

References 7

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Railway Group Standard

GI/RT7002 Acceptance of Systems, Equipment and
Issue One
Date April 1999 Materials for use in Railtrack Controlled
Page 2 of 7 Infrastructure

Part A
Issue Record
This Standard will be updated when necessary by distribution of a complete
replacement.

Amended or additional parts of revised pages will be marked by a vertical black

line in the adjacent margin.

Issue Date Comments

1 April 1999 Supersedes GK/RT0104 and SE/PQ0001

Responsibilities
Railway Group Standards are mandatory on all members of the Railway Group*
and apply to all relevant activities which fall within the scope of each individual’s
Railway Safety Case. If any of those activities are performed by a contractor,
the contractor’s obligation in respect of Railway Group Standards is determined
by the terms of the contract between the respective parties. Where a contractor
is a duty holder of a Railway Safety Case then Railway Group Standards apply
directly to the activities described in the Railway Safety Case.

* The Railway Group comprises Railtrack and the duty holders of Railway
Safety Cases accepted by Railtrack.

Compliance
The provisions of this Railway Group Standard are mandatory. The procedures
referred to in clause 5.1 shall be finalised by 5 June 1999, and full compliance
with the requirements of this Standard shall be achieved by 4 December 1999.

Health and Safety

Responsibilities
In issuing this Standard, Railtrack PLC makes no warranties, express or
implied, that compliance with all or any Railway Group Standards is sufficient
on its own to ensure safe systems of work or operation. Each user is reminded
of its own responsibilities to ensure health and safety at work and its individual
duties under health and safety legislation.

Supply
Controlled and uncontrolled copies of this Standard may be obtained from the
Industry Safety Liaison Dept, Safety and Standards Directorate, Railtrack PLC,
Railtrack House DP01, Euston Square, London, NW1 2EE.

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Railway Group Standard

Acceptance of Systems, Equipment and GI/RT7002
Issue One
Materials for use in Railtrack Controlled Date April 1999
Infrastructure Page 3 of 7

Part B

1 Purpose
The purpose of this Standard is to control the risks associated with the proposed
application of Products not previously used within Railtrack controlled
infrastructure.

The Standard also addresses the control of risks arising from proposed
modifications and changes of application of Products which have already been
accepted for use within Railtrack controlled infrastructure.

2 Scope
The overall scope of Railway Group Standards is specified in Appendix A of
GA/RT6001.

This Standard applies to Products supplied for Safety-related Applications within

Railtrack controlled infrastructure.

This Standard does not apply to:

• items of infrastructure which have been individually designed for a unique

application (e.g., bridges);
• trains and train-borne systems (except where the introduction of a complete
system is proposed which comprises both fixed infrastructure and train-
borne sub-systems). See GM/RM2500, GM/RT2402 and GM/RT1300;
• portable and transportable plant, test equipment and tools (unless intended
for use as part of Railtrack controlled infrastructure). See GM/RT1310.

It should be noted that:

• whilst acceptance of Products in accordance with this Group Standard is a

necessary condition for their use as a part of Railtrack controlled
infrastructure, it may not be a sufficient condition for use at a specific
location. Assessment of the suitability of a Product for each site-specific
application may additionally be required, for which other Group Standards
relating to design, approval in principle, testing and commissioning will be
relevant;
• acceptance of a Product does not imply acceptance of any of its constituent
sub-systems, equipment, components or materials except when used as a
part of that Product.

3 Definitions
Application Requirements
Rules, conditions and constraints relevant to the safety of the Product in its
proposed application, for example: requirements for the site-specific
configuration and interconnection of component parts; methods for installation,
testing and commissioning; environmental requirements; methods for
maintenance and fault-finding; instructions for use; information regarding
modification and de-commissioning; health and safety precautions.

Product
Any of the following within the scope of this Standard: system, sub-system,
equipment, component, materials.

Safety-related Application
The use of Product for a purpose which, if it fails to conform to the Safety
Requirements pertinent to the application, could increase risk to trains, persons
working on the railway or the public.

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Date April 1999 Materials for use in Railtrack Controlled
Page 4 of 7 Infrastructure

Safety Requirements
The requirements relevant to safety that have to be achieved by a Product in its
intended Safety-related Application, for example: the safety functions that the
Product must perform; the safety integrity requirements (i.e., how dependable
the safety functions must be); design requirements; safety-related
characteristics of the Product; reliability, availability and maintainability
requirements, where relevant to safety. The Safety Requirements may be (or
form part of) a Railway Group Standard, a Railtrack specification, a national or
international standard, or it may be produced by the supplier of the Product.

4 Principles
4.1
When a Product is first proposed for use as a part of Railtrack controlled
infrastructure, Railtrack shall ensure that, prior to acceptance, it is subject to an
assessment of its safety performance. The rigour of the assessment shall be
commensurate with the risks.

4.2
It is permissible for a Product to be accepted for use on the basis that it has
already been accepted by another railway administration or a recognised
approvals body. However, Railtrack shall ensure that the Product is subject to
further assessment where necessary, taking into account the adequacy and
relevance of the previous assessment, and the actual safety performance of the
Product in service.

4.3
Where Railtrack has already accepted a Product for use, Railtrack shall ensure
that an appropriate level of re-assessment is undertaken if a modification or
change of application is proposed which may result in the existing Product
acceptance no longer being valid.

This principle shall also apply to Products already in use as part of Railtrack
controlled infrastructure in a Safety-related Application but which have not
previously been formally assessed, and for which a Product modification or
change of application is now proposed.

5 Product Assessment
5.1
Railtrack shall ensure that documented procedures are in place for the
assessment and acceptance of Products, to meet the requirements of this
Standard.

The procedures shall include criteria or other suitable means for determining
whether the proposed application of a Product is safety-related and therefore
within the scope of this Standard.

5.2
Railtrack shall ensure that the Safety Requirements for the proposed
application(s) of the Product are defined. The Safety Requirements shall control
the totality of risk associated with the proposed application(s) of the Product to a
level that is as low as reasonably practicable and which is compliant with any
applicable industry safety targets.

Where a re-assessment is to be performed in accordance with clause 4.3 and a

complete set of Safety Requirements does not already exist, it is permissible to
limit the defining of Safety Requirements to those which address the areas
affected by the proposed changes.

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Acceptance of Systems, Equipment and GI/RT7002
Issue One
Materials for use in Railtrack Controlled Date April 1999
Infrastructure Page 5 of 7

5.3
The assessment of a Product shall establish:

• the adequacy of the Safety Requirements for the proposed application(s) of

the Product (where this has not previously been done);
• the extent to which the Product complies with the Safety Requirements for
the proposed application(s);
• the adequacy of the proposed Application Requirements for ensuring that
the Product performs safely throughout its service life;
• where relevant, the adequacy of the safety management systems and
processes used for the development and design of the Product.

5.4
In determining the required degree of rigour for the assessment, the following
shall be taken into account:-

• the potential for, and severity of, safety risks arising from the use of the
Product in its intended application(s);
• the complexity of the Product and the consequential predictability of its
safety performance in its proposed application;
• the extent to which the Product and / or its proposed application is novel or
modified.

5.5
Where a Product has both safety-related and non-safety-related functions /
features, the whole Product shall be subject to assessment in accordance with
this Standard unless it can be shown the non-safety-related functions / features
cannot adversely affect the safety-related functions / features under both normal
and failure conditions.

5.6
The assessment shall be performed by organisations which have appropriate
management systems to undertake the work effectively and have personnel
assigned to the work who collectively possess the necessary competencies in
respect of the processes and methods to be applied.

5.7
Where the assessment is performed by or on behalf of the designer or supplier
of the Product, Railtrack shall determine the need for the assessment to be
independently reviewed.

6 Product Acceptance
6.1
Products shall be accepted for use in Railtrack controlled infrastructure only
where:

• the findings of the assessment support the proposed application(s) of the

Product; AND
• the requirements of GM/RT2450 have been satisfied, where that Standard
is applicable to the supplier.

6.2
Railtrack shall indicate Product acceptance (i.e., authorisation of the Product for
use) by the production of an acceptance certificate. The certificate shall
explicitly define the Product and its configuration, the scope of acceptance, and
conditions governing use. The documentary evidence justifying acceptance
shall be referenced on the certificate.

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Date April 1999 Materials for use in Railtrack Controlled
Page 6 of 7 Infrastructure

6.3
Where a Product is subject to trials within Railtrack controlled infrastructure as
part of the assessment process, acceptance of the Product for assessment
purposes shall be indicated by the production of a time-limited acceptance
certificate. In addition to the requirements in 6.1, the certificate shall specify
any constraints relating to the trials necessary to ensure safety.

6.4
Product acceptance shall not be transferable between suppliers unless
specifically approved by Railtrack, consideration having first been given to any
associated risks.

7 Records
7.1
Railtrack shall ensure that all documents relating to the assessment and
acceptance of a Product are maintained for as long as the Product remains in
service.

8 Requirements
Relating to Products in
Service
8.1
Insofar as is reasonably practicable, Railtrack shall ensure that any Product
procured for use in Railtrack controlled infrastructure conforms to the Safety
Requirements for which the related Product acceptance is valid.

8.2
Railtrack shall ensure that Products are used only in the applications for which
acceptance has been secured, and in conformance with the Application
Requirements.

8.3
Railtrack shall withdraw or change the terms and conditions of Product
acceptance if it is considered that use of the Product no longer provides
adequate levels of safety.

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Acceptance of Systems, Equipment and GI/RT7002
Issue One
Materials for use in Railtrack Controlled Date April 1999
Infrastructure Page 7 of 7

References

GM/RM2500 Rail Vehicle Acceptance and Registration Manual

GM/RT1300 Engineering Acceptance of Road-Rail Vehicles

GM/RT1310 Design Requirements and Acceptance of Portable / Transportable Infrastructure,

Plant and Equipment

GM/RT2402 Engineering Acceptance of Rail Mounted Maintenance Machines

GM/RT2450 Qualification of Suppliers of Safety Critical Engineering

Products and Services

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