Uncontrolled copy from the catalogue dated August 2004

Railway Group Standard

GI/RT7001
Issue One
Date August 1999

Management of
Safety Related
Records of
Elements of the
Infrastructure

Synopsis
This document sets out the
requirements for the management of
safety related Records of Elements of
the Infrastructure.

Submitted by

Keith Turner This document is the property of

Standards Project Manager Railtrack PLC. It shall not be
reproduced in whole or in part without
Authorised by the written permission of the Controller,
Railway Group Standards,
Railtrack PLC.

Published by
Safety & Standards Directorate,
Railtrack PLC,
Floor DP01, Railtrack House,
Euston Square,
Brian Alston London NW1 2EE
Acting Controller, Railway Group Standards
© Copyright 1999 Railtrack PLC
Uncontrolled copy from the catalogue dated August 2004

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 Uncontrolled copy from the catalogue dated August 2004

Railway Group Standard

Management of Safety Related Records of GI/RT7001
Issue One
Elements of the Infrastructure Date August 1999
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 Principle 3
5 Competency 3
6 Assessment and Contents of Records 3
7 Listing, Movement and Accessibilty of Records 4
8 New Records and Changes to Records 5
9 Retention and Disposal of Records 5

References 7

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Railway Group Standard

GI/RT7001
Issue One Management of Safety Related Records of
Date August 1999 Elements of the Infrastructure
Page 2 of 7

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

One Aug 1999 Original Document
This Standard supersedes GC/RT5142
“Management of Infrastructure and Property
Records” which will be withdrawn in April 2000.
GC/TI0063 Bridge Data Manual and
GK/RT0103 “Management of signalling Design
Records” will be withdrawn in April 2000.

Responsibilities
Railway Group Standards are mandatory on all members of the Railway Group *
and apply to all relevant activities that fall into 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 Safety Case.

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

Compliance
Procedures as required in this Railway Group Standard are to be in place by 01
April 2000.

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

Management of Safety Related Records of GI/RT7001
Issue One
Elements of the Infrastructure Date August 1999
Page 3 of 7

Part B
1 Purpose
The purpose of this Railway Group Standard is to set out the requirements for
the management of Safety Related Records of Elements of the Infrastructure.

2 Scope
The contents of this Railway Group Standard apply to Safety Related Records of
Elements of the Infrastructure which could affect the safety of train operations or
the safety of interworking and applies to areas defined as applicable to Railway
Group Standards in GA/RT6001.

The requirements apply to Railway Group Members responsible for maintaining

Safety Related Records of Elements of the Infrastructure.

Additional requirements for Electrification Isolation Documents are given in

Railway Group Standard GM/RT1006 “Electrification Isolation Documents -
Production and Modification”.

Additional requirements for signalling design records are given in Railway Group
Standard GK/RT0201 “Signalling Design - Production”.

3 Definitions
Element of the Infrastructure
Any feature or fixed asset of the operational railway which falls within the
disciplines of civil engineering, train control and communications, electrification
and plant engineering.

Record
All information bearing media (including electronically stored data) created,
received or modified in the course of carrying out the duties and functions of an
undertaking, and subsequently retained by the undertaking or its successors as
evidence, or as a reference source, or to meet the requirements of this Railway
Group Standard.

Safety Related Record of an Element of the Infrastructure

Details of an Element of Infrastructure or data which allow the Element of the
Infrastructure to be managed safely.

4 Principle
The Safety of train operators is not jeopardised by inadequate Safety Related
Records of Elements of the Infrastructure when design, construction, operation,
change in use, change in interworking arrangements, examination, maintenance,
testing, commissioning, decommissioning and demolition is carried out.

5 Competency
Railway Group Members shall have procedures in place for ensuring that all
persons responsible for the management of safety related Records of Elements
of the Infrastructure are competent.

6 Responsibilities
Where more than one party is involved in the management of an Element of the
Infrastructure, the Railway Group Member who is the prime user of the railway
associated equipment shall reach a clear written understanding as to who is
responsible for the management of which records.

7 Assessments and
Contents of Records
7.1 Assessment of Records to be Retained
Railway Group Members shall have procedures in place for assessing which
Elements of the Infrastructure require Safety Related Records to be kept.

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The assessment shall include the following:

a the purpose for which the Records are to be used;

b the design life or life expectancy of the Element of the Infrastructure;
c whether the risk from not creating the Record is justifiable on safety grounds;
d the requirements of other Railway Group Standards;
e legislative requirements;
f the difficulty of creating or recreating the Record;
g the extent of the fixed asset or feature to be treated as an Element of the
Infrastructure (e.g. single structure, system,or part system).

7.2 Content of Records

Where Records are required, the Records shall include the location and
identification of the Element of the Infrastructure. Procedures shall be in place to
determine how detailed the Record is required to be, taking into account the
following:

a the likelihood of failure;

b the consequence of failure;
c the frequency of examination or maintenance;
d the degree of concealment;
e the required level of accuracy of the Record;
f the condition of the Element of the infrastructure;
g the technical details, size, site specific hazards, limitations of use and design
standards;
h safety related decisions (including risk assessments);
i associated Records of testing or commissioning;
j the need for data which relates to the interface between vehicles and
Infrastructure (e.g. clearances, load capacity, electro-magnetic compatibility);
k application/site specific configuration data (e.g. solid state interlocking (S.S.I)
geographical data, signal post telephone (S.P.T) key mapping data,
supervisory control and data acquisition (SCADA))
l changes which could affect the safety of railway operations or the safety of
interworking;
m the need for traceability of changes to the Records (e.g. the date of the most
recent update, the reason for change, etc.).

7.3 Missing Records

Where Safety Related Records of Elements of the Infrastructure are known not
to exist, Railway Group Members shall have action plans in place to create or
recreate such Records. These action plans shall be commensurate with the
risks involved.

8 Listing, Movement,
Accessibility
of Records
8.1 Listing of Records
Railway Group Members shall have in place a procedure for creating and
maintaining a register of safety related Records relating to Elements of the
Infrastructure, together with details of the location where each Record on the
register is stored.

8.2 Movement Availability and Accessibility of Records

Railway Group Members shall have procedures in place for managing the
movement, availability and accessibility of safety related Records relating to
Elements of the Infrastructure. The procedures shall include the retrieval, the
distribution, the identification of the temporary location and the return of the
Records.

The procedures shall also take into account

a the degree of control required in the distribution and retrieval of the Records
and the speed at which the Records need to be accessed or retrieved for
safety purposes.
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b the level of detail of the Records to be made available to both Contractors

and others who are likely to be exposed to hazards detailed in these
Records.

Where controlled distribution of copies is required, consideration shall be given

to identifying the purpose for which the copy is being provided (e.g.
maintenance, installation, testing or correlation).

9 New Records and

Changes to Records
Railway Group Members shall have procedures in place to ensure that new
Records and alteration to existing Records are made.

The Procedures shall include:-

a arrangements for the accurate creation and update of Records;

b listing Records (see Section 7.1 of this Railway Group Standard);
c validating new and altered Records (including the prevention of any
conflicting records);
d correcting errors and omissions found or reported in existing Records;
e arrangements for distribution of altered records.

10 Retention and
Disposal of Records
10.1 Retention of Records
10.1.1
Procedures shall be in place for determining the method and period of retention
required for safety related Records relating to Elements of the Infrastructure.

10.1.2
In determining the method of retention, the following shall be taken into account:

a the level of security required including:

- protection against fire, other causes of physical damage, unauthorised
amendment, deterioration and theft;
- the degree of confidentiality required;
- precaution against electrostatic and electromagnetic damage to the
data;
b the need to retain the Record to satisfy legal (e.g. statutory) requirements;
c the period for which the Record must be retained;
d the method of repair and storage conditions required to ensure preservation
and continued legibility of the Record together with any need to refresh
electronic media (conservation);
e the need for a back-up, or other type of copy to be available in a location
away from the main site where the Record is stored;
f the need for a back-up when the Record is away from the usual location;
g reassessment of the need to retain the Record before disposal (see section
9.2 of this Railway Group Standard);
h the need for a schedule giving the retention periods for records;
i the ease with which the record may be recreated;
j the need to maintain compatibility with developing technology used for
retention (e.g. electronic data storage).

10.2 Disposal of Records

10.2.1
Procedures shall be in place for controlling the disposal of safety related
Records of Elements of the Infrastructure. Disposal includes destruction or
transfer of the Record to another body.

10.2.2
The procedures shall include:

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b identifying whether the Record could still affect the safety of train operations
or the safety of interworking;
c consultation with all users or any other person or body having an interest in
the Record;
d identifying whether the fixed asset or feature still exists;
e identifying whether any instruction exists for the retention of the Record;
f arrangements for authorising the disposal of the Record and any copies
thereof;
g arrangements for recording the disposal of the Record including the date of
disposal and amendment to the list of Records.

Other requirements may need to be considered in order to assess whether a

Record can be disposed of (e.g. other legal requirements, evidential
requirements, heritage requirements, custodial disputes).

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Elements of the Infrastructure Date August 1999
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References
Railway Group Standards
GA/RT6001 Railway Group Standards Change Procedures
GM/RT1006 Electrification Isolation Documents - Production and Modification
GK/RT0201 Signalling Design: Production

Associated Legislation
Construction (Design and Management) Regulations 1994
Railway Heritage Act 1996
British Railways Act 1981, Section 77 (microfilming of documents)

This list of associated legislation is not exhaustive.

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