TRANSPORT AND WORKS ACT 1992 MIDLAND METRO (BIRMINGHAM CITY CENTRE EXTENSION LAND ACQUISITION AND VARIATION) ORDER INQUIRY NOVEMBER 2014 NETWORK RAIL APPROVAL PROCESS 1. Introduction 1.1. This note is the result of a request by the Public Inquiry Inspector for Mr Gavin Last (GL) of Mott MacDonald (for CENTRO) and Mr James Parsons (JP) of Cass Hayward LLP (for VSH), to jointly prepare a note outlining the Network Rail (NR) approval process. The note describes the general processes typical of works that affect NR s assets and gives an indication of the likely reports and other documents for NR approval that are likely to be required for the routing of the Midland Metro across Navigation Street bridges. 1.2. In view of the amount of inspection and assessment information that NR already have JP considers that: a. The additional assessment is possible within a three to four month period and that the whole process would take less than one year if there are no fundamental comments on the design. b. There is sufficient information to permit the assessment to progress ahead of any additional inspections that NR may determine. 1.3. GL considers that the whole process will take at least 1 year to complete to the satisfaction of all parties. This is on the basis that the response time from NR is optimised and there are no complications to the approval process. 2. Network Rail - General Processes 2.1. Network Rail (NR) use the Governance for Railway Investment Projects (GRIP) life cycle to run projects. This is defined in NR Standard NR/L1/INI/PM/GRIP/100, and covers output definition (GRIP 1) through to Project closeout (GRIP 8). Typically outside party works, where a project is sponsored outside of NR but have an interface with NR, follow part of this GRIP process, particularly where NR acceptance is required for use of their assets. 2.2. Engineering management for NR projects has to follow the NR standard NR/L1/INI/02009, which defines roles and responsibilities of all parties as well as the agreed design process. 1
2.3. Approvals are different for the different GRIP stages and for different disciplines. JP accepts that designs may have to go through Inter-disciplinary Design Checks (IDC) and Reviews (IDR) before submission to NR who carry out their own Document Review Notice (DRN) process. GL considers that: a. IDC s are required to check the impact of the tram scheme for Electromagnetic Compatibility (EMC), earthing and bonding and immunity to NR signalling equipment. b. Approval will be required from Birmingham City Council, as the highway authority, for any change in the traffic management across the bridge. 2.4. Turnaround periods for NR assessment and acceptance of the required Forms (see below) can be 8 weeks or longer after any one submission (or re-submission) and even more if many NR disciplines are involved in the process, or issues are rejected or require further inputs 1. Typically NR requires inspection/investigation information to be available prior to Form AA submission. However, JP considers that in view of the inspection and assessment work that NR already have for these structures it is considered that the turnaround periods can be less (JP considers that a 4 week period is reasonable) and that assessment of tram loading effects can commence ahead of any additional inspections that NR may consider necessary as part of the tramway works. Undertaking the assessment of tram loading effects ahead of any additional inspections carries the risk that the results of such inspections may change the basis of the assessment. 2.5. NR GRIP Stages Summary Table NR GRIP STAGE Description NR Project inputs/outputs Outside Party Project (OPP) inputs/outputs GRIP 1 Output Definition NR internal OPP define their high level requirements GRIP 2 Feasibility NR internal optioneering, some external inputs OPP scoping document GRIP 3 2 Option Selection Option Selection Report. Form F001 Approval in Principle documents for relevant disciplines with IDC/IDR and NR DRN process. 1 GL considers that NR would reserve the right (as stated in the legal agreements) to increase review periods to accept a submission if they believe it requires further inputs or clarity. 2 A Contractors Responsible Engineer (CRE) is to be appointed before the commencement of GRIP 3. The Contractors Engineering Manager (CEM) is to be nominated and appointed in order to review the appointment of the CRE. 2
GRIP 4 Single Option Development Form 002 Statement of Design Intent for civil and M&E disciplines, with NR DRN process. GRIP 5 Detailed Design Form 003 Design and Check certificate (drawings and specifications) and Approval for Construction drawings, inc NR DRN process. GRIP 6 GRIP 7 Construction, Test and Commission Scheme Hand Back Delivery and testing documentation Asset hand back documentation etc. GRIP 8 Project Closeout Close out of warranties, accounts etc. 3
3. Technical Approval Key documents i) Metro/NR Interface Scoping document- For an Outside Parties Project, the outside party sets out the scope of the project and the reasons for crossing NR structures. This provides NR with an understanding of the scheme and the interfaces that may be faced. The document would outline the scheme and intended process with NR including any intended inspection regime and assessments required. This would also identify key interface issues for NR as a whole (not just the structural bridge interface) and disciplines required for the works, so that NR can identify their own key expertise required to review and accept the designs. For the Centro tramway works along Navigation Street we would expect an outline design of the likely tram rail track slab and associated carriageway and footpath cross section to be developed in order to contribute to explanation of the scheme to NR. This outline design would be used inform the assessment process and be defined in the Form AA. ii) Form AA sets out how structures will be assessed to accommodate change of loading to Metro loading. For the Navigation Street bridges we would expect the new Form AA to be based on that previously prepared and accepted by NR, but with the inclusion of the additional tram loading and details of the intended cross sections and nature of materials used (for example track slab form and materials). Although based on the previously prepared form AA, it will be classed as a new submission. NR agreement will be required before commencing the assessment, particularly on method of assessment, assumptions to be used for the new loading arrangements and likely impacts. This would have to be carried out for all 4 bridge deck spans (which are of different structural type). The recent assessments of the four bridge deck areas are covered in a single Form AA (for example: as included in the WSP report RSB2 Br2 2A 2B 2C Assessment Report (2004) [inquiry document ref CEN/INQ/28], and a Form AA Addendum included in the Ramboll report RBS2 Br2c Navigation Street_Span 2C_Final Assessment Report (2013) [inquiry ref CEN/INQ/31.3]. iii) Assessment Report reports on the outcome of the assessment of the Navigation Street bridge decks. This report is accompanied by the Form BA, which is an assessment and check certificate. iv) Option Selection Report (OSR) With NR s own projects it would be usual for a document to be produced that shows NR the options reviewed and the option selected. For the Navigation Street Bridges this report needs to take on board any conclusions from the assessments (i.e. any strengthening requirements if required) and confirmation of the intended Metro scheme layout on the bridge spans. v) Form 001 Approval in Principle prior to Grip 4 (detailed design) stage. This is used to show NR that the assumptions used in the assessments are being carried through into Metro design and loadings from the designed scheme do not surpass those used in the assessments. These forms are also used to 4
vi) vii) define which new design items will become NR assets or if any new design items that directly interface with NR structure are designed to a standard in accordance with NR specifications. Form 002 is a design intent statement, which confirms design codes and standards to be used. It is common practice to prepare and submit the F001 and F002 at the same time, although NR will not consider form F002 until form F001 has been signed off by NR. Form 003 Design and Check certificate covers the detailed design of any new works associated on or with the NR structure. Each design discipline submits a separate Form 3 to take into account any specific NR interfaces in or around the structure. 4. Inspections for Assessment i) Where an assessment is to take place (for instance change of use), JP considers that an inspection for assessment may be required; GL considers that an inspection for assessment will be required. The purpose of the inspection, if required, is to confirm the current condition, any deterioration that the structure may or may not have experienced since the last assessment/inspection and ensure all relevant member sizes and properties have been established. Both Centro and NR would have to satisfy themselves whether principal inspections are required based on the length of time since the last principal inspections or any known recent events. It is currently not known when the last principal inspection was carried out on each of the individual spans (a principal inspection is required typically every 6 years by NR), although at the last assessment for at least two spans were finalised before 2007. More recent reports provided by NR and submitted to the public inquiry confirm that inspections have been ongoing and concluded more recently (for example, the Ramboll report of 2013 as referred to above in 3(ii)). There is also evidence on site of ongoing inspections, as can be observed from platforms below the main bridge 2 deck, although the remit for these inspections is not known. It is therefore considered possible that assessment of the bridge decks for the tram loading effects can be commenced ahead of any inspections that may be required. This approach has an element of risk as the results of any inspections may change the basis of the assessment. ii) It is noted that for any required inspections and investigations on or near NR operational tracks, a Construction Phase Plan (CPP), Work Package Plan (WPP), Task Briefing Sheets (TBS) will be required along with possession planning and electrical isolation requirements met. Each of these documents requires approval of NR, and relies on availability of allowable possessions at each track location. The period of time required to plan an inspection or investigation under the bridge could take anywhere between 4-12 months or 5
longer depending on availability of possessions in and around New Street Station. However, there is an indication within the NR reports provided that inspections were undertaken within normal Rules of the Routes possessions (Sunday morning between 00:30 and 08:30), which occur weekly. However, it cannot be assumed that these Rules of the Route possession times will be readily available for further inspections. 5. Legal agreements with NR i) A Basic Services Agreement (BSA) for a project. This is between the outside party and NR to allow NR to book time in discussion with the outside party, and recover their costs. It needs to be in place prior to NR having an input to the approval process. ii) A Basic Asset Protection Agreement (BAPA) for a project. This agreement sets out the terms and conditions under which the outside party can carry out inspections on the structure, for which access to the railway may be required. Also a BAPA or APA is required to be able for NR to sign off on a technical submission. Typically the BAPA is used to enable NR sign off for early technical submissions as agreement on APA costs would not have been reached at this early stage. iii) For any construction works on a NR structure, a full Asset Protection Agreement (APA) for a project is required. This also sets out the fees which NR can charge for dealing with the works including warrantees and NR insurance payments. iv) Maintenance agreements between NR and Centro for future interface and any required compensation between the two parties. 6. Programming of submissions Typically, the following order would be followed for technical approval: i) BSA sign off required ii) Initial discussions with NR can commence iii) Submit Metro/NR Interface Scoping document including outline tramway and associated carriageway and footpath details iv) NR acceptance /feedback v) Submit site inspection CPP, WPP, TBS, Possession planning vi) NR acceptance /feedback vii) BAPA sign off required viii) Inspection for Assessment and investigation site phase, if required 3 ix) Form AA submission x) NR acceptance/feedback xi) Assessment Report and Form BA submission xii) NR acceptance /feedback xiii) GRIP 3 Options Report, if required xiv) NR acceptance /feedback 3 GL considers that an inspection for assessment will be required. 6
xv) Form F001 & IDC/IDR submission xvi) NR acceptance /feedback xvii) Form F002 submission xviii) NR acceptance /feedback xix) Form F003 submission xx) NR acceptance /feedback xxi) APA sign off required prior to commencement of Metro construction or any required strengthening works. 6.1. It is noted that the design of the Centro Metro works could take place prior to discussions with Network Rail, however if any design is progressed and NR later do not accept this there would be aborted design time and cost. Legal agreements can also take place in parallel to design activities however they must be in place at specific times to allow official NR acceptance of various activities. 7